5,945 Matching Annotations
  1. Oct 2025
    1. Author response:

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      In their paper, Kang et al. investigate rigidity sensing in amoeboid cells, showing that, despite their lack of proper focal adhesions, amoeboid migration of single cells is impacted by substrate rigidity. In fact, many different amoeboid cell types can durotax, meaning that they preferentially move towards the stiffer side of a rigidity gradient. 

      The authors observed that NMIIA is required for durotaxis and, buiding on this observation, they generated a model to explain how durotaxis could be achieved in the absence of strong adhesions. According to the model, substrate stiffness alters the diffusion rate of NMAII, with softer substrates allowing for faster diffusion. This allows for NMAII accumulation at the back, which, in turn, results in durotaxis. 

      The authors responded to all my comments and I have nothing to add. The evidence provided for durotaxis of non adherent (or low-adhering) cells is strong. I am particularly impressed by the fact that amoeboid cells can durotax even when not confined. I wish to congratulate the authors for the excellent work, which will fuel discussion in the field of cell adhesion and migration.

      We thank the reviewer for critically evaluating our work and giving kind suggestions. We are glad that the reviewer found our work to be of potential interest to the broad scientific community.

      Reviewer #2 (Public Review):

      Summary:

      The authors developed an imaging-based device that provides both spatialconfinement and stiffness gradient to investigate if and how amoeboid cells, including T cells, neutrophils, and Dictyostelium, can durotax. Furthermore, the authors showed that the mechanism for the directional migration of T cells and neutrophils depends on non-muscle myosin IIA (NMIIA) polarized towards the soft-matrix-side. Finally, they developed a mathematical model of an active gel that captures the behavior of the cells described in vitro.

      Strengths:

      The topic is intriguing as durotaxis is essentially thought to be a direct consequence of mechanosensing at focal adhesions. To the best of my knowledge, this is the first report on amoeboid cells that do not depend on FAs to exert durotaxis. The authors developed an imaging-based durotaxis device that provides both spatial confinement and stiffness gradient and they also utilized several techniques such as quantitative fluorescent speckle microscopy and expansion microscopy. The results of this study have well-designed control experiments and are therefore convincing.

      Weaknesses:

      Overall this study is well performed but there are still some minor issues I recommend the authors address:

      (1) When using NMIIA/NMIIB knockdown cell lines to distinguish the role of NMIIA and NMIIB in amoeboid durotaxis, it would be better if the authors took compensatory effects into account.

      We thank the reviewer for this suggestion. We have investigated the compensation of myosin in NMIIA and NMIIB KD HL-60 cells using Western blot and added this result in our updated manuscript (Fig. S4B, C). The results showed that the level of NMIIB protein in NMIIA KD cells doubled while there was no compensatory upregulation of NMIIA in NMIIB KD cells. This is consistent with our conclusion that NMIIA rather than NMIIB is responsible for amoeboid durotaxis since in NMIIA KD cells, compensatory upregulation of NMIIB did not rescue the durotaxis-deficient phenotype. 

      (2) The expansion microscopy assay is not clearly described and some details are missed such as how the assay is performed on cells under confinement.

      We thank the reviewer for this comment. We have updated details of the expansion microscopy assay in our revised manuscript in line 481-485 including how the assay is performed on cells under confinement:

      Briefly, CD4+ Naïve T cells were seeded on a gradient PA gel with another upper gel providing confinement. 4% PFA was used to fix cells for 15 min at room temperature. After fixation, the upper gradient PA gel is carefully removed and the bottom gradient PA gel with seeded cells were immersed in an anchoring solution containing 1% acrylamide and 0.7% formaldehyde (Sigma, F8775) for 5 h at 37 °C.

      (3) In this study, an active gel model was employed to capture experimental observations. Previously, some active nematic models were also considered to describe cell migration, which is controlled by filament contraction. I suggest the authors provide a short discussion on the comparison between the present theory and those prior models.

      We thank the reviewer for this suggestion. Active nematic models have been employed to recapitulate many phenomena during cell migration (Nat Commun., 2018, doi: 10.1038/s41467-018-05666-8.). The active nematic model describes the motion of cells using the orientation field, Q, and the velocity field, u. The director field n with (n = −n) is employed to represent the nematic state, which has head-tail symmetry. However, in our experiments, actin filaments are obviously polarized, which polymerize and flow towards the direction of cell migration. Therefore, we choose active gel model which describes polarized actin field during cell migration. In the discussion part, we have provided the comparison between active gel model and motor-clutch model. We have also supplemented a short discussion between the present model and active nematic model in the main text of line 345-347:

      The active nematic model employs active extensile or contractile agents to push or pull the fluid along their elongation axis to simulate cells flowing (61). 

      (4) In the present model, actin flow contributes to cell migration while myosin distribution determines cell polarity. How does this model couple actin and myosin together?

      We thank the reviewer for this question. In our model, the polarization field is employed to couple actin and myosin together. It is obvious that actin accumulate at the front while myosin diffuses in the opposite direction. Therefore, we propose that actin and myosin flow towards the opposite direction, which is captured in the convection term of actin ) and myosin () density field.

    1. Author Response

      The following is the authors’ response to the previous reviews.

      Recommendations for the authors:

      (1) Substantial revision of the claims and interpretation of the results is needed, especially in the setting of additional data showing enhanced erythrophagocytosis with decreased RBC lifespan.

      Thank you for your valuable feedback and suggestion for a substantial revision of the claims and interpretation of our results. We acknowledge the importance of considering additional data that shows enhanced erythrophagocytosis with decreased RBC lifespan. In response, we have revised our manuscript and incorporated additional experimental data to support and clarify our findings.

      (1) In our original manuscript, we reported a decrease in the number of splenic red pulp macrophages (RPMs) and phagocytic erythrocytes after hypobaric hypoxia (HH) exposure. This conclusion was primarily based on our observations of reduced phagocytosis in the spleen.

      (2) Additional experimental data on RBC labeling and erythrophagocytosis:

      • Experiment 1 (RBC labeling and HH exposure)

      We conducted an experiment where RBCs from mice were labeled with PKH67 and injected back into the mice. These mice were then exposed to normal normoxia (NN) or HH for 7 or 14 days. The subsequent assessment of RPMs in the spleen using flow cytometry and immunofluorescence detection revealed a significant decrease in both the population of splenic RPMs (F4/80hiCD11blo, new Figure 5A and C) and PKH67-positive macrophages after HH exposure (as depicted in new Figure 5A and C-E). This finding supports our original claim of reduced phagocytosis under HH conditions.

      Author response image 1.

      -Experiment 2 (erythrophagocytosis enhancement)

      To examine the effects of enhanced erythrophagocytosis, we injected Tuftsin after administering PKH67-labelled RBCs. Our observations showed a significant decrease in PKH67 fluorescence in the spleen, particularly after Tuftsin injection compared to the NN group. This result suggests a reduction in RBC lifespan when erythrophagocytosis is enhanced (illustrated in new Figure 7, A-B).

      Author response image 2.

      (3) Revised conclusions:

      • The additional data from these experiments support our original findings by providing a more comprehensive view of the impact of HH exposure on splenic erythrophagocytosis.

      • The decrease in phagocytic RPMs and phagocytic erythrocytes after HH exposure, along with the observed decrease in RBC lifespan following enhanced erythrophagocytosis, collectively suggest a more complex interplay between hypoxia, erythrophagocytosis, and RBC lifespan than initially interpreted.

      We think that these revisions and additional experimental data provide a more robust and detailed understanding of the effects of HH on splenic erythrophagocytosis and RBCs lifespan. We hope that these changes adequately address the concerns raised and strengthen the conclusions drawn in our manuscript.

      (2) F4/80 high; CD11b low are true RPMs which the cells which the authors are presenting, i.e. splenic monocytes / pre-RPMs. To discuss RPM function requires the presentation of these cells specifically rather than general cells in the proper area of the spleen.

      Thank you for your feedback requesting a substantial revision of our claims and interpretation, particularly considering additional data showing enhanced erythrophagocytosis with decreased RBC lifespan. In response, we have thoroughly revised our manuscript and included new experimental data that further elucidate the effects of HH on RPMs and erythrophagocytosis.

      (1) Re-evaluation of RPMs population after HH exposure:

      • Flow cytometry analysis (new Figure 3G, Figure 5A and B): We revisited the analysis of RPMs (F4/80hiCD11blo) in the spleen after 7 and 14 days of HH exposure. Our revised flow cytometry data consistently showed a significant decrease in the RPMs population post-HH exposure, reinforcing our initial findings.

      Author response image 3.

      Author response image 4.

      • In situ expression of RPMs (Figure S1, A-D):

      We further confirmed the decreased population of RPMs through in situ co-staining with F4/80 and CD11b, and F4/80 and CD68, in spleen tissues. These results clearly demonstrated a significant reduction in F4/80hiCD11blo (Figure S1, A and B) and F4/80hiCD68hi (Figure S1, C and D) cells following HH exposure.

      Author response image 5.

      (2) Single-cell sequencing analysis of splenic RPMs:

      • We conducted a single-cell sequencing analysis of spleen samples post 7 days of HH exposure (Figure S2, A-C). This analysis revealed a notable shift in the distribution of RPMs, predominantly associated with Cluster 0 under NN conditions, to a reduced presence in this cluster after HH exposure.

      • Pseudo-time series analysis indicated a transition pattern change in spleen RPMs, with a shift from Cluster 2 and Cluster 1 towards Cluster 0 under NN conditions, and a reverse transition following HH exposure (Figure S2, B and D). This finding implies a decrease in resident RPMs in the spleen under HH conditions.

      (3) Consolidated findings and revised interpretation:

      • The comprehensive analysis of flow cytometry, in situ staining, and single-cell sequencing data consistently indicates a significant reduction in the number of RPMs following HH exposure.

      • These findings, taken together, strongly support the revised conclusion that HH exposure leads to a decrease in RPMs in the spleen, which in turn may affect erythrophagocytosis and RBC lifespan.

      Author response image 6.

      In conclusion, our revised manuscript now includes additional experimental data and analyses, strengthening our claims and providing a more nuanced interpretation of the impact of HH on spleen RPMs and related erythrophagocytosis processes. We believe these revisions and additional data address your concerns and enhance the scientific validity of our study.

      (3) RBC retention in the spleen should be measured anyway quantitatively, eg, with proper flow cytometry, to determine whether it is increased or decreased.

      Thank you for your query regarding the quantitative measurement of RBC retention in the spleen, particularly in relation to HH exposure. We have utilized a combination of techniques, including flow cytometry and histological staining, to investigate this aspect comprehensively. Below is a summary of our findings and methodology.

      (1) Flow cytometry analysis of labeled RBCs:

      • Our study employed both NHS-biotin (new Figure 4, A-D) and PKH67 labeling (new Figure 4, E-H) to track RBCs in mice exposed to HH. Flow cytometry results from these experiments (new Figure 4, A-H) showed a decrease in the proportion of labeled RBCs over time, both in the blood and spleen. Notably, there was a significantly greater reduction in the amplitude of fluorescently labeled RBCs after NN exposure compared to the reduced amplitude of fluorescently labeled RBCs observed in blood and spleen under HH exposure. The observed decrease in labeled RBCs was initially counterintuitive, as we expected an increase in RBC retention due to reduced erythrophagocytosis. However, this decrease can be attributed to the significantly increased production of RBCs following HH exposure, diluting the proportion of labeled cells.

      • Specifically, for blood, the biotin-labeled RBCs decreased by 12.06% under NN exposure and by 7.82% under HH exposure, while the PKH67-labeled RBCs decreased by 9.70% under NN exposure and by 4.09% under HH exposure. For spleen, the biotin-labeled RBCs decreased by 3.13% under NN exposure and by 0.46% under HH exposure, while the PKH67-labeled RBCs decreased by 1.16% under NN exposure and by 0.92% under HH exposure. These findings suggest that HH exposure leads to a decrease in the clearance rate of RBCs.

      Author response image 7.

      (2) Detection of erythrophagocytosis in spleen:

      To assess erythrophagocytosis directly, we labeled RBCs with PKH67 and analyzed their uptake by splenic macrophages (F4/80hi) after HH exposure. Our findings (new Figure 5, D-E) indicated a decrease in PKH67-positive macrophages in the spleen, suggesting reduced erythrophagocytosis.

      Author response image 8.

      (3) Flow cytometry analysis of RBC retention:

      Our flow cytometry analysis revealed a decrease in PKH67-positive RBCs in both blood and spleen (Figure S4). We postulated that this was due to increased RBC production after HH exposure. However, this method might not accurately reflect RBC retention, as it measures the proportion of PKH67-labeled RBCs relative to the total number of RBCs, which increased after HH exposure.

      Author response image 9.

      (4) Histological and immunostaining analysis:

      Histological examination using HE staining and band3 immunostaining in situ (new Figure 6, A-D, and G-H) revealed a significant increase in RBC numbers in the spleen after HH exposure. This was further confirmed by detecting retained RBCs in splenic single cells using Wright-Giemsa composite stain (new Figure 6, E and F) and retained PKH67-labelled RBCs in spleen (new Figure 6, I and J).

      Author response image 10.

      (5) Interpreting the data:

      The comprehensive analysis suggests a complex interplay between increased RBC production and decreased erythrophagocytosis in the spleen following HH exposure. While flow cytometry indicated a decrease in the proportion of labeled RBCs, histological and immunostaining analyses demonstrated an actual increase in RBCs retention in the spleen. These findings collectively suggest that while the overall RBCs production is upregulated following HH exposure, the spleen's capacity for erythrophagocytosis is concurrently diminished, leading to increased RBCs retention.

      (6) Conclusion:

      Taken together, our results indicate a significant increase in RBCs retention in the spleen post-HH exposure, likely due to reduced residual RPMs and erythrophagocytosis. This conclusion is supported by a combination of flow cytometry, histological staining, and immunostaining techniques, providing a comprehensive view of RBC dynamics under HH conditions. We think these findings offer a clear quantitative measure of RBC retention in the spleen, addressing the concerns raised in your question.

      (4) Numerous other methodological problems as listed below.

      We appreciate your question, which highlights the importance of using multiple analytical approaches to understand complex physiological processes. Please find below our point-by-point response to the methodological comments.

      Reviewer #1 (Recommendations For The Authors):

      (1) Decreased BM and spleen monocytes d/t increased liver monocyte migration is unclear. there is no evidence that this happens or why it would be a reasonable hypothesis, even in splenectomized mice.

      Thank you for highlighting the need for further clarification and justification of our hypothesized decrease in BM and spleen monocytes due to increased monocyte migration to the liver, particularly in the context of splenectomized mice. Indeed, our study has not explicitly verified an augmentation in mononuclear cell migration to the liver in splenectomized mice.

      Nonetheless, our investigations have revealed a notable increase in monocyte migration to the liver after HH exposure. Noteworthy is our discovery of a significant upregulation in colony stimulating factor-1 (CSF-1) expression in the liver, observed after both 7 and 14 days of HH exposure (data not included). This observation was substantiated through flow cytometry analysis (as depicted in Figure S4), which affirmed an enhanced migration of monocytes to the liver. Specifically, we noted a considerable increase in the population of transient macrophages, monocytes, and Kupffer cells in the liver following HH exposure.

      Author response image 11.

      Considering these findings, we hypothesize that hypoxic conditions may activate a compensatory mechanism that directs monocytes towards the liver, potentially linked to the liver’s integral role in the systemic immune response. In accordance with these insights, we intend to revise our manuscript to reflect the speculative nature of this hypothesis more accurately, and to delineate the strategies we propose for its further empirical investigation. This amendment ensures that our hypothesis is presented with full consideration of its speculative basis, supported by a coherent framework for future validation.

      (2) While F4/80+CD11b+ population is decreased, this is mainly driven by CD11b and F4/80+ alone population is significantly increased. This is counter to the hypothesis.

      Thank you for addressing the apparent discrepancy in our findings concerning the F4/80+CD11b+ population and the increase in the F4/80+ alone population, which seems to contradict our initial hypothesis. Your observation is indeed crucial for the integrity of our study, and we appreciate the opportunity to clarify this matter.

      (1) Clarification of flow cytometry results:

      • In response to the concerns raised, we revisited our flow cytometry experiments with a focus on more clearly distinguishing the cell populations. Our initial graph had some ambiguities in cell grouping, which might have led to misinterpretations.

      • The revised flow cytometry analysis, specifically aimed at identifying red pulp macrophages (RPMs) characterized as F4/80hiCD11blo in the spleen, demonstrated a significant decrease in the F4/80 population. This finding is now in alignment with our immunofluorescence results.

      Author response image 12.

      Author response image 13.

      (2) Revised data and interpretation:

      • The results presented in new Figure 3G and Figure 5 (A and B) consistently indicate a notable reduction in the RPMs population following HH exposure. This supports our revised understanding that HH exposure leads to a decrease in the specific macrophage subset (F4/80hiCD11blo) in the spleen.

      We’ve updated our manuscript to reflect these new findings and interpretations. The revised manuscript details the revised flow cytometry analysis and discusses the potential mechanisms behind the observed changes in macrophage populations.

      (3) HO-1 expression cannot be used as a surrogate to quantify number of macrophages as the expression per cell can decrease and give the same results. In addition, the localization of effect to the red pulp is not equivalent to an assertion that the conclusion applies to macrophages given the heterogeneity of this part of the organ and the spleen in general.

      Thank you for your insightful comments regarding the use of HO-1 expression as a surrogate marker for quantifying macrophage numbers, and for pointing out the complexity of attributing changes in HO-1 expression specifically to macrophages in the splenic red pulp. Your observations are indeed valid and warrant a detailed response.

      (1) Role of HO-1 in macrophage activity:

      • In our study, HO-1 expression was not utilized as a direct marker for quantifying macrophages. Instead, it was considered an indicator of macrophage activity, particularly in relation to erythrophagocytosis. HO-1, being upregulated in response to erythrophagocytosis, serves as an indirect marker of this process within splenic macrophages.

      • The rationale behind this approach was that increased HO-1 expression, induced by erythrophagocytosis in the spleen’s red pulp, could suggest an augmentation in the activity of splenic macrophages involved in this process.

      (2) Limitations of using HO-1 as an indicator:

      • We acknowledge your point that HO-1 expression per cell might decrease, potentially leading to misleading interpretations if used as a direct quantifier of macrophage numbers. The variability in HO-1 expression per cell indeed presents a limitation in using it as a sole indicator of macrophage quantity.

      • Furthermore, your observation about the heterogeneity of the spleen, particularly the red pulp, is crucial. The red pulp is a complex environment with various cell types, and asserting that changes in HO-1 expression are exclusive to macrophages could oversimplify this complexity.

      (3) Addressing the concerns:

      • To address these concerns, we propose to supplement our HO-1 expression data with additional specific markers for macrophages. This would help in correlating HO-1 expression more accurately with macrophage numbers and activity.

      • We also plan to conduct further studies to delineate the specific cell types in the red pulp contributing to HO-1 expression. This could involve techniques such as immunofluorescence or immunohistochemistry, which would allow us to localize HO-1 expression to specific cell populations within the splenic red pulp.

      We’ve revised our manuscript to clarify the role of HO-1 expression as an indirect marker of erythrophagocytosis and to acknowledge its limitations as a surrogate for quantifying macrophage numbers.

      (4) line 63-65 is inaccurate as red cell homeostasis reaches a new steady state in chronic hypoxia.

      Thank you for pointing out the inaccuracy in lines 63-65 of our manuscript regarding red cell homeostasis in chronic hypoxia. Your feedback is invaluable in ensuring the accuracy and scientific integrity of our work. We’ve revised lines 63-65 to accurately reflect the understanding.

      (5) Eryptosis is not defined in the manuscript.

      Thank you for highlighting the omission of a definition for eryptosis in our manuscript. We acknowledge the significance of precisely defining such key terminologies, particularly when they play a crucial role in the context of our research findings. Eryptosis, a term referenced in our study, is a specialized form of programmed cell death unique to erythrocytes. Similar with apoptosis in other cell types, eryptosis is characterized by distinct physiological changes including cell shrinkage, membrane blebbing, and the externalization of phosphatidylserine on the erythrocyte surface. These features are indicative of the RBCs lifecycle and its regulated destruction process.

      However, it is pertinent to note that our current study does not extensively delve into the mechanisms or implications of eryptosis. Our primary focus has been to elucidate the effects of HH exposure on the processes of splenic erythrophagocytosis and the resultant impact on the lifespan of RBCs. Given this focus, and to maintain the coherence and relevance of our manuscript, we have decided to exclude specific discussions of eryptosis from our revised manuscript. This decision aligns with our aim to provide a clear and concentrated exploration of the influence of HH exposure on RBCs dynamics and splenic function.

      We appreciate your input, which has significantly contributed to enhancing the clarity and accuracy of our manuscript. The revision ensures that our research is presented with a focused scope, aligning closely with our experimental investigations and findings.

      (6) Physiologically, there is no evidence that there is any "free iron" in cells, making line 89 point inaccurate.

      Thank you for highlighting the concern regarding the reference to "free iron" in cells in line 89 of our manuscript. The term "free iron" in our manuscript was intended to refer to divalent iron (Fe2+), rather than unbound iron ions freely circulating within cells. We acknowledge that the term "free iron" might lead to misconceptions, as it implies the presence of unchelated iron, which is not physiologically common due to the potential for oxidative damage. To rectify this and provide clarity, we’ve revised line 89 of our manuscript to reflect our meaning more accurately. Instead of "free iron," we use "divalent iron (Fe2+)" to avoid any misunderstanding regarding the state of iron in cells. We also ensure that any implications drawn from the presence of Fe2+ in cells are consistent with current scientific literature and understanding.

      (7) Fig 1f no stats

      We appreciate your critical review and suggestions, which help in improving the accuracy and clarity of our research. We’ve revised statistic diagram of new Figure 1F.

      (8) Splenectomy experiments demonstrate that erythrophagocytosis is almost completely replaced by functional macrophages in other tissues (likely Kupffer cells in the liver). there is only a minor defect and no data on whether it is in fact the liver or other organs that provide this replacement function and makes the assertions in lines 345-349 significantly overstated.

      Thank you for your critical assessment of our interpretation of the splenectomy experiments, especially concerning the role of erythrophagocytosis by macrophages in other tissues, such as Kupffer cells in the liver. We appreciate your observation that our assertions may be overstated and acknowledge the need for more specific data to identify which organs compensate for the loss of splenic erythrophagocytosis.

      (1) Splenectomy experiment findings:

      • Our findings in Figure 2D do indicate that in the splenectomized group under NN conditions, erythrophagocytosis is substantially compensated for by functional macrophages in other tissues. This is an important observation that highlights the body's ability to adapt to the loss of splenic function.

      • However, under HH conditions, our data suggest that the spleen plays an important role in managing erythrocyte turnover, as indicated by the significant impact of splenectomy on erythrophagocytosis and subsequent erythrocyte dynamics.

      (2) Addressing the lack of specific organ identification:

      • We acknowledge that our study does not definitively identify which organs, such as the liver or others, take over the erythrophagocytosis function post-splenectomy. This is an important aspect that needs further investigation.

      • To address this, we also plan to perform additional experiments that could more accurately point out the specific tissues compensating for the loss of splenic erythrophagocytosis. This could involve tracking labeled erythrocytes or using specific markers to identify macrophages actively engaged in erythrophagocytosis in various organs.

      (3) Revising manuscript statements:

      Considering your feedback, we’ve revised the statements in lines 345-349 (lines 378-383 in revised manuscript) to enhance the scientific rigor and clarity of our research presentation.

      (9) M1 vs M2 macrophage experiments are irrelevant to the main thrust of the manuscript, there are no references to support the use of only CD16 and CD86 for these purposes, and no stats are provided. It is also unclear why bone marrow monocyte data is presented and how it is relevant to the rest of the manuscript.

      Thank you for your critical evaluation of the relevance and presentation of the M1 vs. M2 macrophage experiments in our manuscript. We appreciate your insights, especially regarding the use of specific markers and the lack of statistical analysis, as well as the relevance of bone marrow monocyte data to our study's main focus.

      (1) Removal of M1 and M2 macrophage data:

      Based on your feedback and our reassessment, we agree that the results pertaining to M1 and M2 macrophages did not align well with the main objectives of our manuscript. Consequently, we have decided to remove the related content on M1 and M2 macrophages from the revised manuscript. This decision was made to ensure that our manuscript remains focused and coherent, highlighting our primary findings without the distraction of unrelated or insufficiently supported data.

      The use of only CD16 and CD86 markers for M1 and M2 macrophage characterization, without appropriate statistical analysis, was indeed a methodological limitation. We recognize that a more comprehensive set of markers and rigorous statistical analysis would be necessary for a meaningful interpretation of M1/M2 macrophage polarization. Furthermore, the relevance of these experiments to the central theme of our manuscript was not adequately established. Our study primarily focuses on erythrophagocytosis and red pulp macrophage dynamics under hypobaric hypoxia, and the M1/M2 polarization aspect did not contribute significantly to this narrative.

      (2) Clarification on bone marrow monocyte data:

      Regarding the inclusion of bone marrow monocyte data, we acknowledge that its relevance to the main thrust of the manuscript was not clearly articulated. In the revised manuscript, we provide a clearer rationale for its inclusion and how it relates to our primary objectives.

      (3) Commitment to clarity and relevance:

      We are committed to ensuring that every component of our manuscript contributes meaningfully to our overall objectives and research questions. Your feedback has been instrumental in guiding us to streamline our focus and present our findings more effectively.

      We appreciate your valuable feedback, which has led to a more focused and relevant presentation of our research. These changes enhance the clarity and impact of our manuscript, ensuring that it accurately reflects our key research findings.

      (10) Biotinolated RBC clearance is enhanced, demonstrating that RBC erythrophagocytosis is in fact ENHANCED, not diminished, calling into question the founding hypothesis that the manuscript proposes.

      Thank you for your critical evaluation of our data on biotinylated RBC clearance, which suggests enhanced erythrophagocytosis under HH conditions. This observation indeed challenges our founding hypothesis that erythrophagocytosis is diminished in this setting. Below is a summary of our findings and methodology.

      (1) Interpretation of RBC labeling results:

      Both the previous results of NHS-biotin labeled RBCs (new Figure 4, A-D) and the current results of PKH67-labeled RBCs (new Figure 4, E-H) demonstrated a decrease in the number of labeled RBCs with an increase in injection time. The production of RBCs, including bone marrow and spleen production, was significantly increased following HH exposure, resulting in a consistent decrease in the proportion of labeled RBCs via flow cytometry detection both in the blood and spleen of mice compared to the NN group. However, compared to the reduced amplitude of fluorescently labeled RBCs observed in blood and spleen under NN exposure, there was a significantly weaker reduction in the amplitude of fluorescently labeled RBCs after HH exposure. Specifically, for blood, the biotin-labeled RBCs decreased by 12.06% under NN exposure and by 7.82% under HH exposure, while the PKH67-labeled RBCs decreased by 9.70% under NN exposure and by 4.09% under HH exposure. For spleen, the biotin-labeled RBCs decreased by 3.13% under NN exposure and by 0.46% under HH exposure, while the PKH67-labeled RBCs decreased by 1.16% under NN exposure and by 0.92% under HH exposure.

      Author response image 14.

      (2) Increased RBCs production under HH conditions:

      It's important to note that RBCs production, including from bone marrow and spleen, was significantly increased following HH exposure. This increase in RBCs production could contribute to the decreased proportion of labeled RBCs observed in flow cytometry analyses, as there are more unlabeled RBCs diluting the proportion of labeled cells in the blood and spleen.

      (3) Analysis of erythrophagocytosis in RPMs:

      Our analysis of PKH67-labeled RBCs content within RPMs following HH exposure showed a significant reduction in the number of PKH67-positive RPMs in the spleen (new Figure 5). This finding suggests a decrease in erythrophagocytosis by RPMs under HH conditions.

      Author response image 15.

      (4) Reconciling the findings:

      The apparent contradiction between enhanced RBC clearance (suggested by the reduced proportion of labeled RBCs) and reduced erythrophagocytosis in RPMs (indicated by fewer PKH67-positive RPMs) may be explained by the increased overall production of RBCs under HH. This increased production could mask the actual erythrophagocytosis activity in terms of the proportion of labeled cells. Therefore, while the proportion of labeled RBCs decreases more significantly under HH conditions, this does not necessarily indicate an enhanced erythrophagocytosis rate, but rather an increased dilution effect due to higher RBCs turnover.

      (5) Revised interpretation and manuscript changes:

      Given these factors, we update our manuscript to reflect this detailed interpretation and clarify the implications of the increased RBCs production under HH conditions on our observations of labeled RBCs clearance and erythrophagocytosis. We appreciate your insightful feedback, which has prompted a careful re-examination of our data and interpretations. We hope that these revisions provide a more accurate and comprehensive understanding of the effects of HH on erythrophagocytosis and RBCs dynamics.

      (11) Legend in Fig 4c-4d looks incorrect and Fig 4e-4f is very non-specific since Wright stain does not provide evidence of what type of cells these are and making for a significant overstatement in the contribution of this data to "confirming" increased erythrophagocytosis in the spleen under HH exposure (line 395-396).

      Thank you for your insightful observations regarding the data presentation and figure legends in our manuscript, particularly in relation to Figure 4 (renamed as Figure 6 in the revised manuscript) and the use of Wright-Giemsa composite staining. We appreciate your constructive feedback and acknowledge the importance of presenting our data with utmost clarity and precision.

      (1) Amendments to Figure legends:

      We recognize the necessity of rectifying inaccuracies in the legends of the previously labeled Figure 4C and D. Corrections have been meticulously implemented to ensure the legends accurately contain the data presented. Additionally, we acknowledge the error concerning the description of Wright staining. The method employed in our study is Wright-Giemsa composite staining, which, unlike Wright staining that solely stains cytoplasm (RBC), is capable of staining both nuclei and cytoplasm.

      (2) Addressing the specificity of Wright-Giemsa Composite staining:

      Our approach involved quantifying RBC retention using Wright-Giemsa composite staining on single splenic cells post-perfusion at 7 and 14 days post HH exposure. We understand and appreciate your concerns regarding the nonspecific nature of Wright staining. Although Wright stain is a general hematologic stain and not explicitly specific for certain cell types, its application in our study aimed to provide preliminary insights. The spleen cells, devoid of nuclei and thus likely to be RBCs, were stained and observed post-perfusion, indicating RBC retention within the spleen.

      (3) Incorporating additional methods for RBC identification:

      To enhance the specificity of our findings, we integrated supplementary methods for RBC identification in the revised manuscript. We employed band3 immunostaining (in the new Figure 6, C-D and G-H) and PKH67 labeling (Figure 6, I-J) for a more targeted identification of RBCs. Band3, serving as a reliable marker for RBCs, augments the specificity of our immunostaining approach. Likewise, PKH67 labeling affords a direct and definitive means to assess RBC retention in the spleen following HH exposure.

      Author response image 16. same as 10

      (4) Revised interpretation and manuscript modifications:

      Based on these enhanced methodologies, we have refined our interpretation of the data and accordingly updated the manuscript. The revised narrative underscores that our conclusions regarding reduced erythrophagocytosis and RBC retention under HH conditions are corroborated by not only Wright-Giemsa composite staining but also by band3 immunostaining and PKH67 labeling, each contributing distinctively to our comprehensive understanding.

      We are committed to ensuring that our manuscript precisely reflects the contribution of each method to our findings and conclusions. Your thorough review has been invaluable in identifying and rectifying areas for improvement in our research report and interpretation.

      (12) Ferroptosis data in Fig 5 is not specific to macrophages and Fer-1 data confirms the expected effect of Fer-1 but there is no data that supports that Fer-1 reverses the destruction of these cells or restores their function in hypoxia. Finally, these experiments were performed in peritoneal macrophages which are functionally distinct from splenic RPM.

      Thank you for your critique of our presentation and interpretation of the ferroptosis data in Figure 5 (renamed as Figure 9 in the revised manuscript), as well as your observations regarding the specificity of the experiments to macrophages and the effects of Fer-1. We value your input and acknowledge the need to clarify these aspects in our manuscript.

      (1) Clarification on cell type used in experiments:

      • We appreciate your attention to the details of our experimental setup. The experiments presented in Figure 9 were indeed conducted on splenic macrophages, not peritoneal macrophages, as incorrectly mentioned in the original figure legend. This was an error in our manuscript, and we have revised the figure legend accordingly to accurately reflect the cell type used.

      (2) Specificity of ferroptosis data:

      • We recognize that the data presented in Figure 9 need to be more explicitly linked to the specific macrophage population being studied. In the revised manuscript, we ensure that the discussion around ferroptosis data is clearly situated within the framework of splenic macrophages.

      • We also provide additional methodological details in the 'Methods' section to reinforce the specificity of our experiments to splenic macrophages.

      (3) Effects of Fer-1 on macrophage function and survival:

      • Regarding the effect of Fer-1, we agree that while our data confirms the expected effect of Fer-1 in inhibiting ferroptosis, we have not provided direct evidence that Fer-1 reverses the destruction of macrophages or restores their function in hypoxia.

      • To address this, we propose additional experiments to specifically investigate the impact of Fer-1 on the survival and functional restoration of splenic macrophages under hypoxic conditions. This would involve assessing not only the inhibition of ferroptosis but also the recovery of macrophage functionality post-treatment.

      (4) Revised interpretation and manuscript changes:

      • We’ve revised the relevant sections of our manuscript to reflect these clarifications and proposed additional studies. This includes modifying the discussion of the ferroptosis data to more accurately represent the cell types involved and the limitations of our current findings regarding the effects of Fer-1.

      • The revised manuscript presents a more detailed interpretation of the ferroptosis data, clearly describing what our current experiments demonstrate and what remains to be investigated.

      We are grateful for your insightful feedback, which has highlighted important areas for improvement in our research presentation. We think that these revisions will enhance the clarity and scientific accuracy of our manuscript, ensuring that our findings and conclusions are well-supported and precisely communicated.

      Reviewer #2 (Recommendations For The Authors):

      The following questions and remarks should be considered by the authors:

      (1) The methods should clearly state whether the HH was discontinued during the 7 or 14 day exposure for cleaning, fresh water etc. Moreover, how was CO2 controlled? The procedure for splenectomy needs to be described in the methods.

      Thank you for your inquiry regarding the specifics of our experimental methods, particularly the management of HH exposure and the procedure for splenectomy. We appreciate your attention to detail and the importance of these aspects for the reproducibility and clarity of our research.

      (1) HH exposure conditions:

      In our experiments, mice were continuously exposed to HH for the entire duration of 7 or 14 days, without interruption for activities such as cleaning or providing fresh water. This uninterrupted exposure was crucial for maintaining consistent hypobaric conditions throughout the experiment. The hypobaric chamber was configured to ensure a ventilation rate of 25 air exchanges per minute. This high ventilation rate was effective in regulating the concentration of CO2 inside the chamber, thereby maintaining a stable environment for the mice.

      (2) The splenectomy was performed as follows:

      After anesthesia, the mice were placed in a supine position, and their limbs were fixed. The abdominal operation area was skinned, disinfected, and covered with a sterile towel. A median incision was made in the upper abdomen, followed by laparotomy to locate the spleen. The spleen was then carefully pulled out through the incision. The arterial and venous directions in the splenic pedicle were examined, and two vascular forceps were used to clamp all the tissue in the main cadre of blood vessels below the splenic portal. The splenic pedicle was cut between the forceps to remove the spleen. The end of the proximal hepatic artery was clamped with a vascular clamp, and double or through ligation was performed to secure the site. The abdominal cavity was then cleaned to ensure there was no bleeding at the ligation site, and the incision was closed. Post-operatively, the animals were housed individually. Generally, they were able to feed themselves after recovering from anesthesia and did not require special care.

      We hope this detailed description addresses your queries and provides a clear understanding of the experimental conditions and procedures used in our study. These methodological details are crucial for ensuring the accuracy and reproducibility of our research findings.

      (2) The lack of changes in MCH needs explanation? During stress erythropoiesis some limit in iron availability should cause MCH decrease particularly if the authors claim that macrophages for rapid iron recycling are decreased. Fig 1A is dispensable. Fig 1G NN control 14 days does not make sense since it is higher than 7 days of HH.

      Thank you for your inquiry regarding the lack of changes in Mean Corpuscular Hemoglobin (MCH) in our study, particularly in the context of stress erythropoiesis and decreased macrophage-mediated iron recycling. We appreciate the opportunity to provide further clarification on this aspect.

      (1) Explanation for stable MCH levels:

      • Our research identified a decrease in erythrophagocytosis and iron recycling in the spleen following HH exposure. Despite this, the MCH levels remained stable. This observation can be explained by considering the compensatory roles of other organs, particularly the liver and duodenum, in maintaining iron homeostasis.

      • Specifically, our investigations revealed an enhanced capacity of the liver to engulf RBCs and process iron under HH conditions. This increased hepatic erythrophagocytosis likely compensates for the reduced splenic activity, thereby stabilizing MCH levels.

      (2) Role of hepcidin and DMT1 expression:

      Additionally, hypoxia is known to influence iron metabolism through the downregulation of Hepcidin and upregulation of Divalent Metal Transporter 1 (DMT1) expression. These alterations lead to enhanced intestinal iron absorption and increased blood iron levels, further contributing to the maintenance of MCH levels despite reduced splenic iron recycling.

      (3) Revised Figure 1 and data presentation

      To address the confusion regarding the data presented in Figure 1G, we have made revisions in our manuscript. The original Figure 1G, which did not align with the expected trends, has been removed. In its place, we have included a statistical chart of Figure 1F in the new version of Figure 1G. This revision will provide a clearer and more accurate representation of our findings.

      (4) Manuscript updates and future research:

      • We update our manuscript to incorporate these explanations, ensuring that the rationale behind the stable MCH levels is clearly articulated. This includes a discussion on the role of the liver and duodenum in iron metabolism under hypoxic conditions.

      • Future research could explore in greater detail the mechanisms by which different organs contribute to iron homeostasis under stress conditions like HH, particularly focusing on the dynamic interplay between hepatic and splenic functions.

      We thank you for your insightful question, which has prompted a thorough re-examination of our findings and interpretations. We believe that these clarifications will enhance the overall understanding of our study and its implications in the context of iron metabolism and erythropoiesis under hypoxic conditions.

      (3) Fig 2 the difference between sham and splenectomy is really marginal and not convincing. Is there also a difference at 7 days? Why does the spleen size decrease between 7 and 14 days?

      Thank you for your observations regarding the marginal differences observed between sham and splenectomy groups in Figure 2, as well as your inquiries about spleen size dynamics over time. We appreciate this opportunity to clarify these aspects of our study.

      (1) Splenectomy vs. Sham group differences:

      • In our experiments, the difference between the sham and splenectomy groups under HH conditions, though subtle, was consistent with our hypothesis regarding the spleen's role in erythrophagocytosis and stress erythropoiesis. Under NN conditions, no significant difference was observed between these groups, which aligns with the expectation that the spleen's contribution is more pronounced under hypoxic stress.

      (2) Spleen size dynamics and peak stress erythropoiesis:

      • The observed splenic enlargement prior to 7 days can be attributed to a combination of factors, including the retention of RBCs and extramedullary hematopoiesis, which is known to be a response to hypoxic stress.

      • Prior research has elucidated that splenic stress-induced erythropoiesis, triggered by hypoxic conditions, typically attains its zenith within a timeframe of 3 to 7 days. This observation aligns with our Toluidine Blue (TO) staining results, which indicated that the apex of this response occurs at the 7-day mark (as depicted in Figure 1, F-G). Here, the culmination of this peak is characteristically succeeded by a diminution in extramedullary hematopoiesis, a phenomenon that could elucidate the observed contraction in spleen size, particularly in the interval between 7 and 14 days.

      • This pattern of splenic response under prolonged hypoxic stress is corroborated by studies such as those conducted by Wang et al. (2021), Harada et al. (2015), and Cenariu et al. (2021). These references collectively underscore that the spleen undergoes significant dynamism in reaction to sustained hypoxia. This dynamism is initially manifested as an enlargement of the spleen, attributable to escalated erythropoiesis and erythrophagocytosis. Subsequently, as these processes approach normalization, a regression in spleen size ensues.

      We’ve revised our manuscript to include a more detailed explanation of these splenic dynamics under HH conditions, referencing the relevant literature to provide a comprehensive context for our findings. We will also consider performing additional analysis or providing further data on spleen size changes at 7 days to support our observations and ensure a thorough understanding of the splenic response to hypoxic stress over time.

      (4) Fig 3 B the clusters should be explained in detail. If the decrease in macrophages in Fig 3K/L is responsible for the effect, why does splenectomy not have a much stronger effect? How do the authors know which cells died in the calcein stained population in Fig 3D?

      Thank you for your insightful questions regarding the details of our data presentation in Figure 3, particularly about the identification of cell clusters and the implications of macrophage reduction. We appreciate the opportunity to address these aspects and clarify our findings.

      (1) Explanation of cell clusters in Figure 3B:

      • In the revised manuscript, we have included detailed notes for each cell population represented in Figure 3B (Figure 3D in revised manuscript). These notes provide a clearer understanding of the cell types present in each cluster, enhancing the interpretability of our single-cell sequencing data.

      • This detailed annotation will help readers to better understand the composition of the splenic cell populations under study and how they are affected by hypoxic conditions.

      (2) Impact of splenectomy vs. macrophage reduction:

      • The interplay between the reduction in macrophage populations, as evidenced by our single-cell sequencing data, and the ramifications of splenectomy presents a multifaceted scenario. Notably, the observed decline in macrophage numbers following HH exposure does not straightforwardly equate to a comparable alteration in overall splenic function, as might be anticipated with splenectomy.

      • In the context of splenectomy under HH conditions, a significant escalation in the RBCs count was observed, surpassing that in non-splenectomized mice exposed to HH. This finding underscores the spleen's critical role in modulating RBCs dynamics under HH. It also indirectly suggests that the diminished phagocytic capacity of the spleen following HH exposure contributes to an augmented RBCs count, albeit to a lesser extent than in the splenectomy group. This difference is attributed to the fact that, while the number of RPMs in the spleen post-HH is reduced, they are still present, unlike in the case of splenectomy, where they are entirely absent.

      • Splenectomy entails the complete removal of the spleen, thus eliminating a broad spectrum of functions beyond erythrophagocytosis and iron recycling mediated by macrophages. The nuanced changes observed in our study may be reflective of the spleen's diverse functionalities and the organism's adaptive compensatory mechanisms in response to the loss of this organ.

      (3) Calcein stained population in Figure 3D:

      • Regarding the identification of cell death in the calcein-stained population in Figure 3D (Figure 3A in revised manuscript), we acknowledge that the specific cell types undergoing death could not be distinctly determined from this analysis alone.

      • The calcein staining method allows for the visualization of live (calcein-positive) and dead (calcein-negative) cells, but it does not provide specific information about the cell types. The decrease in macrophage population was inferred from the single-cell sequencing data, which offered a more precise identification of cell types.

      (4) Revised manuscript and data presentation:

      • Considering your feedback, we have revised our manuscript to provide a more comprehensive explanation of the data presented in Figure 3, including the nature of the cell clusters and the interpretation of the calcein staining results.

      • We have also updated the manuscript to reflect the removal of Figure 3K/L results and to provide a more focused discussion on the relevant findings.

      We are grateful for your detailed review, which has helped us to refine our data presentation and interpretation. These clarifications and revisions will enhance the clarity and scientific rigor of our manuscript, ensuring that our conclusions are well-supported and accurately conveyed.

      (5) Is the reduced phagocytic capacity in Fig 4B significant? Erythrophagocytosis is compromised due to the considerable spontaneous loss of labelled erythrocytes; could other assays help? (potentially by a modified Chromium release assay?). Is it necessary to stimulated phagocytosis to see a significant effect?

      Thank you for your inquiry regarding the significance of the reduced phagocytic capacity observed in Figure 4B, and the potential for employing alternative assays to elucidate erythrophagocytosis dynamics under HH conditions.

      (1) Significance of reduced phagocytic capacity:

      The observed reduction in the amplitude of fluorescently labeled RBCs in both the blood and spleen under HH conditions suggests a decrease in erythrophagocytosis. This is indicative of a diminished phagocytic capacity, particularly when contrasted with NN conditions.

      (2) Investigation of erythrophagocytosis dynamics:

      To delve deeper into erythrophagocytosis under HH, we employed Tuftsin to enhance this process. Following the injection of PKH67-labeled RBCs and subsequent HH exposure, we noted a significant decrease in PKH67 fluorescence in the spleen, particularly marked after the administration of Tuftsin. This finding implies that stimulated erythrophagocytosis can influence RBCs lifespan.

      (3) Erythrophagocytosis under normal and hypoxic conditions:

      Under normal conditions, the reduction in phagocytic activity is less apparent without stimulation. However, under HH conditions, our findings demonstrate a clear weakening of the phagocytic effect. While we established that promoting phagocytosis under NN conditions affects RBC lifespan, the impact of enhanced phagocytosis under HH on RBCs numbers was not explicitly investigated.

      (4) Potential for alternative assays:

      Considering the considerable spontaneous loss of labeled erythrocytes, alternative assays such as a modified Chromium release assay could provide further insights. Such assays might offer a more nuanced understanding of erythrophagocytosis efficiency and the stability of labeled RBCs under different conditions.

      (5) Future research directions:

      The implications of these results suggest that future studies should focus on comparing the effects of stimulated phagocytosis under both NN and HH conditions. This would offer a clearer picture of the impact of hypoxia on the phagocytic capacity of macrophages and the subsequent effects on RBC turnover.

      In summary, our findings indicate a diminished erythrophagocytic capacity, with enhanced phagocytosis affecting RBCs lifespan. Further investigation, potentially using alternative assays, would be beneficial to comprehensively understand the dynamics of erythrophagocytosis in different physiological states.

      (6) Can the observed ferroptosis be influenced by bi- and not trivalent iron chelators?

      Thank you for your question regarding the potential influence of bi- and trivalent iron chelators on ferroptosis under hypoxic conditions. We appreciate the opportunity to discuss the implications of our findings in this context.

      (1) Analysis of iron chelators on ferroptosis:

      In our study, we did not specifically analyze the effects of bi- and trivalent iron chelators on ferroptosis under hypoxia. However, our observations with Deferoxamine (DFO), a well-known iron chelator, provide some insights into how iron chelation may influence ferroptosis in splenic macrophages under hypoxic conditions.

      (2) Effect of DFO on oxidative stress markers:

      Our findings showed that under 1% O2, there was an increase in Malondialdehyde (MDA) content, a marker of lipid peroxidation, and a decrease in Glutathione (GSH) content, indicative of oxidative stress. These changes are consistent with the induction of ferroptosis, which is characterized by increased lipid peroxidation and depletion of antioxidants. Treatment with Ferrostatin-1 (Fer-1) and DFO effectively reversed these alterations. This suggests that DFO, like Fer-1, can mitigate ferroptosis in splenic macrophages under hypoxia, primarily by impacting MDA and GSH levels.

      Author response image 17.

      (3) Potential role of iron chelators in ferroptosis:

      The effectiveness of DFO in reducing markers of ferroptosis indicates that iron availability plays a crucial role in the ferroptotic process under hypoxic conditions. It is plausible that both bi- and trivalent iron chelators could influence ferroptosis, given their ability to modulate iron availability within cells. Since ferroptosis is an iron-dependent form of cell death, chelating iron, irrespective of its valence state, could potentially disrupt the process by limiting the iron necessary for the generation of reactive oxygen species and lipid peroxidation.

      (4) Additional research and manuscript updates:

      Our study highlights the need for further research to explore the differential effects of various iron chelators on ferroptosis, particularly under hypoxic conditions. Such studies could provide a more comprehensive understanding of the role of iron in ferroptosis and the potential therapeutic applications of iron chelators. We update our manuscript to include these findings and discuss the potential implications of iron chelation in the context of ferroptosis under hypoxic conditions. This will provide a broader perspective on our research and its significance in understanding the mechanisms of ferroptosis.

    2. Author Response

      The following is the authors’ response to the original reviews.

      We gratefully thank the editors and all reviewers for their time spend making their constructive remarks and useful suggestions, which has significantly raised the quality of the manuscript and has enable us to improve the manuscript. Each suggested comment brought forward by the reviewers was accurately considered. The manuscript has been revised in consideration of all suggestions.

      Reviewer #1 (Public Review):

      Wang and all present an interesting body of work focused on the effects of high altitude and hypoxia on erythropoiesis, resulting in erythrocytosis. This work is specifically focused on the spleen, identifying splenic macrophages as central cells in this effect. This is logical since these cells are involved in erythrophagocytosis and iron recycling. The results suggest that hypoxia induces splenomegaly with decreased number of splenic macrophages. There is also evidence that ferroptosis is induced in these macrophages, leading to cell destruction. Finally, the data suggest that ferroptosis in splenic red pulp macrophages causes the decrease in RBC clearance, resulting in erythrocytosis aka lengthening the RBC lifespan. However, there are many issues with the presented results, with somewhat superficial data, meaning the conclusions are overstated and there is decreased confidence that the hypotheses and observed results are directly causally related to hypoxia.

      Major points:

      1) The spleen is a relatively poorly understood organ but what is known about its role in erythropoiesis especially in mice is that it functions both to clear as well as to generate RBCs. The later process is termed extramedullary hematopoiesis and can occur in other bones beyond the pelvis, liver, and spleen. In mice, the spleen is the main organ of extramedullary erythropoiesis. The finding of transiently decreased spleen size prior to splenomegaly under hypoxic conditions is interesting but not well developed in the manuscript. This is a shortcoming as this is an opportunity to evaluate the immediate effect of hypoxia separately from its more chronic effect. Based just on spleen size, no conclusions can be drawn about what happens in the spleen in response to hypoxia.

      Thank you for your insightful comments and questions. The spleen is instrumental in both immune response and the clearance of erythrocytes, as well as serving as a significant reservoir of blood in the body. This organ, characterized by its high perfusion rate and pliability, constricts under conditions of intense stress, such as during peak physical exertion, the diving reflex, or protracted periods of apnea. This contraction can trigger an immediate release of red blood cells (RBCs) into the bloodstream in instances of substantial blood loss or significant reduction of RBCs. Moreover, elevated oxygen consumption rates in certain animal species can be partially attributed to splenic contractions, which augment hematocrit levels and the overall volume of circulating blood, thereby enhancing venous return and oxygen delivery (Dane et al. J Appl Physiol, 2006, 101:289-97; Longhurst et al. Am J Physiol, 1986, 251: H502-9). In our investigation, we noted a significant contraction of the spleen following exposure to hypoxia for a period of one day. We hypothesized that the body, under such conditions, is incapable of generating sufficient RBCs promptly enough to facilitate enhanced oxygen delivery. Consequently, the spleen reacts by releasing its stored RBCs through splenic constriction, leading to a measurable reduction in spleen size.

      However, we agree with you that further investigation is required to fully understand the implications of these changes. Considering the comments, we extended our research by incorporating more detailed examinations of spleen morphology and function during hypoxia, including the potential impact on extramedullary hematopoiesis. We anticipate that such an expanded analysis would not only help elucidate the initial response to hypoxia but also provide insights into the more chronic effects of this condition on spleen function and erythropoiesis.

      2) Monocyte repopulation of tissue resident macrophages is a minor component of the process being described and it is surprising that monocytes in the bone marrow and spleen are also decreased. Can the authors conjecture why this is happening? Typically, the expectation would be that a decrease in tissue resident macrophages would be accompanied by an increase in monocyte migration into the organ in a compensatory manner.

      We appreciate your insightful query regarding the observed decrease in monocytes in the bone marrow and spleen, particularly considering the typical compensatory increase in monocyte migration into organs following a decrease in tissue resident macrophages.

      The observed decrease in monocytes within the bone marrow is likely attributable to the fact that monocytes and precursor cells for red blood cells (RBCs) both originate from the same hematopoietic stem cells within the bone marrow. It is well established that exposure to hypobaric hypoxia (HH) induces erythroid differentiation specifically within the bone marrow, originating from these hematopoietic stem cells (Exp Hematol, 2021 May;97:32-46). As such, the differentiation to monocyte is reduced under hypoxic conditions, which may subsequently cause a decrease in migration to spleen.

      Furthermore, we hypothesize that an increased migration of monocytes to other tissues under HH exposure may also contribute to the decreased migration to the spleen. The liver, which partially contributes to the clearance of RBCs, may play a role in this process. Our investigations to date have indeed identified an increased monocyte migration to the liver. We were pleased to discover an elevation in CSF1 expression in the liver following HH exposure for both 7 and 14 days. This finding was corroborated through flow cytometry, which confirmed an increase in monocyte migration to the liver.

      Consequently, we propose that under HH conditions, the liver requires an increased influx of monocytes, which in turn leads to a decrease in monocyte migration to the spleen. However, it is important to note that these findings will be discussed more comprehensively in our forthcoming publication, and as such, the data pertaining to these results have not been included in the current manuscript.

      Author response image 1.

      3) Figure 3 does not definitively provide evidence that cell death is specifically occurring in splenic macrophages and the fraction of Cd11b+ cells is not changed in NN vs HH. Furthermore, the IHC of F4/80 in Fig 3U is not definitive as cells can express F4/80 more or less brightly and no negative/positive controls are shown for this panel.

      We appreciate your insightful comments and critiques regarding Figure 3. We acknowledge that the figure, as presented, does not definitively demonstrate that cell death is specifically occurring in splenic macrophages. While it is challenging to definitively determine the occurrence of cell death in macrophages based solely on Figure 3D-F, our single-cell analysis provides strong evidence that such an event occurs. We initially observed cell death within the spleen under hypobaric hypoxia (HH) conditions, and to discern the precise cell type involved, we conducted single-cell analyses. Regrettably, we did not articulate this clearly in our preliminary manuscript.

      In the revised version, we have modified the sequence of Figure 3A-C and Figure 3D-F for better clarity. Besides, we observed a significant decrease in the fraction of F4/80hiCD11bhi macrophages under HH conditions compared to NN. To make the changes more evident in CD86 and CD206, we have transformed these scatter plots into histograms in our revised manuscript.

      Author response image 2.

      Considering the limitations of F4/80 as a conclusive macrophage identifier, we have concurrently presented the immunohistochemical (IHC) analyses of heme oxygenase-1 (HO-1). Functioning as a macrophage marker, particularly in cells involved in iron metabolism, HO-1 offers additional diagnostic accuracy. Observations from both F4/80 and HO-1 staining suggested a primary localization of positively stained cells within the splenic red pulp. Following exposure to hypoxia-hyperoxia (HH) conditions, a decrease was noted in the expression of both F4/80 and HO-1. This decrease implies that HH conditions contribute to a reduction in macrophage population and impede the iron metabolism process. In the revised version of our manuscript, we have enhanced the clarity of Figure 3U to illustrate the presence of positive staining, with an emphasis on HO-1 staining, which is predominantly observed in the red pulp.

      Author response image 3.

      4) The phagocytic function of splenic red pulp macrophages relative to infection cannot be used directly to understand erythrophagocytosis. The standard approach is to use opsonized RBCs in vitro. Furthermore, RBC survival is a standard method to assess erythrophagocytosis function. In this method, biotin is injected via tail vein directly and small blood samples are collected to measure the clearance of biotinilation by flow; kits are available to accomplish this. Because the method is standard, Fig 4D is not necessary and Fig 4E needs to be performed only in blood by sampling mice repeatedly and comparing the rate of biotin decline in HH with NN (not comparing 7 d with 14 d).

      We appreciate your insightful comments and suggestions. We concur that the phagocytic function of splenic red pulp macrophages in the context of infection may not be directly translatable to understanding erythrophagocytosis. Given our assessment that the use of cy5.5-labeled E.coli alone may not be sufficient to accurately evaluate the phagocytic function of macrophages, we extended our study to include the use of NHS-biotin-labeled RBCs to assess phagocytic capabilities. While the presence of biotin-labeled RBCs in the blood could provide an indication of RBC clearance, this measure does not exclusively reflect the spleen's role in the process, as it fails to account for the clearance activities of other organs.

      Consequently, we propose that the remaining biotin-labeled RBCs in the spleen may provide a more direct representation of the organ's function in RBC clearance and sequestration. Our observations of diminished erythrophagocytosis at both 7- and 14-days following exposure to HH guided our subsequent efforts to quantify biotin-labeled RBCs in both the circulatory system and spleen. These measurements were conducted during the 7 to 14-day span following the confirmation of impaired erythrophagocytosis. Comparative evaluation of RBC clearance rates under NN and HH conditions provided further evidence supporting our preliminary observations, with the data revealing a decrease in the RBC clearance rate in the context of HH conditions. In response to feedback from other reviewers, we have elected to exclude the phagocytic results and the diagram of the erythrocyte labeling assay. These amendments will be incorporated into the revised manuscript. The reviewers' constructive feedback has played a crucial role in refining the methodological precision and coherence of our investigation.

      5) It is unclear whether Tuftsin has a specific effect on phagocytosis of RBCs without other potential confounding effects. Furthermore, quantifying iron in red pulp splenic macrophages requires alternative readily available more quantitative methods (e.g. sorted red pulp macrophages non-heme iron concentration).

      We appreciate your comments and questions regarding the potential effect of Tuftsin on the phagocytosis of RBCs and the quantification of iron in red pulp splenic macrophages. Regarding the role of Tuftsin, we concur that the literature directly associating Tuftsin with erythrophagocytosis is scant. The work of Gino Roberto Corazza et al. does suggest a link between Tuftsin and general phagocytic capacity, but it does not specifically address erythrophagocytosis (Am J Gastroenterol, 1999;94:391-397). We agree that further investigations are required to elucidate the potential confounding effects and to ascertain whether Tuftsin has a specific impact on the phagocytosis of RBCs. Concerning the quantification of iron in red pulp splenic macrophages, we acknowledge your suggestion to employ readily available and more quantitative methods. We have incorporated additional Fe2+ staining in the spleen at two time points: 7 and 14 days subsequent to HH exposure (refer to the following Figure). The resultant data reveal an escalated deposition of Fe2+ within the red pulp, as evidenced in Figures 5 (panels L and M) and Figure S1 (panels L and M).

      Author response image 4.

      6) In Fig 5, PBMCs are not thought to represent splenic macrophages and although of some interest, does not contribute significantly to the conclusions regarding splenic macrophages at the heart of the current work. The data is also in the wrong direction, namely providing evidence that PBMCs are relatively iron poor which is not consistent with ferroptosis which would increase cellular iron.

      We appreciate your insightful critique regarding Figure 5 and the interpretation of our data on peripheral blood mononuclear cells (PBMCs) in relation to splenic macrophages. We understand that PBMCs do not directly represent splenic macrophages, and we agree that any conclusions drawn from PBMCs must be considered with caution when discussing the behavior of splenic macrophages.

      The primary rationale for incorporating PBMCs into our study was to investigate the potential correspondence between their gene expression changes and those observed in the spleen after HH exposure. This was posited as a working hypothesis for further exploration rather than a conclusive statement. The gene expression in PBMCs was congruous with changes in the spleen's gene expression, demonstrating an iron deficiency phenotype, ostensibly due to the mobilization of intracellular iron for hemoglobin synthesis. Thus, it is plausible that NCOA4 may facilitate iron mobilization through the degradation of ferritin to store iron.

      It remains ambiguous whether ferroptosis was initiated in the PBMCs during our study. Ferroptosis primarily occurs as a response to an increase in Fe2+ rather than an overall increase in intracellular iron. Our preliminary proposition was that relative changes in gene expression in PBMCs could potentially mirror corresponding changes in protein expression in the spleen, thereby potentially indicating alterations in iron processing capacity post-HH exposure. However, we fully acknowledge that this is a conjecture requiring further empirical substantiation or clinical validation.

      7) Tfr1 increase is typically correlated with cellular iron deficiency while ferroptosis consistent with iron loading. The direction of the changes in multiple elements relevant to iron trafficking is somewhat confusing and without additional evidence, there is little confidence that the authors have reached the correct conclusion. Furthermore, the results here are analyses of total spleen samples rather than specific cells in the spleen.

      We appreciate your astute comments and agree that the observed increase in transferrin receptor (TfR) expression, typically associated with cellular iron deficiency, appears contradictory to the expected iron-loading state associated with ferroptosis. We understand that this apparent contradiction might engender some uncertainty about our conclusions. In our investigation, we evaluated total spleen samples as opposed to distinct cell types within the spleen, a factor that could have contributed to the seemingly discordant findings. An integral element to bear in mind is the existence of immature RBCs in the spleen, particularly within the hematopoietic island where these immature RBCs cluster around nurse macrophages. These immature RBCs contain abundant TfR which was needed for iron uptake and hemoglobin synthesis. These cells, which prove challenging to eliminate via perfusion, might have played a role in the observed upregulation in TfR expression, especially in the aftermath of HH exposure. Our further research revealed that the expression of TfR in macrophages diminished following hypoxic conditions, thereby suggesting that the elevated TfR expression in tissue samples may predominantly originate from other cell types, especially immature RBCs (refer to Author response image 5).

      Author response image 5.

      Reviewer #2 (Public Review):

      The authors aimed at elucidating the development of high altitude polycythemia which affects mice and men staying in the hypoxic atmosphere at high altitude (hypobaric hypoxia; HH). HH causes increased erythropoietin production which stimulates the production of red blood cells. The authors hypothesize that increased production is only partially responsible for exaggerated red blood cell production, i.e. polycythemia, but that decreased erythrophagocytosis in the spleen contributes to high red blood cells counts.

      The main strength of the study is the use of a mouse model exposed to HH in a hypobaric chamber. However, not all of the reported results are convincing due to some smaller effects which one may doubt to result in the overall increase in red blood cells as claimed by the authors. Moreover, direct proof for reduced erythrophagocytosis is compromised due to a strong spontaneous loss of labelled red blood cells, although effects of labelled E. coli phagocytosis are shown. Their discussion addresses some of the unexpected results, such as the reduced expression of HO-1 under hypoxia but due to the above-mentioned limitations much of the discussion remains hypothetical.

      Thank you for your valuable feedback and insight. We appreciate the recognition of the strength of our study model, the exposure of mice to hypobaric hypoxia (HH) in a hypobaric animal chamber. We also understand your concerns about the smaller effects and their potential impact on the overall increase in red blood cells (RBCs), as well as the apparent reduced erythrophagocytosis due to the loss of labelled RBCs.

      Erythropoiesis has been predominantly attributed to the amplified production of RBCs under conditions of HH. The focus of our research was to underscore the potential acceleration of hypoxia-associated polycythemia (HAPC) as a result of compromised erythrophagocytosis. Considering the spontaneous loss of labelled RBCs in vivo, we assessed the clearance rate of RBCs at the stages of 7 and 14 days within the HH environment, and subsequently compared this rate within the period from 7 to 14 days following the clear manifestation of erythrophagocytosis impairment at the two aforementioned points identified in our study. This approach was designed to negate the effects of spontaneous loss of labelled RBCs in both NN and HH conditions. Correspondingly, the results derived from blood and spleen analyses corroborated a decline in the RBC clearance rate under HH when juxtaposed with NN conditions.

      Apart from the E. coli phagocytosis and the labeled RBCs experiment (this part of the results was removed in the revision), the injection of Tuftsin further substantiated the impairment of erythrophagocytosis in the HH spleen, as evidenced by the observed decrease in iron within the red pulp of the spleen post-perfusion. Furthermore, to validate our findings, we incorporated RBCs staining in splenic cells at 7 and 14 days of HH exposure, which provided concrete confirmation of impaired erythrophagocytosis (new Figure 4E).

      Author response image 6.

      As for the reduced expression of heme oxygenase-1 (HO-1) under hypoxia, we agree that this was an unexpected result, and we are in the process of further exploring the underlying mechanisms. It is possible that there are other regulatory pathways at play that are yet to be identified. However, we believe that by offering possible interpretations of our data and potential directions for future research, we contribute to the ongoing scientific discourse in this area.

      Reviewer #3 (Public Review):

      The manuscript by Yang et al. investigated in mice how hypobaric hypoxia can modify the RBC clearance function of the spleen, a concept that is of interest. Via interpretation of their data, the authors proposed a model that hypoxia causes an increase in cellular iron levels, possibly in RPMs, leading to ferroptosis, and downregulates their erythrophagocytic capacity. However, most of the data is generated on total splenocytes/total spleen, and the conclusions are not always supported by the presented data. The model of the authors could be questioned by the paper by Youssef et al. (which the authors cite, but in an unclear context) that the ferroptosis in RPMs could be mediated by augmented erythrophagocytosis. As such, the loss of RPMs in vivo which is indeed clear in the histological section shown (and is a strong and interesting finding) can be not directly caused by hypoxia, but by enhanced RBC clearance. Such a possibility should be taken into account.

      Thank you for your insightful comments and constructive feedback. In their research, Youssef et al. (2018) discerned that elevated erythrophagocytosis of stressed red blood cells (RBCs) instigates ferroptosis in red pulp macrophages (RPMs) within the spleen, as evidenced in a mouse model of transfusion. This augmentation of erythrophagocytosis was conspicuous five hours post-injection of RBCs. Conversely, our study elucidated the decrease in erythrophagocytosis in the spleen after both 7 and 14 days.

      Typically, macrophages exhibit an enhanced phagocytic capacity in the immediate aftermath of stress or stimulation. Nonetheless, the temporal points of observation in our study were considerably extended (7 and 14 days). It is currently unclear whether the phagocytic capacity is amplified during the acute phase of HH exposure, especially on the first day. Considering that the spleen contraction on the next day of HH leads to the release of stored RBCs into the bloodstream, and whether this initial reaction leads to ferroptosis, and the phagocytic capacity of RBCs is subsequently weakened after 7 or 14 days under sustained HH conditions.

      Major points:

      1) The authors present data from total splenocytes and then relate the obtained data to RPMs, which are quantitatively a minor population in the spleen. Eg, labile iron is increased in the splenocytes upon HH, but the manuscript does not show that this occurs in the red pulp or RPMs. They also measure gene/protein expression changes in the total spleen and connect them to changes in macrophages, as indicated in the model Figure (Fig. 7). HO-1 and levels of Ferritin (L and H) can be attributed to the drop in RPMs in the spleen. Are any of these changes preserved cell-intrinsically in cultured macrophages? This should be shown to support the model (relates also to lines 487-88, where the authors again speculate that hypoxia decreases HO-1 which was not demonstrated). In the current stage, for example, we do not know if the labile iron increase in cultured cells and in the spleen in vivo upon hypoxia is the same phenomenon, and why labile iron is increased. To improve the manuscript, the authors should study specifically RPMs.

      We express our gratitude for your perceptive remarks. In our initial manuscript, we did not evaluate labile iron within the red pulp and red pulp macrophages (RPMs). To address this oversight, we utilized the Lillie staining method, in accordance with the protocol outlined by Liu et al., (Chemosphere, 2021, 264(Pt 1):128413), to discern Fe2+ presence within these regions. The outcomes were consistent with our antecedent Western blot and flow cytometry findings in the spleen, corroborating an increment in labile iron specifically within the red pulp of the spleen.

      Author response image 7.

      However, we acknowledge the necessity for other supplementary experimental efforts to further validate these findings. Additionally, we scrutinized the expression of heme oxygenase-1 (HO-1) and iron-related proteins, including transferrin receptor (TfR), ferroportin (Fpn), ferritin (Ft), and nuclear receptor coactivator 4 (NCOA4) in primary macrophages subjected to 1% hypoxic conditions, both with and without hemoglobin treatment. Our results indicated that the expression of ferroptosis-related proteins was consistent with in vivo studies, however the expression of iron related proteins was not similar in vitro and in vivo. It suggesting that the increase in labile iron in cultured cells and the spleen in vivo upon hypoxia are not identical phenomena. However, the precise mechanism remains elusive.

      In our study, we observed a decrease in HO-1 protein expression following 7 and 14 days of HH exposure, as shown in Figure 3U, 5A, and S1A. This finding contradicts previous research that identified HO-1 as a hypoxia-inducible factor (HIF) target under hypoxic conditions (P J Lee et al., 1997). Our discussion, therefore, addressed the potential discrepancy in HO-1 expression under HH. According to our findings, HO-1 regulation under HH appears to be predominantly influenced by macrophage numbers and the RBCs to be processed in the spleen or macrophages, rather than by hypoxia alone.

      It is challenging to discern whether the increased labile iron observed in vitro accurately reflects the in vivo phenomenon, as replicating the iron requirements for RBCs production induced by HH in vitro is inherently difficult. However, by integrating our in vivo and in vitro studies, we determined that the elevated Fe2+ levels were not dependent on HO-1 protein expression, as HO-1 levels was increased in vitro while decreasing in vivo under hypoxic/HH exposure.

      Author response image 8.

      2) The paper uses flow cytometry, but how this method was applied is suboptimal: there are no gating strategies, no indication if single events were determined, and how cell viability was assessed, which are the parent populations when % of cells is shown on the graphs. How RBCs in the spleen could be analyzed without dedicated cell surface markers? A drop in splenic RPMs is presented as the key finding of the manuscript but Fig. 3M shows gating (suboptimal) for monocytes, not RPMs. RPMs are typically F4/80-high, CD11-low (again no gating strategy is shown for RPMs). Also, the authors used single-cell RNAseq to detect a drop in splenic macrophages upon HH, but they do not indicate in Fig. A-C which cluster of cells relates to macrophages. Cell clusters are not identified in these panels, hence the data is not interpretable).

      Thank you for your comments and constructive critique regarding our flow cytometry methodology and presentation. We understand the need for greater transparency and detailed explanation of our procedures, and we acknowledge that the lack of gating strategies and other pertinent information in our initial manuscript may have affected the clarity of our findings.

      In our initial report, we provided an overview of the decline in migrated macrophages (F4/80hiCD11bhi), including both M1 and M2 expression in migrated macrophages, as illustrated in Figure 3, but did not specifically address the changes in red pulp macrophages (RPMs). Based on previous results, it is difficult to identify CD11b- and CD11blo cells. We will repeat the results and attempt to identify F4/80hiCD11blo cells in the revised manuscript. The results of the reanalysis are now included (Figure 3M). However, single-cell in vivo analysis studies may more accurately identify specific cell types that decrease after exposure to HH.

      Author response image 9.

      Furthermore, we substantiated the reduction in red pulp, as evidenced by Figure 4J, given that iron processing primarily occurs within the red pulp. In Figure 3, our initial objective was merely to illustrate the reduction in total macrophages in the spleen following HH exposure.

      To further clarify the characterization of various cell types, we conducted a single-cell analysis. Our findings indicated that clusters 0,1,3,4,14,18, and 29 represented B cells, clusters 2, 10, 12, and 28 represented T cells, clusters 15 and 22 corresponded to NK cells, clusters 5, 11, 13, and 19 represented NKT cells, clusters 6, 9, and 24 represented cell cycle cells, clusters 26 and 17 represented plasma cells, clusters 21 and 23 represented neutrophils, cluster 30 represented erythrocytes, and clusters 7, 8, 16, 20, 24, and 27 represented dendritic cells (DCs) and macrophages, as depicted in Figure 3E.

      3) The authors draw conclusions that are not supported by the data, some examples: a) they cannot exclude eg the compensatory involvement of the liver in the RBCs clearance (the differences between HH sham and HH splenectomy is mild in Fig. 2 E, F and G).

      Thank you for your insightful comments and for pointing out the potential involvement of other organs, such as the liver, in the RBC clearance under HH conditions. We concur with your observation that the differences between the HH sham and HH splenectomy conditions in Fig. 2 E, F, and G are modest. This could indeed suggest a compensatory role of other organs in RBC clearance when splenectomy is performed. Our intent, however, was to underscore the primary role of the spleen in this process under HH exposure.

      In fact, after our initial investigations, we conducted a more extensive study examining the role of the liver in RBC clearance under HH conditions. Our findings, as illustrated in the figures submitted with this response, indeed support a compensatory role for the liver. Specifically, we observed an increase in macrophage numbers and phagocytic activity in the liver under HH conditions. Although the differences in RBC count between the HH sham and HH splenectomy conditions may seem minor, it is essential to consider the unit of this measurement, which is value*1012/ml. Even a small numerical difference can represent a significant biological variation at this scale.

      Author response image 10.

      b) splenomegaly is typically caused by increased extramedullary erythropoiesis, not RBC retention. Why do the authors support the second possibility? Related to this, why do the authors conclude that data in Fig. 4 G,H support the model of RBC retention? A significant drop in splenic RBCs (poorly gated) was observed at 7 days, between NN and HH groups, which could actually indicate increased RBC clearance capacity = less retention.

      Prior investigations have predominantly suggested that spleen enlargement under hypoxic conditions stems from the spleen's extramedullary hematopoiesis. Nevertheless, an intriguing study conducted in 1994 by the General Hospital of Xizang Military Region reported substantial exaggeration and congestion of splenic sinuses in high altitude polycythemia (HAPC) patients. This finding was based on the dissection of spleens from 12 patients with HAPC (Zou Xunda, et al., Southwest Defense Medicine, 1994;5:294-296). Moreover, a recent study indicated that extramedullary erythropoiesis reaches its zenith between 3 to 7 days (Wang H et al., 2021).

      Considering these findings, the present study postulates that hypoxia-induced inhibition of erythrophagocytosis may lead to RBC retention. However, we acknowledge that the manuscript in its current preprint form does not offer conclusive evidence to substantiate this hypothesis. To bridge this gap, we further conducted experiments where the spleen was perfused, and total cells were collected post HH exposure. These cells were then smeared onto slides and subjected to Wright staining. Our results unequivocally demonstrate an evident increase in deformation and retention of RBCs in the spleen following 7 and 14 days of HH exposure. This finding strengthens our initial hypothesis and contributes a novel perspective to the understanding of splenic responses under hypoxic conditions.

      Author response image 11.

      c) lines 452-54: there is no data for decreased phagocytosis in vivo, especially in the context of erythrophagocytosis. This should be done with stressed RBCs transfusion assays, very good examples, like from Youssef et al. or Threul et al. are available in the literature.

      Thanks. In their seminal work, Youssef and colleagues demonstrated that the transfusion of stressed RBCs triggers erythrophagocytosis and subsequently incites ferroptosis in red pulp macrophages (RPMs) within a span of five hours. Given these observations, the applicability of this model to evaluate macrophage phagocytosis in the spleen or RPMs under HH conditions may be limited, as HH has already induced erythropoiesis in vivo. In addition, it was unclear whether the membrane characteristics of stress induced RBCs were similar to those of HH induced RBCs, as this is an important signal for in vivo phagocytosis. The ambiguity arises from the fact that we currently lack sufficient knowledge to discern whether the changes in phagocytosis are instigated by the presence of stressed RBCs or by changes of macrophages induced by HH in vivo. Nonetheless, we appreciate the potential value of this approach and intend to explore its utility in our future investigations. The prospect of distinguishing the effects of stressed RBCs from those of HH on macrophage phagocytosis is an intriguing line of inquiry that could yield significant insights into the mechanisms governing these physiological processes. We will investigate this issue in our further study.

      d) Line 475 - ferritinophagy was not shown in response to hypoxia by the manuscript, especially that NCOA4 is decreased, at least in the total spleen.

      Drawing on the research published in eLife in 2015, it was unequivocally established that ferritinophagy, facilitated by Nuclear Receptor Coactivator 4 (NCOA4), is indispensable for erythropoiesis. This process is modulated by iron-dependent HECT and RLD domain containing E3 ubiquitin protein ligase 2 (HERC2)-mediated proteolysis (Joseph D Mancias et al., eLife. 2015; 4: e10308). As is widely recognized, NCOA4 plays a critical role in directing ferritin (Ft) to the lysosome, where both NCOA4 and Ft undergo coordinated degradation. In our study, we provide evidence that exposure to HH stimulates erythropoiesis (Figure 1). We propose that this, in turn, could promote ferritinophagy via NCOA4, resulting in a decrease in NCOA4 protein levels post-HH exposure. We will further increase experiments to verify this concern. This finding not only aligns with the established understanding of ferritinophagy and erythropoiesis but also adds a novel dimension to the understanding of cellular responses to hypoxic conditions.

      4) In a few cases, the authors show only representative dot plots or histograms, without quantification for n>1. In Fig. 4B the authors write about a significant decrease (although with n=1 no statistics could be applied here; of note, it is not clear what kind of samples were analyzed here). Another example is Fig. 6I. In this case, it is even more important as the data are conflicting the cited article and the new one: PMCID: PMC9908853 which shows that hypoxia stimulates efferocytosis. Sometimes the manuscript claim that some changes are observed, although they are not visible in representative figures (eg for M1 and M2 macrophages in Fig. 3M)

      We recognize that our initial portrayal of Figure 4B was lacking in precision, given that it did not include the corresponding statistical graph. While our results demonstrated a significant reduction in the ability to phagocytose E. coli, in line with the recommendations of other reviewers, we have opted to remove the results pertaining to E. coli phagocytosis in this revision, as they primarily reflected immune function.

      In relation to PMC9908853, which reported metabolic adaptation facilitating enhanced macrophage efferocytosis in limited-oxygen environments, it is worth noting that the macrophages investigated in this study were derived from ER-Hoxb8 macrophage progenitors following the removal of β-estradiol. Consequently, questions arise regarding the comparability between these cultured macrophages and primary macrophages obtained fresh from the spleen post HH exposure. The characteristics and functions of these two different macrophage sources may not align precisely, and this distinction necessitates further investigation.

      5) There are several unclear issues in methodology:

      • what is the purity of primary RPMs in the culture? RPMs are quantitatively poorly represented in splenocyte single-cell suspensions. This reviewer is quite skeptical that the processing of splenocytes from approx 1 mm3 of tissue was sufficient to establish primary RPM cultures. The authors should prove that the cultured cells were indeed RPMs, not monocyte-derived macrophages or other splenic macrophage subtypes.

      Thank you for your thoughtful comments and inquiries. Firstly, I apologize if we did not make it clear in the original manuscript. The purity of the primary RPMs in our culture was found to be approximately 40%, as identified by F4/80hiCD11blo markers using flow cytometry. We recognize that RPMs are typically underrepresented in splenocyte single-cell suspensions, and the concern you raise about the potential for contamination by other cell types is valid.

      We apologize for any ambiguities in the methodological description that may have led to misunderstandings during the review. Indeed, the entirety of the spleen is typically employed for splenic macrophage culture. The size of the spleen can vary dependent on the species and age of the animal, but in mice, it is commonly approximately 1 cm in length. The spleen is then dissected into minuscule fragments, each approximately 1 mm3 in volume, to aid in enzymatic digestion. This procedure does not merely utilize a single 1 mm3 tissue fragment for RPMs cultures. Although the isolation and culture of spleen macrophages can present considerable challenges, our method has been optimized to enhance the yield of this specific cell population.

      • (around line 183) In the description of flow cytometry, there are several missing issues. In 1) it is unclear which type of samples were analyzed. In 2) it is not clear how splenocyte cell suspension was prepared.

      1) Whole blood was extracted from the mice and collected into an anticoagulant tube, which was then set aside for subsequent thiazole orange (TO) staining.

      2) Splenic tissue was procured from the mice and subsequently processed into a single-cell suspension using a 40 μm filter. The erythrocytes within the entire sample were subsequently lysed and eliminated, and the remaining cell suspension was resuspended in phosphate-buffered saline (PBS) in preparation for ensuing analyses.

      We have meticulously revised these methodological details in the corresponding section of the manuscript to ensure clarity and precision.

      • In line 192: what does it mean: 'This step can be omitted from cell samples'?

      The methodology employed for the quantification of intracellular divalent iron content and lipid peroxidation level was executed as follows: Splenic tissue was first processed into a single cell suspension, subsequently followed by the lysis of RBCs. It should be noted that this particular stage is superfluous when dealing with isolated cell samples. Subsequently, a total of 1 × 106 cells were incubated with 100 μL of BioTracker Far-red Labile Fe2+ Dye (1 mM, Sigma, SCT037, USA) for a duration of 1 hour, or alternatively, C11-Bodipy 581/591 (10 μM, Thermo Fisher, D3861, USA) for a span of 30 minutes. Post incubation, cells were thoroughly washed twice with PBS. Flow cytometric analysis was subsequently performed, utilizing the FL6 (638 nm/660 nm) channel for the determination of intracellular divalent iron content, and the FL1 (488 nm/525 nm) channel for the quantification of the lipid peroxidation level.

      • 'TO method' is not commonly used anymore and hence it was unclear to this Reviewer. Reticulocytes should be analyzed with proper gating, using cell surface markers.

      We are appreciative of your astute observation pertaining to the methodology we employed to analyze reticulocytes in our study. We value your recommendation to utilize cell surface markers for effective gating, which indeed represents a more modern and accurate approach. However, as reticulocyte identification is not the central focus of our investigation, we opted for the TO staining method—due to its simplicity and credibility of results. In our initial exploration, we adopted the TO staining method in accordance with the protocol outlined (Sci Rep, 2018, 8(1):12793), primarily owing to its established use and demonstrated efficacy in reticulocyte identification.

      • The description of 'phagocytosis of E. coli and RBCs' in the Methods section is unclear and incomplete. The Results section suggests that for the biotinylated RBCs, phagocytosis? or retention? Of RBCs was quantified in vivo, upon transfusion. However, the Methods section suggests either in vitro/ex vivo approach. It is vague what was indeed performed and how in detail. If RBC transfusion was done, this should be properly described. Of note, biotinylation of RBCs is typically done in vivo only, being a first step in RBC lifespan assay. The such assay is missing in the manuscript. Also, it is not clear if the detection of biotinylated RBCs was performed in permeablized cells (this would be required).

      Thanks for the comments. In our initial methodology, we employed Cy5.5-labeled Escherichia coli to probe phagocytic function, albeit with the understanding that this may not constitute the most ideal model for phagocytosis detection within this context (in light of recommendations from other reviewers, we have removed the E. coli phagocytosis results from this revision, as they predominantly mirror immune function). Our fundamental aim was to ascertain whether HH compromises the erythrophagocytic potential of splenic macrophages. In pursuit of this, we subsequently analyzed the clearance of biotinylated RBCs in both the bloodstream and spleen to assess phagocytic functionality in vivo.

      In the present study, instead of transfusing biotinylated RBCs into mice, we opted to inject N-Hydroxysuccinimide (NHS)-biotin into the bloodstream. NHS-biotin is capable of binding with cell membranes in vivo and can be recognized by streptavidin-fluorescein isothiocyanate (FITC) after cells are extracted from the blood or spleen in vitro. Consequently, biotin-labeled RBCs were detectable in both the blood and spleen following NHS-biotin injection for a duration of 21 days. Ultimately, we employed flow cytometry to analyze the NHS-biotin labeled RBCs in the blood or spleen. This method facilitates the detection of live cells and is not applicable to permeabilized cells. We believe this approach better aligns with our investigative goals and offers a more robust evaluation of erythrophagocytic function under hypoxic conditions.

      Recommendations for the authors: please note that you control which, if any, revisions, to undertake.

      Thank you for your comments and recommendations. We appreciate your understanding that the choice of implementing revisions ultimately rests with us. However, we also value your expertise and will seriously consider your suggestions as they can provide additional perspectives to our work and contribute to the overall quality and robustness of our study.

      We strive to produce research that meets the highest scientific standards and we believe that constructive criticism, such as yours, helps us to achieve this objective. We will carefully review your comments and consider the appropriate changes to make in order to address your concerns and improve our manuscript.

      Reviewer #1 (Recommendations For The Authors):

      Minor:

      1) HCV in text is a typo, should be HCT. Please edit.

      Thanks for the correction. We’ve revised it.

      1. Fig 2D is not useful beyond the more accurate measure of HCT in Fig 2G and should be removed.

      Thank you for your feedback and suggestion about Fig. 2D. We understand your point regarding the comparative accuracy of HCT in Fig. 2G. However, our intention in including Fig. 2D was to provide a more intuitive visual representation of the erythrocyte position levels, which we believe complements the more precise HCT data. We have observed that the erythrocyte positions significantly increased for 14 days after HH splenectomy, and this trend is visually depicted in Fig. 2D. While HCT provides a more accurate measure, Fig. 2D provides a snapshot that can be more immediately graspable, especially for readers who may prefer visual data. Nevertheless, we appreciate your perspective and will reassess whether the inclusion of Fig. 2D adds enough value to the overall understanding of our findings. If we find that it indeed does not contribute significantly, we will consider removing it in line with your suggestion.

      1. What is the purpose of performing splenectomy? It is well established that reticuloendothelial cells of the liver perform a redundant function to splenic macrophages and since these cells are not being evaluated, data following splenectomy is of limited value. Please remove or move to supplement. Alternatively, evaluate what happens in the liver in response to hypoxia. Is there an increase in erythroblasts? Is there a decrease in liver macrophages in the same way as in the spleen in non-splenectomized mice? The minimally increased HCT in hypoxic splenectomized mice (relative to non-splenectomized mice) suggests that the spleen does the primary work of clearance but not exclusively since there is still a major increase in response to hypoxia in splenectomized mice. The sentence (page 16, line 292) states that the spleen is essential which is not the case based on this data.

      Thank you for your comments and recommendations. In reality, we have been consistently studying the liver's response to hypobaric hypoxia (HH) exposure. Nevertheless, the changes observed in the liver are contrary to those in the spleen, including an increase in macrophage count and the capacity for erythrophagocytosis, as well as processing heme iron (refer to the above figure for details).

      It is widely accepted that HH exposure predominantly induces erythropoiesis by stimulating bone marrow production. The primary objective of this study was not to refute this central mechanism behind erythrocytosis. Instead, our intent was to supplement this understanding by proposing that impaired clearance of red blood cells (RBCs) could potentially exacerbate erythrocytosis. We believe this additional perspective could significantly enhance our understanding of the complex dynamics involved in RBC production and clearance under hypoxic conditions.

      Reviewer #2 (Recommendations For The Authors):

      The following questions and remarks should be considered by the authors:

      1). The methods should clearly state whether the HH was discontinued during the 7- or 14-day exposure for cleaning, fresh water etc. Moreover, how was CO2 controlled? The procedure for splenectomy needs to be described in the methods.

      Thank you for your insightful comments and questions. We apologize for any lack of clarity in our original description. To address your questions:

      During the 7- or 14-day HH exposure, the HH was not discontinued for cleaning or providing fresh water. We ensured that the cage was thoroughly cleaned, and food and water were sufficiently stocked before placing the mice into the HH chamber. The design of the cage and the HH chamber allowed the mice to have continuous access to food and water during the entire exposure period.

      Regarding the control of CO2, the HH chamber was equipped with a CO2 scrubbing system. The system utilized soda lime to absorb excess CO2 produced by the mice, and the air inside the chamber was exchanged with the air outside 25 times per hour to maintain a stable atmospheric concentration and ensure adequate oxygen supply.

      As for the procedure for splenectomy, we apologize for the omission in the original manuscript. The mice were anesthetized using isoflurane, and a small incision was made in the left flank to expose the spleen. The spleen was then gently exteriorized, ligated, and excised. The incision was sutured, and the mice were allowed to recover under close monitoring. We ensured that all procedures were performed in accordance with our institution's guidelines for animal care.

      2) The lack of changes in MCH needs explanation? During stress erythropoiesis some limit in iron availability should cause MCH decrease particularly if the authors claim that macrophages for rapid iron recycling are decreased. Fig 1A is dispensable. Fig 1G NN control 14 days does not make sense since it is higher than 7 days of HH.

      Thank you for your insightful comments and queries. Regarding the lack of changes in Mean Corpuscular Hemoglobin (MCH), our hypothesis is that the decrease in iron recycling in the spleen following HH is potentially compensated by the increased iron absorption or supply from the liver, thus maintaining the iron requirement for erythropoiesis. This may explain why MCH levels did not significantly change after HH exposure. We have indeed observed an increase in macrophage numbers and their erythrophagocytosis/heme iron processing ability after HH exposure for 7 or 14 days in liver (please refer to the above figure for details), suggesting a compensatory mechanism to ensure adequate iron for erythropoiesis.

      Regarding your comment on Fig 1A, we included this figure to provide a baseline of the experimental condition before any treatment. However, we understand your point and will consider removing it if it does not contribute significantly to the interpretation of our results. As for Fig 1G, we agree that the control at 14 days being higher than 7 days of HH may seem counterintuitive. We believe this could be due to individual variations among the mice or potential experimental errors. However, considering recommendations from other reviewers, we have removed this result from the revised manuscript.

      3) Fig 2, the difference between sham and splenectomy is really marginal and not convincing. Is there also a difference at 7 days? Why does the spleen size decrease between 7 and 14 days?

      We understand your concerns regarding the observed differences in Fig. 2 between sham and splenectomy groups. We acknowledge that while the absolute numerical differences may appear marginal, it is important to consider the unit of measurement. In the case of RBC count, the unit is 1012/L, hence even slight numerical differences can translate to significant variations in the actual count of RBCs.

      We did not examine alterations occurring 7 days post-splenectomy in our study. The discernible trend of spleen size diminution between the 7th and 14th days is indeed compelling. It is plausible that this might be attributable to the body's adaptive response to hypobaric hypoxia (HH) exposure, wherein spleen size initially enlarges (at day 7) in response to compensatory erythropoiesis, followed by a reduction (at day 14) as the body acclimatizes to the HH conditions. Nevertheless, we did not identify a statistically significant difference between the measurements at day 7 and day 14, suggesting that this observation warrants further scrutiny.

      4) Fig 3B, the clusters should be explained in detail. If the decrease in macrophages in Fig 3K/L is responsible for the effect, why does splenectomy not have a much stronger effect? How do the authors know which cells died in the calcein stained population in Fig 3D?

      Thank you for your insightful queries and comments. Regarding Fig. 3B, we apologize for not providing sufficient detail on the clusters in the original manuscript. We will ensure that we include a comprehensive explanation of the clusters, including the specific cell types and their respective markers, in our revision. (clusters 0,1,3,4,14,18, and 29 represented B cells, clusters 2, 10, 12, and 28 represented T cells, clusters 15 and 22 corresponded to NK cells, clusters 5, 11, 13, and 19 represented NKT cells, clusters 6, 9, and 24 represented cell cycle cells, clusters 26 and 17 represented plasma cells, clusters 21 and 23 represented neutrophils, cluster 30 represented erythrocytes, and clusters 7, 8, 16, 20, 24, and 27 represented dendritic cells (DCs) and macrophages).

      As for the decrease in macrophages observed in Fig. 3K/L, it's important to note that the spleen is a complex organ comprising numerous cell types, all of which can contribute to its overall function. While macrophages play a crucial role in iron recycling and erythropoiesis, other cell types and factors may also influence these processes. Therefore, while splenectomy results in the removal of all splenic cells, the overall impact on these processes may not be as pronounced as the specific reduction in macrophages due to compensatory mechanisms from other tissues and cells.

      Concerning Fig. 3D, we acknowledge the ambiguity in the initial interpretation. The calcein staining was utilized to determine cell viability, but it doesn't identify the specific cell types that have died. To address this, we performed a single-cell analysis, which can provide a more accurate identification of the specific cell types affected.

      5) Is the reduced phagocytic capacity in Fig4B significant? Erythrophagocytosis is compromised due to the considerable spontaneous loss of labelled erythrocytes; could other assays help? (potentially by a modified Chromium release assay?). Is it necessary to stimulated phagocytosis to see a significant effect?

      We express our gratitude for your insightful queries and recommendations. In response to your initial question, the observed reduction in phagocytic capacity illustrated in Fig. 4B was indeed statistically significant. However, in alignment with feedback from other reviewers, we have elected to exclude the phagocytic results from this revised manuscript, as they predominantly reflect immune function rather than erythrophagocytosis of macrophages.

      With respect to your proposal of potential alternatives to the erythrophagocytosis assay, we concur that the spontaneous loss of labeled erythrocytes could have influenced our results. Your suggestion of implementing a modified Chromium release assay is indeed an intriguing possibility that warrants further exploration.

      Regarding the requirement for stimulating phagocytosis, we employed stimulation as a mechanism to investigate the potential for augmenting erythrophagocytosis and iron processing within the red pulp. Our findings suggest that increased phagocytosis in the spleen contributes positively to these processes. As part of the Tuftsin injection experiment, we assessed the RBC count and hemoglobin content. Despite an observed reduction trend, there were no statistically significant alterations. We are uncertain if the observation period was insufficiently long. Nevertheless, we concur that it would be worthwhile to explore inherent changes without external stimulation, and we will take this into consideration in our future research.

      6) Can the observed ferroptosis be influenced by bi- and not trivalent iron chelators?

      Thank you for your insightful question. Indeed, the role of iron chelators in the observed ferroptosis is an important aspect to explore. Ferroptosis is a form of regulated cell death characterized by an iron-dependent accumulation of lipid peroxides, and the role of different iron chelators could potentially influence this process.

      In the case of bi- versus trivalent iron chelators, their influence on ferroptosis could be distinct due to their specificities for different forms of iron. However, we have not yet investigated this in our current study.

      Your suggestion has highlighted a valuable direction for our future research. We agree that examining the influence of bi- and trivalent iron chelators on the observed ferroptosis would provide a deeper understanding of the iron-dependent mechanisms involved in this process. We will consider this important aspect in our subsequent investigations.

      Reviewer #3 (Recommendations For The Authors):

      Methodology:

      1) Several syntax and grammatical errors, and unclear phrasing. Some factual errors as well: eg, line 380-81 the authors wrote that hypoxia increased viable cell numbers and phagocytosis ability, although their data suggest the opposite. Lines in Discussion 454-55 and in the Results 346-47 convey opposite messages.

      We appreciate your attention to detail and your feedback on the language and factual discrepancies within the manuscript.

      Upon revisiting lines 380-381, we would like to clarify that we had made a mistake. Our data indeed suggest that hypoxia led to a reduction in viable cell numbers and phagocytosis ability, not an increase as originally stated. We sincerely apologize for the confusion and will correct this statement in our revised manuscript.

      As for the opposing messages between lines 454-455 in the Discussion and 346-347 in the Results, we apologize for any confusion caused. We understand that it is crucial to maintain consistent interpretation of our data throughout the manuscript. We will carefully reevaluate these sections and adjust our phrasing to ensure that our interpretations accurately reflect our results.

      2) It is not clear why the authors investigated CD47 expression.

      Thank you for your question regarding our investigation of CD47 expression. CD47, also known as integrin-associated protein, is ubiquitously expressed on many cell types, including red blood cells (RBCs). In the context of our study, we used CD47 expression as an indicator of young RBCs, as CD47 is known to be highly expressed on newly produced RBCs. Our intention was to use CD47 positive cells as a proxy for new RBC production, which would give us insights into erythropoiesis under hypobaric hypoxia conditions. This marker thus provides valuable information about the rate and effectiveness of erythropoietic response to hypoxic stress. However, according to others reviewers’ suggestion, we removed this part of results in the revised manuscript.

      Minor:

      1) Y axis is often labeled without sufficient detail.

      2) The legends do not specify the exact statistical tests.

      3) Some in vivo exp contain n=3 which is relatively low for mouse-based studies.

      Some suggestions for the text:

      Line 60: is the main cause of erythrocytosis which in turn alleviates..

      62-66 - argumentation is not clear/grammatically correct and should be rephrased (eg, „RBC homeostasis is disturbed and never formed into a homeostasis status" - „homeostasis.. is never formed into a homeostasis status" sounds incorrect.

      Ref # 8 - does not fit, I assume this was a mistake and the authors aimed to cite a Review article by Slusarczyk and Mleczko-Sanecka in Genes. However, this reference seems appropriate to be discussed in the Discussion section as it is very directly connected to the content of the present manuscript

      76-78 - unclear/incomplete sentence (binding of iron to Tf and Tf-Fe delivery to the erythroid compartment is missing in this sentence, please, rephrase)

      80 - iron is not stored ON FtL

      90 - should be written: important role in iron recycling from RBCs

      94 - phrasing 'damage of erythrophagocytosis' is incorrect

      96-97 - should be written, for example: 'followed by eryptosis and iron recycling defects in the spleen'

      282 - the sentence is grammatically incorrect and unclear.

      292-94 - the statement is completely unclear, what can 'inhibit the excessive proliferation of RBCs'? What does it mean?

      Reference to tuftsin was not provided (Am J Gastroenterol, 1999;94:391-397; PLoS One. 2012;7(4):e34933)

      How quantification of microscopy images for F4/80 signal was performed?

      In Figure 5, more explanation is required for the readers regarding the measured genes/proteins - why the patter of gene expression changes suggest ferroptosis?

      Writing that ferroptosis INHIBITS phagocytosis is incorrect

      Line 460 is unclear

      468 - erythrocytophagy is not a commonly used term/

      We are grateful for your keen eye and the time you have taken to provide such thorough feedback. It will undoubtedly help us to significantly enhance the clarity and completeness of our research. We have modified the corresponding sections in our manuscript to include these details. The comments have helped us ensure that our methodology is transparent and our findings are presented clearly. We have taken all your comments into consideration in our revision. we also have revised our manuscript to discuss these alternative interpretations more clearly and to acknowledge the potential limitations of our data.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #2 (Public Review):

      Weaknesses:

      There are however, substantial concerns about the interpretation of the findings and limitations to the current analysis. In particular, Analysis of single unit activity is absent, making interpretation of population clusters and decoding less interpretable. These concerns should be addressed to make sure that the results can be interpreted clearly in an active field that already contains a number of confusing and possibly contradictory findings.

      We addressed this important point (which was also made by reviewer #1) in our previous revision. Specifically, we included additional analyses that operate at the level of single units rather than the population level, as requested by the reviewer. For example, we assessed, separately for each recorded neuron, whether there was a statistically significant difference in the magnitude of neural activity between hit and miss trials. This approach allowed us to fully balance the numbers of hit and miss trials at each sound level that were entered into the analysis. The results revealed that a large proportion (close to 50%) of units were task modulated, i.e. had significantly different response magnitudes between hit and miss trials, and that this proportion was not significantly different between lesioned and non-lesioned mice. It is therefore no longer correct to say that “analysis of single unit activity is absent”, and we would be grateful if this statement could be changed.  

      Reviewer #2 (Recommendations For The Authors): 

      The authors have done a good job addressing the main concerns from the previous review. There are a few additional points that hopefully do not require substantial additional edits. 

      Figure 5/supplements. While the authors provide compelling evidence that clusters and overall activity patterns are similar for lesioned and control animals, there do appear to be some differences. For instance, the hit/miss difference for cluster 3 (the "auditory" cluster) appears to be absent for lesioned mice (Fig 5S3 D). Can the hit-miss difference be quantified? 

      We agree that there are some differences between the activity profiles of lesioned and non-lesioned mice: Inspection of panels A and C of Figure 5 – figure supplement 3, for instance, indicates that there is a relatively high proportion of neurons in cluster 3 of the non-lesioned mice that exhibit prolonged elevated activity in hit trials and a relatively lower proportion of those neurons in cluster 3 of lesioned mice. This likely explains the difference in the average response profiles of cluster 3 between the two groups pointed out by the reviewer. Furthermore, there is a slightly larger pre-stimulus dip in hit trial activity for lesioned than non-lesioned mice in cluster 1, a more pronounced short latency peak in hit trial activity for lesioned mice in cluster 2 as well as differences in other clusters. However, these differences are not inconsistent with our interpretation of these data in that we describe the activity profiles as being “similar” and exhibiting a “close correspondence” (rather than as being identical). Having considered this carefully, we do not believe that attempting to quantify these small differences would add much value here or help the reader with the interpretation of these data, especially given that the activity profiles of all neurons that make up each cluster are plotted in panels A and C.  

      Could the mice have been using somatosensory information to perform the task? A wideband click presented from a free-field speaker could have energy in a low frequency range that triggers a whisker response. Given the moderate but not insignificant somatosensory input into the IC shell, this doesn't seem like a trivial concern, and it could substantially impact interpretation of the results. Without wanting to complicate things too much, the authors might consider one or more of these questions: What's the frequency content of the click? Can a deaf mouse perform the task? Can an AC-lesioned mouse learn/perform the task with close-field acoustic stimulation? Or for a highfrequency tone target rather than a click?

      This is an interesting suggestion. We have, in the context of another study, trained mice in our lab to detect somatosensory stimulation (a brush stroke to their whiskers) and consistently found that it takes them much longer (often two weeks or more) to learn to respond to a stimulation of their whiskers than to the presentation of a sound. The brush strokes applied to the whiskers in those experiments were 50-150 ms in duration and were thus orders of magnitude greater in both their duration and amplitude and considerably more salient than any somatosensory stimulus that could potentially arise from the clicks presented here. Therefore, we consider it highly unlikely that mice learned to use somatosensory information potentially picked up by their whiskers to perform the click detection task.  

      L. 63. The authors might want to cite some recent work from the Apostilides lab on the properties of AC-IC projections as well as non-auditory signals in the IC. 

      There are two recent papers from the Apostolides lab that are relevant to our study. We already cite Quass et al., 2023. We have now added Ford et al., 2024 as well.

      Changes to manuscript:

      Line 81: “This raises the possibility that these context-dependent effects may be inherited from the auditory cortex (Ford et al., 2024)”.

      L. 220. "sound-responsive neurons" It is possible to report the representation of sound-responsive neurons in the different clusters? This might help tease apart what processes contribute to their respective activity. Not a big problem if the samples can't be registered easily.

      Sound-driven neurons were identified on the basis of a subset (those trials in which sounds were presented at levels from 53 dB SPL to 65 dB SPL) of the trials used for the clustering analysis so the analyses are not directly comparable.

      p. 603. "quieter stimuli" What sound level was actually used in the 2p experiments? Was it fixed at a single level per animal?

      Sound level was not fixed at a single level. A total of nine different sound levels were used per mouse. We apologize that this was not made clear previously.  

      Changes to manuscript:

      Line 603: “Once the mice had achieved a stable level of performance (typically two days with d’ > 1.5), quieter stimuli (41-71 dB SPL) were introduced. For each mouse a total of 9 different sound levels were used and the range of sound levels was adjusted to each animal’s behavioral performance to avoid floor and ceiling effects and could, therefore, differ from mouse to mouse.”

      L. 747. Something is not right with this formula. It appears that it will always reduce to a value of 1/2.

      Thanks for spotting this. There are two typos in this formula. This has been fixed and now reads (line 749):  

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #1 (Recommendations for The Authors):

      Q1: In response to reviewers you noted totally 292 sequenced LECs, however in reviewer figure 3 B the numbers seem to add up to 221. Please include mention of the total number of LEC sequences. Please mention line 119, page 4 the total number of explored LEC transcriptomes

      Thank you for your carefully review. We have updated Fig 2A, 2C and 2E. It was 242 (not 292) LECs included in our initial analysis, which contains the sample of d5 post MI in raw data (E-MTAB-7895). We dropped d5 in our subsequent analysis because the change in d5 did not significant differ from d3. Therefore, we included 221 LECs in our final analysis as we updated in Fig2A, 2C and 2E.

      Q2-1: Figure 3A supposedly shows % of LEC subpopulations relative to their numbers found in day 0 samples. However, there seem to be some errors, because for example the subpop LEC Cap I include 13 cells day 1 and 6 cells day 1, which corresponds to 46% of initial numbers. However, from your graph 3B the blue population seems to occupy 10%. Please revise or explain how these relative % were calculated.

      Thank you for your question. In the Figure 3A, each column was calculated by dn/d0*100%, that is d0=57/57*100%=100%, and d1= 21/57*100%=36.84%, d3=9/57*100%=15.79%, d7, d14, d28...Therefor, Cap I in d0 (13 cells) is 13/57*100%=22.81%, and Cap I in d1(6 cells) is 6/57*100%= 10.53%.

      Q2-2: Further, based on the relative % of LEC subpopulations, using the numbers mentioned in Fig 3B, it would appear that the relative frequency LEC cap II population is actually stable at around 20-30% of all LECs per time point throughout the study (except day 1 drop). This contrasts with line 136 p. 4 statement. I would also urge caution for interpreting too much into the variation of relative levels of LEC co, as these represent exceeding rare cells in your samples, and could reflect technical issues rather than true biological variation (total LEC co numbers analyzed ranging from 1-24 cells/ time point). The same could be said of LEC cap II and cap III.

      We strongly agree with your comment on the proportion of LEC cell subtypes post MI. As you pointed out, we have revised the result description on Page 4, line 137-143 as followed.

      “In the early stages of myocardial infarction (D1 and D3), the quantity of LECs decreased sharply. The number of LECs gradually increasing from day 7 and returning to normal levels by day 14 after MI. Moreover, from day 14 onwards, the number and proportion of Ca I type LECs significantly increased.”

      Q3: Please list in supplement the gene features used to identify in spatial transcriptomics the different LEC subpopulations, as their profiles (notably for capillary LECs) don't appear to be very different based on data in Fig 2F.

      We have supplied gene features in supplementary materials.

      Q4: In section 2.7 you refer to Gal9 secretion. Please replace with expression as no measure of protein levels from LECs has been described in your study.

      Thank you for your suggestion, we have replaced secretion with expression.

      Q5: The updated method to exclude non-lymphatic cells from lymphatic vessel analyses by incorporating pdpn as an additional marker ('present costained areas wherever possible' line 350 p 10)

      Thank you for your correction. We have updated the description as follows and lighted them in the manuscript: rabbit anti-Lyve1 (1:300, ab14917, Abcam, UK), [Syrian hamster anti-Podoplanin (1:100, 53-5381-82, Thermo, USA), rabbit anti-Prox1(1:300, ab199359, Abcam, UK), both anti-podoplain and anti-prox1 are additional markers co-stained with Lyve1 to exclude non-lymphatic cells from lymphatic vessel].

      Q6: Fig 1B, it is highly surprising to see the lymphatic density in the BZ go from 25 um² at day 3 to more than 1000 um² only four days later (day 7). Is it possible that your day 3 measurements were in the infarct area, and not BZ area? The H&E image shown in Fig1a for d3 sample would seem to indicate the analysis was done in a dead area, rather than BZ. Please revise (perhaps select similar zone as shown for d1 in fig 6D, adjusted for subepicardial region and not mid-myocardial as seems to be the case currently), and also provide lymphatic area measures in healthy myocardium for day 0 samples. The unit used (um²) also would depend on the size of the area examined. Is this unit per image? If so please report total imaged area as a reference.

      A6: Thank you for your reminding and advises. We have labeled each zone on H&E and IF images in Fig1-supplementary Fig2B, and updated a clearer histological photo taken at 3 days post MI in Fig1A. Furthermore, we recalculated the lymphatic vessel area ratio as you suggested by calculating the ratio of LEC co-stained area to total imaged area under 100-fold magnification.

      Q7: The mention that CD68 antibody isn't compatible with lyve1 antibody could easily have been bridged by using other macrophage markers, such as F4/80, which is readily available and often used marker for macs in mice and comes notably as a rat anti-mouse F4-80. It would have added much more relevant information to exclude Lyve1-/F4/80+ cells as compared to the current analysis, which may indeed include in area measures Lyve1+ /Pdpn- single cells erroneously spotted as 'lymphatic vessels'

      Thank you for your excellent suggestion. We co-stained the sample with F4/80 and LYVE1 and supplied in the Fig1-supplementary Figure 1E, as shown in Author response image 1.

      Author response image 1.

      Immunofluorescence (IF) co-staining of tissue section with F4/80 and LYVE1 in sham and MI mice model at d3, d7, d14, and d28 post-MI. LYVE1: lymphatic vessel endothelial hyaluronan receptor 1; DAPI: 4’6-diamidino-2-phenylindole; scale bar in 10×-100 μm, 40×-25μm.

      Reviewer 2 (Recommendations for The Authors):

      Q1: Language expression must be improved. Many incomplete sentences exist throughout the manuscript. A few examples: Line 70-71: In order to further elucidate the effects and regulatory mechanisms of the lymphatic vessels in the repair process of myocardial injury following MI. Line 71-73. This study, integrated single-cell sequencing and spatial transcriptome data from mouse heart tissue at different timepoints after MI from publicly available data (E-MTAB-7895, GSE214611) in the ArrayExpress and gene expression omnibus (GEO) databases. Line 88-89: Since the membrane protein LYVE1 can present lymphatic vessel morphology more clearly than PROX1.

      Thank you for your correction. We have carefully inspected and corrected the whole manuscript.

      Q2: The type of animal models (i.e., permanent MI or MI plus reperfusion) included in Array Express and gene expression omnibus (GEO) databases must be clearly defined as these two models may have completely different effects on lymphatic vessel development during post-MI remodeling.

      Thank you for your excellent suggestion. The animal models used in both E-MTAB-7895 and GSE214611 are permanent MI. We have modified the model information in the methodology section (page 12, line 400-401).

      Q3: Line 119-120: Caution must be taken regarding Cav1 as a lymphocyte marker because Cav1 is expressed in all endothelial cells, not limited to LEC.

      Thanks for your reminding. Cav 1 used in our clustering is one of the marker gene for its different expression in sub-types of LECs, referred in article PMID: 31402260

      Q4: Figure 1 legend needs to be improved. RZ, BZ, and IZ need to be labeled in all IF images. Day 0 images suggest that RZ is the tissue section from the right ventricle.

      Thank you for your suggestion. We have labeled and updated the regions of RZ, BZ, and IZ in H&E and IF image in Figure1-Figure supplement 2B.

      Q5: The discussion section needs to be improved and better focused on the findings from the current study.

      Thank you for your good comment. Based on your suggestion, we have revised the first paragraph of the discussion from lines 250-256 (Page 7) as followed:

      Cardiac lymphatics play an important role in myocardial edema and inflammation. This study, for the first time, integrated single-cell sequencing data and spatial transcriptome data from mouse heart tissue at different time points of post-MI, and identified four transcriptionally distinct subtypes of LECs and their dynamic transcriptional heterogeneity distribution in different regions of myocardial tissue post-MI. These subgroups of LECs were shown to form different function involved in the inflammation, apoptosis, ferroptosis, and water absorption related regulation of vasopressin during the process of myocardial repair after MI.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      In their manuscript entitled 'The domesticated transposon protein L1TD1 associates with its ancestor L1 ORF1p to promote LINE-1 retrotransposition', Kavaklıoğlu and colleagues delve into the role of L1TD1, an RNA binding protein (RBP) derived from a LINE1 transposon. L1TD1 proves crucial for maintaining pluripotency in embryonic stem cells and is linked to cancer progression in germ cell tumors, yet its precise molecular function remains elusive. Here, the authors uncover an intriguing interaction between L1TD1 and its ancestral LINE-1 retrotransposon.

      The authors delete the DNA methyltransferase DNMT1 in a haploid human cell line (HAP1), inducing widespread DNA hypo-methylation. This hypomethylation prompts abnormal expression of L1TD1. To scrutinize L1TD1's function in a DNMT1 knock-out setting, the authors create DNMT1/L1TD1 double knock-out cell lines (DKO). Curiously, while the loss of global DNA methylation doesn't impede proliferation, additional depletion of L1TD1 leads to DNA damage and apoptosis.

      To unravel the molecular mechanism underpinning L1TD1's protective role in the absence of DNA methylation, the authors dissect L1TD1 complexes in terms of protein and RNA composition. They unveil an association with the LINE-1 transposon protein L1-ORF1 and LINE-1 transcripts, among others.

      Surprisingly, the authors note fewer LINE-1 retro-transposition events in DKO cells compared to DNMT1 KO alone.

      Strengths:

      The authors present compelling data suggesting the interplay of a transposon-derived human RNA binding protein with its ancestral transposable element. Their findings spur interesting questions for cancer types, where LINE1 and L1TD1 are aberrantly expressed.

      Weaknesses:

      Suggestions for refinement:

      The initial experiment, inducing global hypo-methylation by eliminating DNMT1 in HAP1 cells, is intriguing and warrants more detailed description. How many genes experience misregulation or aberrant expression? What phenotypic changes occur in these cells? Why did the authors focus on L1TD1? Providing some of this data would be helpful to understand the rationale behind the thorough analysis of L1TD1.

      The finding that L1TD1/DNMT1 DKO cells exhibit increased apoptosis and DNA damage but decreased L1 retro-transposition is unexpected. Considering the DNA damage associated with retro-transposition and the DNA damage and apoptosis observed in L1TD1/DNMT1 DKO cells, one would anticipate the opposite outcome. Could it be that the observation of fewer transposition-positive colonies stems from the demise of the most transpositionpositive colonies? Further exploration of this phenomenon would be intriguing.

      Reviewer #2 (Public review):

      In this study, Kavaklıoğlu et al. investigated and presented evidence for a role for domesticated transposon protein L1TD1 in enabling its ancestral relative, L1 ORF1p, to retrotranspose in HAP1 human tumor cells. The authors provided insight into the molecular function of L1TD1 and shed some clarifying light on previous studies that showed somewhat contradictory outcomes surrounding L1TD1 expression. Here, L1TD1 expression was correlated with L1 activation in a hypomethylation dependent manner, due to DNMT1 deletion in HAP1 cell line. The authors then identified L1TD1 associated RNAs using RIPSeq, which display a disconnect between transcript and protein abundance (via Tandem Mass Tag multiplex mass spectrometry analysis). The one exception was for L1TD1 itself, is consistent with a model in which the RNA transcripts associated with L1TD1 are not directly regulated at the translation level. Instead, the authors found L1TD1 protein associated with L1-RNPs and this interaction is associated with increased L1 retrotransposition, at least in the contexts of HAP1 cells. Overall, these results support a model in which L1TD1 is restrained by DNA methylation, but in the absence of this repressive mark, L1TD1 is expression, and collaborates with L1 ORF1p (either directly or through interaction with L1 RNA, which remains unclear based on current results), leads to enhances L1 retrotransposition. These results establish feasibility of this relationship existing in vivo in either development or disease, or both.

      Comments on revised version:

      In general, the authors did an acceptable job addressing the major concerns throughout the manuscript. This revision is much clearer and has improved in terms of logical progression.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      The authors have addressed all my questions in the revised version of the manuscript.

      Reviewer #2 (Recommendations for the authors):

      Revised comments:

      A few points we'd like to see addressed are our comments about the model (Figure S7C), as this is important for the readership to understand this complex finding. Please try to apply some quantification, if possible (question 8). Please do your best to tone down the direct relationship of these findings to embryology (question 11). Based on both reviewer comments, we believe addressing reviewer #1s "Suggestions for refinement" (2 points), would help us change our view of solid to convincing.

      Responses to changes:

      Major

      (1) The study only used one knockout (KO) cell line generated by CRISPR/Cas9.

      Considering the possibility of an off-target effect, I suggest the authors attempt one or both of these suggestions.

      A)  Generate or acquire a similar DMNT1 deletion that uses distinct sgRNAs, so that the likelihood of off-targets is negligible. A few simple experiments such as qRT-PCR would be sufficient to suggest the same phenotype.

      B)  Confirm the DNMT1 depletion also by siRNA/ASO KD to phenocopy the KO effect.

      (2) In addition to the strategies to demonstrate reproducibility, a rescue experiment restoring DNMT1 to the KO or KD cells would be more convincing. (Partial rescue would suffice in this case, as exact endogenous expression levels may be hard to replicate).

      We have undertook several approaches to study the effect of DNMT1 loss or inactivation: As described above, we have generated a conditional KO mouse with ablation of DNMT1 in the epidermis. DNMT1-deficient keratinocytes isolated from these mice show a significant increase in L1TD1 expression. In addition, treatment of primary human keratinocytes and two squamous cell carcinoma cell lines with the DNMT inhibitor aza-deoxycytidine led to upregulation of L1TD1 expression. Thus, the derepression of L1TD1 upon loss of DNMT1 expression or activity is not a clonal effect.

      Also, the spectrum of RNAs identified in RIP experiments as L1TD1-associated transcripts in HAP1 DNMT1 KO cells showed a strong overlap with the RNAs isolated by a related yet different method in human embryonic stem cells. When it comes to the effect of L1TD1 on L1-1 retrotranspostion, a recent study has reported a similar effect of L1TD1 upon overexpression in HeLa cells [4].

      All of these points together help to convince us that our findings with HAP1 DNMT KO are in agreement with results obtained in various other cell systems and are therefore not due to off-target effects. With that in mind, we would pursue the suggestion of Reviewer 1 to analyze the effects of DNA hypomethylation upon DNMT1 ablation.

      Thank you for addressing this concern. The reference to Beck 2021 and the additional cells lines (R2: keratinocytes and R3: squamous cell carcinoma) provides sufficient evidence that this result is unlikely to be a result of clonal expansion or off targets.

      Question: Was the human ES Cell RIP Experiment shown here? What is the overlap?

      We refer to the recently published study by Jin et al. (PMID: 38165001). As stated in the Discussion, the majority of L1TD1-associated transcripts in HAP1 cells (69%) identified in our study were also reported as L1TD1 targets in hESCs suggesting a conserved binding affinity of this domesticated transposon protein across different cell types.  

      (3) As stated in the introduction, L1TD1 and ORF1p share "sequence resemblance" (Martin 2006). Is the L1TD1 antibody specific or do we see L1 ORF1p if Fig 1C were uncropped?

      (6) Is it possible the L1TD1 antibody binds L1 ORF1p? This could make Figure 2D somewhat difficult to interpret. Some validation of the specificity of the L1TD1 antibody would remove this concern (see minor concern below).

      This is a relevant question. We are convinced that the L1TD1 antibody does not crossreact with L1 ORF1p for the following reasons: Firstly, the antibody does not recognize L1 ORF1p (40 kDa) in the uncropped Western blot for Figure 1C (Figure R4A). Secondly, the L1TD1 antibody gives only background signals in DKO cells in the indirect immunofluorescence experiment shown in Figure 1E of the manuscript.

      Thirdly, the immunogene sequence of L1TD1 that determines the specificity of the antibody was checked in the antibody data sheet from Sigma Aldrich. The corresponding epitope is not present in the L1 ORF1p sequence.

      Finally, we have shown that the ORF1p antibody does not cross-react with L1TD1 (Figure R4B).

      Response: Thank you for sharing these images. These full images relieve concerns about specificity. The increase of ORF1P in R4B and Main figure 3C is interesting and pointed out in the manuscript. Not for the purposes of this review, but the observation of reduced transposition despite increased ORF1P could be an interesting follow up to this study (combined with the similar UPF1 result could indicate a complex of some kind).

      (4) In abstract (P2), the authors mentioned that L1TD1 works as an RNA chaperone, but in the result section (P13), they showed that L1TD1 associates with L1 ORF1p in an RNA independent manner. Those conclusions appear contradictory. Clarification or revision is required.

      Our findings that both proteins bind L1 RNA, and that L1TD1 interacts with ORF1p are compatible with a scenario where L1TD1/ORF1p heteromultimers bind to L1 RNA. The additional presence of L1TD1 might thereby enhance the RNA chaperone function of ORF1p. This model is visualized now in Suppl. Figure S7C.

      Response: Thank you for the model. To further clarify, do you mean that L1TD1 can bind L1 RNA, but this is not needed for the effect, however this "bonus" binding (that is enabled by heteromultimerization) appears to enhance the retrotransposition frequency? Do you think L1TD1 is binding L1 RNA in this context or simply "stabilizing" ORF1P (Trimer) RNP?

      Based on our data, L1TD1 associates with L1 RNA and interacts with L1 ORF1p. Both features might contribute to the enhanced retrotransposition frequency. Interestingly, the L1TD1 protein shares with its ancestor L1 ORF1p the non-canonical RNA recognition motif and the coiled-coil motif required for the trimerization but has two copies instead of one of the C-terminal domain (CTD), a structure with RNA binding and chaperone function. We speculate that the presence of an additional CTD within the L1TD1 protein might thereby enhance the RNA binding and chaperone function of L1TD1/ORF1p heteromultimers.

      (5) Figure 2C fold enrichment for L1TD1 and ARMC1 is a bit difficult to fully appreciate. A 100 to 200-fold enrichment does not seem physiological. This appears to be a "divide by zero" type of result, as the CT for these genes was likely near 40 or undetectable. Another qRT-PCR based approach (absolute quantification) would be a more revealing experiment. This is the validation of the RIP experiments and the presentation mode is specifically developed for quantification of RIP assays (Sigma Aldrich RIP-qRT-PCR: Data Analysis Calculation Shell). The unspecific binding of the transcript in the absence of L1TD1 in DNMT1/L1TD1 DKO cells is set to 1 and the value in KO cells represents the specific binding relative the unspecific binding. The calculation also corrects for potential differences in the abundance of the respective transcript in the two cell lines. This is not a physiological value but the quantification of specific binding of transcripts to L1TD1. GAPDH as negative control shows no enrichment, whereas specifically associated transcripts show strong enrichement. We have explained the details of RIPqRT-PCR evaluation in Materials and Methods (page 14) and the legend of Figure 2C in the revised manuscript.

      Response: Thank you for the clarification and additional information in the manuscript.

      (6) Is it possible the L1TD1 antibody binds L1 ORF1p? This could make Figure 2D somewhat difficult to interpret. Some validation of the specificity of the L1TD1 antibody would remove this concern (see minor concern below).

      See response to (3).

      Response: Thanks.

      (7) Figure S4A and S4B: There appear to be a few unusual aspects of these figures that should be pointed out and addressed. First, there doesn't seem to be any ORF1p in the Input (if there is, the exposure is too low). Second, there might be some L1TD1 in the DKO (lane 2) and lane 3. This could be non-specific, but the size is concerning. Overexposure would help see this.

      The ORF1p IP gives rise to strong ORF1p signals in the immunoprecipitated complexes even after short exposure. Under these conditions ORF1p is hardly detectable in the input. Regarding the faint band in DKO HAP1 cells, this might be due to a technical problem during Western blot loading. Therefore, the input samples were loaded again on a Western blot and analyzed for the presence of ORF1p, L1TD1 and beta-actin (as loading control) and shown as separate panel in Suppl. Figure S4A.

      The enhanced image is clearer. Thanks.

      S4A and S4B now appear to the S6A and S6B, is that correct? (This is due to the addition of new S1 and S2, but please verify image orders were not disturbed).

      Yes, the input is shown now as a separate panel in Suppl. Figure S6A.

      (8) Figure S4C: This is related to our previous concerns involving antibody cross-reactivity. Figure 3E partially addresses this, where it looks like the L1TD1 "speckles" outnumber the ORF1p puncta, but overlap with all of them. This might be consistent with the antibody crossreacting. The western blot (Figure 3C) suggests an upregulation of ORF1p by at least 23x in the DKO, but the IF image in 3E is hard to tell if this is the case (slightly more signal, but fewer foci). Can you return to the images and confirm the contrast are comparable? Can you massively overexpose the red channel in 3E to see if there is residual overlap? In Figure 3E the L1TD1 antibody gives no signal in DNMT1/L1TD1 DKO cells confirming that it does not recognize ORF1p. In agreement with the Western blot in Figure 3C the L1 ORF1p signal in Figure 3E is stronger in DKO cells. In DNMT1 KO cells the L1 ORF1p antibody does not recognize all L1TD1 speckles. This result is in agreement with the Western blot shown above in Figure R4B and indicates that the L1 ORF1p antibody does not recognize the L1TD1 protein. The contrast is comparable and after overexposure there are still L1TD1 specific speckles. This might be due to differences in abundance of the two proteins.

      Response: Suggestion: Would it be possible to use a program like ImageJ to supplement the western blot observation? Qualitatively, In figure 3E, it appears that there is more signal in the DKO, but this could also be due to there being multiple cells clustered together or a particularly nicely stained region. Could you randomly sample 20-30 cells across a few experiments to see if this holds up. I am interested in whether the puncta in the KO image(s) is a very highly concentrated region and in the DKO this is more disperse. Also, the representative DKO seems to be cropped slightly wrong. (Please use puncta as a guide to make the cropping more precise)

      As suggested by the reviewer we have quantified the signals of 60 KO cells and 56 DKO cells in three different IF experiments by ImageJ. We measured a 1.4-fold higher expression level of L1 ORF1p in DKO cells. However, the difference is not statistically significant. This is most probably due to the change in cell size and protein content during the cell cycle with increasing protein contents from G1 to G2. Western blot analysis provides signals of comparable protein amounts representing an average expression levels over ten thousands of cells. Nevertheless, the quantification results reflect in principle the IF pictures shown in Figure 3E but IF is probably not the best method to quantify protein amounts. We have also corrected Figure 3E.

      Author response image 1.

      (9) The choice of ARMC1 and YY2 is unclear. What are the criteria for the selection?

      ARMC1 was one of the top hits in a pilot RIP-seq experiment (IP versus input and IP versus IgG IP). In the actual RIP-seq experiment with DKO HAP1 cells instead of IgG IP as a negative control, we found ARMC1 as an enriched hit, although it was not among the top 5 hits. The results from the 2nd RIP-seq further confirmed the validity of ARMC1 as an L1TD1interacting transcript. YY2 was of potential biological relevance as an L1TD1 target due to the fact that it is a processed pseudogene originating from YY1 mRNA as a result of retrotransposition. This is mentioned on page 6 of the revised manuscript.

      Response: Appreciated!

      (10) (P16) L1 is the only protein-coding transposon that is active in humans. This is perhaps too generalized of a statement as written. Other examples are readily found in the literature.

      Please clarify.

      We will tone down this statement in the revised manuscript.

      Response: Appreciated! To further clarify, the term "active" when it comes to transposable elements, has not been solidified. It can span "retrotransposition competent" to "transcripts can be recovered". There are quite a few reports of GAG transcripts and protein from various ERV/LTR subfamilies in various cells and tissues (in mouse and human at least), however whether they contribute to new insertions is actively researched.

      (11) In both the abstract and last sentence in the discussion section (P17), embryogenesis is mentioned, but this is not addressed at all in the manuscript. Please refrain from implying normal biological functions based on the results of this study unless appropriate samples are used to support them.

      Much of the published data on L1TD1 function are related to embryonic stem cells [3- 7].

      Therefore, it is important to discuss our findings in the context of previous reports.

      Response: It is well established that embryonic stem cells are not a perfect or direct proxies for the inner cell mass of embryos, as multiple reports have demonstrated transcriptomic, epigenetic, chromatin accessibility differences. The exact origin of ES cells is also considered controversial. We maintain that the distinction between embryos/embryogenesis and the results presented in the manuscript are not yet interchangeable. An important exception would be complex models of embryogenesis such as embryoids, (or synthetic/artificial embryo models that have been carefully been termed as such so as to not suggest direct implications to embryos). https://www.nature.com/articles/ncb2965  

      https://link.springer.com/article/10.1007/s00018-018-2965-y  

      https://www.cell.com/developmental-cell/abstract/S1534-5807(24)00363-0?_returnURL=https%3A%2F%2Flinkinghub.elsevier.com%2Fretrieve%2Fpii%2FS1534580724003630%3Fshowall%3Dtrue

      We have deleted the corresponding paragraph in the Discussion.

      (12) Figure 3E: The format of Figures 1A and 3E are internally inconsistent. Please present similar data/images in a cohesive way throughout the manuscript. We show now consistent IF Figures in the revised manuscript.

      Response: Thanks

      Minor:

      In general:

      Still need checking for typos, mostly in Materials and Methods section; Please keep a consistent writing style throughout the whole manuscript. If you use L1 ORF1p, then please use L1 instead of LINE-1, or if you keep LINE-1 in your manuscript, then you should use LINE-1 ORF1p.

      A lab member from the US checked again the Materials and Methods section for typos. We keep the short version L1 ORF1p.

      (1) Intro:

      - Is L1Td1 in mice and Humans? How "conserved" is it and does this suggest function? Murine and human L1TD1 proteins share 44% identity on the amino acid level and it was suggested that the corresponding genes were under positive selection during evolution with functions in transposon control and maintenance of pluripotency [8].

      - Why HAP1? (Haploid?) The importance of this cell line is not clear.

      HAP1 is a nearly haploid human cancer cell line derived from the KBM-7 chronic myelogenous leukemia (CML) cell line [9, 10]. Due to its haploidy is perfectly suited and widely used for loss-of-function screens and gene editing. After gene editing cells can be used in the nearly haploid or in the diploid state. We usually perform all experiments with diploid HAP1 cell lines. Importantly, in contrast to other human tumor cell lines, this cell line tolerates ablation of DNMT1. We have included a corresponding explanation in the revised manuscript on page 5, first paragraph.

      - Global methylation status in DNMT1 KO? (Methylations near L1 insertions, for example?)

      The HAP1 DNMT1 KO cell line with a 20 bp deletion in exon 4 used in our study was validated in the study by Smits et al. [11]. The authors report a significant reduction in overall DNA methylation. However, we are not aware of a DNA methylome study on this cell line. We show now data on the methylation of L1 elements in HAP1 cells and upon DNMT1 deletion in the revised manuscript in Suppl. Figure S1B.

      Response: Looks great!

      (2) Figure 1:

      - Figure 1C. Why is LMNB used instead of Actin (Fig1D)?

      We show now beta-actin as loading control in the revised manuscript.

      - Figure 1G shows increased Caspase 3 in KO, while the matching sentence in the result section skips over this. It might be more accurate to mention this and suggest that the single KO has perhaps an intermediate phenotype (Figure 1F shows a slight but not significant trend).

      We fully agree with the reviewer and have changed the sentence on page 6, 2nd paragraph accordingly.

      - Would 96 hrs trend closer to significance? An interpretation is that L1TD1 loss could speed up this negative consequence.

      We thank the reviewer for the suggestion. We have performed a time course experiment with 6 biological replicas for each time point up to 96 hours and found significant changes in the viability upon loss of DNMT1 and again significant reduction in viability upon additional loss of L1TD1 (shown in Figure 1F). These data suggest that as expected loss of DNMT1 leads to significant reduction viability and that additional ablation of L1TD1 further enhances this effect.

      Response: Looks good!

      - What are the "stringent conditions" used to remove non-specific binders and artifacts (negative control subtraction?)

      Yes, we considered only hits from both analyses, L1TD1 IP in KO versus input and L1TD1 IP in KO versus L1TD1 IP in DKO. This is now explained in more detail in the revised manuscript on page 6, 3rd paragraph.

      (3) Figure 2:

      - Figure 2A is a bit too small to read when printed.

      We have changed this in the revised manuscript.

      - Since WT and DKO lack detectable L1TD1, would you expect any difference in RIP-Seq results between these two?

      Due to the lack of DNMT1 and the resulting DNA hypomethylation, DKO cells are more similar to KO cells than WT cells with respect to the expressed transcripts.

      - Legend says selected dots are in green (it appears blue to me). We have changed this in the revised manuscript.

      - Would you recover L1 ORF1p and its binding partners in the KO? (Is the antibody specific in the absence of L1TD1 or can it recognize L1?) I noticed an increase in ORF1p in the KO in Figure 3C.

      Thank you for the suggestion. Yes, L1 ORF1p shows slightly increased expression in the proteome analysis and we have marked the corresponding dot in the Volcano plot (Figure 3A).

      - Should the figure panel reference near the (Rosspopoff & Trono) reference instead be Sup S1C as well? Otherwise, I don't think S1C is mentioned at all.

      - What are the red vs. green dots in 2D? Can you highlight ERV and ALU with different colors?

      We added the reference to Suppl. Figure S1C (now S3C) in the revised manuscript. In Figure 2D L1 elements are highlighted in green, ERV elements in yellow, and other associated transposon transcripts in red.

      Response: Much better, thanks!

      - Which L1 subfamily from Figure 2D is represented in the qRT-PCR in 2E "LINE-1"? Do the primers match a specific L1 subfamily? If so, which? We used primers specific for the human L1.2 subfamily.

      - Pulling down SINE element transcripts makes some sense, as many insertions "borrow" L1 sequences for non-autonomous retro transposition, but can you speculate as to why ERVs are recovered? There should be essentially no overlap in sequence.

      In the L1TD1 evolution paper [8], a potential link between L1TD1 and ERV elements was discussed:

      "Alternatively, L1TD1 in sigmodonts could play a role in genome defense against another element active in these genomes. Indeed, the sigmodontine rodents have a highly active family of ERVs, the mysTR elements [46]. Expansion of this family preceded the death of L1s, but these elements are very active, with 3500 to 7000 speciesspecific insertions in the L1-extinct species examined [47]. This recent ERV amplification in Sigmodontinae contrasts with the megabats (where L1TD1 has been lost in many species); there are apparently no highly active DNA or RNA elements in megabats [48]. If L1TD1 can suppress retroelements other than L1s, this could explain why the gene is retained in sigmodontine rodents but not in megabats."

      Furthermore, Jin et al. report the binding of L1TD1 to repetitive sequences in transcripts [12]. It is possible that some of these sequences are also present in ERV RNAs.

      Response: Interesting, thanks for sharing

      - Is S2B a screenshot? (the red underline).

      No, it is a Powerpoint figure, and we have removed the red underline.

      (4) Figure 3:

      - Text refers to Figure 3B as a western blot. Figure 3B shows a volcano plot. This is likely 3C but would still be out of order (3A>3C>3B referencing). I think this error is repeated in the last result section.

      - Figure and legends fail to mention what gene was used for ddCT method (actin, gapdh, etc.).

      - In general, the supplemental legends feel underwritten and could benefit from additional explanations. (Main figures are appropriate but please double-check that all statistical tests have been mentioned correctly).

      Thank you for pointing this out. We have corrected these errors in the revised manuscript.

      (5) Discussion:

      - Aluy connection is interesting. Is there an "Alu retrotransposition reporter assay" to test whether L1TD1 enhances this as well?

      Thank you for the suggestion. There is indeed an Alu retrotransposition reporter assay reported be Dewannieux et al. [13]. The assay is based on a Neo selection marker. We have previously tested a Neo selection-based L1 retrotransposition reporter assay, but this system failed to properly work in HAP1 cells, therefore we switched to a blasticidin based L1 retrotransposition reporter assay. A corresponding blasticidin-based Alu retrotransposition reporter assay might be interesting for future studies (mentioned in the Discussion, page 11 paragraph 4 of the revised manuscript.

      (6) Material and Methods :

      - The number of typos in the materials and methods is too numerous to list. Instead, please refer to the next section that broadly describes the issues seen throughout the manuscript.

      Writing style

      (1) Keep a consistent style throughout the manuscript: for example, L1 or LINE-1 (also L1 ORF1p or LINE-1 ORF1p); per or "/"; knockout or knock-out; min or minute; 3 times or three times; media or medium. Additionally, as TE naming conventions are not uniform, it is important to maintain internal consistency so as to not accidentally establish an imprecise version.

      (2) There's a period between "et al" and the comma, and "et al." should be italic.

      (3) The authors should explain what the key jargon is when it is first used in the manuscript, such as "retrotransposon" and "retrotransposition".

      (4) The authors should show the full spelling of some acronyms when they use it for the first time, such as RNA Immunoprecipitation (RIP).

      (5) Use a space between numbers and alphabets, such as 5 μg. (6) 2.0 × 105 cells, that's not an "x".

      (7) Numbers in the reference section are lacking (hard to parse).

      (8) In general, there are a significant number of typos in this draft which at times becomes distracting. For example, (P3) Introduction: Yet, co-option of TEs thorough (not thorough, it should be through) evolution has created so-called domesticated genes beneficial to the gene network in a wide range of organisms. Please carefully revise the entire manuscript for these minor issues that collectively erode the quality of this submission. Thank you for pointing out these mistakes. We have corrected them in the revised manuscript. A native speaker from our research group has carefully checked the paper. In summary, we have added Supplementary Figure S7C and have changed Figures 1C, 1E, 1F, 2A, 2D, 3A, 4B, S3A-D, S4B and S6A based on these comments.

      Response: Thank you for taking these comments on board!

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #1 (Public Review): 

      Summary: 

      The manuscript focuses on the role of the deubiquitinating enzyme UPS-50/USP8 in endosome maturation. The authors aimed to clarify how this enzyme drives the conversion of early endosomes into late endosomes. Overall, they did achieve their aims in shedding light on the precise mechanisms by which UPS-50/USP8 regulates endosome maturation. The results support their conclusions that UPS-50 acts by disassociating RABX-5 from early endosomes to deactivate RAB-5 and by recruiting SAND-1/Mon1 to activate RAB-7. This work is commendable and will have a significant impact on the field. The methods and data presented here will be useful to the community in advancing our understanding of endosome maturation and identifying potential therapeutic targets for diseases related to endosomal dysfunction. It is worth noting that further investigation is required to fully understand the complexities of endosome maturation. However, the findings presented in this manuscript provide a solid foundation for future studies. 

      We thank this reviewer for the instructive suggestions and encouragement.

      Strengths: 

      The major strengths of this work lie in the well-designed experiments used to examine the effects of UPS-50 loss. The authors employed confocal imaging to obtain a picture of the aftermath of the USP-50 loss. Their findings indicated enlarged early endosomes and MVB-like structures in cells deficient in USP-50/USP8. 

      We thank this reviewer for the instructive suggestions and encouragement.

      Weaknesses: 

      Specifically, there is a need for further investigation to accurately characterize the anomalous structures detected in the usp-50 mutant. Also, the correlation between the presence of these abnormal structures and ESCRT-0 is yet to be addressed, and the current working model needs to be revised to prevent any confusion between enlarged early endosomes and MVBs. 

      Excellent suggestions. USP8 has been identified as a protein associated with ESCRT components, which are crucial for endosomal membrane deformation and scission, leading to the formation of intraluminal vesicles (ILVs) within multivesicular bodies (MVBs). In usp-50 mutants, we observed a significant reduction in the punctate signals of HGRS-1::GFP and STAM-1 (Figure 1G and H; and Figure1-figure supplement 1B), indicating a disruption in ESCRT-0 complex localization (Author response image 1). Additionally, lysosomal structures are markedly reduced in these mutants. In contrast, we found that early endosomes, as marked by FYVE, RAB-5, RABEX5, and EEA1, are significantly enlarged in usp-50 mutants. Electron microscopy (EM) imaging further revealed an increase in large cellular vesicles containing various intraluminal structures. Given the reduction in lysosomal structures and the enlargement of early endosomes in usp-50 mutants, these enlarged vesicles are likely aberrant early endosomes rather than late endosomal or lysosomal structures. To address potential confusion, we have revised the manuscript according to the reviewer's comments and updated the model to accurately reflect these observations.

      Reviewer #2 (Public Review): 

      Summary: 

      In this study, the authors study how the deubiquitinase USP8 regulates endosome maturation in C. elegans and mammalian cells. The authors have isolated USP8 mutant alleles in C. elegans and used multiple in vivo reporter lines to demonstrate the impact of USP8 loss-of-function on endosome morphology and maturation. They show that in USP8 mutant cells, the early endosomes and MVB-like structures are enlarged while the late endosomes and lysosomal compartments are reduced. They elucidate that USP8 interacts with Rabx5, a guanine nucleotide exchange factor (GEF) for Rab5, and show that USP8 likely targets specific lysine residue of Rabx5 to dissociate it from early endosomes. They also find that the localization of USP8 to early endosomes is disrupted in Rabx5 mutant cells. They observe that in both Rabx5 and USP8 mutant cells, the Rab7 GEF SAND-1 puncta which likely represents late endosomes are diminished, although Rabex5 is accumulated in USP8 mutant cells. The authors provide evidence that USP8 regulates endosomal maturation in a similar fashion in mammalian cells. Based on their observations they propose that USP8 dissociates Rabex5 from early endosomes and enhances the recruitment of SAND-1 to promote endosome maturation. 

      We thank this reviewer for the instructive suggestions and encouragement.

      Strengths: 

      The major highlights of this study include the direct visualization of endosome dynamics in a living multi-cellular organism, C. elegans. The high-quality images provide clear in vivo evidence to support the main conclusions. The authors have generated valuable resources to study mechanisms involved in endosome dynamics regulation in both the worm and mammalian cells, which would benefit many members of the cell biology community. The work identifies a fascinating link between USP8 and the Rab5 guanine nucleotide exchange factor Rabx5, which expands the targets and modes of action of USP8. The findings make a solid contribution toward the understanding of how endosomal trafficking is controlled. 

      We thank this reviewer for the instructive suggestions and encouragement.

      Weaknesses: 

      - The authors utilized multiple fluorescent protein reporters, including those generated by themselves, to label endosomal vesicles. Although these are routine and powerful tools for studying endosomal trafficking, these results cannot tell whether the endogenous proteins (Rab5, Rabex5, Rab7, etc.) are affected in the same fashion. 

      Good suggestion. Indeed, to test whether the endogenous proteins (Rab5, Rabex5, Rab7, etc.) are affected in the same fashion as fluorescent protein reporters, we supplemented our approach with the utilization of endogenous markers. These markers, including Rab5, RAB-5, Rabex5, RABX-5, and EEA1 for early endosomes, as well as RAB-7, Mon1a, and Mon1b for late endosomes, were instrumental in our investigations (refer to Figure 3, Figure 6, Figure 5-figure supplement 1, Figure 5-figure supplement 2, and Figure 6-figure supplement 1). Our comprehensive analysis, employing various methodologies such as tissue-specific fused proteins, CRISPR/Cas9 knock-in, and antibody staining, consistently highlights the critical role of USP8 in early-to-late endosome conversion.

      - The authors clearly demonstrated a link between USP8 and Rabx5, and they showed that cells deficient in both factors displayed similar defects in late endosomes/lysosomes. However, the authors didn't confirm whether and/or to which extent USP8 regulates endosome maturation through Rabx5. Additional genetic and molecular evidence might be required to better support their working model. 

      Excellent point. To test whether USP-50 regulates endosome maturation through RABX-5, we performed additional genetic analyses. In rabx-5(null) mutant animals, the morphology of 2xFYVE-labeled early endosomes is comparable to that of wild-type controls (Figure 4H and I). Introducing the rabx-5(null) mutation into usp-50(xd413) backgrounds resulted in a significant suppression of the enlarged early endosome phenotype characteristic of usp-50(xd413) mutants (Figure 4H and I). These findings suggest that USP-50 may modulate the size of early endosomes through its interaction with RABX-5.

      Reviewer #3 (Public Review): 

      Summary: 

      The authors were trying to elucidate the role of USP8 in the endocytic pathway. Using C. elegans epithelial cells as a model, they observed that when USP8 function is lost, the cells have a decreased number and size in lysosomes. Since USP8 was already known to be a protein linked to ESCRT components, they looked into what role USP8 might play in connecting lysosomes and multivesicular bodies (MVB). They observed fewer ESCRT-associated vesicles but an increased number of "abnormal" enlarged vesicles when USP8 function was lost. At this specific point, it's not clear what the objective of the authors was. What would have been their hypothesis addressing whether the reduced lysosomal structures in USP8 (-) animals were linked to MVB formation? Then they observed that the abnormally enlarged vesicles, marked by the PI3P biosensor YFP-2xFYVE, are bigger but in the same number in USP8 (-) compared to wild-type animals, suggesting homotypic fusion. They confirmed this result by knocking down USP8 in a human cell line, and they observed enlarged vesicles marked by YFP-2xFYVE as well. At this point, there is quite an important issue. The use of YFP-2xFYVE to detect early endosomes requires the transfection of the cells, which has already been demonstrated to produce differences in the distribution, number, and size of PI3P-positive vesicles (doi.org/10.1080/15548627.2017.1341465). The enlarged vesicles marked by YFP-2xFYVE would not necessarily be due to the loss of UPS8. In any case, it appears relatively clear that USP8 localizes to early endosomes, and the authors claim that this localization is mediated by Rabex-5 (or Rabx-5). They finally propose that USP8 dissociates Rabx-5 from early endosomes facilitating endosome maturation. 

      Weaknesses: 

      The weaknesses of this study are, on one side, that the results are almost exclusively dependent on the overexpression of fusion proteins. While useful in the field, this strategy does not represent the optimal way to dissect a cell biology issue. On the other side, the way the authors construct the rationale for each approximation is somehow difficult to follow. Finally, the use of two models, C. elegans and a mammalian cell line, which would strengthen the observations, contributes to the difficulty in reading the manuscript. 

      The findings are useful but do not clearly support the idea that USP8 mediates Rab5-Rab7 exchange and endosome maturation, In contrast, they appear to be incomplete and open new questions regarding the complexity of this process and the precise role of USP8 within it. 

      We thank this reviewer for the insightful comments. Fluorescence-fused proteins serve as potent tools for visualizing subcellular organelles both in vivo and in live settings. Specifically, in epidermal cells of worms, the tissue-specific expression of these fused proteins is indispensable for studying organelle dynamics within living organisms. This approach is necessitated by the inherent limitations of endogenously tagged proteins, whose fluorescence signals are often weak and unsuitable for live imaging or genetic screening purposes. Acknowledging concerns raised by the reviewer regarding potential alterations in organelle morphology due to overexpression of certain fused proteins, we supplemented our approach with the utilization of endogenous markers. These markers, including Rab5, RAB-5, Rabex5, RABX-5, and EEA1 for early endosomes, as well as RAB-7, Mon1a, and Mon1b for late endosomes, were instrumental in our investigations (refer to Figure 3, Figure 6, Figure 5-figure supplement 1, Figure 5-figure supplement 2, and Figure 6-figure supplement 1). Our comprehensive analysis, employing various methodologies such as tissue-specific fused proteins, CRISPR/Cas9 knock-in, and antibody staining, consistently highlights the critical role of USP8 in early-to-late endosome conversion. Specifically, we discovered that the recruitment of USP-50/USP8 to early endosomes is depending on Rabex5. However, instead of stabilizing Rabex5, the recruitment of USP-50/USP8 leads to its dissociation from endosomes, concomitantly facilitating the recruitment of the Rab7 GEF SAND-1/Mon1. In cells with loss-of-function mutations in usp-50/usp8, we observed enhanced RABX-5/Rabex5 signaling and mis-localization of SAND-1/Mon1 proteins from endosomes. Consequently, this disruption impairs endolysosomal trafficking, resulting in the accumulation of enlarged vesicles containing various intraluminal contents and rudimentary lysosomal structures.

      Through an unbiased genetic screen, verified by cultured mammalian cell studies, we observed that loss-of-function mutations in usp-50/usp8 result in diminished lysosome/late endosomes. Electron microscopy (EM) analysis indicated that usp-50 mutation leads to abnormally enlarged vesicles containing various intraluminal structures in worm epidermal cells. USP8 is known to regulate the endocytic trafficking and stability of numerous transmembrane proteins. Given that lysosomes receive and degrade materials generated by endocytic pathways, we hypothesized that the abnormally enlarged vesicular structures observed in usp-50 or usp8 mutant cells correspond to the enlarged vesicles coated by early endosome markers. Indeed, in the absence of usp8/usp-50, the endosomal Rab5 signal is enhanced, while early endosomes are significantly enlarged. Given that Rab5 guanine nucleotide exchange factor (GEF), Rabex5, is essential for Rab5 activation, we further investigated its dynamics. Additional analyses conducted in both worm hypodermal cells and cultured mammalian cells revealed an increase of endosomal Rabex5 in response to usp8/usp-50 loss-of-function. Live imaging studies further demonstrated active recruitment of USP8 to newly formed Rab5-positive vesicles, aligning spatiotemporally with Rabex5 regulation. Through systematic exploration of putative USP-50 binding partners on early endosomes, we identified its interaction with Rabex5. Comprehensive genetics and biochemistry experiments demonstrated that USP8 acts through K323 site de-ubiquitination to dissociate Rabex5 from early endosomes and promotes the recruitment of the Rab7 GEF SAND-1/Mon1. In summary, our study began with an unbiased genetic screen and subsequent examination of established theories, leading to the formulation of our own hypothesis. Through multifaceted approaches, we unveiled a novel function of USP8 in early-to-late endosome conversion.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) Within Figures 1K-N, diverse anomalous structures were detected in the usp-50 mutant. Further scrutiny is needed to definitively characterize these structures, particularly as the images in Figures 1M and 1L exhibit notable similarities to lamellar bodies.

      We thank the reviewer for the insightful question regarding the resemblance between the vesicles observed in our study and lamellar bodies (LBs). Lamellar bodies are specialized organelles involved in lipid storage and secretion1, prominently studied in keratinocytes of the skin and alveolar type II (ATII) epithelial cells in the lung2. These organelles contain not only lipids but also cell-type specific proteins and lytic enzymes. Due to their acidic pH and functional similarities, LBs are classified as lysosome-related organelles (LROs) or secretory lysosomes3,4. In usp-50 mutants, we observed a considerable number of abnormal vesicles, some of which contain threadlike membrane structures and exhibit morphological similarities to LBs (Figure 2O). However, further analysis with a comprehensive panel of lysosome-related markers demonstrated a significant reduction in lysosomal structures within these mutants. In contrast, vesicles marked by early endosome markers, such as FYVE, RAB-5, RABX-5, and EEA1, were notably enlarged. These results suggest that the enlarged vesicles observed in usp-50 mutants are more likely aberrant early endosomes rather than true lamellar bodies. We have revised the manuscript to reflect these findings and to clearly differentiate between these structures and lysosome-related organelles.

      (2) The correlation between the presence of these abnormal structures and ESCRT-0 remains unaddressed, thus the assertion that UPS-50 regulates endolysosome trafficking in conjunction with ESCRT-0 lacks empirical support.

      We thank the reviewer for the valuable suggestions. We apologize for any confusion and appreciate the opportunity to clarify our findings. The ESCRT machinery is essential for driving endosomal membrane deformation and scission, which leads to the formation of intraluminal vesicles (ILVs) within multivesicular bodies (MVBs). Recent research has shown that the absence of ESCRT components results in a reduction of ILVs in worm gut cells5. In wild type animals, the ESCRT-0 components HGRS-1 and STAM-1 display a distinct punctate distribution (Figure 1G and H). However, in usp-50 mutants, the punctate signals of HGRS-1::GFP and STAM-1::GFP are significantly reduced (Figure 1G and H; and Figure 1-figure supplement 1B), indicating a role for USP-50 in stabilizing the ESCRT-0 complex. Our TEM analysis revealed an accumulation of abnormally enlarged vesicles containing intraluminal structures in usp-50 mutants. When we examined a panel of early endosome and late endosome/lysosome markers, we found that early endosomes are significantly enlarged, while late endosomal/lysosomal structures are markedly reduced in these mutants. This suggests that the abnormal structures observed in usp-50 mutants are likely enlarged early endosomes rather than classical MVBs. To further investigate whether the reduction in ESCRT components contributes to the late endosome/lysosome defects, we analyzed stam-1 mutants. In these mutants, the size of RAB-7-coated vesicles was reduced (Author response image 1C), and the lysosomal marker LAAT-1 indicated a reduction in lysosomal structures (Author response image 1B). These results highlight the importance of the ESCRT complex in late endosome/lysosome formation. However, the morphology of early endosomes, as marked by 2xFYVE, remained similar to that of wild type in stam-1 mutants (Author response image 1A). Therefore, while reduced ESCRT-0 components may contribute to the late endosome/lysosome defects observed in usp-50 mutants, the enlargement of early endosomes in these mutants may involve additional mechanisms. We have revised the manuscript to incorporate these insights and to address the reviewer's comments more comprehensively.

      Author response image 1.

      (A) Confocal fluorescence images of hypodermis expressing YFP::2xFYVE to detect EEs in L4 stage animals in wild type and stam-1(ok406) mutants. Scale bar: 5 μm. (B) Confocal fluorescence images of hypodermal cell 7 (hyp7) expressing the LAAT-1::GFP marker to highlight lysosome structures in 3-day-old adult animals. Compared to wild type, LAAT-1::GFP signal is reduced in stam-1(ok406) animals. Scale bar, 5 μm. (C) The reduction of punctate endogenous GFP::RAB-7 signals in stam-1(ok406) animals. Scale bar: 10 μm.

      (3) Endosomal dysfunction typically leads to significant alterations in the spatial arrangement of marker proteins across distinct endosomes. In the manuscript, the authors examined the distribution and morphology of early endosomes, multivesicular bodies (MVBs), late endosomes, and lysosomes in a usp-50 deficient background primarily through single-channel confocal imaging. By employing two color images showing RAB-5 and RAB-7, in conjunction with HGRS-1, a more comprehensive picture of the aftermath of USP-50 loss can be obtained.

      Good suggestions. We have conducted a double-labeling analysis to examine the distribution of RAB-5 and RAB-7 in conjunction with HGRS-1. In wild type animals, HGRS-1 exhibits a punctate distribution that is partially co-localized with both RAB-5 and RAB-7. In contrast, in usp-50 mutants, the punctate signal of HGRS-1 is significantly reduced, along with its co-localization with RAB-5 and RAB-7 (Author response image 2). These results suggest that, in the absence of USP-50, the stabilization of ESCRT-0 components on endosomes is compromised.

      Author response image 2.

      ESCRT-0 is adjacent to both early endosomes and late endosomes. (A) Confocal fluorescence images of wild-type and usp-50(xd413) hypodermis at L4 stage co-expressing HGRS-1::GFP (hgrs-1 promoter) and endogenous wrmScarlet::RAB-5. (B) HGRS-1 and RAB-5 puncta were analyzed to produce Manders overlap coefficient M1 (HGRS-1/RAB-5) and M2 (RAB-5/HGRS-1) (N=10). (C) Confocal fluorescence images of wild-type and usp-50(xd413) hypodermis at L4 stage co-expressing HGRS-1::GFP (hgrs-1 promoter) and endogenous wrmScarlet::RAB-7. (D) HGRS-1 and RAB-7 puncta were analyzed to produce Manders overlap coefficient M1 (HGRS-1/RAB-7) and M2 (RAB-7/HGRS-1) (N=10). Scale bar: 10 μm for (A) and (C).

      (4) The authors observed enlarged early endosomes in cells depleted of usp-50/usp8, along with enlarged MVB-like structures identified through TEM. The potential identity of these structures as the same organelle could be determined using CLEM.

      We thank the reviewer for the valuable suggestion. Our TEM analysis identified a large number of abnormally enlarged vesicles with various intraluminal structures accumulated in usp-50 mutants. As the reviewer correctly noted, CLEM (correlative light and electron microscopy) would be an ideal approach to further characterize these structures. We have been attempting to implement CLEM in C. elegans for a few years. Given that CLEM relies on fluorescence markers, in this study we focused on two tagged proteins, RAB-5 and RABX-5, which show enlargement in their vesicles in usp-50 mutants. Unfortunately, we encountered significant challenges with this approach, as the GFP-tagged RAB-5 and RABX-5 signals did not survive the electron microscopy procedure. Attempts to align EM sections with residual GFP signaling yielded results that were not convincing. Consequently, we concentrated our analysis on a panel of molecular markers, including 2xFYVE, RAB-5, RABX-5, RAB-7, and LAAT-1. These markers consistently indicated that early endosomes are specifically enlarged in usp-50 mutants, while late endosomal/lysosomal structures are notably reduced. Thus, the abnormal structures identified in usp-50 mutants via TEM are likely to be enlarged early endosomes rather than the classical view of MVBs. We have revised the manuscript to reflect these findings and to clarify this point.

      (5) The working model depicted in Figure 6 Y (right) requires revision, as it has the potential to mislead authors into mistaking enlarged early endosomes for multivesicular bodies (MVBs).

      We thank the reviewer for the excellent suggestion. We have revised the model to clarify that it is the enlarged early endosomes, rather than MVBs, that are observed in usp-50 mutants.

      Reviewer #2 (Recommendations For The Authors):

      (1) Is there any change of Rabx5 protein level in USP8/USP50 mutant cells?

      Good question. In the absence of usp-50/usp8, we indeed observed a noticeable increase in the signal of Rabex5 on endosomes. To determine whether usp-50/usp8 affects the protein level of Rabex5, we investigated the endogenous levels of RABX-5 using the RABX-5::GFP knock-in line. Compared to wild-type controls, we found an elevated protein level of RABX-5::GFP in the knock-in line (Author response image 3). This suggests that USP-50 may play a role in the destabilization of RABX-5/Rabex5 in vivo.

      Author response image 3.

      The endogenous RABX-5 protein level is increased in usp-50 mutants. (A) The RABX-5::GFP KI protein level is increased in usp-50(xd413). (B) Quantification of endogenous RABX-5::GFP protein level in wild type and usp-50(xd413) mutant animals.

      (2) It is interesting that "The rabx-5(null) animals are healthy and fertile and do not display obvious morphological or behavioral defects.", which seems contrary to its role in regulating USP8 localization and endosome maturation.

      It has been previously documented that rabx-5 functions redundantly with rme-6, another RAB-5 GEF in C. elegans, to regulate RAB-5 localization in oocytes6. RNA interference (RNAi) targeting rabx-5 in a rme-6 mutant background results in synthetic lethality, whereas neither rabx-5 nor rme-6 single mutants are essential for worm viability. RME-6 co-localizes with clathrin-coated pits, while Rabex-5 is localized to early endosomes. Rabex-5 forms a stable complex with Rabaptin-5 and is part of a large EEA1-positive complex on early endosomes, whereas RME-6 does not interact with Rabaptin-5 (RABN-5) or EEA-1. These findings suggest that while RME-6 and RABX-5 may function redundantly, they likely play distinct roles in regulating intracellular trafficking processes. In the absence of RABX-5, USP-50 appears to lose its endosomal localization, although the size of the early endosome remains comparable to that of wild type. This observation contrasts with the phenotype associated with USP-50 loss-of-function, in which the early endosome is notably enlarged. These results suggest that residual USP-50 present in the endosomes is sufficient to maintain its role in the endocytic pathway. Conversely, the complete absence of USP-50 likely disrupts the transition of early endosomes to late endosomes, indicating a crucial role of USP-50 in this conversion process. It is also noteworthy that, although loss-of-function of rabx-5 does not result in obvious changes to early endosomes, increasing the gene expression level of rabx-5/Rabex-5 alone is sufficient to cause enlargement of early endosomes (Author response image 4) . Indeed, we observed that loss-of-function mutations in u_sp-50/usp_8 lead to abnormally enlarged early endosomes, accompanied by an enhanced signal of endosomal RABX-5. When the rabx-5(null) mutation was introduced into usp-50 mutant animals, the enlarged early endosome phenotype seen in usp-50 mutants was significantly suppressed (Figure 4H and I). This implies that maintaining a lower level of Rab5 GEF may be crucial for endolysosomal trafficking.

      (3) Does Rabx5 mutation has any impact on early endosomes?

      To address the question, we utilized the CRISPR/Cas9 technique to create a molecular null for rabx-5 (Figure 4E). In the rabx-5(null) mutant animals, we found that the 2xFYVE-labeled early endosomes are indistinguishable from wild type (Figure 4H and 4I). Given that r_abx-5_ functions redundantly with rme-6, another RAB-5 GEF in C. elegans, it is likely that the regulation of early endosome size involves a cooperative interaction between RABX-5 and RME-6.

      (4) The authors observed a reduction of ESCRT-0 components in USP8 mutant cells, could this contribute to the late endosome/lysosome defects?

      Good suggestion. In wild-type animals, the two ESCRT-0 components, HGRS-1 and STAM-1, exhibit a distinct punctate distribution (Figure 1G and H). However, in usp-50 mutants, the punctate signals of HGRS-1::GFP and STAM-1::GFP are significantly diminished (Figure 1G and H; and Figure 1-figure supplement 1B), which aligns with the role of USP-50 in stabilizing the ESCRT-0 complex. To investigate whether the reduction in ESCRT components might contribute to defects in late endosome/lysosome formation, we examined stam-1 mutants. In stam-1 mutants, we observed a reduction in the size of RAB-7-coated vesicles (Author response image 1). Further, when we introduced the lysosomal marker LAAT-1::GFP into stam-1 mutants, we found a substantial decrease in lysosomal structures compared to wild-type animals (Author response image 1). This suggests that the ESCRT complex is essential for proper late endosome/lysosome formation. In contrast, the morphology of early endosomes, as indicated by the 2xFYVE marker, appeared normal in stam-1 mutants, similar to wild-type animals (Author response image 1). This implies that while a reduction in ESCRT-0 components may contribute to the late endosome/lysosome defects observed in usp-50 mutants, the early endosome enlargement phenotype in _usp-5_0 mutants may involve additional mechanisms.

      (5) Rabx5 is accumulated in USP8 mutant cells, I am very curious about the phenotype of USP8-Rabx5 double mutants. Could over-expression of Rabx5 (wild type or mutant forms) cause any defects?

      Excellent suggestions. To address the question, we employed the CRISPR/Cas9 technique to create a molecular null for rabx-5 (Figure 4E). In the rabx-5(null) mutant animals, we observed that the punctate USP-50::GFP signal became diffusely distributed (Figure 4F and G). This suggests that rabx-5 is necessary for the endosomal localization of USP-50. Interestingly, in rabx-5(null) mutant animals, the 2xFYVE-labeled early endosomes appeared similar to those in wild-type animals (Figure 4H and I). When rabx-5(null) was introduced into usp-50 mutant animals, the enlarged early endosome phenotype observed in usp-50 was significantly suppressed (Figure 4H and I). This finding indicates that usp-50 indeed functions through rabx-5 to regulate early endosome size. Additionally, we constructed strains overexpressing either wild-type or K323R mutant RABX-5. Our results showed that overexpression of wild-type RABX-5 led to early endosome enlargement (as indicated by YFP::2xFYVE labeling) (Author response image 4A, B and D). In contrast, overexpression of the K323R mutant RABX-5 did not result in noticeable early endosome enlargement (Author response image 4A, C and D). Together, these data are in consistent with our model that USP-50 may regulate RABX-5 by deubiquitinating the K323 site.

      Author response image 4.

      (A-C) Over-expression wild type RABX-5 causes enlarged EEs (labeled by YFP::2xFYVE) while RABX-5(K323R) mutant form does not. (D) Quantification of the volume of individual YFP::2xFYVE vesicles. Data are presented as mean ± SEM. ****P<0.0001. ns, not significant. One-way ANOVA with Tukey’s test.

      (6) Rabx5 could be ubiquitinated at K88 and K323, and Rabx5-K323R showed different activity when compared with the wild-type protein in USP8 mutant cells. Could the authors provide evidence that USP8 could remove the ubiquitin modification from K323 in Rabx5 protein?

      We appreciate the reviewer's insightful suggestions. To explore the potential of USP-50 in removing ubiquitin modifications from lysine 323 on the RABX-5 protein, we undertook a series of experiments. Initially, we sought to determine whether USP-50 influences the ubiquitination level of RABX-5 in vivo. However, due to the low expression levels of USP-50, we encountered challenges in obtaining adequate amounts of USP-50 protein from worm lysates. To overcome this, we expressed USP-50::4xFLAG in HEK293 cells for subsequent affinity purification. Concurrently, we utilized anti-GFP agarose beads to purify RABX-5::GFP from worms expressing the rabx-5::gfp construct. We then incubated RABX-5::GFP with USP-50::4xFLAG for varying durations and performed immunoblotting with an anti-ubiquitin antibody. As shown in Author response image 5A, our results revealed a decrease in the ubiquitination level of RABX-5 in the presence of USP-50, suggesting that USP-50 directly deubiquitinates RABX-5. Previous studies have indicated that only a minor fraction of recombinant RABX-5 undergoes ubiquitination in HeLa cells, which is believed to have functional significance7. Our findings are consistent with this observation, as only a small fraction of RABX-5 in worms is ubiquitinated. Rabex-5 is known to interact with both K63- and K48-linked poly-ubiquitin chains. To further elucidate whether USP-50 specifically targets K48 or K63-linked ubiquitination at the K323 site of RABX-5, we incubated various HA-tagged ubiquitin mutants with either wild-type or K323R mutant RABX-5 protein. Our results indicated that the K323R mutation reduces K63-linked ubiquitination of RABX-5 (Author response image 5). This experiment was repeated multiple times with consistent results. Additionally, while overexpression of wild-type RABX-5 led to an enlargement of early endosomes, as evidenced by YFP::2xFYVE labeling, overexpression of the K323R mutant did not produce a noticeable effect on endosome size (Author response image 4). Collectively, this finding indicates that RABX-5 is subject to ubiquitin modification in vivo and that USP-50 plays a significant role in regulating this modification at the K323 site.

      Author response image 5.

      (A) RABX-5::GFP protein was purified from worm lysates using anti-GFP antibody. FLAG-tagged USP-50 was purified from HEK293T cells using anti-FLAG antibody. Purified RABX-5::GFP was incubated with USP-50::4FLAG for indicated times (0, 15, 30, 60 mins), followed by immunoblotting using antibody against ubiquitin, FLAG or GFP. In the presence of USP-50::4xFLAG, the ubiquitination level of RABX-5::GFP is decreased. (B) Quantification of RABX-5::GFP ubiquitination level from three independent experiments. (C) HEK293T cells were transfected with HA-Ub or indicated mutants and 4xFLAG tagged RABX-5 or RABX-5 K323R mutant for 48h. The cells were subjected to pull down using the FLAG beads, followed by immunoblotting using antibody against HA or Flag.

      (7) The authors described "the almost identical phenotype of usp-50/usp8 and sand-1/Mon1 mutants", found protein-protein interaction between USP8 and sand-1, and showed that sand1-GFP signal is diminished in USP8 mutant cells. These observations fit with the possibility that USP8 regulates the stability of sand-1 to promote endosomal maturation. Could this be tested and integrated into the current model?

      are grateful for the insightful comments provided by the reviewer. Rab5, known to be activated by Rabex-5, plays a crucial role in the homotypic fusion of early endosomes. Rab5 effectors also include the Rab7 GEF SAND-1/Mon1–Ccz1 complex. Rab7 activation by SAND-1/Mon1-Ccz1 complex is essential for the biogenesis and positioning of late endosomes (LEs) and lysosomes, and for the fusion of endosomes and autophagosomes with lysosomes. The Mon1-Ccz1 complex is able to interact with Rabex5, causing dissociation of Rabex5 from the membrane, which probably terminates the positive feedback loop of Rab5 activation and then promotes the recruitment and activation of Rab7 on endosomes. In our study, we identified an interaction between USP-50 and the Rab5 GEF, RABX-5. In the absence of USP-50, we observed an increased endosomal localization of RABX-5 and the formation of abnormally enlarged early endosomes. This phenotype is reminiscent of that seen in sand-1 loss-of-function mutants, which also exhibit enlarged early endosomes and a concomitant reduction in late endosomes/lysosomes. Notably, USP-50 also interacts with SAND-1, suggesting a potential role in regulating its localization. We could propose several models to elucidate how USP-50 might influence SAND-1 localization, including:

      (1) USP-50 may stabilize SAND-1 through direct de-ubiquitination.

      (2) In the absence of USP-50, the sustained presence of RABX-5 could lead to continuous Rab5 activation, which might hinder or delay the recruitment of SAND-1.

      (3) USP-50 could facilitate SAND-1 recruitment by promoting the dissociation of RABX-5.

      We are actively investigating these models in our laboratory. Due to space constraints, a more detailed exploration of how USP-50 regulates SAND-1 stability will be presented in a separate publication.

      References:

      (1) Schmitz, G., and Müller, G. (1991). Structure and function of lamellar bodies, lipid-protein complexes involved in storage and secretion of cellular lipids. J Lipid Res 32, 1539-1570.

      (2) Dietl, P., and Frick, M. (2021). Channels and Transporters of the Pulmonary Lamellar Body in Health and Disease. Cells-Basel 11. https://doi.org/10.3390/cells11010045.

      (3) Raposo, G., Marks, M.S., and Cutler, D.F. (2007). Lysosome-related organelles: driving post-Golgi compartments into specialisation. Current opinion in cell biology 19, 394-401. https://doi.org/10.1016/j.ceb.2007.05.001.

      (4) Weaver, T.E., Na, C.L., and Stahlman, M. (2002). Biogenesis of lamellar bodies, lysosome-related organelles involved in storage and secretion of pulmonary surfactant. Semin Cell Dev Biol 13, 263-270. https://doi.org/10.1016/s1084952102000551.

      (5) Ott, D.P., Desai, S., Solinger, J.A., Kaech, A., and Spang, A. (2024). Coordination between ESCRT function and Rab conversion during endosome maturation. bioRxiv, 2024.2005.2014.594104. https://doi.org/10.1101/2024.05.14.594104.

      (6) Sato, M., Sato, K., Fonarev, P., Huang, C.J., Liou, W., and Grant, B.D. (2005). Caenorhabditis elegans RME-6 is a novel regulator of RAB-5 at the clathrin-coated pit. Nature cell biology 7, 559-569. https://doi.org/10.1038/ncb1261.

      (7) Mattera, R., Tsai, Y.C., Weissman, A.M., and Bonifacino, J.S. (2006). The Rab5 guanine nucleotide exchange factor Rabex-5 binds ubiquitin (Ub) and functions as a Ub ligase through an atypical Ub-interacting motif and a zinc finger domain. The Journal of biological chemistry 281, 6874-6883. https://doi.org/10.1074/jbc.M509939200.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #1 (Public Review):

      Comments on revisions)

      The authors have done a good job at revising the manuscript to put this work into the context of earlier work on brainstem central pattern generators.

      Thank you.

      I still believe the case for the method is not as convincing as it would have been if the method had been validated first on oscillations produced by a known CPG model. Why would the inference of synaptic types from the model CPG voltage oscillations be predetermined? Such inverse problems are quite complicated and their solution is often not unique or sufficiently constrained. Recovering synaptic weights (or CPG parameters) from limited observations of a highly nonlinear system is not warranted (Gutenkunst et al., Universally sloppy parameter sensitivities in systems biology models, PLoS Comp. Biol. 2007; www.doi.org/10.1371/journal.pcbi.0030189) especially when using surrogate biological models like Hodgkin-Huxley models.

      The model of the CPG is irrelevant for such a test of validity because what we reconstruct are postsynaptic conductances of an individual neuron. The network creates a periodic input to this neuron and thus forms a periodic pattern of excitatory and inhibitory conductances. The nature of this input, whether autonomously generated or created artificially (say by periodic optogenetic stimulation), is generally not important. To illustrate this, we used a one-compartment conductance-based (Hodgkin-Huxley style) model neuron incorporating a certain common set of channels (fast sodium (I<sub>NaF</sub>), potassium delayed rectifier (I<sub>Kdr</sub>), persistent sodium (I<sub>NaP</sub>), calcium-dependent potassium (I<sub>KCa</sub>), and cationic non-specific current (I<sub>CAN</sub>)), as well as excitatory and inhibitory synaptic channels whose conductances were implemented as predefined periodic functions. The test suggested by the reviewer would be to implement a current-step protocol similar to the experiments and apply our technique to see if the reconstructed conductance profiles match those predefined functions. Below we show the reconstruction steps for the following arbitrarily chosen pattern:

      𝑔<sub>𝐸𝑋𝐶</sub>(𝑡) /𝑔<sub>𝐿𝐸𝐴𝐾</sub> = 0.1(1 + sin(π𝑡)) and 𝑔<sub>𝐼𝑁𝐻</sub>(𝑡)/𝑔<sub>𝐿𝐸𝐴𝐾</sub> = 0.1 (1 + cos(π𝑡)). Author response image 1 below shows the baseline activity of this model neuron in the absence of the injected current.

      Author response image 1.

      Then we applied a current-step protocol with four steps producing different levels of hyperpolarization and applied our method by calculating the total conductance using linear regression (see the current-voltage plots below) and then decomposing it into the excitatory and inhibitory components.

      Author response image 2.

      As one can see, the reconstructed conductances in Author response image 3 below are nearly identical to their theoretical profiles. This is not surprising because all voltage-dependent currents in the model neuron were inactive in the range of voltages matching our experimental conditions. Therefore, the model could be reduced to just the leak current, synaptic currents and the injected current, which matches precisely the model we used in our manuscript.

      Author response image 3.

      In p.2, the edited section refers to the interspike interval being much smaller than the period of the network. More important is to mention the relationship between the decay time of inhibitory synapses and the period of the network.

      This interpretation misunderstands the focus of our method. The edited sections (including in the theory section of Results) highlight the conditions under which the capacitive current becomes negligible, emphasizing that the membrane time constant must be much smaller than the network oscillation period. This separation of time scales ensures that the membrane potential adjusts quickly to changes in postsynaptic conductance, rendering the capacitive current insignificant over the network’s rhythm. In contrast, the synaptic decay time governs how presynaptic inputs are transduced into postsynaptic conductances—a process relevant to understanding synaptic dynamics but not directly tied to our method’s core objective. Our approach reconstructs postsynaptic conductances from intracellular recordings, not presynaptic spike trains. While interpreting these conductance profiles in terms of specific synaptic connections would indeed involve synaptic decay dynamics, such an analysis exceeds the scope of our paper. Thus, the condition emphasized in the edited sections—concerning the membrane time constant and network period—is the critical one for our method’s applicability, and the synaptic decay time, while relevant to broader synaptic modeling, does not undermine our conclusions.

      We have added the requirement for a much smaller membrane time constant in the Introduction on page 2. The Results theory section already incorporates an extensive discussion of this requirement.

      Comments from the editors:

      We apologize for the delay in coming to this decision, but there was quite a bit of post-review discussion that needed to be resolved. There are two issues that the reviewers agree should be addressed. They remain unconvinced that the simplifying assumptions of the approach are valid. 1) The main issue with the phase argument is that the biological synaptic conductance depends on time and not on the phase of the respiratory cycle as mentioned in the first round of reviews. The approximation g(t)=g(phase) seems to be far too simple to be biologically realistic.

      As we elaborate below, time and phase are fundamentally and mathematically equivalent representations of the same underlying dynamics in a periodic system, and thus, a phase-based representation—where conductances are expressed as functions of the cycle’s phase—is a justified and effective approach for capturing their behavior. We have added this explanation to the theory section of Results. Below are the bases for our assertion.

      In a periodic system, such as the respiratory CPG, the system’s behavior repeats at regular intervals, defined by a period T. For the respiratory cycle in our experimental preparation, this period is approximately 3–4 seconds, encompassing phases like inspiration, post-inspiration, and expiration. In such systems:

      Time (t) is a continuous variable that progresses linearly.

      Phase (φ) represents the position within one cycle, typically normalized between 0 and 1 (or 0 to 2π in some contexts). It can be mathematically related to time via: φ(t) = (t mod T)/T, where (t mod T) is the time elapsed within the current cycle.

      Because the system is periodic, any variable that repeats with period T—such as synaptic conductance in a rhythmically active network—can be expressed as a function of either time or phase. Specifically, if g(t) is periodic with period T, then g(t) = g(t+T). This periodicity allows us to redefine g(t) in terms of phase: g(t) = g(φ(t)), where φ(t) maps time onto a repeating cycle. Thus, in a periodic system, time and phase are fundamentally equivalent representations of the same underlying dynamics. Saying that synaptic conductance depends on phase is mathematically equivalent to saying it depends on time in a periodic manner.

      In a rhythmically active network like the respiratory central pattern generator (CPG), the synaptic conductances, regardless of the specific mechanisms by which they are formed, exhibit periodicity that matches the network’s oscillatory cycle. This occurs because the conductances are driven by the repetitive activity of presynaptic neurons, which are synchronized to the network’s overall rhythm. As a result, the synaptic conductances vary with the same period as the network, making a phase-based representation—where conductances are expressed as functions of the cycle’s phase—a justified and effective approach for capturing their behavior. In our study, we utilized the in situ arterially perfused brainstem-spinal cord preparation from mature rats, which is known to produce a highly periodic respiratory rhythm. To ensure the consistency of this periodicity, we carefully selected recordings where the coefficient of variation of the respiratory cycle period was less than 10%, as outlined in our methods. This strict selection criterion confirms the stability and regularity of the rhythm, supporting the validity of using a phase representation to analyze the synaptic conductances.

      (2) Figure S1 is problematic. First, the currents injected appear to be infinitesimally small.

      There was a typo in the current units, which should be nA and not pA, as evident from the injected current–membrane potential plots in Figure 1B. Figure S1 has been corrected.

      Second, the input resistance is completely independent of voltage, as though there was little or no contribution from hyperpolarization activated currents, which would be surprising.

      While hyperpolarization-activated currents are indeed present in many neuronal types and could theoretically affect input resistance, our data consistently show linear I-V relationships across the voltage range tested (-60 to -100 mV) for the neurons analyzed (see Figure S1 and Author response image 4-9 below). This linearity suggests that, under our experimental conditions, the contribution of voltage-dependent currents, such as h-currents, is negligible within this range.

      Additionally, we now indicate in the manuscript in the theory section of Results how the presence of significant hyperpolarization-activated h-currents would impact our synaptic conductance reconstruction method. In current-clamp recordings, non-linearity from h-currents could introduce voltage-dependent changes in total conductance unrelated to synaptic inputs, potentially skewing the reconstruction. However, this concern does not apply to voltage-clamp recordings, where the membrane potential is held constant, eliminating contributions from voltage-dependent intrinsic currents. As strong evidence of the minimal influence of h-currents, we directly compared synaptic conductance reconstructions using both current-clamp and voltage-clamp protocols in a subset of neurons. The results from these two approaches were highly consistent, indicating that h-currents do not significantly affect our findings. This robustness across experimental methods reinforces the reliability of our conclusions.

      Together, the linear I-V relationships and the agreement between current- and voltage-clamp reconstructions provide compelling evidence that our method accurately captures synaptic conductances without interference from h-currents.

      Typical examples of I-V relationships for each respiratory neuron firing phenotype:

      Author response image 4.

      ramp-I

      Author response image 5.

      pre-I/I

      Author response image 6.

      post-I

      Author response image 7.

      aug-E

      Author response image 8.

      early-I

      Author response image 9.

      late-I

    1. Author Response

      The following is the authors’ response to the previous reviews.

      We thank the reviewers for truly valuable advice and comments. We have made multiple corrections and revisions to the original pre-print accordingly per the following comments:

      1. Pro1153Leu is extremely common in the general population (allele frequency in gnomAD is 0.5). Further discussion is warranted to justify the possibility that this variant contributes to a phenotype documented in 1.5-3% of the population. Is it possible that this variant is tagging other rare SNPs in the COL11A1 locus, and could any of the existing exome sequencing data be mined for rare nonsynonymous variants?

      One possible avenue for future work is to return to any existing exome sequencing data to query for rare variants at the COL11A1 locus. This should be possible for the USA MO case-control cohort. Any rare nonsynonymous variants identified should then be subjected to mutational burden testing, ideally after functional testing to diminish any noise introduced by rare benign variants in both cases and controls. If there is a significant association of rare variation in AIS cases, then they should consider returning to the other cohorts for targeted COL11A1 gene sequencing or whole exome sequencing (whichever approach is easier/less expensive) to demonstrate replication of the association.

      Response: Regarding the genetic association of the common COL11A1 variant rs3753841 (p.(Pro1335Leu)), we do not propose that it is the sole risk variant contributing to the association signal we detected and have clarified this in the manuscript. We concluded that it was worthy of functional testing for reasons described here. Although there were several common variants in the discovery GWAS within and around COL11A1, none were significantly associated with AIS and none were in linkage disequilibrium (R2>0.6) with the top SNP rs3753841. We next reviewed rare (MAF<=0.01) coding variants within the COL11A1 LD region of the associated SNP (rs3753841) in 625 available exomes representing 46% of the 1,358 cases from the discovery cohort. The LD block was defined using Haploview based on the 1KG_CEU population. Within the ~41 KB LD region (chr1:103365089- 103406616, GRCh37) we found three rare missense mutations in 6 unrelated individuals, Table below. Two of them (NM_080629.2: c.G4093A:p.A1365T; NM_080629.2:c.G3394A:p.G1132S), from two individuals, are predicted to be deleterious based on CADD and GERP scores and are plausible AIS risk candidates. At this rate we could expect to find only 4-5 individuals with linked rare coding variants in the total cohort of 1,358 which collectively are unlikely to explain the overall association signal we detected. Of course, there also could be deep intronic variants contributing to the association that we would not detect by our methods. However, given this scenario, the relatively high predicted deleteriousness of rs3753841 (CADD= 25.7; GERP=5.75), and its occurrence in a GlyX-Y triplet repeat, we hypothesized that this variant itself could be a risk allele worthy of further investigation.

      Author response table 1.

      We also appreciate the reviewer’s suggestion to perform a rare variant burden analysis of COL11A1. We did conduct pilot gene-based analysis in 4534 European ancestry exomes including 797 of our own AIS cases and 3737 controls and tested the burden of rare variants in COL11A1. SKATO P value was not significant (COL11A1_P=0.18), but this could due to lack of power and/or background from rare benign variants that could be screened out using the functional testing we have developed.

      1. COL11A1 p.Pro1335Leu is pursued as a direct candidate susceptibility locus, but the functional validation involves both: (a) a complementation assay in mouse GPCs, Figure 5; and (b) cultured rib cartilage cells from Col11a1-Ad5 Cre mice (Figure 4). Please address the following:

      2A. Is Pro1335Leu a loss of function, gain of function, or dominant negative variant? Further rationale for modeling this change in a Col11a1 loss of function cell line would be helpful.

      Response: Regarding functional testing, by knockdown/knockout cell culture experiments, we showed for the first time that Col11a1 negatively regulates Mmp3 expression in cartilage chondrocytes, an AIS-relevant tissue. We then tested the effect of overexpressing the human wt or variant COL11A1 by lentiviral transduction in SV40-transformed chondrocyte cultures. We deleted endogenous mouse Col11a1 by Cre recombination to remove the background of its strong suppressive effects on Mmp3 expression. We acknowledge that Col11a1 missense mutations could confer gain of function or dominant negative effects that would not be revealed in this assay. However as indicated in our original manuscript we have noted that spinal deformity is described in the cho/cho mouse, a Col11a1 loss of function mutant. We also note the recent publication by Rebello et al. showing that missense mutations in Col11a2 associated with congenital scoliosis fail to rescue a vertebral malformation phenotype in a zebrafish col11a2 KO line. Although the connection between AIS and vertebral malformations is not altogether clear, we surmise that loss of the components of collagen type XI disrupt spinal development. in vivo experiments in vertebrate model systems are needed to fully establish the consequences and genetic mechanisms by which COL11A1 variants contribute to an AIS phenotype.

      2B. Expression appears to be augmented compared WT in Fig 5B, but there is no direct comparison of WT with variant.

      Response: Expression of the mutant (from the lentiviral expression vector) is increased compared to mutant. We observed this effect in repeated experiments. Sequencing confirmed that the mutant and wildtype constructs differed only at the position of the rs3753841 SNP. At this time, we cannot explain the difference in expression levels. Nonetheless, even when the variant COL11A1 is relatively overexpressed it fails to suppress MMP3 expression as observed for the wildtype form.

      2C. How do the authors know that their complementation data in Figure 5 are specific? Repetition of this experiment with an alternative common nonsynonymous variant in COL11A1 (such as rs1676486) would be helpful as a comparison with the expectation that it would be similar to WT.

      Response: We agree that testing an allelic series throughout COL11A1 could be informative, but we have shifted our resources toward in vivo experiments that we believe will ultimately be more informative for deciphering the mechanistic role of COL11A1 in MMP3 regulation and spine deformity.

      2D. The y-axes of histograms in panel A need attention and clarification. What is meant by power? Do you mean fold change?

      Response: Power is directly comparable to fold change but allows comparison of absolute expression levels between different genes.

      2E. Figure 5: how many technical and biological replicates? Confirm that these are stated throughout the figures.

      Response: Thank you for pointing out this oversight. This information has been added throughout.

      1. Figure 2: What does the gross anatomy of the IVD look like? Could the authors address this by showing an H&E of an adjacent section of the Fig. 2 A panels?

      Response: Panel 2 shows H&E staining. Perhaps the reviewer is referring to the WT and Pax1 KO images in Figure 3? We have now added H&E staining of WT and Pax1 KO IVD as supplemental Figure 3E to clarify the IVD anatomy.

      1. Page 9: "Cells within the IVD were negative for Pax1 staining ..." There seems to be specific PAX1 expression in many cells within the IVD, which is concerning if this is indeed a supposed null allele of Pax1. This data seems to support that the allele is not null.

      Response: We have now added updated images for the COL11A1 and PAX1 staining to include negative controls in which we omitted primary antibodies. As can be seen, there is faint autofluorescence in the PAX1 negative control that appears to explain the “specific staining” referred to by the reviewer. These images confirm that the allele is truly a null.

      1. There is currently a lack of evidence supporting the claim that "Col11a1 is positively regulated by Pax1 in mouse spine and tail". Therefore, it is necessary to conduct further research to determine the direct regulatory role of Pax1 on Col11a1.

      Response: We agree with the reviewer and have clarified that Pax1 may have either a direct or indirect role in Col11a1 regulation.

      1. There is no data linking loss of COL11A1 function and spine defects in the mouse model. Furthermore, due to the absence of P1335L point mutant mice, it cannot be confirmed whether P1335L can actually cause AIS, and the pathogenicity of this mutation cannot be directly verified. These limitations need to be clearly stated and discussed. A Col11a1 mouse mutant called chondroysplasia (cho), was shown to be perinatal lethal with severe endochondral defects (https://pubmed.ncbi.nlm.nih.gov/4100752/). This information may help contextualize this study.

      Response: We partially agree with the reviewer. Spine defects are reported in the cho mouse (for example, please see reference 36 Hafez et al). We appreciate the suggestion to cite the original Seegmiller et al 1971 reference and have added it to the manuscript.

      1. A recent article (PMID37462524) reported mutations in COL11A2 associated with AIS and functionally tested in zebrafish. That study should be cited and discussed as it is directly relevant for this manuscript.

      Response: We agree with the reviewer that this study provides important information supporting loss of function I type XI collagen in spinal deformity. Language to this effect has been added to the manuscript and this study is now cited in the paper.

      1. Please reconcile the following result on page 10 of the results: "Interestingly, the AISassociated gene Adgrg6 was amongst the most significantly dysregulated genes in the RNA-seq analysis (Figure 3c). By qRT-PCR analysis, expression of Col11a1, Adgrg6, and Sox6 were significantly reduced in female and male Pax1-/- mice compared to wild-type mice (Figure 3d-g)." In Figure 3f, the downregulation of Adgrg6 appears to be modest so how can it possibly be highlighted as one of the most significantly downregulated transcripts in the RNAseq data?

      Response: By “significant” we were referring to the P-value significance in RNAseq analysis, not in absolute change in expression. This language was clearly confusing, and we have removed it from the manuscript.

      1. It is incorrect to refer to the primary cell culture work as growth plate chondrocytes (GPCs), instead, these are primary costal chondrocyte cultures. These primary cultures have a mixture of chondrocytes at differing levels of differentiation, which may change differentiation status during the culturing on plastic. In sum, these cells are at best chondrocytes, and not specifically growth plate chondrocytes. This needs to be corrected in the abstract and throughout the manuscript. Moreover, on page 11 these cells are referred to as costal cartilage, which is confusing to the reader.

      Response: Thank you for pointing out these inconsistencies. We have changed the manuscript to say “costal chondrocytes” throughout.

      Minor points

      • On 10 of the Results: "These data support a mechanistic link between Pax1 and Col11a1, and the AIS-associated genes Gpr126 and Sox6, in affected tissue of the developing tail." qRT-PCR validation of Sox6, although significant, appears to be very modestly downregulated in KO. Please soften this statement in the text.

      Response: We have softened this statement.

      • Have you got any information about how the immortalized (SV40) costal cartilage affected chondrogenic differentiation? The expression of SV40 seemed to stimulate Mmp13 expression. Do these cells still make cartilage nodules? Some feedback on this process and how it affects the nature of the culture what be appreciated.

      Response: The “+ or –“ in Figure 5 refers to Ad5-cre. Each experiment was performed in SV40-immortalized costal chondrocytes. We have removed SV40 from the figure and have clarified the legend to say “qRT-PCR of human COL11A1 and endogenous mouse Mmp3 in SV40 immortalized mouse costal chondrocytes transduced with the lentiviral vector only (lanes 1,2), human WT COL11A1 (lane 3), or COL11A1P1335L. Otherwise we absolutely agree that understanding Mmp13 regulation during chondrocyte differentiation is important. We plan to study this using in vivo systems.

      • Figure 1: is the average Odds ratio, can this be stated in the figure legend?

      Response: We are not sure what is being asked here. The “combined odds ratio” is calculated as a weighted average of the log of the odds.

      • A more consistent use of established nomenclature for mouse versus human genes and proteins is needed.

      Human:GENE/PROTEIN Mouse: Gene/PROTEIN

      Response: Thank you for pointing this out. The nomenclature has been corrected throughtout the manuscript.

      • There is no Figure 5c, but a reference to results in the main text. Please reconcile. -There is no Figure 5-figure supplement 5a, but there is a reference to it in the main text. Please reconcile.

      Response: Figure references have been corrected.

      • Please indicate dilutions of all antibodies used when listed in the methods.

      Response: Antibody dilutions have been added where missing.

      • On page 25, there is a partial sentence missing information in the Histologic methods; "#S36964 Invitrogen, CA, USA)). All images were taken..."

      Response: We apologize for the error. It has been removed.

      • Table 1: please define all acronyms, including cohort names.

      Response: We apologize for the oversight. The legend to the Table has been updated with definitions of all acronyms.

      • Figure 2: Indicate that blue staining is DAPI in panel B. Clarify that "-ab" as an abbreviation is primary antibody negative.

      Response: A color code for DAPI and COL11A! staining has been added and “-ab” is now defined.

      • Page 4: ADGRG6 (also known as GPR126)...the authors set this up for ADGRG6 but then use GPR126 in the manuscript, which is confusing. For clarity, please use the gene name Adgrg6 consistently, rather than alternating with Gpr126.

      Response: Thank you for pointing this out. GPR126 has now been changed to ADGRG6 thoughout the manuscript.

      • REF 4: Richards, B.S., Sucato, D.J., Johnston C.E. Scoliosis, (Elsevier, 2020). Is this a book, can you provide more clarity in the Reference listing?

      Response: Thank you for pointing this out. This reference has been corrected.

      • While isolation was addressed, the methods for culturing Rat cartilage endplate and costal chondrocytes are poorly described and should be given more text.

      Response: Details about the cartilage endplate and costal chondrocyte isolation and culture have been added to the Methods.

      • Page 11: 1st paragraph, last sentence "These results suggest that Mmp3 expression"... this sentence needs attention. As written, I am not clear what the authors are trying to say.

      Response: This sentence has been clarified and now reads “These results suggest that Mmp3 expression is negatively regulated by Col11a1 in mouse costal chondrocytes.”

      • Page 13: line 4 from the bottom, "ECM-clearing"? This is confusing do you mean ECM degrading?

      Response: Yes and thank you. We have changed to “ECM-degrading”.

      • Please use version numbers for RefSeq IDs: e.g. NM_080629.3 instead of NM_080629

      Response: This change has been made in the revised manuscript.

      • It would be helpful for readers if the ethnicity of the discovery case cohort was clearly stated as European ancestry in the Results main text.

      Response: “European ancestry” has been added at first description of the discovery cohort in the manuscript.

      • Avoid using the term "mutation" and use "variant" instead.

      Response: Thank you for pointing this out. “Variant” is now used throughout the manuscript.

      • Define error bars for all bar charts throughout and include individual data points overlaid onto bars.

      Response: Thank you. Error bars are now clarified in the Figure legends.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #2 (Public review):

      Summary:

      The authors reported that mutations were identified in the ZC3H11A gene in four adolescents from 1015 high myopia subjects in their myopia cohort. They further generated Zc3h11a knockout mice utilizing the CRISPR/Cas9 technology.

      Comments on revisions:

      Chong Chen and colleagues revised the manuscript; however, none of my suggestions from the initial review have been sufficiently addressed.

      (1) I indicated that the pathogenicity and novelty of the mutation need to be determined according to established guidelines and databases. However, the conclusion was still drawn without sufficient justification.

      Thank you for your valuable feedback on the assessment of mutation pathogenicity and novelty. We regret to inform you that complete familial genetic information required for segregation analysis is currently unavailable in this study. Despite our exhaustive efforts to contact the four mutation carriers and their relatives, we encountered the following uncontrollable limitations: Two patients could not be further traced due to invalid contact information, one patient had relocated to another region, making sample collection logistically unfeasible, the remaining patient explicitly declined family participation in genetic testing due to privacy concerns.

      We fully acknowledge that the lack of pedigree data may affect the certainty of pathogenicity evaluation. To address this limitation, we systematically analyzed the four ZC3H11A missense mutations (c.412G>A p.V138I, c.128G>A p.G43E, c.461C>T p.P154L, and c.2239T>A p.S747T) based on ACMG guidelines and database evidence. The key findings are summarized below: All of the identified mutations exhibited very low frequencies or does not exist in the Genome Aggregation Database (gnomAD) and Clinvar, and using pathogenicity prediction software SIFT, PolyPhen2, and CADD, most of them display high pathogenicity levels. Among them, c.412G>A, c.128G>A and c.461C>T were located in or around a domain named zf-CCCH_3 (Figure 1A and B). Furthermore, all of the mutation sites were located in highly conserved amino acids across different species (Figure 1C). The four mutations induced higher structural flexibility and altered the negative charge at corresponding sites, potentially disrupting protein-RNA interactions (Figure 1D and E). Concurrently, overexpression of mutant constructs (ZC3H11A-V138I, ZC3H11A-G43E, ZC3H11A-P154L, and ZC3H11A-S747T) revealed significantly reduced nuclear IκBα mRNA levels compared to the wild-type, suggesting impaired NF-κB pathway regulation (Supplementary Figure 4). Zc3h11a knockout mice also exhibited a myopic phenotype, with alterations in the PI3K-AKT and NF-κB signaling pathways. Integrating this evidence, the mutations meet the following ACMG criteria: PM1 (domain-located mutations), PM2 (extremely low population frequency), PP3 (computational predictions supporting pathogenicity), PS3 (functional validation via experimental assays). Under the ACMG framework, these mutations are classified as "Likely Pathogenic".

      Regarding the novelty of this mutation, comprehensive searches in ClinVar, dbSNP, and HGMD databases revealed no prior reports associating this variant with myopia. Similarly, a PubMed literature search identified no direct evidence linking this mutation to myopia. Based on this evidence, we classify this variant as a likely pathogenic and novel mutation.

      On the other hand, we acknowledge that the absence of family segregation data may reduce the confidence in pathogenicity assessment. Nevertheless, functional experiments and converging multi-level evidence strongly support the reliability of our conclusion. Future studies will prioritize family-based validation to strengthen the evidence chain. We sincerely appreciate your attention to this matter and kindly request your understanding of the practical limitations inherent to this research.

      (2) The phenotype of heterozygous mutant mice is too weak to support the gene's contribution to high myopia. The revised manuscript does not adequately address these discrepancies. Furthermore, no explanation was provided for why conditional gene deletion was not used to avoid embryonic lethality, nor was there any discussion on tissue- or cell-specific mechanistic investigations.

      We sincerely appreciate your insightful comments regarding the relationship between murine phenotypes and human disease. We fully acknowledge your concerns about the phenotypic strength of Zc3h11a heterozygous mutant mice and their association with high myopia (HM) pathogenesis. Here we provide point-by-point responses to your valuable comments: Our study demonstrates that Zc3h11a heterozygous mutant mice exhibit myopic refractive phenotypes with upregulated myopia-associated factors (TGF-β1, MMP2, and IL6), although axial elongation did not reach statistical significance. Notably, at 4 and 6 weeks of age, Het mice did display longer axial lengths and vitreous chamber depths compared to WT mice. While these differences did not reach statistical significance at other time points, an increasing trend was still observed. Several technical considerations may explain these findings: The small murine eye size (where 1D refractive change corresponds to only 5-6μm axial length change). The theoretical resolution limit of 6μm for the SD-OCT device used in this study. These factors likely contributed to the marginal statistical significance observed in the subtle changes of vitreous chamber depth and axial length measurements. Additionally, existing research indicates that axial length measurements from frozen sections in age-matched mice tend to be longer than those obtained through in vivo measurements. This phenomenon may reflect species differences between humans and mice - while both show significant refractive power changes, the axial length differences are less pronounced in mice. These results align with previous reports of phenotypic differences between mouse models and human myopia.

      To address these issues comprehensively, we have added a dedicated discussion section in the revised manuscript specifically examining these axial length measurement considerations, following your valuable suggestion.

      Additionally, we regret to inform you that the currently available floxed ZC3H11A mouse strain requires a minimum of 12-18 months for custom construction, which exceeds our research timeline due to current resource limitations in our team. To address this gap, we have supplemented the discussion section with additional content regarding tissue- and cell-specific mechanisms. Based on your constructive suggestions, we will prioritize the following in our subsequent work: Collaborate with transgenic animal centers to generate Zc3h11a conditional knockout mice. Evaluate the impact of specific knockouts on myopia progression using form-deprivation (FDM) models. While we recognize the limitations of our current study, we believe that by integrating clinical cohort data, phenotypic evidence, and functional experiments, this research provides valuable directional evidence for ZC3H11A's potential role in myopia pathogenesis. Your comments will significantly contribute to improving our future research design, and we sincerely hope you can recognize the exploratory significance of our current findings.

      (3) The title, abstract, and main text continue to misrepresent the role of the inflammatory intracellular PI3K-AKT and NF-κB signaling cascade in inducing high myopia. No specific cell types have been identified as contributors to the phenotype. The mice did not develop high myopia, and no relationship between intracellular signaling and myopia progression has been demonstrated in this study.

      Thank you for your valuable comments regarding the interpretation of signaling pathways in our study. We fully acknowledge your rigorous concerns about the role of PI3K-AKT and NF-κB signaling cascades in high myopia and recognize that we did not identify specific cell types contributing to the observed phenotype. In response to your feedback, we have removed the hypothetical statement linking genetic changes within inflammatory cells to the development of myopia. The current interpretation is strictly based on experimental evidence of pathway relevance and is supported by the theoretical basis presented in the reference, specifically that loss of Zc3h11a leads to activation of the PI3K-AKT and NF-κB pathways in retinal cells, contributing to the myopic phenotype.

      Author response image 1.

      Model of the association between inflammation and myopia progression. Activated mAChR3 (M3R) activates phosphoinositide 3-kinase (PI3K)–AKT and mitogen-associated protein kinase (MAPK) signaling pathways, in turn activating NF-κB and AP1 (i.e., the Jun.-Fos heterodimer) and stimulating the expression of the target genes NF-κB, MMP2, TGFβ, IL- 1β and -6, and TNF-α. MMP2 and TGF-β promote tissue remodeling and TNF-α may act in a paracrine feedback loop in the retina or sclera to activate NF-κB during myopia progression.

      To address the limitations raised, we will prioritize the following in future studies: Cell-type-specific knockout models to identify key cellular contributors. Mechanistic investigations to establish causal relationships between signaling pathways and myopia progression. We sincerely appreciate your rigorous review, which has significantly improved the scientific accuracy and clarity of our manuscript. We believe the revised version better reflects both the novelty and limitations of our findings. We kindly request your recognition of the study’s contributions while acknowledging its current constraints.

      Reviewer #3 (Public review):

      Chen et al have identified a new candidate gene for high myopia, ZC3H11A, and using a knock-out mouse model, have attempted to validate it as a myopia gene and explain a potential mechanism. They identified 4 heterozygous missense variants in highly myopic teenagers. These variants are in conserved regions of the protein, and predicted to be damaging, but the only evidence the authors provide that these specific variants affect protein function is a supplement figure showing decreased levels of IκBα after transfection with overexpression plasmids (not specified what type of cells were transfected). This does not prove that these mutations cause loss of function, in fact it implies they have a gain-of-function mechanism. They then created a knock-out mouse. Heterozygotes show myopia at all ages examined but increased axial length only at very early ages. Unfortunately, the authors do not address this point or examine corneal structure in these animals. They show that the mice have decreased B-wave amplitude on electroretinogram (a sign of retinal dysfunction associated with bipolar cells), and decreased expression of a bipolar cell marker, PKCα. On electron microscopy, there are morphologic differences in the outer nuclear layer (where bipolar, amacrine, and horizontal cell bodies reside). Transcriptome analysis identified over 700 differentially expressed genes. The authors chose to focus on the PI3K-AKT and NF-κB signaling pathways and show changes in expression of genes and proteins in those pathways, including PI3K, AKT, IκBα, NF-κB, TGF-β1, MMP-2 and IL-6, although there is very high variability between animals. They propose that myopia may develop in these animals either as a result of visual abnormality (decreased bipolar cell function in the retina) or by alteration of NF-κB signaling. These data provide an interesting new candidate variant for development of high myopia, and provide additional data that MMP2 and IL6 have a role in myopia development. For this revision, none of my previous suggestions have been addressed.

      Reviewer #3 (Recommendations for the authors):

      None of these suggestions were addressed in the revision:

      Major issues:

      (1) Figure 2: refraction is more myopic but axial length is not longer - why is this not discussed and explored? The text claims the axial length is longer, but that is not supported by the figure. If this is a measurement issue, that needs to be discussed in the text.

      We sincerely appreciate your valuable comments regarding the relationship between refractive status and axial length in our study. In response to your concerns, we have conducted an in-depth analysis and would like to address the issues as follows:

      Our data demonstrate significant differences in refractive error between heterozygous (Het) and wild-type (WT) mice during the 4-10 weeks. Notably, at 4 and 6 weeks of age, Het mice did exhibit longer axial lengths and greater vitreous chamber depth compared to WT mice, although these differences did not reach statistical significance at other time points while still showing an increasing trend. Additional measurements of corneal curvature revealed no significant differences between groups. Considering the small size of mouse eyes (where a 1D refractive change corresponds to only 5-6μm axial length change) and the theoretical resolution limit of 6μm for the SD-OCT device used in this study, these technical factors may account for the marginal statistical significance of the observed small changes in vitreous chamber depth and axial length measurements. Furthermore, existing studies have shown that axial length measurements from frozen sections tend to be longer than those obtained from in vivo measurements in age-matched mice. These considerations provide plausible explanations for the apparent discrepancy between refractive changes and axial length parameters. Following your suggestion, we have added a dedicated discussion section addressing these axial length measurement issues in the revised manuscript. We fully understand your concerns regarding data consistency, and your comments have prompted us to conduct more comprehensive and thorough analysis of our results. We believe the revised manuscript now more accurately reflects our findings while providing important technical references for future studies.

      (2)  Slipped into the methods is a statement that mice with small eyes or ocular lesions were excluded. How many mice were excluded? Are the authors ignoring another phenotype of these mice?

      We appreciate your attention to the exclusion criteria and their implications. Below we provide a detailed clarification: A total of 7 mice (4 Het-KO and 3 WT) with small eyes or ocular lesions were excluded from the observation cohort. These anomalies were consistent with the baseline incidence of spontaneous malformations observed in historical colony data of wild-type C57BL/6J mice (approximately 11%), and were not attributed to the Zc3h11a heterozygous knockout. We have added the above content in the methods section. Your insightful comment has significantly strengthened our reporting rigor. We hope this clarification alleviates your concerns regarding potential selection bias or overlooked phenotypes.

      Minor/Word choice issues:

      All the figure legends need to be improved so that each figure can be interpreted without having to refer to the text.

      Thank you for your valuable comments. We have made modifications to the legend of each graphic, as detailed in the main text.

      Abstract: line 24: use refraction, not "vision"

      Thank you for your valuable comments. The “Vision” has been changed to “refraction”.

      Line 28: re-word "density of bipolar cell-labeled proteins" Do the authors mean density of bipolar cells? Or certain proteins were less abundant in bipolar cells?

      Thank you for your rigorous review of this terminology. We acknowledge the need to clarify the precise meaning of the phrase "density of bipolar cell-labeled proteins." In the original text, this term specifically refers to the expression abundance of the bipolar cell-specific marker protein PKCα, which was identified using immunofluorescence labeling techniques. Specifically: We utilized PKCα (a bipolar cell marker) to label bipolar cell populations. The "density" was quantified by measuring the fluorescence signal intensity per unit area in confocal microscopy images, rather than direct cell counting. This metric reflects changes in the expression of the specific marker protein (PKCα) within bipolar cells, which indirectly correlates with alterations in bipolar cell populations. To address ambiguity, we have revised the terminology throughout the manuscript to "bipolar cell-labelled protein PKCα immunofluorescence abundance".

      Additionally, since fluorescence intensity quantification is inherently semi-quantitative, we have included Western blot results for PKCα in the revised manuscript (Figure 3I, J) to validate the expression changes observed via immunofluorescence. We sincerely appreciate your feedback, which has significantly improved the precision of our manuscript.

      Line 45: axial length, not ocular axis

      Thank you for your valuable comments. The “ocular axis” has been changed to “axial length”.

      Lines73-75: confusing

      Thank you for your valuable comments. The relevant content has been modified to “Multiple zinc finger protein genes (e.g., ZNF644, ZC3H11B, ZFP161, ZENK) are associated with myopia or HM. Of these, ZC3H11B (a human homolog of ZC3H11A) and five GWAS loci (Schippert et al., 2007; Shi et al., 2011; Szczerkowska et al., 2019; Tang et al., 2020; Wang et al., 2004) correlate with AL elongation or HM severity. Proteomic studies further suggest ZC3H11A involvement in the TREX complex, implicating RNA export mechanisms in myopia pathogenesis”

      Line 138: what is dark 3.0 and dark 10.0

      Thank you for your valuable comments. The relevant content has been modified to “Upon dark adaptation, b-wave amplitudes in seven-week-old Het-KO mice were significantly lower at dark 3.0 (0.48 log cd·s/m²) and dark 10.0 (0.98 log cd·s/m²) compared to WT mice.” A detailed description has been added to the main text methods.

      Line 171-175: the GO terms of "biological processes" and "molecular functions" are so broad as to be meaningless.

      Thank you for your valuable comments. The relevant content has been modified to “GO enrichment analysis revealed significant enrichment of differentially expressed genes in the following functions: Zinc ion transmembrane transport (GO:0071577) within metal ion homeostasis, associated with retinal photoreceptor maintenance (Ugarte and Osborne, 2001), RNA biosynthesis and metabolism (GO:0006366) in transcriptional regulation, potentially influencing ocular development, negative regulation of NF-κB signaling (GO:0043124) in inflammatory modulation, a pathway involved in scleral remodelling (Xiao et al., 2025), calcium ion binding (GO:0005509), critical for phototransduction (Krizaj and Copenhagen, 2002), zinc ion transmembrane transporter activity (GO:0005385), participating in retinal zinc homeostasis (Figure 5C and D).”

      Line 257-259: which results indicated loss of Zc3h11a inhibited translocation of IκBα from nucleus to cytoplasm? Results of this study, or the previously referenced study?

      We sincerely appreciate your critical inquiry regarding the mechanistic relationship between Zc3h11a deficiency and IκBα translocation. We are grateful for this opportunity to clarify this important point. The findings regarding Zc3h11a-mediated regulation of IκBα mRNA nuclear export and its impact on NF-κB signaling originate from the study by Darweesh et al. The key experimental evidence demonstrates that: The depletion of Zc3h11a leads to nuclear retention of IκBα mRNA, resulting in failure to maintain normal levels of cytoplasmic IκBα mRNA and protein. This defect in IκBα mRNA export disrupts the essential inhibitory feedback loop on NF-κB activity, causing hyperactivation of this pathway. This manifests as upregulation of numerous innate immune-related mRNAs, including IL-6 and a large group of interferon-stimulated genes.While our study references this mechanism to explain the observed NF-κB dysregulation in Zc3h11a Het-KO mice, the specific nuclear export mechanism was indeed elucidated by Darweesh et al. The reference has been inserted into the corresponding position in the main text. Importantly, our research extends these previous molecular insights into the phenotypic context of myopia.

      We sincerely regret any ambiguity in the original text and deeply appreciate your rigorous approach in ensuring proper attribution of these fundamental findings. Your comment has significantly improved the clarity and accuracy of our manuscript.

      Figure 6 shows decrease of both mRNA and protein expression, but nothing about translocation.

      Thank you for your valuable comments. The research results of Darweesh et al. showed that Zc3h11a protein plays a role in regulation of NF-κB signal transduction. Depletion of Zc3h11a resulted in enhanced NF-κB mediated signaling, with upregulation of numerous innate immune related mRNAs, including IL-6 and a large group of interferon-stimulated genes. IL-6 upregulation in the absence of the Zc3h11a protein correlated with an increased NF-κB transcription factor binding to the IL-6 promoter and decreased IL-6 mRNA decay. The enhanced NF-κB signaling pathway in Zc3h11a deficient cells correlated with a defect in IκBα inhibitory mRNA and protein accumulation. Upon Zc3h11a depletion The IκBα mRNA was retained in the cell nucleus resulting in failure to maintain normal levels of the cytoplasmic IκBα mRNA and protein that is essential for its inhibitory feedback loop on NF-κB activity. These findings demonstrate that ZC3H11A can regulate the NF-κB pathway by controlling the translocation of IκBα mRNA, a mechanism that was indeed elucidated by Darweesh et al. We sincerely apologize for any lack of clarity in our original description and have now inserted the appropriate reference in the relevant section of the main text.

      We deeply appreciate your valuable comments in identifying this ambiguity in our manuscript, which have significantly improved the accuracy and clarity of our work.

      Line 283: what do you mean "may confer embryonic lethality"? Were they embryonic lethal or not?

      We sincerely appreciate your critical request for clarification. Our experimental data from 15 pregnancies of Zc3h11a Het-KO mice intercrosses (n = 15 litters) conclusively confirmed the absence of homozygous knockout (Homo-KO) pups at birth. These findings align with the embryonic lethality of Zc3h11a homozygous deletion as reported by Younis et al. We fully acknowledge the ambiguity in our original phrasing and have revised the text to:“Second, Zc3h11a homozygous KO (Homo-KO) mice were not obtained in our study because homozygous deletion of exons confer embryonic lethality.”Your vigilance in ensuring terminological precision has greatly strengthened the rigor of our manuscript. We hope this clarification fully resolves your concerns.

      Line 338: What is meant that Het-KO mice were constructed at 4 weeks of age? Do these mice not have a germline mutation?

      Thank you for your valuable comments. We have revised the following content: “The germline heterozygous Zc3h11a knockout (Het-KO) mice were generated by CRISPR/Cas9-mediated gene editing at the embryonic stage on a C57BL/6J background, provided by GemPharmatech Co., Ltd (Nanjing, China). Phenotypic analyses were initiated when the mice reached four weeks of age.”

      Line 346-347: how many mice were excluded due to having small eyes or ocular lesions? The methods section should state how refraction and ocular biometrics were measured.

      Thank you for your valuable comments. We have added or revised the following content: “To exclude potential confounding effects of spontaneous ocular developmental abnormalities, a total of 7 mice (4 Het-KO and 3 WT) with small eyes or ocular lesions were excluded from the observation cohort. These anomalies were consistent with the baseline incidence of spontaneous malformations observed in historical colony data of wild-type C57BL/6J mice (approximately 11%), and were not attributed to the Zc3h11a heterozygous knockout.

      The methods for measuring refraction and ocular biometrics are as follows and have been added to the original method. Refractive measurements were performed by a researcher blinded to the genotypes. Briefly, in a darkroom, mice were gently restrained by tail-holding on a platform facing an eccentric infrared retinoscope (EIR) (Schaeffel et al., 2004; Zhou et al., 2008a). The operator swiftly aligned the mouse position to obtain crisp Purkinje images centered on the pupil using detection software (Schaeffel et al., 2004), enabling axial measurements of refractive state and pupil size. Three repeated measurements per eye were averaged for analysis. The anterior chamber (AC) depth, lens thickness, vitreous chamber (VC) depth, and axial length (AL) of the eye were measured by real-time optical coherence tomography (a custom built OCT) (Zhou et al., 2008b). In simple terms, after anesthesia, each mouse was placed in a cylindrical holder on a positioning stage in front of the optical scanning probe. A video monitoring system was used to observe the eyes during the process. Additionally, by detecting the specular reflection on the corneal apex and the posterior lens apex in the two dimensional OCT image, the optical axis of the mouse eye was aligned with the axis of the probe. Eye dimensions were determined by moving the focal plane with a stepper motor and recording the distance between the interfaces of the eyes. Then, using the designed MATLAB software and appropriate refractive indices, the recorded optical path length was converted into geometric path length. Each eye was scanned three times, and the average value was taken.”

      Line 428: what age retinas

      Thank you for your meticulous attention to the experimental design details. Regarding the age of retinal samples, we have clarified the following in the revised manuscript:" Retinas were harvested from four-week-old mice for RNA sequencing." This revision enhances the transparency and reproducibility of our methodology. We deeply appreciate your rigorous review.

      Figure 3 D-F: these images are too small to adequately assess, please show at higher magnification. Are there fewer bipolar cells, or just decreased expression of PKC? From these images, expression of ZC3H11A does not appear decreased, but the retina appears thinner. Is that true, or are these poorly matched sections?

      Thank you for your professional insights regarding image quality and data interpretation. Your rigorous review has significantly enhanced the scientific rigor of our study. We hereby address your concerns point by point: The images in Figures 3D-F were acquired using a Zeiss LSM880 confocal microscope with a 10x eyepiece and 20x objective lens, a standard magnification for retinal section imaging that balances cellular resolution with full-thickness structural preservation. We quantified PKCα immunofluorescence intensity (a bipolar cell-specific marker) to assess changes in bipolar cell populations, rather than direct cell counting. This metric reflects PKCα expression abundance as a proxy for bipolar cell alterations (Figure 3H). To clarify terminology, we have revised the text to "bipolar cell-labelled protein PKCα immunofluorescence abundance" and detailed the methodology in the revised Methods section. Recognizing the semi-quantitative nature of fluorescence intensity analysis, we supplemented these data with Western blot results confirming reduced PKCα protein levels (Figure 3I). Zc3h11a expression was validated both by immunofluorescence intensity (Figure 3G) and Western blot (Figures 6F, H) quantification, confirming reduced expression in Zc3h11a Het-KO retinas. The apparent "retinal thinning" observed in histology sections stems from technical artifacts during tissue processing (fixation, dehydration, sectioning), not biological differences. HE staining, which better preserves sample morphology, showed no structural or thickness differences between Zc3h11a Het-KO mice and wild-type mice (Supplementary Figure 2).

      Your expert feedback has driven us to establish a more robust validation framework. We believe the revised data now more accurately reflect the biological reality and sincerely hope these improvements meet your approval.

      Figure 3G-J: Relative fluorescence intensity of immunohistochemistry is not a valid measure of protein expression.

      We sincerely appreciate your thorough review and valuable comments regarding the immunofluorescence quantification method in Figures 3G-J. In response to your concern that "relative fluorescence intensity is not an effective quantitative measure of protein expression," we have implemented the following improvements to our analysis and validation: To ensure result reliability, all immunofluorescence experiments followed strict protocols: experimental and control samples were fixed, stained, and imaged in the same batch to eliminate inter-batch variability. Imaging was performed using a Zeiss LSM 880 confocal microscope with identical parameters, and the relative fluorescence intensity of specific signals per unit area was measured and statistically analyzed using ZEN software. We fully acknowledge the semi-quantitative nature of relative fluorescence intensity measurements. Therefore, we validated key differentially expressed proteins using Western blot analysis: The Western blot results for Zc3h11a (Figures 6F, H) were completely consistent with the relative fluorescence intensity trends (Figure 3G). Additionally, the newly included Western blot data for PKCα (Figure 3 I) further confirmed the reliability of our relative fluorescence intensity quantification. Your expert advice has significantly enhanced the rigor of our study. Should any additional data or clarification be required, we would be pleased to provide further support.

      Figure 4: what are the arrows pointing at? This should be in the Figure legend. What is MB? Why are there no scale bars? What is difference between E and F, not clear from legend.

      We sincerely appreciate your thorough review of Figure 4 and your valuable suggestions. In response to your concerns, we have carefully examined and improved the relevant content with the following modifications and clarifications: We sincerely apologize for not clearly indicating the arrow annotations in the original figure legend. In the revised version, we have provided detailed explanations for the arrow indicators: black arrows indicate perinuclear space dilation, blue arrows indicate cytoplasmic edema, and red arrows indicate disorganized and loosely arranged membrane discs. The updated legend has been clearly marked below Figure 4 in the main text. MB represents membrane discs, which are critical subcellular structures in the outer segments of retinal photoreceptor cells (rods and cones). They are responsible for light signal capture and transduction (containing visual pigments such as rhodopsin). The structural integrity of MB is essential for normal visual function. The scale bars in the original figures were located in the lower right corner of each subpanel, with specific parameters as follows: Figures 4A and B: magnification ×1000, scale bar 10 μm; Figures 4C and D: magnification ×700, scale bar 20 μm; Figures 4E and G: magnification ×2000, scale bar 5 μm; Figures 4F and H: magnification ×7000, scale bar 2 μm. Both Figures 4E and 4F show electron microscopy images of membrane discs (MB) in wild-type mouse photoreceptor cells. The only difference lies in the magnification: Figure 4E (×2000) demonstrates the overall arrangement pattern of membrane discs, while Figure 4F (×7000) focuses on ultrastructural details of the membrane discs (such as structural integrity). We have thoroughly checked the consistency between the figures and text, and have supplemented detailed legend descriptions in the main text. Once again, we sincerely appreciate your rigorous review, which has significantly enhanced the scientific rigor and readability of our study. Should you have any further suggestions, we would be happy to incorporate them.

      Figure 5A: Why such a large y-axis? Figure legend does not match figure

      We sincerely appreciate your careful review of Figure 5A and your valuable suggestions regarding the figure details. In response to your concerns, we have thoroughly examined and improved the relevant content as follows: The Y-axis of the volcano plot represents -log₁₀(p-value), where the magnitude of the values reflects statistical significance. Our RNA-seq data underwent rigorous multiple testing correction, and the adjusted p-values for some genes were extremely small, resulting in large values after -log₁₀ transformation. We have re-examined the data distribution and confirmed that the expanded Y-axis range is solely due to a small number of highly significant genes (as shown in the figure, the majority of genes remain clustered in the lower half of the Y-axis). This result accurately reflects the true data characteristics.

      We sincerely apologize for the inadvertent error in the original labeling of "Up/Down" in the figure legend. This has now been corrected, and we strictly adhere to the following threshold criteria: Significantly upregulated (Up): adjusted p-value < 0.05 and log₂(FC) ≥ 1. Significantly downregulated (Down): adjusted p-value < 0.05 and log₂(FC) ≤ -1. To ensure the reliability of our conclusions, we have rechecked the raw data, statistical analysis, and visualization process. We confirmed that all significant genes strictly meet the above threshold criteria and that the visualization accurately reflects the true results. The revised figure has been updated in the manuscript as Figure 5A. We deeply appreciate your valuable feedback, which has helped us correct the errors in the figure and improve its accuracy and readability.

      Figure 6F: Based on the western blot, only Zc3h11a appears different.

      Thank you for your careful evaluation of the Western blot data in Figure 6F. We fully understand your concerns regarding the visual differences in PI3K and p-AKT/AKT bands and appreciate the opportunity to clarify the quantitative methodology and biological significance of these findings. Below we provide a detailed explanation of the experimental design and data analysis.

      First, the data for each group were derived from retinal samples of three independent mice, with all experiments performed in parallel to control for technical variability. Image analysis was conducted using ImageJ software with standardized settings for grayscale quantification. Zc3h11a and PI3K levels were normalized to GAPDH as an internal reference, while p-AKT levels were calculated as a ratio to total AKT. The results showed that Zc3h11a protein levels were significantly reduced (p < 0.01, Figures 6F and H), consistent with the expected effects of heterozygous knockout, with good agreement between visual and statistical results. For PI3K and p-AKT/AKT, the bands appeared visually similar due to: The nonlinear nature of Western blot chemiluminescence signals in the saturation range, which compresses subtle quantitative differences in the images; the fact that p-AKT represents only 5-15% of the total AKT pool, making small proportional changes difficult to discern visually. However, it is important to note that both PI3K and p-AKT/AKT showed statistically significant differences between groups (p < 0.001 and p < 0.01, respectively; Figures 6G and I). Furthermore, signal transduction pathways exhibit cascade amplification effects - in the PI3K-AKT pathway, even small changes in upstream proteins can produce significant downstream effects (e.g., NF-κB activation) through kinase cascades (Figure 6J). Additionally, our RNA-Seq results revealed activation of the PI3K-AKT signaling pathway in Zc3h11a Het-KO mice (Figure 5D), and the qRT-PCR results were consistent with the western blot results (Figure 6A-C). Your expert comments have prompted us to present these data differences with greater biological rigor. Although the visual differences are subtle, based on statistical significance, pathway characteristics, and RNA sequencing, and qRT-PCR data, we believe these changes have biological relevance. We sincerely appreciate your commitment to data rigor and respectfully request your recognition of both the experimental results and the scientific logic of this study.

      Figure 8: What is the role of ZC3H11A in this figure? Are the authors proposing that ZC3H11A regulates the translation of IκBα? They have not shown any evidence of that.

      Thank you for your insightful exploration of the role of ZC3H11A in Figure 8. We appreciate your critical review and hope to elucidate the mechanistic framework behind our findings. In Figure 8, Zc3h11a is depicted as a regulator of IκBα mRNA nucleocytoplasmic transport, a mechanism originally elucidated by Darweesh et al. Their studies demonstrated that Zc3h11a binds to IκBα mRNA and promotes its nuclear export. Loss of Zc3h11a results in nuclear retention of IκBα mRNA, leading to reduced cytoplasmic IκBα protein levels and subsequent hyperactivation of the NF-κB pathway. While the specific nuclear export mechanism has been elucidated by Darweesh et al., our study demonstrates that Zc3h11a haploinsufficiency results in decreased IκBα mRNA and protein levels in the retina (Figure 7), linking Zc3h11a haploinsufficiency to NF-κB pathway dysregulation in myopia and highlighting that these molecular insights can be extended to a new pathological context (myopia). Your critical comments have enhanced the clarity of our mechanistic concepts and we hope that these descriptions will demonstrate the importance of ZC3H11A as a new candidate gene for myopia.

    1. Author Response

      The following is the authors’ response to the previous reviews.

      eLife assessment

      This study presents valuable findings about synaptic connectivity among subsets of unipolar brush cells (UBCs), a specialized interneuron primarily located in the vestibular lobules of the cerebellar cortex. The evidence supporting the claims are interesting although incomplete in some areas. The work will be of interest to cerebellar neuroscientists as well as those focussed on synaptic properties and mechanisms. Although several compelling pieces of data were presented, substantial work remains to be conducted in order for the hypothesis and predictions of the manuscript to confirm how these factors play out in the actual brain circuit and how it would impact the processing of feedback or feedforward activity that would be required to promote behavior.

      Public Reviews:

      Reviewer #1 (Public Review):

      The manuscript by Hariani et al. presents experiments designed to improve our understanding of the connectivity and computational role of Unipolar Brush Cells (UBCs) within the cerebellar cortex, primarily lobes IX and X. The authors develop and cross several genetic lines of mice that express distinct fluorophores in subsets of UBCs, combined with immunocytochemistry that also distinguishes subtypes of UBCs, and they use confocal microscopy and electrophysiology to characterize the electrical and synaptic properties of subsets of so-labelled cells, and their synaptic connectivity within the cerebellar cortex. The authors then generate a computer model to test possible computational functions of such interconnected UBCs.

      Using these approaches, the authors report that:

      1. GRP-driven TDtomato is expressed exclusively in a subset (20%) of ON-UBCs, defined electrophysiologically (excited by mossy fiber afferent stimulation via activation of UBC AMPA and mGluR1 receptors) and immunocytochemically by their expression of mGluR1.

      2. UBCs ID'd/tagged by mCitrine expression in Brainbow mouse line P079 is expressed in a similar minority subset of OFF-UBCs defined electrophysiologically (inhibited by mossy fiber afferent stimulation via activation of UBC mGluR2 receptors) and immunocytochemically by their expression of Calretinin. However, such mCitrine expression was also detected in some mGluR1 positive UBCs, which may not have shown up electrophysiologically because of the weaker fluorophore expression without antibody amplification.

      3. Confocal analysis of crossed lines of mice (GRP X P079) stained with antibodies to mGluR1 and calretinin documented the existence of all possible permutations of interconnectivity between cells (ON-ON, ON-OFF, OFF-OFF, OFF-ON), but their overall abundance was low, and neither their absolute or relative abundance was quantified.

      4. A computational model (NEURON ) indicated that the presence of an intermediary UBC (in a polysynaptic circuit from MF to UBC to UBC) could prolong bursts (MF-ON-ON), prolong pauses (MF-ON-OFF), cause a delayed burst (MF-OFF-OFF), cause a delayed pause (MF-OFF-ON) relative to solely MF to UBC synapses which would simply exhibit long bursts (MF-ON) or long pauses (MF-OFF).

      The authors thus conclude that the pattern of interconnected UBCs provides an extended and more nuanced pattern of firing within the cerebellar cortex that could mediate longer lasting sensorimotor responses.

      The cerebellum's long known role in motor skills and reflexes, and associated disorders, combined with our nascent understanding of its role in cognitive, emotional, and appetitive processing, makes understanding its circuitry and processing functions of broad interest to the neuroscience and biomedical community. The focus on UBCs, which are largely restricted to vestibular lobes of the cerebellum reduces the breadth of likely interest somewhat. The overall design of specific experiments is rigorous and the use of fluorophore expressing mouse lines is creative. The data that is presented and the writing are clear. However, despite some additional analysis in response to the initial review, the overall experimental design still has issues that reduce overall interpretation (please see specific issues for details), which combined with a lack of thorough analysis of the experimental outcomes undermines the value of the NEURON model results and the advance in our understanding of cerebellar processing in situ (again, please see specific issues for details).

      Specific issues:

      1. All data gathered with inhibition blocked. All of the UBC response data (Fig. 1) was gathered in the presence of GABAAR and Glycine R blockers. While such an approach is appropriate generally for isolating glutamatergic synaptic currents, and specifically for examining and characterizing monosynaptic responses to single stimuli, it becomes problematic in the context of assaying synaptic and action potential response durations for long lasting responses, and in particular for trains of stimuli, when feed-forward and feed-back inhibition modulates responses to afferent stimulation. I.e. even for single MF stimuli, given the >500ms duration of UBC synaptic currents, there is plenty of time for feedback inhibition from Golgi cells (or feedforward, from MF to Golgi cell excitation) to interrupt AP firing driven by the direct glutamatergic synaptic excitation. This issue is compounded further for all of the experiments examining trains of MF stimuli. Beyond the impact of feedback inhibition on the AP firing of any given UBC, it would also obviously reduce/alter/interrupt that UBC's synaptic drive of downstream UBCs. This issue fundamentally undermines our ability to interpret the simulation data of Vm and AP firing of both the modeled intermediate and downstream UBC, in terms of applying it to possible cerebellar cortical processing in situ.

      The goal of Figure 1 was to determine the cell types of labeled UBCs in transgenic mouse lines, which is determined entirely by their synaptic responses to glutamate (Borges-Merjane and Trussell, 2015). Thus, blocking inhibition was essential to produce clear results in the characterization of GRP and P079 UBCs. While GABAergic/glycinergic feedforward and feedback inhibition is certainly important in the intact circuit, it was not our intention, nor was it possible, to study its contribution in the present study. Leaving inhibition unblocked does not lead to a physiologically realistic stimulation pattern in acute brain slices, because electrical stimulation produces synchronous excitation and inhibition by directly exciting Golgi cells, rather than their synaptic inputs. The main inhibition that UBCs receive that are crucial to determining burst or pause durations is not via GABA/glycine, but instead through mGluR2, which lasts for 100-1000s of milliseconds. The main excitation that drives UBC firing is mGluR1 and AMPA, which both last 100-1000s of milliseconds. Thus, these large conductances are unlikely to be significantly shaped by 1-10 ms IPSCs from feedforward and feedback GABA/glycine inhibition. Recent studies that examined the duration of bursting or pausing in UBCs had inhibition blocked in their experiments, presumably for the reasons outlined above (Guo et al., 2021; Huson et al., 2023).

      Below is an example showing the synaptic currents and firing patterns in an ON UBC before and after blocking inhibition. The GABA/glycinergic inhibition is fast, occurs soon after the stimuli and has little to no effect on the slow inward current that develops after the end of stimulation, which is what drives firing for 100s of milliseconds.

      Author response image 1.

      Example showing small effect of GABAergic and glycinergic inhibition on excitatory currents and burst duration. A) Excitatory postsynaptic currents in response to train of 10 presynaptic stimuli at 50 Hz before (black) and after (Grey) blocking GABA and glycine receptors. The slow inward current that occurs at the end of stimulation is little affected. B) Expanded view of the synaptic currents evoked during the train of stimuli. GABA/glycine receptors mediate the fast outward currents that occur immediately after the first couple stimuli. C) Three examples of the bursts caused by the 50 Hz stimulation in the same cell without blocking GABA and glycine receptors. D) Three examples in the same cell after blocking GABA and glycine receptors.

      The authors' response to the initial concern is (to paraphrase), "its not possible to do and its not important", neither of which are soundly justified.

      As stated in the original review, it is fully understandable and appropriate to use GABAAR/GlycineR antagonists to isolate glutamatergic currents, to characterize their conductance kinetics. That was not the issue raised. The issue raised was that then using only such information to generate a model of in situ behavior becomes problematic, given that feedback and lateral inhibition will sculpt action potential output, which of course will then fundamentally shape their synaptic drive of secondary UBCs, which will be further sculpted by their own inhibitory inputs. This issue undermines interpretation of the NEURON model.

      The argument that taking inhibition into account is not possible because of assumed or possible direct electrical excitation of Golgi cells is confusing for two interacting reasons. First, one can certainly stimulate the mossy fiber bundle to get afferent excitation of UBCs (and polysynaptic feedback/lateral inhibitory inputs) without directly stimulating the Golgi cells that innervate any recorded UBC. Yes, one might be stimulating some Golgi cells near the stimulating electrode, but one can position the stimulating electrode far enough down the white matter track (away from the recorded UBC), such that mossy fiber inputs to the recorded UBC can be stimulated without affecting Golgi cells near or synaptically connected to the recorded UBC. Moreover, if the argument were true, then presumably the stimulation protocol would be just as likely to directly stimulate neighboring UBCs, which then drove the recorded UBC's responses. Thus, it is both doable and should be ensured that stimulation of the white matter is distant enough to not be directly activating relevant, connected neurons within the granule cell layer.

      Finally, the authors present three examples of UBC recordings with and without inhibitory inputs blocked, and state "Thus, these large conductances are unlikely to be significantly shaped by 1-10 ms IPSCs from feedforward and feedback GABA/glycine inhibition" and "GABA/glycinergic inhibition...has little to no effect on the slow inward current that develops after the end of stimulation". This response reflects on original concerns about lack of quantification or consideration of important parameters. In particular, while the traces with and without inhibition are qualitatively similar, quantitative considerations indicate otherwise. First, unquantified examples are not adequate to drive conclusions. Regardless, the main issue (how inhibition affects actual responses in situ) is actually highlighted by the authors current clamp recordings of UBC responses, before and after blocking inhibition. The output response is dramatically different, both at early and late time points, when inhibition is blocked. Again, a lack of quantification (of adequate n's) makes it hard to know exactly how important, but quick "eye ball" estimates of impact include: 1) a switch from only low frequency APs initially (without inhibition blocked) to immediate burst of high frequency APs (high enough to not discern individual APs with given figure resolution) when inhibition is blocked, 2) Slow rising to a peak EPSP, followed by symmetrical return to baseline (without inhibition blocked) versus immediate rise to peak, followed by prolonged decay to baseline (with inhibition blocked), 3) substantially shorter duration (~34% shorter) secondary high frequency burst (individual APs not discernible) of APs (with inhibition blocked versus without inhibition blocked), and 4) substantial reduction in number of long delayed APs (with inhibition blocked versus without inhibition blocked). Thus, clearly, feedback/lateral inhibition is actually sculpting AP output at all phases of the UBC response to trains of afferent stimulations. Importantly, the single voltage clamp trace showing little impact of transient IPSCs on the slow EPSC do not take into account likely IPSC influences on voltage-activated conductances that would not occur in voltage-clamp recordings but would be free to manifest in current clamp, and thereby influence AP output, as observed.

      So again, our ability to understand how interconnected UBCs behave in the intact system is undermined by the lack of consideration and quantification of the impact of inhibition, and it not being incorporated into the model. At the very least a strong proviso about lack of inclusion of such information, given the authors' data showing its importance in the few examples shown, should be added to the discussion.

      Thank you for this substantive explanation. Your points are well described and we agree that the single experiment shown is not strong evidence for a lack of importance of Golgi cell inhibition, especially on the temporal dynamics of spiking. Previous work has clearly shown that Golgi cells have several important roles in shaping the activity of the granular layer, including affecting the temporal dynamics of granule cell spikes. However, the work presented here focuses on the feedforward circuitry of UBCs and the large inward and large outward glutamatergic currents that drive spiking or pausing for 100s of milliseconds. Our model does not focus on the aspects that are most sensitive to Golgi cell inhibition, including timing of the first spikes in the UBC’s response. Nor does our model focus on short term plasticity, which we thought was reasonable because the slow currents in UBCs are quite insensitive to the temporal characteristics of glutamate release (See the example in the previous rebuttal). Our model does not include long term plasticity, which is also affected by Golgi cells. For these reasons we agree that the model presented does not explain how feedforward UBC circuits might “play out in the actual brain circuit and how it would impact the processing of feedback or feedforward activity that would be required to promote behavior.” We have included a new paragraph in the discussion clarifying the limitations of this study and the model, reproduced below.

      "Limitations of the model

      Here we addressed how feedforward glutamatergic excitation and inhibition is transformed from one UBC to the next depending on their subtype. The model focuses on AMPA receptor mediated excitation and mGluR2 mediated inhibition. One limitation of the model is that it does not consider feedforward and lateral inhibition from Golgi cells, which shape the spiking of UBCs in response to afferent stimulation. Golgi cells receive mossy fiber input and inhibit UBCs through their corelease of GABA and glycine (Dugue et al., 2005; Rousseau et al., 2012). Golgi cells control the temporal dynamics of the firing of granule cells as well as their gain (Rossi et al., 2003; Kanichay and Silver, 2008) and are critical to larger scale dynamics of the cerebellar cortical network (D‘Angelo, 2008). Purkinje cells provide additional inhibition to ON UBCs that could influence how UBC circuits transform signals (Guo et al., 2016). A more complex model that implements Golgi cells and other critical circuit elements will be needed to investigate the role of feedforward UBC circuits in cerebellar network dynamics and motor behaviors in vivo."

      1. No consideration for involvement of polysynaptic UBCs driving UBC responses to MF stimulation in electrophysiology experiments. Given the established existence (in this manuscript and Dino et al. 2000 Neurosci, Dino et al. 2000 ProgBrainRes, Nunzi and Mugnaini 2000 JCompNeurol, Nunzi et al. 2001 JCompNeurol) of polysynaptic connections from MFs to UBCs to UBCs, the MF evoked UBC responses established in this manuscript, especially responses to trains of stimuli could be mediated by direct MF inputs, or to polysynaptic UBC inputs, or possibly both (to my awareness not established either way). Thus the response durations could already include extension of duration by polysynaptic inputs, and so would overestimate the duration of monosynaptic inputs, and thus polysynaptic amplification/modulation, observed in the NEURON model.

      We are confident that the synaptic responses shown are monosynaptic for several reasons. UBCs receive a single mossy fiber input on their dendritic brush, and thus if our stimulation produces a reliable, short-latency response consistent with a monosynaptic input, then there is not likely to be a disynaptic input, because the main input is accounted for by the monosynaptic response. In all cells included in our data set, the fast AMPA receptor-mediated currents always occurred with short latency (1.24 ± 0.29 ms; mean ± SD; n = 13), high reliability (no failures to produce an EPSC in any of the 13 GRP UBCs in this data set), and low jitter (SD of latency; 0.074 ± 0.046 ms; mean ± SD; n = 13). These measurements have been added to the results section.

      In some rare cases, we did observe disynaptic currents, which were easily distinguishable because a single electrical stimulation produced a burst of EPSCs at variable latencies. Please see example below. These cases of disynaptic input, which have been reported by others (Diño et al., 2000; Nunzi and Mugnaini, 2000; van Dorp and De Zeeuw, 2015) support the conclusion that UBCs receive input from other UBCs.

      Author response image 2.

      Example of GRP UBC with disynaptic input. Three examples of the effect of a single presynaptic stimulus (triangle) in a GRP UBC with presumed disynaptic input. Note the variable latency of the first evoked EPSC, bursts of EPSCs, and spontaneous EPSCs.

      Author response: "UBCs receive a single mossy fiber input on their dendritic brush, and thus if our stimulation produces a reliable, short-latency response consistent with a monosynaptic input, then there is not likely to be a disynaptic input."

      This statement is not congruent with the literature, with early work by Mugnaini and colleagues (Mugnaini et al. 1994 Synapse; Mugnaini and Flores 1994 J. Comp. Neurol.) indicating that UBCs are innervated by 1-2 mossy fibers, which are as likely other UBC terminals as MFs. This leaves open the possibility that so called monosynaptic responses do, as originally suggested, already include polysynaptic feedforward amplification of duration. While the authors also indicate that isolated disynaptic currents can be observed when they occur in isolation, a careful examination and objective documentation of "monosynaptic" responses would address this issue. Presumably, if potential disynaptic UBC inputs occur during a monosynaptic MF response, it would be detected as an abrupt biphasic inward/outward current, due to additional AMPA receptor activation but further desensitization of those already active (as observed by Kinney et al. 1997 J. Neurophysiol: "The delivery of a second MF stimulus at the peak of the slow EPSC evoked a fast EPSC of reduced amplitude followed by an undershoot of the subsequent slow current"). If such polysynaptic inputs are truly absent and are "rare" in isolation, some estimation of how common or not such synaptic amplification is, would improve our understanding of the overall significance of these inputs.

      We are confident that these currents are monosynaptic, because, as suggested, we carefully analyzed the latency, jitter and reliability, which was added to the previous revision. The latency and jitter are strong (quantitative) evidence that the first EPSC evoked was monosynaptic. While some UBCs have been reported to have multiple brushes, or brushes that branch and may contact multiple mossy fibers, or receive synaptic input onto their somas, these cases are rare in our experience in this age of mouse and there is no evidence for them in this dataset. For every trace we made a careful examination and documented that no delayed EPSCs were present. The presence of delayed EPSCs (or ‘abrupt biphasic inward/outward currents’ as described in Kinney et al 1997) would indeed suggest the presence of disynaptic activity or multiple inputs to the UBC, but these would be easily identified, even during a stimulation train. For these reasons we feel that we have established that polysynaptic feedforward amplification of duration is not present

      We agree that the monosynaptic responses could be due to the stimulation of UBC axons. However, the absence of delayed EPSCs again suggests that if stimulation of a presynaptic UBC axon was producing the currents in the recorded UBC, then the axon was severed from the soma and AIS, because this region is necessary for the cell to produce more than a single spike per stimulation. We added a sentence describing the potential for the monosynaptic EPSCs to be due to the stimulation of presynaptic UBC axons.

      Your point is well taken that a discussion of how common or rare these UBC to UBC connections is necessary to more clearly explain how we interpret their significance and we have expanded the paragraph in the discussion that does so. Thank you for this suggestion.

      1. Lack of quantification of subtypes of UBC interconnectivity. Given that it is already established that UBCs synapse onto other UBCs (see refs above), the main potential advance of this manuscript in terms of connectivity is the establishment and quantification of ON-ON, ON-OFF, OFF-ON, and OFF-OFF subtypes of UBC interconnections. But, the authors only establish that each type exists, showing specific examples, but no quantification of the absolute or relative density was provided, and the authors' unquantified wording explicitly or implicitly states that they are not common. This lack of quantification and likely small number makes it difficult to know how important or what impact such synapses have on cerebellar processing, in the model and in situ.

      As noted by the reviewer, the connections between UBCs were rare to observe. We decided against attempting to quantify the absolute or relative density of connections for several reasons. A major reason for rare observations of anatomical connections between UBCs is likely due to the sparse labeling. First, the GRP mouse line only labels 20% of ON UBCs and we are unable to test whether postsynaptic connectivity of GRP ON UBCs is the same as that of the rest of the population of ON UBCs that are not labeled in the GRP mouse line. Second, the Brainbow reporter mouse only labels a small population of Cre expressing cells for unknown reasons. Third, the Brainbow reporter expression was so low that antibody amplification was necessary, which then limited the labeled cells to those close to the surface of the brain slices, because of known antibody penetration difficulties. Therefore, we refrained from estimating the density of these connections, because each of these variables reduced the labeling to unknown degrees and we reasoned that extrapolating our rare observations to the total population would be inaccurate.

      A paper that investigated UBC connectivity using organotypic slice cultures from P8 mice suggests that 2/3 of the UBC population receives UBC input, based on the observation that 2/3 of the mossy fibers did not degenerate as would be expected after 2 days in vitro if they were severed from a distant cell body (Nunzi and Mugnaini, 2000). It remains to be seen if this high proportion is due to the young age of these mice or is also the case in adult mice. Even if these connections are indeed rare, they are expected to have profound effects on the circuit, as each UBC has multiple mossy fiber terminals (Berthie and Axelrad, 1994), and mossy fiber terminals are estimated to contact 40 granule cells each (Jakab and Hamori, 1988). We have added a comment regarding this point to the discussion.

      To address this issue, the authors added the following text to the discussion section: "We did not estimate the density of these UBC to UBC connections, because the sparseness of labeling using these approaches made an accurate calculation impossible. Previous work using organotypic slice cultures from P8 mice estimated that 2/3 of the UBC population receives input from other UBCs (Nunzi & Mugnaini, 2000), although it is unclear whether this is the case in older mice."

      While accurate, the addition doesn't really address the situation, which is that apparently the reported connections are rare. Adding the information about 2/3 of UBCs having UBC inputs in culture, implies the opposite might be true (i.e. that they might be quite common), which is in contrast to the authors' data, so should be reworded for clarity, which should also incorporate the considerations covered in point #2 above. I.e. if the authors do establish that none of their recordings have polysynaptic inputs, and if they determine that the number of cells that showed isolated di-synaptic inputs is indeed rare, then it suggests that these specific polysynaptic connections are in fact rare.

      Thank you for pointing this out. We agree that adding this information is somewhat contradictory to our results and we have added more to this section in the discussion, provided below.

      Anatomically identifiable connections between UBCs were not present in all brain slices and finding them required a careful search. UBC labeling was sparse due to the highly specific genetic labeling techniques and further sparsification by the Brainbow reporter, which made it impossible to estimate the density of these UBC to UBC connections. Electrophysiological evidences suggest that UBC to UBC connections are not common, because spontaneous EPSCs that would indicate a spontaneously firing presynaptic UBC are only rarely observed in UBCs recorded in acute brain slices. In an analysis of feedforward excitation of granule layer neurons, only 4 out of 140 UBCs had this indirect evidence of a firing presynaptic UBC (van Dorp and De Zeeuw, 2015), which suggests that UBC to UBC connections may be rare. On the other hand, previous work using organotypic slice cultures from P8 mice estimated that 2/3 of the UBC population receives input from other UBCs (Nunzi & Mugnaini, 2000). This suggests a much higher density of UBC to UBC connections, but could be due to the young age of the brains used, which is before UBCs have matured (Morin et al., 2001), and also due to increased collateral sprouting that can occur in culture (Jaeger et al., 1988). Another study imaged 2-4 week old rat cerebellar slices at an electron microscopic level and found that 4 out of 14 UBC axon terminals contacted UBC brushes (Diño et al., 2000). Future work is necessary to accurately estimate the density and impact of these feedforward UBC circuits.

      1. Lack of critical parameters in NEURON model.

      A) The model uses # of molecules of glutamate released as the presumed quantal content, and this factor is constant.

      However, no consideration of changes in # of vesicles released from single versus trains of APs from MFs or UBCs is included. At most simple synapses, two sequential APs alters release probability, either up or down, and release probability changes dynamically with trains of APs. It is therefore reasonable to imagine UBC axon release probability is at least as complicated, and given the large surface area of contact between two UBCs, the number of vesicles released for any given AP is also likely more complex.

      B) the model does not include desensitization of AMPA receptors, which in the case of UBCs can paradoxically reduce response magnitude as vesicle release and consequent glutamate concentration in the cleft increases (Linney et al. 1997 JNeurophysiol, Lu et al. 2017 Neuron, Balmer et al. 2021 eLIFE), as would occur with trains of stimuli at MF to ON-UBCs.

      A) The model produces synaptic AMPA and mGluR2 currents that reproduce those we recorded in vitro. We did not find it necessary to implement changes in glutamate release during a train as the model was fit to UBC data with the assumption that the glutamate transient did not change during the train. If there is a change in neurotransmitter release during a train, it is therefore built into the model, which has the advantage of reducing its complexity. UBCs are a special case where the postsynaptic currents are mediated mostly by the total amount of transmitter released. Most of the evoked current occurs tens to hundreds of milliseconds after neurotransmitter release and is therefore much more sensitive to total release and less sensitive to how it is released during the train. The figure below shows the effect of reducing the amount of glutamate released by 10% on each stimulus in the model. Despite a significant change in the pattern of neurotransmitter release, as well as a reduction in the total amount of glutamate, the slow EPSC still decays over the course of hundreds of milliseconds.

      B) The detailed kinetic AMPA receptor model used here accurately reproduces desensitization, which in fact mediates that the slow ON UBC current. This AMPA receptor is a 13-state model, including 4 open states with 1-4 glutamates bound, 4 closed states with 1-4 glutamates bound, 4 desensitized states with 1-4 glutamates bound, and 5 closed states with 0-4 glutamates bound. The forward and reverse rates between different states in the model were fit to AMPA receptor currents recorded from dissociated UBCs and they accurately reproduced the ON UBC currents evoked by synaptic stimulation in our previous work (Balmer et al., 2021).

      Author response image 3.

      Effect of short-term depression of neurotransmitter release. A) The top trace shows the glutamate transient that drives the AMPA receptor model used in our study. No change in release is implemented, although the slow tail of the transient summates during the train. The bottom trace shows the modeled AMPA receptor mediated current. B) In this model the amount of glutamate released on each stimulus is reduced by 10%. The duration of the slow AMPA current is similar, despite a profound change in the pattern of neurotransmitter exposure.

      While the authors have not added the suggested additional parameters, their clarifications regarding the implications of existing parameters, and demonstration of reasonable fits to experimental data, and lack of substantial effect of simulating reduced vesicle release probability,

      1. Lack of quantification of various electrophysiological responses. UBCs are defined (ON or OFF) based on inward or outward synaptic response, but no information is provided about the range of the key parameter of duration across cells, which seems most critical to the current considerations. There is a similar lack of quantification across cells of AP duration in response to stimulation or current injections, or during baseline. The latter lack is particularly problematic because in agreement with previous publications, the raw data in Fig. 1 shows ON UBCs as quiescent until MF stimulation and OFF UBCs firing spontaneously until MF stimulation, but, for example, at least one ON UBC in the NEURON model is firing spontaneously until synaptically activated by an OFF UBC (Fig. 11A), and an OFF UBC is silent until stimulated by a presynaptic OFF UBC (Fig. 11C). This may be expected/explainable theoretically, but then such cells should be observed in the raw data.

      To address this reasonable concern of a general lack of quantification of electrophysiological responses we have added data characterizing the slow inward and outward currents evoked by synaptic stimulation in GRP and P079 UBCs in the results section and in new panels in Figure 1. We report the action potential pause lengths in P079 UBCs and burst lengths in ON UBCs in the results section. However, we favor the duration of the currents to the length of burst and pause, because the currents do not depend on a stable resting membrane potential, which is itself difficult to determine in intracellular recordings of these small cells. In a series of recent publications that focused on UBC firing, the authors argue that cell-attached recordings are necessary to determine accurately the burst and pause lengths, as well as spontaneous firing rates (Guo et al., 2021; Huson et al., 2023). (The trade-off of these extracellular recordings is that the monosynaptic nature of the input is nearly impossible to confirm.) Spontaneous firing rates were variable within both GRP and P079 UBCs from silent to firing regularly or in bursts, as previously reported (Kim et al., 2012; van Dorp and De Zeeuw, 2015). For clarity, we chose to model the GRP UBCs as silent unless receiving synaptic input and P079 UBCs as active unless receiving synaptic input. As the reviewer suggests, we have observed UBCs firing in the patterns similar to those shown in the model UBCs having input from spontaneous presynaptic UBCs. Below are some examples of spontaneous EPSCs and IPSCs in UBCs that suggest the presence of a presynaptic UBC.

      Author response image 4.

      Examples of UBCs that receive spontaneous input. A) Three ON UBCs that had spontaneous EPSCs, suggesting the presence of an active presynaptic UBC. B) Two OFF UBCs that had spontaneous outward currents.

      The authors have added additional analysis and discussion, which adequately addresses this concern.

      Reviewer #2 (Public Review):

      In this paper, the authors presented a compelling rationale for investigating the role of UBCs in prolonging and diversifying signals. Based on the two types of UBCs known as ON and OFF UBC subtypes, they have highlighted the existing gaps in understanding UBCs connectivity and the need to investigate whether UBCs target UBCs of the same subtype, different subtypes, or both. The importance of this knowledge is for understanding how sensory signals are extended and diversified in the granule cell layer.

      The authors designed very interesting approaches to study UBCs connectivity by utilizing transgenic mice expressing GFP and RFP in UBCs, Brainbow approach, immunohistochemical and electrophysiological analysis, and computational models to understand how the feed-forward circuits of interconnected UBCs transform their inputs.

      This study provided evidence for the existence of distinct ON and OFF UBC subtypes based on their electrophysiological properties, anatomical characteristics, and expression patterns of mGluR1 and calretinin in the cerebellum. The findings support the classification of GRP UBCs as ON UBCs and P079 UBCs as OFF UBCs and suggest the presence of synaptic connections between the ON and OFF UBC subtypes. In addition, they found that GRP and P079 UBCs form parallel and convergent pathways and have different membrane capacitance and excitability. Furthermore, they showed that UBCs of the same subtype provide input to one another and modify the input to granule cells, which could provide a circuit mechanism to diversify and extend the pattern of spiking produced by mossy fiber input. Accordingly, they suggested that these transformations could provide a circuit mechanism for maintaining a sensory representation of movement for seconds.

      Overall, the article is well written in a sound detailed format, very interesting with excellent discovery and suggested model.

      I believe the authors have provided appropriate responses and have consequently revised the manuscript in a convincing manner. Although I am not an expert in physiology, I find the explanations and clarifications to be acceptable.

    1. Author response:

      The following is the authors’ response to the previous reviews

      Reviewer #1 (Recommendations for the authors):

      Major comments

      (1) Line 201: The threshold of 0.25 was maintained to select enriched genes, which minimize the value of the GO term enrichment analyses. It may notably explain why the term phagosome is enriched in cluster 7, while experimental data indicate that cluster 7 is not phagocytic. In addition, the authors mentioned in the 1st response to reviewer that they would include DotPlot to illustrate the specificity of the genes corresponding to the main GO terms. This should notably include the ribosomal genes found enriched in cluster 4, which constitute the basis used by the authors to call cluster 4 the progenitor cluster.

      We appreciate the reviewer’s concern regarding our chosen log2FC threshold (0.25) for GO term enrichment. To assess the robustness of our approach, we tested more stringent thresholds (e.g., 0.5) and verified that our overall interpretations remain consistent. However, we acknowledge that certain GO terms, such as phagosome, may appear in clusters that are not primarily phagocytic. This is likely due to the fact that genes involved in vesicle trafficking, endo-lysosomal compartments and intracellular degradation processes overlap with those classically associated with phagocytosis.

      Therefore, the KEGG-based enrichment of phagosome in cluster 7 does not necessarily imply active phagocytosis but could instead reflect these alternative vesicular processes. As we show, cluster 7 correspond to vesicular cells, and as seen in cytology we named these cells after their very high content of vesicular structures. As functional annotation based solely on transcriptomic data can sometimes lead to overinterpretations, we emphasize the importance of biological validation, which we have partially addressed through functional assays in this study.

      Regarding the specificity of ribosomal gene expression in cluster 4, we analyzed the distribution of ribosomal genes expressed across all clusters, as shown in Supplementary Figure S1-J. This analysis demonstrates that cluster 4 is specifically enriched in ribosome-related genes, reinforcing its characterization as a transcriptionally active population. Given that ribosomal gene expression is a key feature often associated with proliferative or metabolically active cells, these findings support our initial interpretation that cluster 4 may represent an undifferentiated or progenitor-like population.

      We acknowledge the reviewer’s suggestion to include a DotPlot to further illustrate the specificity of these genes in cluster 4. However, we believe that Supplementary Figure S1-J already effectively demonstrates this enrichment by presenting the percentage of ribosomal genes per cluster. A DotPlot representation would primarily convey the same information in a different format, but without providing additional insight into the specificity of ribosomal gene expression within cluster 4.

      (2) The lineage analysis is highly speculative and based on weak evidences. Initiating the hemocyte lineage to C4 is based on rRNA expression levels. C6 would constitute a better candidate, notably with the expression of PU-1, ELF2 and GATA3 that regulate progenitors differentiation in mammals (doi: 10.3389/fimmu.2019.00228, doi:10.1128/microbiolspec.mchd-0024-2, doi: 10.1098/rsob.180152) while C4 do not display any specific transcription factors (Figure 7I). In addition, the representation and interpretation of the transcriptome dynamics in the different lineages are erroneous. There are major inconsistencies between the data shown in the heatmaps Fig7C-H, Fig S10 and the dotplot in Fig7I. For example, Gata3 (G31054) and CgTFEB (G30997) illustrate the inconsistency. Fig S10C show GATA3 going down from cluster 4 to cluster 6 while Fig 7I show an increase level of expression in 6 compared to 4. CgTFEB (G30997) decrease from C4 to VC in Fig 7F while it increases according to Fig 7I. At last, Figure 7D: the umap show transition from C4 to C5 while the heatmap mention C4 to C6 (I believe there is a mix up with Figure 7E.

      We sincerely apologize for the inconsistencies noted between the different panels of Figure 7. These discrepancies resulted from using an incorrect matrix dataset during the initial representation. To address this issue, we have fully reprocessed the data and now provide a corrected and improved depiction of gene expression dynamics along the pseudotime trajectory. We are grateful to the reviewer for having help us to correct theses mistakes.

      In the revised version, we offer a comprehensive and consistent representation of expression level variations for key genes identified by the Monocle3 algorithm. Supplementary Figure S10 now presents the average expression variation of these significant genes as a function of pseudotime. Based on this dataset, we carefully selected representative genes to construct panels C to H of Figure 7, ensuring coherence across all figures. These updated panels show both average expression levels and the percentage of expressing cells along the pseudotime trajectory, providing a clearer interpretation of transcriptomic dynamics.

      We appreciate the reviewer’s helpful feedback regarding our lineage analysis and the suggestion that cluster 6 might be a more appropriate progenitor based on the expression of mammalian-like transcription factors such as PU-1, ELF2, and GATA3. Below, we clarify our rationale for choosing cluster 4 as the root of the pseudotime and discuss the functional implications of the identified transcription factors.

      We can hypothesize that clusters 4, 5, or 6 could each potentially represent early progenitor-like states, as these three clusters are transcriptionally close (Lines 539-541). These clusters have not yet been conclusively identified in terms of classical hemocyte morphology, and they appear to arise from ABL- or BBL-type cells. Our decision to root the pseudotime at cluster 4 was motivated by its strong expression of core transcription and translation genes, suggesting a particular stage of translation activity that was not observed for cluster 5 or cluster 6. Cluster 5 and 6 may correspond to a similar population of cells, most probably Blast-Like cells at different stages of cell cycle or differentiation engagement.

      Although cluster 6 expresses PU-1, ELF2, and GATA3, which are known regulators of haematopoietic progenitor differentiation in vertebrates, it is essential to highlight that structural homology does not necessarily imply functional equivalence. Moreover, the expression of PU-1, ELF2, and GATA3 does not strictly characterize a population as “undifferentiated” or progenitor-like. Studies such as those by Buenrostro et al. (Cell, 2018) have demonstrated that these transcription factors can remain active in or reemerge during more lineage-committed stages. For instance, PU-1 is essential for myeloid and B-cell differentiation, GATA3 is involved in T-lymphocyte lineage commitment (though transiently expressed in early progenitors), and ELF2 participates in lineage-specific pathways. Thus, their presence does not imply a primitive state but rather highlights their broader functional roles in guiding and refining lineage decisions. Functional annotation of these transcription factors in invertebrate systems remains speculative, particularly as morphological or molecular markers specific to these early hemocyte lineages are not yet fully established. Further functional assays (e.g., knockdown/overexpression or lineage tracing using cells (ABL and BBL) from clusters 4, 5 and 6) will be necessary to determine which hemocyte population harbor progenitor properties and differentiation potential.

      To further address the reviewer’s concern, we performed complementary pseudotime analyses by initiating Monocle 3 trajectories from clusters 4, 5, and 6 individually, as well as collectively (4/5/6). These analyses (see attached figure) confirm that the overall differentiation topology remains unchanged regardless of the selected root, consistently revealing two main pathways: one leading to hyalinocytes and the other to the granular lineage (ML, SGC, and VC). This consistency strongly suggests that clusters 4, 5, and 6 represent related pools of progenitor-like cells. Therefore, choosing cluster 4 based on its transcription/translation readiness does not alter the inferred branching architecture of hemocyte differentiation.

      We appreciate the reviewer’s suggestions, which have helped us improve our manuscript and clarify our rationale.

      Author response image 1.

      Representation of the trajectories obtained from Monocle3 analysis using different pseudotime origins, showing that changing the rooting did not alter the overall differentiation topology. (A) Pathways identified with cluster 4, (B) cluster 5, (C) cluster 6, and (D) cluster 4/5/6 origins.

      (3) Concerning the AMP expression analysis in Figure 6: the qPCR data show that Cg-BPI and Cg-Defh are expressed broadly in all fractions including 6 and 7, which is in conflict with the statement Line 473 indicating that SGC (fractions 6 and 7) is not expressing AMP. In addition, this analysis should be combined with the expression profile of all AMP in the scRNAseq data (list available in 10.1016/j.fsi.2015.02.040).

      We thank the reviewer for highlighting this point. We acknowledge that the qPCR data show expression of Cg-BPI and Cg-Defh across all fractions, including fractions 6 and 7 corresponding to SGC. However, our conclusion that SGCs do not express antimicrobial peptides (AMPs) was based on a correlation analysis rather than direct detection of AMPs in granular cells. Specifically, the qPCR experiments were designed to measure AMP expression levels in fractionated hemocyte populations relative to a control sample of whole hemolymph. We then performed a correlation analysis between AMP expression levels and the proportion of each hemocyte type in the fractions. This approach allowed us to infer a lower expression of AMP in granular cells, as reflected in the heatmap presented in Figure 6.

      Regarding the suggestion to integrate AMP expression profiles from scRNA-seq data, we wrote that the limited sequencing depth of our scRNA-seq analysis was insufficient to accurately detect AMP expression (Ligne 472-473 → “However, due to the limited sequencing depth, the scRNA-seq analysis was not sensitive enough to reveal AMP expression.”.  Additionally, many of the known AMPs of Crassostrea gigas are not annotated in the genome, further complicating their identification within the scRNA-seq dataset. As a result, we were unable to perform the requested integration of AMP expression profiles from scRNA-seq data.

      (4) The transcription factor expression analysis is descriptive and the interpretation too partial. These data should be compared with other systems. Most transcription factors show functional conservation, notably in the inflammatory pathways, which can provide valuable information to understand the function of the clusters 5 and 6 for which limited data are available.

      We appreciate the reviewer’s suggestion to compare the identified transcription factors with other systems. However, since we did not perform a detailed phylogenetic analysis of the transcription factors identified in our dataset, we refrain from making assumptions about their functional conservation across species. Our analysis aims to provide a descriptive overview of transcription factor expression patterns in hemocyte clusters, which serves as a foundation for future functional studies. While transcription factor profiles may provide insights into the potential roles of clusters 5 and 6, assigning precise functions based solely on bioinformatic predictions remains speculative. Further experimental validation, including functional assays and evolutionary analyses, would be necessary to confirm the roles of these transcription factors, which is beyond the scope of the present study.

      Minor comments

      Line 212-213: the text should be reformulated. In the result part, it is more important to mention that the reannotation is based on conserved proteins functions than to mention the tool Orson.

      We have reworded this section to emphasize that the updated annotation is function-based, using Orson primarily as the bioinformatics tool for improved GO annotation. We now place the emphasis on the conserved protein functions underlying the reannotation. Lines 212-215 : “Using the Orson pipeline (see Materials and Methods), these files were used to extract and process the longest CDSs for GO-term annotation, and we then reannotated each predicted protein by sequence homology, assigning putative functions and improving downstream GO-term analyses.”

      Figure 2: I would recommend homogenizing the two Dotplot representation with the same color gradient and representing the gene numbers in both case.

      We appreciate the reviewer’s suggestion to improve the clarity and consistency of Figure 2. In response, we have homogenized the color gradients across the two DotPlot representations and have included gene numbers in both cases to ensure a more uniform and informative visualization.

      Table 2: pct1 and pct2 should be presented individually like in table 1

      We now present these columns separately (pct1, pct2) as in Table 1, so readers can compare the fraction of expressing cells in each cluster more transparently.

      Line 403-414: how many cells were quantified for the phagocytic experiments ?

      We have added the exact number of cells that were counted to determine phagocytic indices and the number of technical/biological replicates. Line 411, the text was modified : “Macrophage-like cells and small granule cells showed a phagocytic activity of 49 % and 55 %, respectively, and a phagocytosis index of 3.5 and 5.2 particles per cell respectively (Fig. 5B and Supp. Fig. 7B), as confirmed in 3 independent experiments examining a total of 2,807 cells.”

      Line 458: for copper staining, how many cells and how many replicates were done for the quantification ?

      We have specified the number of hemocytes and number of independent replicates used when quantifying rhodanine-stained (copper-accumulating) cells. Line 458 the following text was added : “and a total of 1,562 cells were examined across three independent experiments.”

      Line 461: what are the authors referring to when mentioning the link between copper homeostasis and scRNAseq?

      Single-cell RNA sequencing (scRNA-seq) analysis revealed an upregulation of several copper transport– related genes, including G4790 (a copper transporter) with a 2.7 log2FC and a pct ratio of 42, as well as the divalent cation transporters G5864 (zinc transporter ZIP10) and G4920 (zinc transporter 8), specifically in cluster 3 cells identified as small granule cells. These findings reinforce a potential role for this cluster in metal homeostasis.

      We modified lines 462-467 as : “ These results provide functional evidence that small granule cells (SGCs) are specialized in metal homeostasis in addition to phagocytosis, as suggested by the scRNA-seq data identifying cluster 3. Specifically, single-cell RNA sequencing revealed an upregulation of copper transport– related genes, including G4790 (a copper transporter) with a 2.7 log2FC and a pct ratio of 42, reinforcing the role of SGCs in copper homeostasis (see Supp. File S1).”

      Line 611: it would be nice to display the enrichment of the phagocytic receptor in cluster 3 (dotplot or feature plot) to illustrate the comment.

      We appreciate the reviewer’s insightful suggestion regarding a more comprehensive analysis of phagocytic receptors. While a full inventory is beyond the scope of this study, we acknowledge the value of such an approach and hope that our findings will serve as a foundation for future investigations in this direction.

      Although we have highlighted certain phagocytic receptors (e.g., a scavenger receptor domain-containing gene) in our scRNA-seq dataset, it is beyond the scope of the current study to inventory all phagocytosisrelated receptors in the C. gigas genome, which itself would be a substantial undertaking. Moreover, singlecell RNA sequencing captures only about 15–20% of each cell’s mRNA, so we inherently lose a significant portion of the transcriptome, further limiting our ability to pinpoint all relevant phagocytic receptor genes. Adding more figures to cover every candidate receptor would risk overloading this paper, thus we focus on the most prominent examples. A promising approach for more exhaustive analysis would involve efficiently isolating granulocytes (e.g., via Percoll gradient) and performing targeted RNA-seq on this cell population to thoroughly explore genes involved in phagocytosis.

      Line 640-644: the authors mentioned that ML may be able to perform ETosis based on the oxidative burst.

      This hypothesis requires further evidences. Are other markers of ETosis expressed in this cell type?

      We agree that additional experimental evidence (e.g., detection of histone citrullination, extracellular DNA networks) is necessary to confirm ETosis in molluscan immune cells. We present ML-mediated ETosis only as a speculative possibility based on oxidative burst capacity as it was shown in different pieces of work that ETosis is inhibited by NADPH inhibitors (Poirier et al. 2014). Nevertheless, the expression of histones in the macrophage-like cluster (cluster 1) reinforces this possibility, as histone modifications play a key role in chromatin decondensation during ETosis.

      Reviewer #2 (Recommendations for the authors):

      Figure 1: In Figure 1B, the cell clusters are named 1 to 7, whereas in Figure 1C they are displayed as clusters 0 to 6. There is a mismatch between the identification of the clusters.

      We thank the reviewer for identifying this inconsistency. The cluster numbering has been corrected to ensure consistency between Figures 1B and 1C.

      Figure 2B: the font size could be increased for greater clarity.

      We thank the reviewer for this suggestion. The font size in Figure 2B has been increased to improve clarity and readability.

      Line 221: "Figures 2B, C and D" appears to refer to Figure S2 rather than the main Figure 2.

      The text has been corrected to properly reference the figure.

      Line 754: "Anopheles gambiae" should be italicised

      We thank the reviewer for pointing this out. "Anopheles gambiae" has been italicized accordingly.

      Bibliography

      Integrated Single-Cell Analysis Maps the Continuous Regulatory Landscape of Human Hematopoietic

      Differentiation. Buenrostro, Jason D. et al. Cell, Volume 173, Issue 6, 1535 - 1548.e16

      Antimicrobial Histones and DNA Traps in Invertebrate Immunity

      Poirier, Aurore C. et al. Journal of Biological Chemistry, Volume 289, Issue 36, 24821 - 24831

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      Shen et al. conducted three experiments to study the cortical tracking of the natural rhythms involved in biological motion (BM), and whether these involve audiovisual integration (AVI). They presented participants with visual (dot) motion and/or the sound of a walking person. They found that EEG activity tracks the step rhythm, as well as the gait (2-step cycle) rhythm. The gait rhythm specifically is tracked superadditively (power for A+V condition is higher than the sum of the A-only and V-only condition, Experiments 1a/b), which is independent of the specific step frequency (Experiment 1b). Furthermore, audiovisual integration during tracking of gait was specific to BM, as it was absent (that is, the audiovisual congruency effect) when the walking dot motion was vertically inverted (Experiment 2). Finally, the study shows that an individual's autistic traits are negatively correlated with the BM-AVI congruency effect.

      Strengths:

      The three experiments are well designed and the various conditions are well controlled. The rationale of the study is clear, and the manuscript is pleasant to read. The analysis choices are easy to follow, and mostly appropriate.

      Weaknesses:

      There is a concern of double-dipping in one of the tests (Experiment 2, Figure 3: interaction of Upright/Inverted X Congruent/Incongruent). I raised this concern on the original submission, and it has not been resolved properly. The follow-up statistical test (after channel selection using the interaction contrast permutation test) still is geared towards that same contrast, even though the latter is now being tested differently. (Perhaps not explicitly testing the interaction, but in essence still testing the same.) A very simple solution would be to remove the post-hoc statistical tests and simply acknowledge that you're comparing simple means, while the statistical assessment was already taken care of using the permutation test. (In other words: the data appear compelling because of the cluster test, but NOT because of the subsequent t-tests.)

      We are sorry that we did not explain this issue clearly before, which might have caused some misunderstanding. When performing the cluster-based permutation test, we only tested whether the audiovisual congruency effect (congruent vs. incongruent) between the upright and inverted conditions was significantly different [i.e., (UprCon – UprInc) vs. (InvCon – InvInc)], without conducting extra statistical analyses on whether the congruency effect was significant in each orientation condition. Such an analysis yielded a cluster with a significant interaction between audiovisual integration and BM orientation for the cortical tracking effect at 1Hz (but not at 2Hz). However, this does not provide valid information about whether the audiovisual congruency effect at this cluster is significant in each orientation condition, given that a significant interaction effect may result from various patterns of data across conditions: such as significant congruency effects in both orientation conditions (Author response image 1a), a significant congruency effect in the upright condition and a non-significant effect in the inverted condition (Author response image 1b), or even non-significant yet opposite effects in the two conditions (Author response image 1c). Here, our results conform to the second pattern, indicating that cortical tracking of the high-order gait cycles involves a domain-specific process exclusively engaged in the AVI of BM. In a similar vein, the non-significant interaction found at 2Hz does not necessarily indicate that the congruency effect is non-significant in each orientation condition (Author response image 1f&e). Indeed, the congruency effect was significant in both the upright and inverted conditions at 2Hz in our study despite the non-significant interaction, suggesting that neural tracking of the lower-order step cycles is associated with a domain-general AVI process mostly driven by temporal correspondence in physical stimuli.

      Therefore, we need to perform subsequent t-tests to examine the significance of the simple effects in the two orientation conditions, which do not duplicate the clusterbased permutation test (for interaction only) and cause no double-dipping. Results from interaction and simple effects, put together, provide solid evidence that the cortical tracking of higher-order and lower-order rhythms involves BM-specific and domaingeneral audiovisual processing, respectively.

      To avoid ambiguity, we have removed the sentence “We calculated the audiovisual congruency effect for the upright and the inverted conditions” (line 194, which referred to the calculation of the indices rather than any statistical tests) from the manuscript. We have also clarified the meanings of the findings based on the interaction and simple effects together at the two temporal scales, respectively (Lines 205-207; Lines 213-215).

      Author response image 1.

      Examples of different patterns of data yielding a significant or nonsignificant interaction effect.

      Reviewer #2 (Public review):

      Summary:

      The authors evaluate spectral changes in electroencephalography (EEG) data as a function of the congruency of audio and visual information associated with biological motion (BM) or non-biological motion. The results show supra-additive power gains in the neural response to gait dynamics, with trials in which audio and visual information was presented simultaneously producing higher average amplitude than the combined average power for auditory and visual conditions alone. Further analyses suggest that such supra-additivity is specific to BM and emerges from temporoparietal areas. The authors also find that the BM-specific supra-additivity is negatively correlated with autism traits.

      Strengths:

      The manuscript is well-written, with a concise and clear writing style. The visual presentation is largely clear. The study involves multiple experiments with different participant groups. Each experiment involves specific considered changes to the experimental paradigm that both replicate the previous experiment's finding yet extend it in a relevant manner.

      Weaknesses:

      In the revised version of the paper, the manuscript better relays the results and anticipates analyses, and this version adequately resolves some concerns I had about analysis details. Still, it is my view that the findings of the study are basic neural correlate results that do not provide insights into neural mechanisms or the causal relevance of neural effects towards behavior and cognition. The presence of an inversion effect suggests that the supra-additivity is related to cognition, but that leaves open whether any detected neural pattern is actually consequential for multi-sensory integration (i.e., correlation is not causation). In other words, the fact that frequency-specific neural responses to the [audio & visual] condition are stronger than those to [audio] and [visual] combined does not mean this has implications for behavioral performance. While the correlation to autism traits could suggest some relation to behavior and is interesting in its own right, this correlation is a highly indirect way of assessing behavioral relevance. It would be helpful to test the relevance of supra-additive cortical tracking on a behavioral task directly related to the processing of biological motion to justify the claim that inputs are being integrated in the service of behavior. Under either framework, cortical tracking or entrainment, the causal relevance of neural findings toward cognition is lacking.

      Overall, I believe this study finds neural correlates of biological motion, and it is possible that such neural correlates relate to behaviorally relevant neural mechanisms, but based on the current task and associated analyses this has not been shown.

      Thank you for providing these thoughtful comments regarding the theoretical implications of our neural findings. Previous behavioral evidence highlights the specificity of the audiovisual integration (AVI) of biological motion (BM) and reveals the impairment of such ability in individuals with autism spectrum disorder. However, the neural implementation underlying the AVI of BM, its specificity, and its association with autistic traits remain largely unknown. The current study aimed to address these issues.

      It is noteworthy that the operation of multisensory integration does not always depend on specific tasks, as our brains tend to integrate signals from different sensory modalities even when there is no explicit task. Hence, many studies have investigated multisensory integration at the neural level without examining its correlation with behavioral performance. For example, the widely known super-additivity mode for multisensory integration proposed by Perrault and colleagues was based on single-cell recording findings without behavioral tasks (Perrault et al., 2003, 2005). As we mentioned in the manuscript, the super-additive and sub-additive modes indicate non-linear interaction processing, either with potentiated neural activation to facilitate the perception or detection of near-threshold signals (super-additive) or a deactivation mechanism to minimize the processing of redundant information cross-modally (subadditive) (Laurienti et al., 2005; Metzger et al., 2020; Stanford et al., 2005; Wright et al., 2003). Meanwhile, the additive integration mode represents a linear combination between two modalities. Distinguishing among these integration modes helps elucidate the neural mechanism underlying AVI in specific contexts, even though sometimes, the neural-level AVI effects do not directly correspond to a significant behavioral-level AVI effect (Ahmed et al., 2023; Metzger et al., 2020). In the current study, we unveiled the dissociation of multisensory integration modes between neural responses at two temporal scales (Exps. 1a & 1b), which may involve the cooperation of a domain-specific and a domain-general AVI processes (Exp. 2). While these findings were not expected to be captured by a single behavioral index, they revealed the multifaceted mechanism whereby hierarchical cortical activity supports audiovisual BM integration. They also advance our understanding of the emerging view that multi-timescale neural dynamics coordinate multisensory integration (Senkowski & Engel, 2024), especially from the perspective of natural stimuli processing.

      Meanwhile, our finding that the cortical tracking of higher-order rhythmic structure in audiovisual BM specifically correlated with individual autistic traits extends previous behavioral evidence that ASD children exhibited reduced orienting to audiovisual synchrony in BM (Falck-Ytter et al., 2018), offering new evidence that individual differences in audiovisual BM processing are present at the neural level and associated with autistic traits. This finding opens the possibility of utilizing the cortical tracking of BM as a potential neural maker to assist the diagnosis of autism spectrum disorder (see more details in our Discussion Lines 334-346).

      However, despite the main objective of the current study focusing on the neural processing of BM, we agree with the reviewer that it would be helpful to test the relevance of supra-additive cortical tracking on a behavioral task directly related to BM perception, for further justifying that inputs are being integrated in the service of behavior. In the current study, we adopted a color-change detection task entirely unrelated to audiovisual correspondence but only for maintaining participants’ attention. The advantage of this design is that it allows us to investigate whether and how the human brain integrates audiovisual BM information under task-irrelevant settings, as people in daily life can integrate such information even without a relevant task. However, this advantage is accompanied by a limitation: the task does not facilitate the direct examination of the correlation between neural responses and behavioral performance, since the task performance was generally high (mean accuracy >98% in all experiments). Future research could investigate this issue by introducing behavioral tasks more relevant to BM perception (e.g., Shen et al., 2023). They could also apply advanced neuromodulation techniques to elucidate the causal relevance of the cortical tracking effect to behavior (e.g., Ko sem et al., 2018, 2020).

      We have discussed the abovementioned points as a separate paragraph in the revised manuscript (Lines 322-333). In addition, since the scope of the current study does not involve a causal correlation with behavioral performance, we have removed or modified the descriptions related to "functional relevance" in the manuscript (Abstract; Introduction, lines 101-103; Results, lines 239; Discussion, line 336; Supplementary Information, line 794、803). Moreover, we have strengthened the descriptions of the theoretical implications of the current findings in the abstract.

      We hope these changes adequately address your concern.

      References

      Ahmed, F., Nidiffer, A. R., O’Sullivan, A. E., Zuk, N. J., & Lalor, E. C. (2023). The integration of continuous audio and visual speech in a cocktail-party environment depends on attention. Neuroimage, 274, 120143. https://doi.org/10.1016/j.neuroimage.2023.120143

      Falck-Ytter, T., Nystro m, P., Gredeba ck, G., Gliga, T., Bo lte, S., & the EASE team. (2018). Reduced orienting to audiovisual synchrony in infancy predicts autism diagnosis at 3 years of age. Journal of Child Psychology and Psychiatry, 59(8), 872–880. https://doi.org/10.1111/jcpp.12863

      Ko sem, A., Bosker, H., Jensen, O., Hagoort, P., & Riecke, L. (2020). Biasing the Perception of Spoken Words with Transcranial Alternating Current Stimulation. Journal of Cognitive Neuroscience, 32, 1–10. https://doi.org/10.1162/jocn_a_01579

      Ko sem, A., Bosker, H. R., Takashima, A., Meyer, A., Jensen, O., & Hagoort, P. (2018). Neural Entrainment Determines the Words We Hear. Current Biology, 28(18), 2867-2875.e3. https://doi.org/10.1016/j.cub.2018.07.023

      Laurienti, P. J., Perrault, T. J., Stanford, T. R., Wallace, M. T., & Stein, B. E. (2005). On the use of superadditivity as a metric for characterizing multisensory integration in functional neuroimaging studies. Experimental Brain Research, 166(3), 289–297. https://doi.org/10.1007/s00221-005-2370-2

      Metzger, B. A., Magnotti, J. F., Wang, Z., Nesbitt, E., Karas, P. J., Yoshor, D., & Beauchamp, M. S. (2020). Responses to Visual Speech in Human Posterior Superior Temporal Gyrus Examined with iEEG Deconvolution. The Journal of Neuroscience: The Official Journal of the Society for Neuroscience, 40(36), 6938–6948. https://doi.org/10.1523/JNEUROSCI.0279-20.2020

      Perrault, T. J., Vaughan, J. W., Stein, B. E., & Wallace, M. T. (2003). Neuron-Specific Response Characteristics Predict the Magnitude of Multisensory Integration. Journal of Neurophysiology, 90(6), 4022–4026. https://doi.org/10.1152/jn.00494.2003

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    1. Author response:

      The following is the authors’ response to the current reviews.

      Reviewer #1 (Public review):

      Summary:

      In this work, Qiu and colleagues examined the effects of preovulatory (i.e., proestrous or late follicular phase) levels of circulating estradiol on multiple calcium and potassium channel conductances in arcuate nucleus kisspeptin neurons. Although these cells are strongly linked to a role as the "GnRH pulse generator," the goal here was to examine the physiological properties of these cells in a hormonal milieu mimicking late proestrus, the time of the preovulatory GnRH-LH surge. Computational modeling is used to manipulate multiple conductances simultaneously and support a role for certain calcium channels in facilitating a switch in firing mode from tonic to bursting. CRISPR knockdown of the TRPC5 channel reduced overall excitability, but this was only examined in cells from ovariectomized mice without estradiol treatment.

      Comments to address most recent author response:

      The concern regarding the CRISPR experiments being confined to OVX mice is that the results can only suggest that CRISPR-mediated knockdown of TRPC5 can, at best, phenocopy the OVX+E condition. A reciprocal experiment in the opposite direction (for example, that returning TRPC5 to OVX levels in OVX+E mice prevents the changes in firing activity and pattern typical of the OVX+E2 condition) would strengthen the indication that E2-sensitive changes in TRPC5 expression and function are critically important to surge function. Acknowledging this as a limitation of the studies would help to better contextualize the value of the CRISPR experiments to an understanding of surge mechanisms when done only in OVX conditions.

      We have noted in the manuscript that “It would be of interest in future experiments to do the reciprocal experiment to see if overexpressing Trpc5 channels in Kiss1ARH neurons from OVX + E2 females restores the RMP and  “rescues” the synchronization phenotype.”

      The nature of the confusion regarding the consideration of OVX+E2 conditions in the computational model primarily arises from the methods description in the supplemental file: "The effect of E2 on ionic currents is modelled as a change in the maximum conductance parameter. For currents IM,IT, ICa and ITRPC5 this change is inferred from the qPCR data assuming that the conductance is directly proportional to the mRNA expression." If these were instead based on the whole-cell recordings as the authors now indicate in their response, then this description needs to be edited and clarified accordingly. Furthermore, the section states, "For ISK, IBK, Ileak, the OVX and OVX+E2 conductances are obtained from current-voltage relationships recorded from Kiss1ARH neurons in the absence/presence of iberiotoxin (BK blocker) and apamin (SK blocker). All other currents were assumed to be unaffected by E2." This section thus does not directly indicate that the recordings in the stated figures were used in the model, and moreover suggests that currents besides ISK, IBK, and Ileak were not different in OVX+E2 conditions.

      The prior evidence stated for correlation of mRNA and channel conductance is not explicitly cited in the manuscript. It is well known that post-translational modifications, physiological modulation of individual channel biophysical properties, and many other factors can influence the end output of a membrane conductance. Therefore, the authors should, at minimum, provide a literature citation supporting the assumption used here.

      We have re-written the paragraph on “Modelling the effects of E2” in the Supplemental Information (now Appendix 1)  to clarify the that the modeling was based on a combination of electrophysiological recordings and the qPCR data presented in this and previous publications. The statement that “all other currents were assumed to be unaffected by E2” was a misstatement and has been deleted. As per the reviewer’s request, we have listed seven publications that document the correlation between the mRNA expression and channel conductance for the various channels. We thank the reviewer for the suggestion.

      Reviewer #2 (Public review):

      Summary:

      Kisspeptin neurons of the arcuate nucleus (ARC) are thought to be responsible for the pulsatile GnRH secretory pattern and to mediate feedback regulation of GnRH secretion by estradiol (E2). Evidence in the literature, including the work of the authors, indicates that ARC kisspeptin coordinate their activity through reciprocal synaptic interactions and the release of glutamate and of neuropeptide neurokinin B (NKB), which they co-express. The authors show here that E2 regulates the expression of genes encoding different voltage-dependent calcium channels, calcium-dependent potassium channels and canonical transient receptor potential (TRPC5) channels and of the corresponding ionic currents in ARC kisspeptin neurons. Using computer simulations of the electrical activity of ARC kisspeptin neurons, the authors also provide evidence of what these changes translate into in terms of these cells' firing patterns. The experiments reveal that E2 upregulates various voltage-gated calcium currents as well as 2 subtypes of calcium-dependent potassium currents, while decreasing TRPC5 expression (an ion channel downstream of NKB receptor activation), the slow excitatory synaptic potentials (slow EPSP) elicited in ARC kisspeptin neurons by NKB release and expression of the G protein-associated inward-rectifying potassium channel (GIRK). Based on these results, and on those of computer simulations, the authors propose that E2 promotes a functional transition of ARC kisspeptin neurons from neuropeptide-mediated sustained firing that supports coordinated activity for pulsatile GnRH secretion to a less intense burst-like firing pattern that could favor glutamate release from ARC kisspeptin. The authors suggest that the latter might be important for the generation of the preovulatory surge in females.

      Strengths:

      The authors combined multiple approaches in vitro and in silico to gain insights into the impact of E2 on the electrical activity of ARC kisspeptin neurons. These include patch-clamp electrophysiology combined with selective optogenetic stimulation of ARC kisspeptin neurons, reverse transcriptase quantitative PCR, pharmacology and CRISPR-Cas9-mediated knockdown of the Trpc5 gene. The addition of computer simulations for understanding the impact of E2 on the electrical activity of ARC kisspeptin cells is also a strength.

      The authors add interesting information on the complement of ionic currents in ARC kisspeptin neurons and on their regulation by E2 to what was already known in the literature. Pharmacological and electrophysiological experiments appear of the highest standards and robust statistical analyses are provided throughout. The impact of E2 replacement on calcium and potassium currents is compelling. Likewise, the results of Trpc5 gene knockdown do provide good evidence that the TRPC5 channel plays a key role in mediating the NKB-mediated slow EPSP. Surprisingly, this also revealed an unsuspected role for this channel in regulating the membrane potential and excitability of ARC kisspeptin neurons.

      Weaknesses:

      The manuscript also has weaknesses that obscure some of the conclusions drawn by the authors.

      One is that the authors compare here two conditions, OVX versus OVX replaced with high E2, that may not reflect the physiological conditions under which the proposed transition between neuropeptide-dependent sustained firing and less intense burst firing might take place (i.e. the diestrous [low E2] and proestrous [high E2] stages of the estrous cycle). This is an important caveat to keep in mind when interpreting the authors' findings. Indeed, that E2 alters certain ionic currents when added back to OVX females, does not mean that the magnitude of all of these ionic currents will vary during the estrous cycle.

      We do know that the slow EPSP, which is generated by TRPC5 channels, tracks beautifully with the steroid state of female mice.  Using our E2 treatment paradigm that generates a LH surge in OVX females (left panel in Author response image 1), there is no difference in the amplitude of the slow EPSP in proestrous versus OVX + E2 females (right panel in Author response image 1).    

      Author response image 1.

      In addition, although the computational modeling indicates a role of the various E2-modulated conductances in causing a transition in ARC kisspeptin neuron firing pattern, their role is not directly tested in physiological recordings, weakening the link between these changes and the shift in firing patterns.

      In future experiments we will test directly the physiological contribution of the other E2-modulated conductances in causing the transition in the firing pattern of arcuate Kiss1 neurons using CRISPR/SaCas9 technology as we have documented for the TRPC5 channel (e.g., Figures 11 and 12).

      Overall, the manuscript provides interesting information about the effects of E2 on specific ionic currents in ARC kisspeptin neurons and some insights into the functional impact of these changes. However, some of the conclusions of the work, with regard, in particular, to the role of these changes in ion channels and to their implications for the LH surge, are not fully supported by the findings.

      ---------

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      In this work, Qiu and colleagues examined the effects of preovulatory (i.e., proestrous or late follicular phase) levels of circulating estradiol on multiple calcium and potassium channel conductances in arcuate nucleus kisspeptin neurons. Although these cells are strongly linked to a role as the "GnRH pulse generator," the goal here was to examine the physiological properties of these cells in a hormonal milieu mimicking late proestrus, the time of the preovulatory GnRH-LH surge. Computational modeling is used to manipulate multiple conductances simultaneously and support a role for certain calcium channels in facilitating a switch in firing mode from tonic to bursting. CRISPR knockdown of the TRPC5 channel reduced overall excitability, but this was only examined in cells from ovariectomized mice without estradiol treatment. The manuscript has been substantially improved from the initial version by the addition of new experiments and clarification of important figures. Importantly, the overlap of data with previous reports from the same group has been corrected.

      Strengths:

      (1) Examination of multiple types of calcium and potassium currents, both through electrophysiology and molecular biology.

      (2) Focus on arcuate kisspeptin neurons during the surge is relatively conceptually novel as the anteroventral periventricular nucleus (AVPV) kisspeptin neurons have received much more attention as the "surge generator" population.

      (3) The modeling studies allow for direct examination of manipulation of single and multiple conductances, whereas the electrophysiology studies necessarily require examination of each current in isolation. Construction of an arcuate kisspeptin neuron model promises to be of value to the reproductive neuroendocrinology field.

      Weaknesses:

      A remaining weakness in this revised version of the manuscript is that the relevance of the CRISPR experiments is still rather tenuous given that the goal is to understand what happens in the estrogen-treatment condition, and these experiments were performed only in OVX mice. Similar concerns reflect that the computational model examining the effect of E2 infers multiple conductances based on qPCR data and an assumption that the conductances are directionally proportional to the level of gene expression, and then tunes these to the current recordings obtained from OVX mice, without a direct confirmation in OVX+E2 conditions that the model parameters accurately reflect the properties of these currents in the presence of estrogen.

      We are still puzzled by Reviewer’s concerns about doing the CRISPRing of Trpc5 in the OVX+E2 females.  The Trpc5 channel expression is significantly reduced with the E2 treatment (Figure 10E) which we know translates into a minimal slow EPSP (Figure 2, Qiu eLife 2016) and is essentially equivalent to the slow EPSP amplitude in the Trpc5 mutagenesis in the ovariectomized females (Figure 12).  TRPC5 channel conductance is already at “rock bottom.”  The modeling informs us that such a low TRPC5 conductance will not support a long lasting slow EPSP and sustained firing (Figure 13A).

      Also, we respectively point out that we have published a score of papers over the past 20 years showing that the channel conductance does correlate with the mRNA expression (e.g., Qiu et al., eLife 2018).  Secondly, the model does take into consideration the OVX + E2 conditions (Figure 13B,C) which is based on the extensive whole-cell recordings presented in Figures 4,5,6,7,8 and 9.

      Reviewer #2 (Public Review):

      Summary:

      Kisspeptin neurons of the arcuate nucleus (ARC) are thought to be responsible for the pulsatile GnRH secretory pattern and to mediate feedback regulation of GnRH secretion by estradiol (E2). Evidence in the literature, including the work of the authors, indicates that ARC kisspeptin coordinate their activity through reciprocal synaptic interactions and the release of glutamate and of neuropeptide neurokinin B (NKB), which they co-express. The authors show here that E2 regulates the expression of genes encoding different voltage-dependent calcium channels, calcium-dependent potassium channels and canonical transient receptor potential (TRPC5) channels and of the corresponding ionic currents in ARC kisspeptin neurons. Using computer simulations of the electrical activity of ARC kisspeptin neurons, the authors also provide evidence of what these changes translate into in terms of these cells' firing patterns. The experiments reveal that E2 upregulates various voltage-gated calcium currents as well as 2 subtypes of calcium-dependent potassium currents while decreasing TRPC5 expression (an ion channel downstream of NKB receptor activation), the slow excitatory synaptic potentials (slow EPSP) elicited in ARC kisspeptin neurons by NKB release and expression of the G protein-associated inward-rectifying potassium channel (GIRK). Based on these results, and on those of computer simulations, the authors propose that E2 promotes a functional transition of ARC kisspeptin neurons from neuropeptide-mediated sustained firing that supports coordinated activity for pulsatile GnRH secretion to a less intense burst-like firing pattern that could favor glutamate release from ARC kisspeptin. The authors suggest that the latter might be important for the generation of the preovulatory surge in females.

      Strengths:

      The authors combined multiple approaches in vitro and in silico to gain insights into the impact of E2 on the electrical activity of ARC kisspeptin neurons. These include patch-clamp electrophysiology combined with selective optogenetic stimulation of ARC kisspeptin neurons, reverse transcriptase quantitative PCR, pharmacology and CRISPR-Cas9-mediated knockdown of the Trpc5 gene. The addition of computer simulations for understanding the impact of E2 on the electrical activity of ARC kisspeptin cells is also a strength.

      The authors add interesting information on the complement of ionic currents in ARC kisspeptin neurons and on their regulation by E2 to what was already known in the literature. Pharmacological and electrophysiological experiments appear of the highest standards and robust statistical analyses are provided throughout. The impact of E2 replacement on calcium and potassium currents is compelling. Likewise, the results of Trpc5 gene knockdown do provide good evidence that the TRPC5 channel plays a key role in mediating the NKB-mediated slow EPSP. Surprisingly, this also revealed an unsuspected role for this channel in regulating the membrane potential and excitability of ARC kisspeptin neurons.

      Weaknesses:

      The manuscript also has weaknesses that obscure some of the conclusions drawn by the authors.

      One is that the authors compare here two conditions, OVX versus OVX replaced with high E2, that may not reflect the physiological conditions under which the proposed transition between neuropeptide-dependent sustained firing and less intense burst firing might take place (i.e. the diestrous [low E2] and proestrous [high E2] stages of the estrous cycle). This is an important caveat to keep in mind when interpreting the authors' findings. Indeed, that E2 alters certain ionic currents when added back to OVX females, does not mean that the magnitude of all of these ionic currents will vary during the estrous cycle.

      Unfortunately, mice are a poor reproductive model since female mice do not have a clear follicular (estradiol-driven) phase distinctive from the luteal (progesterone-driven) phase.  Had we utilized a “proestrous” female, we could not with certainty distinguish between the effects of estradiol versus progesterone on the expression of the calcium and potassium channels that were the focus of this study.  Therefore, using our physiological model we can state with confidence that “estradiol elicits distinct firing patterns in arcuate nucleus kisspeptin neurons….”

      Overall, the manuscript provides interesting information about the effects of E2 on specific ionic currents in ARC kisspeptin neurons and some insights into the functional impact of these changes. However, some of the conclusions of the work, with regard, in particular, to the role of these changes in ion channels and their implications for the LH surge, are not fully supported by the findings.

      As we pointed out in the Discussion, the O’Byrne lab has clearly shown the relevance of Kiss1ARH neuronal burst firing and the release of glutamate to its effects on the LH surge:

      “Rather, we postulate that glutamate neurotransmission is more important for excitation of Kiss1AVPV/PeN neurons and facilitating the GnRH (LH) surge with high circulating levels of E2 when peptide neurotransmitters are at a nadir and glutamate levels are high in female Kiss1ARH neurons. Indeed, low frequency (5 Hz) optogenetic stimulation of Kiss1ARH neurons, which only releases glutamate in E2-treated, ovariectomized females (Qiu J. et al., 2016), generates a surge-like increase in LH release during periods of optical stimulation (Lin et al., 2021; Voliotis et al., 2021).  In a subsequent study optical stimulation of Kiss1ARH neuron terminals in the AVPV at 20 Hz, a frequency commonly used for terminal stimulation in vivo, generated a similar surge of LH (Shen et al., 2022).  Additionally, intra-AVPV infusion of glutamate antagonists, AP5+CNQX, completely blocked the LH surge induced by Kiss1ARH terminal photostimulation in the AVPV (Shen et al., 2022).”

      Recommendations for the authors:

      Reviewer #2 (Recommendations for The Authors):

      The reviewer noted the following in the revised manuscript:

      - page 6, the authors may consider adding that presynaptic effects of blocking calcium channels on the slow EPSP cannot be fully ruled out. Indeed, the added experiments do indicate that some of the effects can be explained by impaired regulation of TRPC5 channels by calcium influx through calcium channels; however, the senktide-induced current is not fully blocked by the broad-spectrum calcium channel inhibitor cadmium, suggesting that the effect of blocking these channels on the slow EPSP may involve other mechanisms, such as presynaptic effects.

      Optogenetic stimulation of all Kiss1ARH neurons induces the release of NKB at “physiological” concentrations, which in turn generates a slow EPSP in the recorded Kiss1ARH neuron. Blocking voltage-gated calcium channels can inhibit the NKB release from presynaptic  Kiss1ARH neurons, thereby reducing the amplitude of the slow EPSP. However, in whole-cell recordings of synaptically isolated Kiss1ARH neurons,  senktide directly induces a large inward current (Figure 3F), which is generated by the opening of TRPC5 channels (Qiu et al. J. Neurosci 2021). Voltage-gated calcium channels are coupled to the activation of TRPC5 channels (Blair, Kaczmarek and Clapham, J. Gen Physiol 2009), so by blocking voltage-gated calcium channels, cadmium effectively abrogates the facilitating effects of these channels on TRPC5 channel activation and significantly reduces but does not abolish the inward (excitatory) current (Figures 3F-H). We have clarified in the Results (page 6) that the Kiss1ARH neurons were synaptically isolated as depicted in Figures 3F,G.

      - page 8, bottom, the mean value given for the apamin-sensitive current amplitude in E2 treated females does not match that plotted on the I/V graph in Figure 7F.

      Thank you for pointing out this typographical error, which we have corrected.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      This is an interesting and somewhat unusual paper supporting the idea that creatine is a neurotransmitter in the central nervous system of vertebrates. The idea is not entirely new, and the authors carefully weigh the evidence, both past and newly acquired, to make their case. The strength of the paper lies in the importance of the potential discovery - as the authors point out, creatine ticks more boxes on criteria of neurotransmitters than some of the ones listed in textbooks - and the list of known transmitters (currently 16) certainly is textbook material. A further strength of the manuscript is the careful consideration of a list of criteria for transmitters and newly acquired evidence for four of these criteria: 1. evidence that creatine is stored in synaptic vesicles, 2. mutants for creatine synthesis and a vesicular transporter show reduced storage and release of creatine, 3. functional measurement that creatine release has an excitatory or inhibitory (here inhibitory) effect in vivo, and 4. ATP-dependence. The key weakness of the paper is that there is no single clear 'smoking gun', like a postsynaptic creatine receptor, that would really demonstrate the function as a transmitter. Instead, the evidence is of a cumulative nature, and not all bits of evidence are equally strong. On balance, I found the path to discovery and the evidence assembled in this manuscript to establish a clear possibility, positive evidence, and to provide a foundation for further work in this direction.

      it is notable that, historically, no neurotransmitter has ever been established in a single paper. While creatine will not be an exception, data presented in this paper are more than any previous paper in demonstrating the possibility of a new neurotransmitter. However, we added an entire paragraph in the Discussion part about differences between Cr and classic neurotransmitters such as Glu, beginning with the absence of a molecularly defined receptor at this point and the Ca2+ independent component of Cr release induced by extracellular K+.

      We appreciate the reviewer for noting that evidence obtained by us now support that creatine satisfies all 4 criteria of transmitters.

      We respectively disagree the point about a smoking gun: any of these four is a smoking gun, while the satisfication of all 4 is quite strong, more than a smoking gun.

      We find it disagreeable that a receptor “would really demonstrate the function of a transmitter”. Textbook criteria for a transmitter usually require postsynaptic responses, not a molecularly defined receptor. A molecularly defined receptor for many of the known transmitters required many years of work, while they were accepted as transmitters before their receptors were finally molecularly defined. As long as there is a postsynaptic response, there is of course a receptor, though its molecular properties should be further studied. For examples, responses to choline were discovered in 1900 (Hunt, Am J Physiol 3, xviii-xix, 1900), those to acetylcholine in 1906 (Hunt and Taveau, Br Med J 2:1788-1789, 1906), those to supradrenal glands before 1894 (Oliver and Schäfer, J Physiol 18:230-276 1895). Henry Dale was awarded a Nobel prize in 1936 partly for his work on acetylcholine. Receptors for acetylcholine and noradrenaline were not molecularly defined until the 1970s and 1980s. Before then, they were only known by mediating responses to natural transmitters and synthesized chemicals.

      There were two previous reports that creatine could be taken into brain slices (Almeida et al., 2006) or synaptosomes (Peral, Vázquez-Carretero and Ilundain, 2010). These were used by the reviewer to argue that the idea of creatine as a neurotransmitter “is not entirely new”. However, no one has followed up these studies for 10 years, thus they would not be considered as good smoking guns. While we have reproduced the synaptosome uptake result (together with our new finding that this uptake was dependent on SLC6A8), it should be noted that uptake of molecules into synaptosomes is not absolutely required for a neurotransmitter because degradation of a transmitter is equally valid. Furthermore, molecules required synaptically but not as a transmitter can also be transported into the synaptic terminal.

      Our detection of Cr in the synaptic vesicles provides much stronger evidence supporting its importance. If a smoking gun is important, the detection of creatine in the SVs is the best smoking gun, whose discovery in fact was the reason leading us to study its release, postsynaptic responses as well as repeating the uptake experiment with genetic mutants.

      Reviewer #2 (Public Review):

      Summary:

      Bian et al studied creatine (Cr) in the context of central nervous system (CNS) function. They detected Cr in synaptic vesicles purified from mouse brains with anti-Synaptophysin using capillary electrophoresis-mass spectrometry. Cr levels in the synaptic vesicle fraction were reduced in mice lacking the Cr synthetase AGAT, or the Cr transporter SLC6A8. They provide evidence for Cr release within several minutes after treating brain slices with KCl. This KCl-induced Cr release was partially calcium-dependent and was attenuated in slices obtained from AGAT and SLC6A8 mutant mice. Cr application also decreased the excitability of cortical pyramidal cells in one third of the cells tested. Finally, they provide evidence for SLC6A8-dependent Cr uptake into synaptosomes, and ATP-dependent Cr loading into synaptic vesicles. Based on these data, the authors propose that Cr may act as a neurotransmitter in the CNS.

      Strengths:

      1) A major strength of the paper is the broad spectrum of tools used to investigate Cr.

      2) The study provides strong evidence that Cr is present in/loaded into synaptic vesicles.

      Weaknesses:

      (in sequential order)

      1) Are Cr levels indeed reduced in Agat-/-? The decrease in Cr IgG in Agat-/- (and Agat+/-) is similar to the corresponding decrease in Syp (Fig. 3B). What is the explanation for this? Is the decrease in Cr in Agat-/- significant when considering the drop in IgG? The data should be normalized to the respective IgG control.

      We measured the Cr concentration in the whole brain lysates using Creatine Assay Kit (Sigma, MAK079). Cr levels in the brain were reduced in Agat-/- mice. The Cr concentration in AGAT-/- mice was reduced to about 1/10 of AGAT+/+ and AGAT+/- mice (Author response image 1).

      Author response image 1.

      Cr concentration in brain from AGAT+/+, AGAT+/- and AGAT-/- mice (n=5 male mice for each group). , p<0.05, **, p<0.001, one-way ANOVA with Tukey’s correction.

      As pointed by the reviewer, the decrease in Cr IgG in Agat-/- seems similar to the corresponding decrease in Syp (Fig. 3B in the paper). Cr pulled down by IgG was 0.46 ± 0.04, 0.37 ± 0.06 and 0.17 ±0.03 pmol/μg anti-syp antibody for Agat+/+, Agat+/-, and Agat-/- mice respectively. There was a trend of reduction Cr IgG in Agat-/-, however, there were no statistically significant differences between Agat-/- and Agat+/+, or between Agat-/- and Agat+/-, as determined by one-way ANOVA (Fig. 3B in the paper). Due to the fact that Agat-/- reduced Cr concentration in the brain, we speculate that the apparent drop in Cr pulled down by IgG may have partially resulted from the overall reduction of Cr content in the brain.

      The absolute content of Cr pulled down by Syp in Agat-/- mice was reduced to 21.6% of Agat+/+ mice and 23.6% of Agat+/- mice (Fig. 3B in the paper). As suggested by the reviewer, we normalized the Cr pulled down by Syp to the respective IgG control (Author response image 2). The normalized Cr content in AGAT-/- mice has a tendency to decrease, but not statistically significant, as compared to Agat+/+ and Agat+/- mice (n=10 for each group, one-way ANOVA).

      Author response image 2.

      Normalized Cr content in brain from AGAT+/+, AGAT+/- and AGAT-/- mice (n=10 for each group). Cr pulled down by anti-Syp antibody was normalized to that of IgG.

      2) The data supporting that depolarization-induced Cr release is SLC6A8 dependent is not convincing because the relative increase in KCl-induced Cr release is similar between SLC6A8-/Y and SLC6A8+/Y (Fig. 5D). The data should be also normalized to the respective controls.

      As suggested by the reviewer, we normalized the Cr release during KCl stimulation to the baseline (Author response image 3). The ratio of Cr release evoked by high KCl stimulation to the baseline was similar in WT and Slc6a8 knockouts. This suggests that Cr is not released through SLC6A8 transporter.

      Author response image 3.

      Normalized Cr release from slices from Slc6a8+/Y and Slc6a8-/Y mice (n=7 slices for each group). Cr released evoked by high KCl stimulation was normalized to baseline.

      However, without Slc6a8, KCl-induced release of Cr was significantly reduced (Figure 5D in the paper). This is because Slc6a8 is a transporter to Cr uptake into synaptic terminals (Figure 5D and 8C in the paper). Therefore, Cr content in SVs (Figure 2C in the paper) indirectly reduced Cr release.

      3) The majority (almost 3/4) of depolarization-induced Cr release is Ca2+ independent (Fig. 5G). Furthermore, KCl-induced, Ca2+-independent release persists in SLC6A8-/Y (Fig. 5G). What is the model for Ca2+-independent Cr release? Why is there Ca2+-independent Cr release from SLC6A8 KO neurons? How does this relate to the prominent decrease in Ca2+-dependent Cr release in SLC6A8-/Y (Fig. 5G)? They show a prominent decrease in Cr control levels in SLC6A8-/Y in Fig. 5D. Were the data shown in Fig. 5D obtained in the presence or absence of Ca2+? Could the decrease in Ca2+-dependent Cr release in SLC6A8-/Y (Fig. 5G) be due to decreased Cr baseline levels in the presence of Ca2+ (Fig. 5D)?

      These are interesting questions that, at this point, could only be answered by references to literature. For example, one possibility was that Ca2+-independent Cr release might occurs in glia, since as pointed by the reviewer in Point 6, high GAMT levels were reported for astrocytes and oligodendrites (Schmidt et al. 2004; Rosko et al. 2023). As reported, other neuromodulators such as taurine can be released from astrocytes (Philibert, Rogers, and Dutton 1989) or slices (Saransaari and Oja 2006) in Ca2+ independent manner. In addition, in the absence of potassium stimulation, Ca2+ depletion lead to increased release of taurine in cultured astrocytes (Takuma et al. 1996) or in striatum in vivo (Molchanova, Oja, and Saransaari 2005). Similarly, in SLC6A8 KO slices, Ca2+ depletion (Figure 5G) also increased creatine baseline levels as compared to that in normal ACSF (Figure 5D). Another possibility was that Ca2+-independent Cr release might occurs in neurons lacking SLC6a8 expression.

      As mentioned in the paper, data shown in Figure 5D was obtained in the presence Ca2+. Reduction of Ca2+-dependent Cr release evoked by potassium in SLC6A8-/Y (Figure 5G) may be due to decreased Cr baseline levels in the presence of Ca2+ and reduced Cr in synaptic vesicles (Figure 5D).

      4) Cr levels are strongly reduced in Agat-/- (Figure 6B). However, KCl-induced Cr release persists after loss of AGAT (Figure 6B). These data do not support that Cr release is Agat dependent.

      Although KCl-induced Cr release persisted in AGAT-/- mutants, it was dropped to 11.6% of WT mice (Figure 6B). AGAT is not directly involved in the release, but required for providing sufficient Cr.

      5) The authors show that Cr application decreases excitability in ~1/3 of the tested neurons (Figure 7). How were responders and non-responders defined? What justifies this classification? The data for all Cr-treated cells should be pooled. Are there indeed two distributions (responders/non-responders)? Running statistics on pre-selected groups (Figure 7H-J) is meaningless. Given that the effects could be seen 2-8 minutes after Cr application - at what time points were the data shown in Figure 7E-J collected? Is the Cr group shown in Figure 7F significantly different from the control group/wash?

      The responders were defined by three criteria: (1) When Cr was applied, the rheobase was increased as compared to both control and wash conditions. (2) The number of total evoked spikes was decreased during Cr application than both control and wash. (3) The number of total evoked spikes was decreased at least by 10% than control or wash.

      For all the individual responders, when Cr was applied, the rheobase was increased (Figure 7E and 7F). While in individual non-responders, the rheobase was either identical to both control and wash (n=19/35), identical to either control or wash (n=11/35), between control and wash (n=2/35) or smaller than both control and wash (n=3/35) following Cr application. Thus, the responders and non-responders were separatable. When the rheobase data were pulled together, many points were overlapped, so we did not pull the data here.

      As suggested, we pulled the data of the ratio of spike changes in response to 100 μM Cr application for all neurons together (Author response image 4). Evoked spikes of non-responders were typically (34/35) changed in the range of -10% to 10%.

      Author response image 4.

      Relative changes of total evoked spikes in response to 100 μM Cr. Responders are represented by red dots and non-responders by black dots. Dashed black line indicates 10%. Relative change = (Cr-(Control +wash)/2)/((Control +wash)/2)*100%.

      In Figure 7E-J, we collected data at time points when the maximal response was reached. The Cr group shown in Figure 7F was indeed significantly different from the control group/wash (p<0.05, paired t test, for data points collected under 75-500 pA current injection).

      6) Indirect effects: The phenotypes could be partially caused by indirect effects of perturbing the Cr/PCr/CK system, which is known to play essential roles in ATP regeneration, Ca2+ homeostasis, neurotransmission, intracellular signaling systems, axonal and dendritic transport... Similarly, high GAMT levels were reported for astrocytes (e.g., Schmidt et al. 2004; doi: 10.1093/hmg/ddh112), and changes in astrocytic Cr may underlie the phenotypes. Cr has been also reported to be an osmolyte: a hyperosmotic shock of astrocytes induced an increase in Cr uptake, suggesting that Cr can work as a compensatory osmolyte (Alfieri et al. 2006; doi: 10.1113/jphysiol.2006.115006). Potential indirect effects are also consistent with a trend towards decreased KCl-induced GABA (and Glutamate) release in SLC6A8-/Y (Figure 5C). These indirect effects may in part explain the phenotypes seen after perturbing Agat, SLC6A8, and should be thoroughly discussed.

      We discussed the possibility of creatine/phosphocreatine as non-transmitters in discussion part. We added the possibility of astrocytic Cr in discussion part. KCl-induced GABA (and Glutamate) release in SLC6A8-/Y (Figure 5C) was not significant.

      7) As stated by the authors, there is some evidence that Cr may act as a co-transmitter for GABAA receptors (although only at high concentrations). Would a GABAA blocker decrease the fraction of cells with decreased excitability after Cr exposure?

      We performed another experiment in CA1 pyramidal neurons in hippocampus showing that Cr at 100 μM did not change GABAergic neurotransmission (n=8, Author response image 5). Inhibitory postsynaptic currents (IPSCs) recorded in the presence of glutamate receptor blockers (10 μM APV and 10 μM CNQX) were not changed by 100 μM creatine in hippocampal CA1 pyramidal neurons (Bgroup data of IPSC frequency (B) and amplitude (C) averaged in 1 min duration). These did not support Cr activation of GABAA receptors.

      Author response image 5.

      IPSCs recorded in in hippocampal CA1 pyramidal neurons. (A) representative raw traces before (Control), during (Creatine) and after (Wash) the application of 100 μM creatine. (B&C) group data of IPSC frequency (B) and amplitude (C) averaged in 1 min duration.

      8) The statement "Our results have also satisfied the criteria of Purves et al. 67,68, because the presence of postsynaptic receptors can be inferred by postsynaptic responses." (l.568) is not supported by the data and should be removed.

      We have deleted this sentence, though what could mediate postsynaptic responses other than receptors?

      Reviewer #3 (Public Review):

      SUMMARY:

      The manuscript by Bian et al. promotes the idea that creatine is a new neurotransmitter. The authors conduct an impressive combination of mass spectrometry (Fig. 1), genetics (Figs. 2, 3, 6), biochemistry (Figs. 2, 3, 8), immunostaining (Fig. 4), electrophysiology (Figs. 5, 6, 7), and EM (Fig. 8) in order to offer support for the hypothesis that creatine is a CNS neurotransmitter.

      We thank the reviewer for the summary.

      STRENGTHS:

      There are many strengths to this study.

      • The combinatorial approach is a strength. There is no shortage of data in this study.

      • The careful consideration of specific criteria that creatine would need to meet in order to be considered a neurotransmitter is a strength.

      • The comparison studies that the authors have done in parallel with classical neurotransmitters are helpful.

      • Demonstration that creatine has inhibitory effects is another strength.

      • The new genetic mutations for Slc6a8 and AGAT are strengths and potentially incredibly helpful for downstream work.

      WEAKNESSES:

      • Some data are indirect. Even though Slc6a8 and AGAT are helpful sentinels for the presence of creatine, they are not creatine themselves. Therefore, the conclusions that are drawn should be circumspect.

      SLC6A8 and AGAT mutants are not essential for Cr’s role as a neurotransmitter.

      • Regarding Slc6a8, it seems to work only as a reuptake transporter - not as a transporter into SVs. Therefore, we do not know what the transporter is.

      Indeed, SLC6A8 is only a transporter on the cytoplasmic membrane, not a transporter on synaptic vesicles. We have shown biochemistry here, and we have unpublished data that showed other SLCs on SVs, which did not include SLC6A8.

      • Puzzlingly, Slc6a8 and AGAT are in different cells, setting up the complicated model that creatine is created in one cell type and then processed as a neurotransmitter in another.

      • No candidate receptor for creatine has been identified postsynaptically.

      • Because no candidate receptor has been identified, is it possible that creatine is exerting its effects indirectly through other inhibitory receptors (e.g., GABAergic Rs)?

      As shown in our response to Question 7 of Reviewer 2, Cr did not exert its effects through inhibitory GABAA receptors.

      • More broadly, what are the other possibilities for roles of creatine that would explain these observations other than it being a neurotransmitter? Could it simply be a modifier that exists in the SVs (lots of molecules exist in SVs)?

      We discussed the possibility of a non-transmitter role for creatine/phosphocreatine in discussion part.

      • The biochemical studies are helpful in terms of comparing relevant molecules (e.g., Figs. 8 and S1), but the images of the westerns are all so fuzzy that there are questions about processing and the accuracy of the quantification.

      Multiple members (>4) have carried out SV purifications repeatedly over the last decade in our group, we are highly confident of SV purifications presented in Figs. 8 and S1.

      There are several criteria that define a neurotransmitter. The authors nicely delineated many criteria in their discussion, but it is worth it for readers to do the same with their own understanding of the data.

      By this reviewer's understanding (and the Purves' textbook definition) a neurotransmitter: 1) must be present within the presynaptic neuron and stored in vesicles; 2) must be released by depolarization of the presynaptic terminal; 3) must require Ca2+ influx upon depolarization prior to release; 4) must bind specific receptors present on the postsynaptic cell; 5) exogenous transmitter can mimic presynaptic release; 6) there exists a mechanism of removal of the neurotransmitter from the synaptic cleft.

      6 criteria seem to be only required by the reviewer. As discussed in our Discussion part, Purves’ textbook did not list 6 criteria but only three criteria, “the substance must be present within the presynaptic neuron; the substance must be released in response to presynaptic depolarization, and the release must be Ca2+ dependent; specific receptors for the substance be present on the postsynaptic cell” (Purves et al., 2001, 2016).

      Kandel et al. (2013, 2021) listed 4 criteria for a neurotransmitter: “it is synthesized in the presynaptic neuron; it is present within vesicles and is released in amounts sufficient to exert a defined action on the postsynaptic neuron or effector organ; when administered exogenously in reasonable concentrations it mimics the action of the endogenous transmitter; a specific mechanism usually exists for removing the substance from the synaptic cleft”.

      While we agree that any neuroscientist can have his/her own criteria, it is more reasonable to accept the textbooks that have been widely read for decades.

      For a paper to claim that the work has identified a new neurotransmitter, several of these criteria would be met - and the paper would acknowledge in the discussion which ones have not been met. For this particular paper, this reviewer finds that condition 1 is clearly met.

      Conditions 2 and 3 seem to be met by electrophysiology, but there are caveats here. High KCl stimulation is a blunt instrument that will depolarize absolutely everything in the prep all at once and could result in any number of non-specific biological reactions as a result of K+ rushing into all neurons in the prep. Moreover, the results in 0 Ca2+ are puzzling. For creatine (and for the other neurotransmitters), why is there such a massive uptick in release, even when the extracellular saline is devoid of calcium?

      To avoid the disadvantage of high KCl stimulation, we performed optogenetic experiments recently, with encouraging preliminary data. We do not know the source of Ca2+-independent release of Cr and neurotransmitters, though astrocytes are a possibility.

      Condition 4 is not discussed in detail at all. In the discussion, the authors elide the criterion of receptors specified by Purves by inferring that the existence of postsynaptic responses implies the existence of receptors. True, but does it specifically imply the existence of creatinergic receptors? This reviewer does not think that is necessarily the case. The authors should be appropriately circumspect and consider other modes of inhibition that are induced by activation or potentiation of other receptors (e.g., GABAergic or glycinergic).

      Our results did not support Cr stimulation of inhibitory GABAA receptors (see our answer to Point 7 in of Reviewer 2).

      Condition 5 may be met, because the authors applied exogenous creatine and observed inhibition (Fig. 7). However, this is tough to know without understanding the effects of endogenous release of creatine. if they were to test if the absence of creatine caused excess excitation (at putative creatinergic synapses), then that would be supportive of the same.

      After the submission of our manuscript, we found a recent paper showing that slc6a8 knockout led to increased excitation in pyramidal neurons in the prefrontal cortex (PFC), with increased firing frequency (Ghirardini et al., 2023). Because we have shown that slc6a8 knockout would cause decrease of Cr in SVs (Figure 2 in our paper), this result provide the evidence described as Condition 5 of this reviewer: that decrease of Cr in SVs led to excess excitation.

      For condition 6, the authors made a great effort with Slc6a8. This is a very tough criterion to understand for many synapses and neurotransmitters.

      In terms of fundamental neuroscience, the story would be impactful if proven correct. There are certainly more neurotransmitters out there than currently identified.

      The impact as framed by the authors in the abstract and introduction for intellectual disability is uncertain (forming a "new basis for ID pathogenesis") and it seems quite speculative beyond the data in this paper.

      We deleted this sentence.

      Reviewer #1 (Recommendations For The Authors):

      To strengthen the manuscript, I suggest the following considerations:

      1) The key missing evidence to my mind is a receptor - but this is clearly outside the scope of this paper. Yet, I am surprised that in the list of criteria for neurotransmitters in general there is no mention of a receptor. Furthermore, many receptors have been identified through receptor agonists or antagonists, like neurotoxins or drugs. The authors do not talk about putative receptors except for a sentence in the discussion where they speculate on a GPCR. There are numerous GPCR agonists and antagonists, which may be a long-shot, or something even a bit more designed based on knowledge about creatine? I do not think the publication of this manuscript should have been made dependent on finding an agonist or antagonist of this specific unknown receptor (if it exists), but it would be good to have at least some leads on this from the authors what has been tried or what could be done? How about a manipulation of G-protein-coupled signal transduction to support the idea that there IS such a GPCR? There may be a real opportunity here to test existing compounds in wild type, the slc6a8 and agat mutants.

      We will keep trying, but accept the reality that Rome was not built in a single day and that no transmitter was proven by one single paper.

      A key new puzzle piece of evidence is the identification of creatine in synaptic vesicles. The experiment relies heavily on the purity of the SV fraction using the anti-synaptophysin antibody. I am quite sure that these preparations contain many other compartments - and of course a big mix of synaptic (and other) vesicles. Would it be possible to purify with an anti slc6a8 antibody?

      Sl6a8 is expressed in on the plasma membrane of neurons7-9, instead of synaptic vesicles. Consistent with this, we could not detect obvious Slc6a8-HA signal in our starting material (Lane S in Author response image 6) that was used for SV purification. We have tried to purify SVs by HA antibody in Slc6a8 mice and SV markers could not be detected.

      Author response image 6.

      Lack of Slc6a8-HA in our starting material. In Slc6a8-HA knock-in mice, the HA signal was present in whole brain homogenate (H), but not obvious in supernatants (S) following 35000 × centrifugation. In contrast, SV marker Syp was present in supernatants.

      The K stimulation protocol in slices is relatively crude, as all neurons in the slice get simultaneously overactivated - and some of the effects on Ca-dependent release are not very strong (e.g. the 35 neurons that were not responsive to creatine at all). A primary neuronal culture of neurons that respond to creatine would strengthen this section.

      To avoid the disadvantage of K stimulation, we also performed optogenetic experiments recently and obtained encouraging preliminary results.

      Reviewer #2 (Recommendations For The Authors):

      1) The different sections of the manuscript are not separated by headers.

      2) The beginning of the results section either does not reference the underlying literature or refers to unpublished data.

      We have kept a bit background in the beginning of the Results section.

      3) The text contains many opinions and historical information that are not required (e.g., "It has never been easy to discover a new neurotransmitter, especially one in the central nervous system (CNS). We have been searching for new neurotransmitters for 12 years."; l. 17).

      This is a field that has been dormant for decades and such background introductions are helpful for at least some readers.

      4) Almeida et al. (2008; doi: 10.1002/syn.20280) provided evidence for electrical activity-, and Ca2+-dependent Cr release from rat brain slices. This paper should be introduced in the introduction.

      Those were stand-alone papers which have not been reproduced or paid attention to. Our introduction part did not mention them because our research did not begin with those papers. We had no idea that those papers existed when we began. We started with SV purification and only read those papers afterwards. Thus, they were not necessary background to our paper but can be discussed after we discovered Cr in SVs.

      5) Fig. 7: A Y-scale for the stimulation protocol is missing.

      Revised.

      Reviewer #3 (Recommendations For The Authors):

      The main suggestion by this reviewer (beyond the details in the public review) is to consider the full spectrum of biology that is consistent with these results. By my reading, creatine could be a neurotransmitter, but other possibilities also exist, and the authors need to highlight those too.

      We have discussed non-transmitter role in the discussion.

      References

      Ghirardini, E., G. Sagona, A. Marquez-Galera, F. Calugi, C. M. Navarron, F. Cacciante, S. Chen, F. Di Vetta, L. Dada, R. Mazziotti, L. Lupori, E. Putignano, P. Baldi, J. P. Lopez-Atalaya, T. Pizzorusso, and L. Baroncelli. 2023. Cell-specific vulnerability to metabolic failure: the crucial role of parvalbumin expressing neurons in creatine transporter deficiency. Acta Neuropathol Commun, 11: 34. doi: 10.1186/s40478-023-01533-w.

      Lowe, M. T., Faull, R. L., Christie, D. L. & Waldvogel, H. J. Distribution of the creatine transporter throughout the human brain reveals a spectrum of creatine transporter immunoreactivity. J Comp Neurol 523, 699-725 (2015). https://doi.org:10.1002/cne.23667

      Mak, C. S. et al. Immunohistochemical localisation of the creatine transporter in the rat brain. Neuroscience 163, 571-585 (2009). https://doi.org:10.1016/j.neuroscience.2009.06.065.

      Molchanova, S. M., Oja, S. S. & Saransaari, P. Mechanisms of enhanced taurine release under Ca2+ depletion. Neurochem Int 47, 343-349 (2005). https://doi.org:10.1016/j.neuint.2005.04.027

      Philibert, R. A., Rogers, K. L. & Dutton, G. R. K+-evoked taurine efflux from cerebellar astrocytes: on the roles of Ca2+ and Na+. Neurochem Res 14, 43-48 (1989). https://doi.org:10.1007/BF00969756

      Rosko, L. M. et al. Cerebral Creatine Deficiency Affects the Timing of Oligodendrocyte Myelination. J Neurosci 43, 1143-1153 (2023). https://doi.org:10.1523/JNEUROSCI.2120-21.2022

      Saransaari, P. & Oja, S. S. Characteristics of taurine release in slices from adult and developing mouse brain stem. Amino Acids 31, 35-43 (2006). https://doi.org:10.1007/s00726-006-0290-5

      Schmidt, A. et al. Severely altered guanidino compound levels, disturbed body weight homeostasis and impaired fertility in a mouse model of guanidinoacetate N-methyltransferase (GAMT) deficiency. Hum Mol Genet 13, 905-921 (2004). https://doi.org:10.1093/hmg/ddh112

      Speer, O. et al. Creatine transporters: a reappraisal. Mol Cell Biochem 256-257, 407-424 (2004). https://doi.org:10.1023/b:mcbi.0000009886.98508.e7

      Takuma, K. et al. Ca2+ depletion facilitates taurine release in cultured rat astrocytes. Jpn J Pharmacol 72, 75-78 (1996). https://doi.org:10.1254/jjp.72.75

    1. Author Response

      The following is the authors’ response to the previous reviews.

      eLife assessment

      This valuable paper examines gene expression differences between male and female individuals over the course of flower development in the dioecious angiosperm Trichosantes pilosa. The authors show that male-biased genes evolve faster than female-biased and unbiased genes. This is frequently observed in animals, but this is the first report of such a pattern in plants. In spite of the limited sample size, the evidence is mostly solid and the methods appropriate for a non-model organism. The resources produced will be used by researchers working in the Cucurbitaceae, and the results obtained advance our understanding of the mechanisms of plant sexual reproduction and its evolutionary implications: as such they will broadly appeal to evolutionary biologists and plant biologists.

      Public Reviews:

      Reviewer #1 (Public Review):

      The evolution of dioecy in angiosperms has significant implications for plant reproductive efficiency, adaptation, evolutionary potential, and resilience to environmental changes. Dioecy allows for the specialization and division of labor between male and female plants, where each sex can focus on specific aspects of reproduction and allocate resources accordingly. This division of labor creates an opportunity for sexual selection to act and can drive the evolution of sexual dimorphism.

      In the present study, the authors investigate sex-biased gene expression patterns in juvenile and mature dioecious flowers to gain insights into the molecular basis of sexual dimorphism. They find that a large proportion of the plant transcriptome is differentially regulated between males and females with the number of sex-biased genes in floral buds being approximately 15 times higher than in mature flowers. The functional analysis of sex-biased genes reveals that chemical defense pathways against herbivores are up-regulated in the female buds along with genes involved in the acquisition of resources such as carbon for fruit and seed production, whereas male buds are enriched in genes related to signaling, inflorescence development and senescence of male flowers. Furthermore, the authors implement sophisticated maximum likelihood methods to understand the forces driving the evolution of sex-biased genes. They highlight the influence of positive and relaxed purifying selection on the evolution of male-biased genes, which show significantly higher rates of non-synonymous to synonymous substitutions than female or unbiased genes. This is the first report (to my knowledge) highlighting the occurrence of this pattern in plants. Overall, this study provides important insights into the genetic basis of sexual dimorphism and the evolution of reproductive genes in Cucurbitaceae.

      Reviewer #2 (Public Review):

      Summary:

      This study uses transcriptome sequence from a dioecious plant to compare evolutionary rates between genes with male- and female-biased expression and distinguish between relaxed selection and positive selection as causes for more rapid evolution. These questions have been explored in animals and algae, but few studies have investigated this in dioecious angiosperms, and none have so far identified faster rates of evolution in male-biased genes (though see Hough et al. 2014 https://doi.org/10.1073/pnas.1319227111).

      Strengths:

      The methods are appropriate to the questions asked. Both the sample size and the depth of sequencing are sufficient, and the methods used to estimate evolutionary rates and the strength of selection are appropriate. The data presented are consistent with faster evolution of genes with male-biased expression, due to both positive and relaxed selection.

      This is a useful contribution to understanding the effect of sex-biased expression in genetic evolution in plants. It demonstrates the range of variation in evolutionary rates and selective mechanisms, and provides further context to connect these patterns to potential explanatory factors in plant diversity such as the age of sex chromosomes and the developmental trajectories of male and female flowers.

      Weaknesses:

      The presence of sex chromosomes is a potential confounding factor, since there are different evolutionary expectations for X-linked, Y-linked, and autosomal genes. Attempting to distinguish transcripts on the sex chromosomes from autosomal transcripts could provide additional insight into the relative contributions of positive and relaxed selection.

      Reviewer #3 (Public Review):

      The potential for sexual selection and the extent of sexual dimorphism in gene expression have been studied in great detail in animals, but hardly examined in plants so far. In this context, the study by Zhao, Zhou et al. al represents a welcome addition to the literature.

      Relative to the previous studies in Angiosperms, the dataset is interesting in that it focuses on reproductive rather than somatic tissues (which makes sense to investigate sexual selection), and includes more than a single developmental stage (buds + mature flowers).<br /> Some aspects of the presentation have been improved in this new version of the manuscript.

      Specifically:

      • the link between sex-biased and tissue-biased genes is now slightly clearer,

      • the limitation related to the de novo assembled transcriptome is now formally acknowledged,

      • the interpretation of functional categories of the genes identified is more precise,

      • the legends of supplementary figures have been improved - a large number of typos have been fixed.

      in response to this first round of reviews. As I detail below, many of the relevant and constructive suggestions by the previous reviewers were not taken into account in this revision.

      For instance:

      • Reviewer 2 made precise suggestions for trying to take into account the potential confounding factor of sex-chromosomes. This suggestion was not followed.

      For the question of reviewer 2:

      The presence of sex chromosomes is a potential confounding factor, since there are different evolutionary expectations for X-linked, Y-linked, and autosomal genes. Attempting to distinguish transcripts on the sex chromosomes from autosomal transcripts could provide additional insight into the relative contributions of positive and relaxed selection.

      Empirically, the analyses could be expanded by an attempt to distinguish between genes on the autosomes and the sex chromosomes. Genotypic patterns can be used to provisionally assign transcripts to XY or XX-like behavior when all males are heterozygous and all females are homozygous (fixed X-Y SNPs) and when all females are heterozygous and males are homozygous (lost or silenced Y genes). Comparing such genes to autosomal genes with sex-biased expression would sharpen the results because there are different expectations for the efficacy of selection on sex chromosomes. See this paper (Hough et al. 2014; https://www.pnas.org/doi/abs/10.1073/pnas.1319227111), which should be cited and does in fact identify faster substitution rates in Y-linked genes.

      Authors’ response: We have cited Hough et al. (2014) and Sandler et al. (2018) in the revised manuscript. We agree that the presence of sex chromosomes is potentially a confounding factor. By adopting methods in Hough et al. (2014) and Sandler et al. (2018), we tried to distinguish transcripts on sex chromosomes from autosomal chromosomes. For a total of 2,378 unbiased genes, we found that 36 genes were putatively sex chromosomal genes, 20 of which were exclusively heterozygous and homozygous for males and females, respectively; while the other 16 genes showing an opposite genotyping patterns between males and females. For 343 male-biased genes, only three ones exhibit a pattern of potentially sex-linked. For the 1,145 female-biased genes, we identified 19 genes which might located on the sex chromosomes. Among the 19 genes, five genes were exclusively heterozygous for males and exclusively homozygous for females, while reversed genotyping patterns presented in the other 14 genes. So, sex-linked genes may contribute relatively little to rapid evolution of male-biased genes. An alternative explanation is that the results could be unreliable due to small sample sizes. Thus, we did not describe them in the Results section. We will investigate the issue when whole genome sequences and population datasets become available in the near future.

      • Reviewer 1 & 3 indicated that results were mentioned in the discussion section without having been described before. This was not fixed in this new version.

      For the question of reviewer 1:

      2) Paragraph (407-416) describes the analysis of duplicated genes under relaxed selection but there is no mention of this in the results.

      Authors’ response: Following this suggestion, in the Results section, we have added a sentence, “We also found that most of them were members of different gene families generated by gene duplication (Table S13)” on line 310-311 in the revised manuscript (Rapid_evolution_of_malebiased_genes_Trichosanthes_pilosa_Tracked_change_2023_11_06.docx).

      For the question of reviewer 1:

      38- line 417-424. The discussion should not contain new results.

      Authors’ response: Thank you for pointing out this. In the Results section, we have added a few sentences as following: “Similarly, given that dN/dS values of sex-biased genes were higher due to codon usage bias, lower dS rates would be expected in sex-biased genes relative to unbiased genes (Ellegren & Parsch, 2007; Parvathy et al., 2022). However, in our results, the median of dS values in male-biased genes were much higher than those in female-biased and unbiased genes in the results of ‘free-ratio’ (Fig. S4A, female-biased versus male-biased genes, P = 6.444e-12 and malebiased versus unbiased genes, P = 4.564e-13) and ‘two-ratio’ branch model (Fig. S4B, femalebiased versus male-biased genes, P = 2.2e-16 and male-biased versus unbiased genes, P = 9.421e08, respectively). ” on line 323-331, and consequently, removed the following sentence, “femalebiased vs male-biased genes, P = 6.444e-12 and male-biased vs unbiased genes, P = 4.564e-13” and “female-biased versus male-biased genes, P = 2.2e-16 and male-biased versus unbiased genes, P = 9.421e-08, respectively” in the Discussion section.

      • Reviewer 1 asked for a comparison between the number of de novo assembled unigenes in this transcriptome and the number of genes in other Cucurbitaceae species. I could not see this comparison reported.

      Authors’ response: In the first revision, we described only percentages. We have now added the number of genes. We modify this part as follows: “The majority of unigenes were annotated by homologs in species of Cucurbitaceae (61.6%, 36,375), including Momordica charantia (16.3%, 9,625), Cucumis melo (11.9%, 7,027), Cucurbita pepo (11.9%, 7,027), Cucurbita moschata (11.5%, 6,791), Cucurbita maxima (10.1%, 5,964) and other species (38.4%, 22,676) (Fig. S1C).”.

      • Reviewer 1 pointed out that permutation tests were more appropriate, but no change was made to the manuscript.

      Authors’ response: Thank you for your suggestion. In the first revision, we have indirectly responded to the issues. Wilcoxon rank sum test is more commonly used for all comparisons between sex-biased and unbiased genes in many papers. Additionally, we tested datasets using permutation t-tests, which is consistent with the results of Wilcoxon rank sum test. For example, we found that only in floral buds, there are significant differences in ω values in the results of ‘free-ratio’ (female-biased versus male-biased genes, P = 0.04282 and male-biased versus unbiased genes, P = 0.01114) and ‘two-ratio’ model (female-biased versus male-biased genes, P = 0.01992 and male-biased versus unbiased genes, P = 0.02127, respectively). We also described these results in the Results section accordingly (line 278-284).

      • Reviewer 3 pointed out the small sample size (both for the RNA-seq and the phylogenetic analysis), but again this limitation is not acknowledged very clearly.

      Authors’ response: Sorry, we acknowledged that our sample size was relatively small. In the revised version, we have added a sentence as follows, “Additionally, our sample size is relatively small, and may provide low power to detect differential expression.” in the Discussion section.

      • Reviewer 1 & 3 pointed out that Fig 3 was hard to understand and asked for clarifications that I did not see in the text and the figure in unchanged.

      Authors’ response: Thank you for your suggestions. We have revised the manuscript to clarify the meaning of the acronym (F1TGs, F2TGs, M1TGs, M2TGs, F1BGs, F2BGs, M1BGs and M2BGs) and presented the number of genes. We have added two labels, indicating that panels A and B correspond to males and C and D to females in Fig. 3.

      • Reviewer 3 suggested to combine all genes with sex-bias expression when evaluating the evolutionary rate, in addition to the analyses already done. This suggestion was not followed.

      For the question of reviewer 3:line 196 and following: In these analyses, I could not understand the rationale for keeping buds vs mature flowers as separate analyses throughout. Why not combine both and use the full set of genes showing sex-bias in any tissue? This would increase the power and make the presentation of the results a lot more straightforward.

      Authors’ response: Thank you for your suggestions. In the first revision, we tried to respond to the issues. First, we observed strong sexual dimorphism in floral buds, such as racemose versus solitary, early-flowering versus late-flowering. Second, as you pointed out earlier, “the dataset is interesting in that it focuses on reproductive rather than somatic tissues (which makes sense to investigate sexual selection), and includes more than a single developmental stage (buds + mature flowers)”, we totally agree with you on this point. Third, according to your suggestions, we combined all genes with sex-bias expression to evaluate the evolutionary rates. We found significant differences (please see a Figure below) in ω values in the results of ‘free-ratio’ (female-biased versus male-biased genes, P =0.005622 and male-biased versus unbiased genes, P = 0.001961) and ‘two-ratio’ model (female-biased versus male-biased genes, P = 0.008546 and male-biased versus unbiased genes, P = 0.009831, respectively) using Wilcoxon rank sum test. However, the significance is lower than previous results in floral buds due to sex-biased genes of mature flower joined, especially compared to the results of “free-ratio model”. Additionally, we also test all combined genes with sex-bias expression using permutation t-test. Unfortunately, there are no significant differences in ω values expect for male-biased versus unbiased genes in the results of ‘free-ratio’ model (P = 0.03034) and ‘two-ratio’ model (P = 0.0376), respectively. To a certain extent, the combination of all genes with sex-bias expression may cover the signals of rapid evolution of sex-biased genes in floral buds. Therefore, these results are not described in our manuscript. In the near future, we would like to make further investigations through more development stages of flowers and new technologies (e.g. Single-Cell method, See Murat et al., 2023) in each sex to consolidate the conclusion, and it is hoped that we could find more meaningful results.

      Author response image 1.

      • Reviewer 3 pointed out that hand-picking specific categories of genes was not statistically valid, and in fact not necessary in the present context. This was not changed.

      For the question of reviewer3: removing genes on a post-hoc basis seems statistically suspicious to me. I don't think your analysis has enough power to hand-pick specific categories of genes, and it is not clear what this brings here. I suggest simply removing these analyses and paragraphs.

      Authors’ response: Thank you for your suggestions. We have changed them accordingly. We removed a part of the following paragraph, “To confirm the contributions of positive selection and relaxed selection to rapid rates of male-biased genes in floral buds, we generated three datasets of OGs by excluding different sets of genes. Specifically, we excluded 18 relaxed selective male-biased genes (5.23%), 98 positively selected male-biased genes (28.57%), and 112 male-biased genes (32.65%) under positive and relaxed selection from 343 OGs (Fig. S4). We observed that after excluding male-biased genes under relaxed purifying selection, the median (0.264) decreased by 0.34% compared to the median (0.265) of all OGs (Fig. S4A-B). However, after excluding positively selected male-biased genes, the median (0.236) was reduced by 11% (Fig. S4A, C) in the results of ‘free-ratio’ branch model. This pattern was consistent with the results of ‘two-ratio’ branch model as well (Fig. S4E-G).” on line 290 to 300.

      However, we kept the following paragraph, “We also analyzed female-biased and unbiased genes that underwent positive and relaxed selection in floral buds (Tables S6-S10). We identified 216 (18.86%) positively selected, and 69 (6.03%) relaxed selective female-biased genes from 1,145 OGs, respectively. Similarly, we found 436 (18.33%) positively selected, and 43 (1.81%) unbiased genes under relaxed selection from 2,378 OGs, respectively. Notably, male-biased genes have a higher proportion (10%) of positively selected genes compared to female-biased and unbiased genes. However, relaxed selective male-biased genes have a higher proportion (3.24%) than unbiased genes, but about 0.8% lower than that of female-biased genes.”. In this way, we can compare the proportion of sex-biased genes that have undergone positive selection and release selection among female-biased genes, unbiased genes and male-biased genes in floral buds in the Discussion section.

      • Reviewer 1 asked for all data to be public, but I could not find in the manuscript where the link to the data on ResearchGate was provided.

      Authors’ response: We have added a link in the Data Availability section.

      • Reviewers 1 & 3 pointed out that since only two tissues were compared, the claims on pleiotropy should have been toned down, but no change was made to the text.

      Authors’ response: Thank you for your suggestions. We revised “due to low pleiotropic constraints” to “due to low evolutionary constraints” and revised “low pleiotropy” to “low constraints”.

      • Reviewer 1 asked for a clarification on which genes are plotted on the heatmap of Fig3C and an explanation of the color scale. No change was made.

      Authors’ response: Sorry for the confusion. Actually, Reviewer 1 asked that “Fig. 2C, which genes are plotted on the heatmap and what is the color scale corresponding to?” In the previous revision, we have revised them (See Fig. 2 Sex-biased gene expression for floral buds and flowers at anthesis in males and females of Trichosanthes pilosa). Sex-biased genes (the union of sex-biased genes in F1, M1, F2 and M2) are plotted on the heatmap. The color gradient represents from high to low (from red to green) gene expression.

      • Reviewer 1 asked for panel B in Fig S5 and S6 to be removed. They are still there. They asked for abbreviations to be explained in the legend of Fig S8. This was not done. They asked for details about columns headers. Such detailed were not added. They asked for more recent references on line 53-56: this was not done.

      Authors’ response: We have removed panel B in Fig. S5 and S6. We explained abbreviations in text and Fig. S8. We added more details about the column headers in Supplementary Table S4, S5, S6, S7, S8, S9 and S10. We also added more recent references on line 53-56.

      Recommendations for the authors:

      Reviewer #3 (Recommendations For The Authors):

      Authors’ response: Thank you for your suggestions. We have revised/fixed these issues following your concerns and suggestions.

      Line 46-48 would be clearer as « Sexual dimorphism is the condition where sexes of the same species exhibit different morphological, ecological and physiological traits in gonochoristic animals and dioecious plants, despite male and female individuals sharing the same genome except for sex chromosomes or sex-determining loci »

      Authors’ response: Thanks. We have revised it accordingly.

      Line 50: replace «in both » by «between the two »

      Authors’ response: We have revised it.

      Line 51: « genes exclusively » -> « genes expressed exclusively »

      Authors’ response: We have revised it.

      Line 58: « in many animals » -> « in several animal species »

      Authors’ response: We have revised it to “in some animal species”.

      Line 58: « to which » -> « of this bias »

      Authors’ response: We have revised it.

      Line 64: « Most dioecious plants possess homomorphic sex-chromosomes that are roughly similar in size when viewed by light microscopy. » : a reference is missing

      Authors’ response: We have added the reference.

      Line 67: remove « that »

      Authors’ response: We have revised it.

      line 96: change to: « only the five above-mentioned studies »

      Authors’ response: We have revised it.

      Line 97: remove « the »

      Authors’ response: We have revised it.

      Line 111: « Drosophia » -> Drosophila

      Authors’ response: We have revised it.

      Line 114: exhibiting -> « exhibited »

      Authors’ response: We have revised it.

      Line 115: suggest -> « suggesting »

      Authors’ response: We have revised it.

      Line 117: « studies in plants have rarely reported elevated rates of sex-biased genes » : is it « rarely » or « never » ?

      Authors’ response: We have revised to “never”.

      Line 143: « It’s » -> « Its »

      Authors’ response: We have revised it.

      Line 143-146: say whether the male parts (e.g. anthers) are still present in females flowers, and the female parts (pistil+ ovaries) in the male flowers, or whether these respective organs are fully aborted.

      Authors’ response: We have added the following sentence, “The male parts (e. g., anthers) of female flowers, and the female parts (e. g., pistil and ovaries) of male flowers are fully aborted” in line 148150 of the Introduction section.

      Line 158: this is now clearer, but please specify whether you are talking about 12 floral buds in total, or 12 per individual (i.e. 72 buds in total).

      Authors’ response: We have revised it to “Using whole transcriptome shotgun sequencing, we sequenced floral buds and flowers at anthesis from female and male of dioecious T. pilosa. We set up three biological replicates from three female and three male plants, including 12 samples in total (six floral buds and six flowers at anthesis)”.

      Line 194-198: These sentences are unclear and hard to link to the figure. Consider changing for « In male plants, the number of tissue-biased genes in flowers at anthesis (M2TGs: n = 2795) was higher than that in floral buds (M1TGs: n = 1755, Fig. 3A and 3B). Figure 3 is also very hard to read. Adding a label on the side to indicate that panels A and B correspond to male-biased genes and C and D to female-biased genes could be useful.

      Authors’ response: Thank you for your suggestions. We have revised the text to clarify the meaning of the acronym (F1TGs, F2TGs, M1TGs, M2TGs, F1BGs, F2BGs, M1BGs and M2BGs) and presented the number of genes. We have added two labels, indicating that panels A and B correspond to males and C and D to females in Figure 3.

      Line 208: explain the approach: e.g. « We then compared rates of protein evolution among malebiased, female-biased and unbiased genes. To do this, we sequenced floral bud transcriptomes from the closely related T. anguina, as well as two more distant outgroups, T. kirilowii and Luffa cylindrica. T. kirilowii is a dioecious species like T. pilosa, and the other two are monoecious. We identified one-to-one orthologous groups (OGs) for 1,145 female-biased, 343 male-biased, and 2,378 unbiased genes. »

      Authors’ response: We have revised this paragraph to the following, “We compared rates of protein evolution among male-biased, female-biased and unbiased genes in four species with phylogenetic relationships (((T. anguina, T. pilosa), T. kirilowii), Luffa cylindrica), including dioecious T. pilosa, dioecious T. kirilowii, monoecious T. anguina in Trichosanthes, together with monoecious Luffa cylindrica. To do this, we sequenced transcriptomes of T. pilosa. We also collected transcriptomes of T. kirilowii, as well as genomes of T. anguina and Luffa cylindrica.”

      Line 220: « the same ω value was in all branches » -> « all branches are constrained to have the same ω value ».

      Authors’ response: We have revised it.

      Line 221: « results of the 'two-ratio' branch model ... »

      Authors’ response: We have revised it.

      Line 235: add a few words to explain why the effect size is bigger than for buds, but still is not significant: e.g. «possibly because of limited statistical power due to the low number of sex-biased genes in flowers at anthesis »

      Authors’ response: We have revised this to “However, there is no statistically significant difference in the distribution of ω values using Wilcoxon rank sum tests for female-biased versus male-biased genes (P = 0.0556), female-biased versus unbiased genes (P = 0.0796), and male-biased versus unbiased genes (P = 0.3296) possibly because of limited statistical power due to the low number of sex-biased genes in flowers at anthesis.” in line 260-261.

      Line 255: explain in plain English what the « A model » is. This was already requested in the previous version.

      Authors’ response: We have revised “A model” to “classical branch-site model A”.

      Line 258: explain in plain English what the « foreground 2b ω value » corresponds to

      Authors’ response: We have revised to as follows, “foreground 2b ω value” to “foreground ω >1”. Additionally, we also added the sentence “The classical branch-site model assumes four site classes (0, 1, 2a, 2b), with different ω values for the foreground and background branches. In site classes 2a and 2b, the foreground branch undergoes positive selection when there is ω > 1.” in line 624-627.

      Line 259: explain how these different approaches complement each other rather than being redundant. This was also already requested in the previous version.

      Authors’ response: Sorry. We have now revised it as follows, “As a complementary approach, we utilized the aBSREL and BUSTED methods that are implemented in HyPhy v.2.5 software, which avoids false positive results by classical branch-site models due to the presence of rate variation in background branches, and detected significant evidence of positive selection.” in line 292-295.

      Line 270: remove « dramatically », and also remove « or eliminated at both gene-wide and genomewide levels », as well as « relative to positive selection »

      Authors’ response: Thank you for your suggestions. We have revised it.

      Line 290-309: remove this section - this was already pointed out in the previous reviews as a « ad hoc » procedure, and this point has already been made clear with the RELAX analysis.

      Authors’ response: Thank you for your suggestions. We revised this section accordingly. We remove the following paragraph, “To confirm the contributions of positive selection and relaxed selection to rapid rates of male-biased genes in floral buds, we generated three datasets of OGs by excluding different sets of genes. Specifically, we excluded 18 relaxed selective male-biased genes (5.23%), 98 positively selected male-biased genes (28.57%), and 112 male-biased genes (32.65%) under positive and relaxed selection from 343 OGs (Fig. S4). We observed that after excluding malebiased genes under relaxed purifying selection, the median (0.264) decreased by 0.34% compared to the median (0.265) of all OGs (Fig. S4A-B). However, after excluding positively selected malebiased genes, the median (0.236) was reduced by 11% (Fig. S4A, C) in the results of ‘free-ratio’ branch model. This pattern was consistent with the results of ‘two-ratio’ branch model as well (Fig. S4E-G).” on line 334-344.

      However, we kept the other parts “We also analyzed female-biased and unbiased genes that underwent positive and relaxed selection in floral buds (Tables S6-S10). We identified 216 (18.86%) positively selected, and 69 (6.03%) relaxed selective female-biased genes from 1,145 OGs, respectively. Similarly, we found 436 (18.33%) positively selected, and 43 (1.81%) unbiased genes under relaxed selection from 2,378 OGs, respectively. Notably, male-biased genes have a higher proportion (10%) of positively selected genes compared to female-biased and unbiased genes. However, relaxed selective male-biased genes have a higher proportion (3.24%) than unbiased genes, but about 0.8% lower than that of female-biased genes.”. In this way, we can compare the proportion of sex-biased genes that have undergone positive selection and release selection among female-biased genes, unbiased genes and male-biased genes in floral buds in the Discussion sections.

      Line 348: Here you talk about « Numerous studies », but then only report three studies. Please clarify.

      Authors’ response: Thank you for your suggestions. We have revised it to “Several studies”.

      Line 352: Cut the sentence: « In contrast, the wind-pollinated dioecious plant Populus balsamifera ... »

      Authors’ response: Thank you for your suggestions. We have revised it.

      Line 357: « In contrast to the above studies... »: If I understand correctly, this is not in contrast to the observation in Populus balsamifera. Please clarify.

      Authors’ response: Thank you for your suggestions. We have revised to “Similar to the above study of Populus balsamifera.”.

      Line 420: « our results » -> « we »; « that underwent » -> « undergoing »

      Authors’ response: Thank you for your suggestions. We have revised it.

      Figure 3 is very hard to read and poorly labeled (see my comments on line 194 above). It is also hard to link to the text, since the numbers reported in the text are actually not present in the figure unless the readers makes some calculations themselves. This should be improved. Also, the use of acronyms (e.g. M1BG, F2TG etc.) contributes to making the text very difficult to read. The acronyms should at least be explained very clearly in the text when they are used.

      Authors’ response: Thank you for your suggestions. We have revised the text to clarify the meaning of the acronym (F1TGs, F2TGs, M1TGs, M2TGs, F1BGs, F2BGs, M1BGs and M2BGs) and give the number of genes. We have added two labels, indicating that panels A and B correspond to males and C and D to females in Figure 3.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Review:

      Reviewer #2 (Public Review): 

      Regarding reviewer #2 public review, we update here our answers to this public review with new analysis and modification done in the manuscript. 

      This manuscript is missing a direct phenotypic comparison of control cells to complement that of cells expressing RhoGEF2-DHPH at "low levels" (the cells that would respond to optogenetic stimulation by retracting); and cells expressing RhoGEF2-DHPH at "high levels" (the cells that would respond to optogenetic stimulation by protruding). In other words, the authors should examine cell area, the distribution of actin and myosin, etc in all three groups of cells (akin to the time zero data from figures 3 and 5, with a negative control). For example, does the basal expression meaningfully affect the PRG low-expressing cells before activation e.g. ectopic stress fibers? This need not be an optogenetic experiment, the authors could express RhoGEF2DHPH without SspB (as in Fig 4G). 

      Updated answer: We thank reviewer #2 for this suggestion. PRG-DHPH overexpression is known to affect the phenotype of the cell as shown in Valon et al., 2017. In our experiments, we could not identify any evidence of a particular phenotype before optogenetic activation apart from the area and spontaneous membrane speed that were already reported in our manuscript (Fig 2E and SuppFig 2). Regarding the distribution of actin and myosin, we did not observe an obvious pattern that will be predictive of the protruding/retracting phenotype. Trying to be more quantitative, we have classified (by eye, without knowing the expression level of PRG nor the future phenotype) the presence of stress fibers, the amount of cortical actin, the strength of focal adhesions, and the circularity of cells. As shown below, when these classes are binned by levels of expression of PRG (two levels below the threshold and two above) there is no clear determinant. Thus, we concluded that the main driver of the phenotype was the PRG basal expression rather than any particularity of the actin cytoskeleton/cell shape.

      Author response image 1.

      Author response image 2.

      Relatedly, the authors seem to assume ("recruitment of the same DH-PH domain of PRG at the membrane, in the same cell line, which means in the same biochemical environment." supplement) that the only difference between the high and low expressors are the level of expression. Given the chronic overexpression and the fact that the capacity for this phenotypic shift is not recruitmentdependent, this is not necessarily a safe assumption. The expression of this GEF could well induce e.g. gene expression changes. 

      Updated answer: We agree with reviewer #2 that there could be changes in gene expression. In the next point of this supplementary note, we had specified it, by saying « that overexpression has an influence on cell state, defined as protein basal activity or concentration before activation. »  We are sorry if it was not clear, and we changed this sentence in the revised manuscript (in red in the supp note). 

      One of the interests of the model is that it does not require any change in absolute concentrations, beside the GEF. The model is thought to be minimal and fits well and explains the data with very few parameters. We do not show that there is no change in concentration, but we show that it is not required to invoke it. We revised a sentence in the new version of the manuscript to include this point.

      Additional answer: During the revision process, we have been looking for an experimental demonstration of the independence of the phenotypic switch to any change in global gene expression pattern due to the chronic overexpression of PRG. Our idea was to be in a condition of high PRG overexpression such that cells protrude upon optogenetic activation, and then acutely deplete PRG to see if cells where then retracting. To deplete PRG in a timescale that prevent any change of gene expression, we considered the recently developed CATCHFIRE (PMID: 37640938) chemical dimerizer. We designed an experiment in which the PRG DH-PH domain was expressed in fusion with a FIRE-tag and co-expressing the FIRE-mate fused to TOM20 together with the optoPRG tool. Upon incubation with the MATCH small molecule, we should be able to recruit the overexpressed PRG to the mitochondria within minutes, hereby preventing it to form a complex with active RhoA in the vicinity of the plasma membrane. Unfortunately, despite of numerous trials we never achieved the required conditions: we could not have cells with high enough expression of PRGFIRE-tag (for protrusive response) and low enough expression of optoPRG (for retraction upon PRGFIRE-tag depletion). We still think this would be a nice experiment to perform, but it will require the establishment of a stable cell line with finely tuned expression levels of the CATCHFIRE system that goes beyond the timeline of our present work.      

      Concerning the overall model summarizing the authors' observations, they "hypothesized that the activity of RhoA was in competition with the activity of Cdc42"; "At low concentration of the GEF, both RhoA and Cdc42 are activated by optogenetic recruitment of optoPRG, but RhoA takes over. At high GEF concentration, recruitment of optoPRG lead to both activation of Cdc42 and inhibition of already present activated RhoA, which pushes the balance towards Cdc42."

      These descriptions are not precise. What is the nature of the competition between RhoA and Cdc42? Is this competition for activation by the GEFs? Is it a competition between the phenotypic output resulting from the effectors of the GEFs? Is it competition from the optogenetic probe and Rho effectors and the Rho biosensors? In all likelihood, all of these effects are involved, but the authors should more precisely explain the underlying nature of this phenotypic switch. Some of these points are clarified in the supplement, but should also be explicit in the main text. 

      Updated answer: We consider the competition between RhoA and Cdc42 as a competition between retraction due to the protein network triggered by RhoA (through ROCK-Myosin and mDia-bundled actin) and the protrusion triggered by Cdc42 (through PAK-Rac-ARP2/3-branched Actin). We made this point explicit in the main text.  

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):  

      Major 

      - why this is only possible for such few cells. Can the authors comment on this in the discussion? Does the model provide any hints? 

      As said in our answer to the public comment or reviewer #1, we think that the low number of cells being able to switch can be explained by two different reasons: 

      (1) First, we were looking for clear inversions of the phenotype, where we could see clear ruffles in the case of the protrusion, and clear retractions in the other case. Thus, we discarded cells that would show in-between phenotypes, because we had no quantitative parameter to compare how protrusive or retractile they were. This reduced the number of switching cells 

      (2) Second, we had a limitation due to the dynamic of the optogenetic dimer used here. Indeed, the control of the frequency was limited by the dynamic of unbinding of the optogenetic dimer. This dynamic of recruitment (~20s) is comparable to the dynamics of the deactivation of RhoA and Cdc42. Thus, the differences in frequency are smoothed and we could not vary enough the frequency to increase the number of switches. Thanks to the model, we can predict that increasing the unbinding rate of the optogenetic tool (shorter dimer lifetime) should allow us to increase the number of switching cells. 

      We have added a sentence in the discussion to make this second point explicit.

      - I would encourage the authors to discuss this molecular signaling switch in the context of general design principles of switches. How generalizable is this network/mechanism? Is it exclusive to activating signaling proteins or would it work with inhibiting mechanisms? Is the competition for the same binding site between activators and effectors a common mechanism in other switches? 

      The most common design principle for molecular switches is the bistable switch that relies on a nonlinear activation (for example through cooperativity) with a linear deactivation. Such a design allows the switch between low and high levels. In our case, there is no need for a non-linearity since the core mechanism is a competition for the same binding site on active RhoA of the activator and the effectors. Thus, the design principle would be closer to the notion of a minimal “paradoxical component” (PMID: 23352242) that both activate and limit signal propagation, which in our case can be thought as a self-limiting mechanism to prevent uncontrolled RhoA activation by the positive feedback. Yet, as we show in our work, this core mechanism is not enough for the phenotypic switch to happen since the dual activation of RhoA and Cdc42 is ultimately required for the protrusion phenotype to take over the retracting one. Given the particularity of the switch we observed here, we do not feel comfortable to speculate on any general design principles in the main text, but we thank reviewer #1 for his/her suggestion.

      - Supplementary figures - there is a discrepancy between the figures called in the text and the supplementary files, which only include SF1-4. 

      We apologize for this error and we made the correction. 

      - In the text, the authors use Supp Figure 7 to show that the phenotype could not be switched by varying the fold increase of recruitment through changing the intensity/duration of the light pulse. Aside from providing the figure, could you give an explanation or speculation of why? Does the model give any prediction as to why this could be difficult to achieve experimentally (is the range of experimentally feasible fold change of 1.1-3 too small? Also, could you clarify why the range is different than the 3 to 10-fold mentioned at the beginning of the results section? 

      We thank the reviewer for this question, and this difference between frequency and intensity can be indeed understood in a simple manner through the model. 

      All the reactions in our model were modeled as linear reactions. Thus, at any timepoint, changing the intensity of the pulse will only change proportionally the amount of the different components (amount of active RhoA, amount of sequestered RhoA, and amount of active Cdc42). This explains why we cannot change the balance between RhoA activity and Cdc42 activity only through the pulse strength. We observed the same experimentally: when we changed the intensity of the pulses, the phenotype would be smaller/stronger, but would never switch, supporting our hypothesis on the linearity of all biochemical reactions. 

      On the contrary, changing the frequency has an effect, for a simple reason: the dynamics of RhoA and Cdc42 activation are not the same as the dynamics of inhibition of RhoA by the PH domain (see

      Figure 4). The inhibition of RhoA by the PH is almost instantaneous while the activation of RhoGTPases has a delay (sets by the deactivation parameter k_2). Intuitively, increasing the frequency will lead to sustained inhibition of RhoA, promoting the protrusion phenotype. Decreasing the frequency – with a stronger pulse to keep the same amount of recruited PRG – restricts this inhibition of RhoA to the first seconds following the activation. The delayed activation of RhoA will then take over. 

      We added two sentences in the manuscript to explain in greater details the difference between intensity and frequency.  

      Regarding the difference between the 1.3-3 fold and the 3 to 10 fold, the explanation is the following: the 3 to 10 fold referred to the cumulative amount of proteins being recruited after multiple activations (steady state amount reached after 5 minutes with one activation every 30s); while the 1.3-3 fold is what can be obtained after only one single pulse of activation.  

      - The transient expression achieves a large range of concentration levels which is a strength in this case. To solve the experimental difficulties associated with this, i.e. finding transfected cells at low cell density, the authors developed a software solution (Cell finder). Since this approach will be of interest for a wide range of applications, I think it would deserve a mention in the discussion part. 

      We thank the reviewer for his/her interest in this small software solution.

      We developed the description of the tool in the Method section. The Cell finder is also available with comments on github (https://github.com/jdeseze/cellfinder) and usable for anyone using Metamorph or Micromanager imaging software. 

      Minor 

      - Can the authors describe what they mean with "cell state"? It is used multiple times in the manuscript and can be interpreted as various things. 

      We now explain what we mean by ‘cell state’ in the main text :

      “protein basal activities and/or concentrations - which we called the cell state”

      - “(from 0% to 45%, Figure 2D)", maybe add here: "compare also with Fig. 2A". 

      We completed the sentence as suggested, which clarifies the data for the readers.

      - The sentence "Given that the phenotype switch appeared to be controlled by the amount of overexpressed optoPRG, we hypothesized that the corresponding leakiness of activity could influence the cell state prior to any activation." might be hard to understand for readers unfamiliar with optogenetic systems. I suggest adding a short sentence explaining dark-state activity/leakiness before putting the hypothesis forward. 

      We changed this whole beginning of the paragraph to clarify.

      - Figure 2E and SF2A. I would suggest swapping these two panels as the quantification of the membrane displacement before activation seems more relevant in this context. 

      We thank reviewer #1 for this suggestion and we agree with it (we swapped the two panels)

      - Fig. 2B is missing the white frames in the mixed panels. 

      We are sorry for this mistake, we changed it in the new version.  

      - In the text describing the experiment of Fig. 4G, it would again be helpful to define what the authors mean by cell state, or to state the expected outcome for both hypotheses before revealing the result.

      We added precisions above on what we meant by cell state, which is the basal protein activities and/or concentrations prior to optogenetic activation. We added the expectation as follow: 

      To discriminate between these two hypotheses, we overexpressed the DH-PH domain alone in another fluorescent channel (iRFP) and recruited the mutated PH at the membrane. “If the binding to RhoA-GTP was only required to change the cell state, we would expect the same statistics than in Figure 2D, with a majority of protruding cells due to DH-PH overexpression. On the contrary, we observed a large majority of retracting phenotype even in highly expressing cells (Figure 4G), showing that the PH binding to RhoA-GTP during recruitment is a key component of the protruding phenotype.”

      - Figure 4H,I: "of cells that overexpress PRG, where we only recruit the PH domain" doesn't match with the figure caption. Are these two constructs in the same cell? If not please clarify the main text. 

      We agree that it was not clear. Both constructs are in the same cell, and we changed the figure caption accordingly.  

      - "since RhoA dominates Cdc42" is this concluded from experiments (if yes, please refer to the figure) or is this known from the literature (if yes, please cite). 

      The assumption that RhoA dominates Cdc42 comes from the fact that we see retraction at low PRG concentration. We assumed that RhoA is responsible for the retraction phenotype. Our assumption is based on the literature (Burridge 2004 as an example of a review, confirmed by many experiments, such as the direct recruitment of RhoA to the membrane, see Berlew 2021) and is supported by our observations of immediate increase of RhoA activity at low PRG. We modified the text to clarify it is an assumption.

      - Fig. 6G  o left: is not intuitive, why are the number of molecules different to start with? 

      The number of molecules is different because they represent the active molecules: increasing the amount of PRG increases the amount of active RhoA and active Cdc42. We updated the figure to clarify this point.

      o right: the y-axis label says "phenotype", maybe change it to "activity" or add a second y-axis on the right with "phenotype"? 

      We updated the figure following reviewer #1 suggestion.

      - Discussion: "or a retraction in the same region" sounds like in the same cell. Perhaps rephrase to state retraction in a similar region? 

      Sorry for the confusion, we change it to be really clear: “a protrusion in the activation region when highly expressed, or a retraction in the activation region when expressed at low concentrations.”

      Typos: 

      - "between 3 and 10 fold" without s. 

      - Fig. 1H, y-axis label. 

      - "whose spectrum overlaps" with s. 

      - "it first decays, and then rises" with s. 

      - Fig 4B and Fig 6B. Is the time in sec or min? (Maybe double-check all figures). 

      - "This result suggests that one could switch the phenotype in a single cell by selecting it for an intermediate expression level of the optoPRG.". 

      - "GEF-H1 PH domain has almost the same inhibition ability as PRG PH domain". 

      We corrected all these mistakes and thank the reviewer for his careful reading of the manuscript.

      Reviewer #2 (Recommendations For The Authors): 

      Likewise, the model assumes that at high PRG GEF expression, the "reaction is happening far from saturation ..." and that "GTPases activated with strong stimuli -giving rise to strong phenotypic changes- lead to only 5% of the proteins in a GTP-state, both for RhoA and Cdc42". Given the high levels of expression (the absolute value of which is not known) this assumption is not necessarily safe to assume. The shift to Cdc42 could indeed result from the quantitative conversion of RhoA into its active state. 

      We agree with the reviewer that the hypothesis that RhoA is fully converted into its active state cannot be completely ruled out. However, we think that the two following points can justify our choice.

      - First, we see that even in the protruding phenotype, RhoA activity is increasing upon optoPRG recruitment (Figure 3). This means that RhoA is not completely turned into its active GTP-loaded state. The biosensor intensity is rising by a factor 1.5 after 5 minutes (and continue to increase, even if not shown here). For sure, it could be explained by the relocation of RhoA to the place of activation, but it still shows that cells with high PRG expression are not completely saturated in RhoA-GTP. 

      - We agree that linearity (no saturation) is still an hypothesis and very difficult to rule out, because it is not only a question of absolute concentrations of GEFs and RhoA, but also a question of their reaction kinetics, which are unknow parameters in vivo. Yet, adding a saturation parameter would mean adding 3 unknown parameters (absolute concentrations of RhoA, as well as two reaction constants). The fact that there are not needed to fit the complex curves of RhoA as we do with only one parameter tends to show that the minimal ingredients representing the interaction are captured here.  

      The observed "inhibition of RhoA by the PH domain of the GEF at high concentrations" could result from the ability of the probe to, upon membrane recruitment, bind to active RhoA (via its PH domain) thereby outcompeting the RhoA biosensor (Figure 4A-C). This reaction is explicitly stated in the supplemental materials ("PH domain binding to RhoA-GTP is required for protruding phenotype but not sufficient, and it is acting as an inhibitor of RhoA activity."), but should be more explicit in the main text. Indeed, even when PRG DHPH is expressed at high concentrations, it does activate RhoA upon recruitment (figure 3GH). Not only might overexpression of this active RhoA-binding probe inhibit the cortical recruitment of the RhoA biosensor, but it may also inhibit the ability of active RhoA to activate its downstream effectors, such as ROCK, which could explain the decrease in myosin accumulation (figure 3D-F). It is not clear that there is a way to clearly rule this out, but it may impact the interpretation. 

      This hypothesis is actually what we claim in the manuscript. We think that the inhibition of RhoA by the PH domain is explained by its direct binding. We may have missed what Reviewer #2 wanted to say, but we think that we state it explicitly in the main text :

      “Knowing that the PH domain of PRG triggers a positive feedback loop thanks to its binding to active RhoA 18, we hypothesized that this binding could sequester active RhoA at high optoPRG levels, thus being responsible for its inhibition.”

      And also in the Discussion:

      “However, this feedback loop can turn into a negative one for high levels of GEF: the direct interaction between the PH domain and RhoA-GTP prevents RhoA-GTP binding to effectors through a competition for the same binding site.”

      We may have not been clear, but we think that this is what is happening: the PH domain prevents the binding to effectors and decreases RhoA activity (as was shown in Chen et al. 2010).  

      The X-axis in Figure 4C time is in seconds not minutes. The Y-axis in Figure 4H is unlabeled. 

      We are sorry for the mistake of Figure 4C. We changed the Y-axis in the Figure 4h.  

      Although this publication cites some of the relevant prior literature, it fails to cite some particularly relevant works. For example, the authors state, "The LARG DH domain was already used with the iLid system" and refers to a 2018 paper (ref 19), whereas that domain was first used in 2016 (PMID 27298323). Indeed, the authors used the plasmid from this 2016 paper to build their construct. 

      We thank the reviewer for pointing out this error, we have corrected the citation and put the seminal one in the revised version.

      An analogous situation pertains to previous work that showed that an optogenetic probe containing the DH and PH domains in RhoGEF2 is somewhat toxic in vivo (table 6; PMID 33200987). Furthermore, it has previously been shown that mutation of the equivalent of F1044A and I1046E eliminates this toxicity (table 6; PMID 33200987) in vivo. This is particularly important because the Rho probe expressing RhoGEF2-DHPH is in widespread usage (76 citations in PubMed). The ability of this probe to activate Cdc42 may explain some of the phenotypic differences described resulting from the recruitment of RhoGEF2-DHPH and LARG-DH in a developmental context (PMID 29915285, 33200987). 

      We thank reviewer #2 for these comments, and added a small section in the discussion, for optogenetic users: 

      This underlines the attention that needs to be paid to the choice of specific GEF domains when using optogenetic tools. Tools using DH-PH domains of PRG have been widely used, both in mammalian cells and in Drosophila (with the orthologous gene RhoGEF2), and have been shown to be toxic in some contexts in vivo 28. Our study confirms the complex behavior of this domain which cannot be reduced to a simple RhoA activator.   

      Concerning the experiment shown in 4D, it would be informative to repeat this experiment in which a non-recruitable DH-PH domain of PRG is overexpressed at high levels and the DH domain of LARG is recruited. This would enable the authors to distinguish whether the protrusion response is entirely dependent on the cell state prior to activation or the combination of the cell state prior to activation and the ability of PRG DHPH to also activate Cdc42. 

      We thank the reviewer for his suggestion. Yet, we think that we have enough direct evidence that the protruding phenotype is due to both the cell state prior to activation and the ability of PRG DHPH to also activate Cdc42. First, we see a direct increase in Cdc42 activity following optoPRG recruitment (see Figure 6). This increase is sustained in the protruding phenotype and precedes Rac1 and RhoA activity, which shows that it is the first of these three GTPases to be activated. Moreover, we showed that inhibition of PAK by the very specific drug IPA3 is completely abolishing only the protruding phenotype, which shows that PAK, a direct effector of Cdc42 and Rac1, is required for the protruding phenotype to happen. We know also that the cell state prior to activation is defining the phenotype, thanks to the data presented in Figure 2. 

      We further showed in Figure 1 that LARG DH-PH domain was not able to promote protrusion. The proposed experiment would be interesting to confirm that LARG does not have the ability to activate another GTPase, even in a different cell state with overexpressed PRG. However, we are not sure it would bring any substantial findings to understand the mechanism we describe here, given the facts provided above.  

      Similarly, as PRG activates both Cdc42 and Rho at high levels, it would be important to determine the extent to which the acute Rho activation contributes to the observed phenotype (e.g. with Rho kinase inhibitor). 

      We agree with the reviewer that it would be interesting to know whether RhoA activation contributes to the observed phenotype, and we have tried such experiments. 

      For Rho kinase inhibitor, we tried with Y-27632 and we could never prevent the protruding phenotype to happen. However, we could not completely abolish the retracting phenotype either (even when the effect on the cells was quite strong and visible), which could be due to other effectors compensating for this inhibition. As RhoA has many other effectors, it does not tell us that RhoA is not required for protrusion. 

      We also tried with C3, which is a direct inhibitor of RhoA. However, it had too much impact on the basal state of the cells, making it impossible to recruit (cells were becoming round and clearly dying. As both the basal state and optogenetic activation require the activation of RhoA, it is hard to conclude out of experiments where no cell is responding. 

      The ability of PRG to activate Cdc42 in vivo is striking given the strong preference for RhoA over Cdc42 in vitro (2400X) (PMID 23255595). Is it possible that at these high expression levels, much of the RhoA in the cell is already activated, so that the sole effect that recruited PRG can induce is activation of Cdc42? This is related to the previous point pertaining to absolute expression levels.  

      As discussed before, we think that it is not only a question of absolute expression levels, but also of the affinities between the different partners. But Reviewer #2 is right, there is a competition between the activation of RhoA and Cdc42 by optoPRG, and activation of Cdc42 probably happens at higher concentration because of smaller effective affinity.

      Still, we know that activation of the Cdc42 by PRG DH-PH domain is possible in vivo, as it was very clearly shown in Castillo-Kauil et al., 2020 (PMID 33023908). They show that this activation requires the linker between DH and PH domain of PRG, as well as Gαs activation, which requires a change in PRG DH-PH conformation. This conformational switch does not happen in vitro, which might explain why the affinity against Cdc42 was found to be very low. 

      Minor points 

      In both the abstract and the introduction the authors state, "we show that a single protein can trigger either protrusion or retraction when recruited to the plasma membrane, polarizing the cell in two opposite directions." However, the cells do not polarize in opposite directions, ie the cells that retract do not protrude in the direction opposite the retraction (or at least that is not shown). Rather a single protein can trigger either protrusion or retraction when recruited to the plasma membrane, depending upon expression levels. 

      We thank the reviewer for this remark, and we agree that we had not shown any data supporting a change in polarization. We solved this issue, by showing now in Supplementary Figure 1 the change in areas in both the activated and in the not activated region. The data clearly show that when a protrusion is happening, the cell retracts in the non-activated region. On the other hand, when the cell retracts, a protrusion happens in the other part of the cell, while the total area is staying approximately constant. 

      We added the following sentence to describe our new figure:

      Quantification of the changes in membrane area in both the activated and non-activated part of the cell (Supp Figure 1B-C) reveals that the whole cell is moving, polarizing in one direction or the other upon optogenetic activation.

      While the authors provide extensive quantitative data in this manuscript and quantify the relative differences in expression levels that result in the different phenotypes, it would be helpful to quantify the absolute levels of expression of these GEFs relative to e.g. an endogenously expressed GEF. 

      We agree with the reviewer comment, and we also wanted to have an idea of the absolute level of expression of GEFs present in these cells to be able to relate fluorescent intensities with absolute concentrations. We tried different methods, especially with the purified fluorescent protein, but having exact numbers is a hard task.

      We ended up quantifying the amount of fluorescent protein within a stable cell line thanks to ELISA and comparing it with the mean fluorescence seen under the microscope. 

      We estimated that the switch concentration was around 200nM, which is 8 times more than the mean endogenous concentration according to https://opencell.czbiohub.org/, but should be reachable locally in wild type cell, or globally in mutated cancer cells. 

      Given the numerical data (mostly) in hand, it would be interesting to determine whether RhoGEF2 levels, cell area, the pattern of actin assembly, or some other property is most predictive of the response to PRG DHPH recruitment. 

      We think that the manuscript made it clear that the concentration of PRG DHPH is almost 100% predictive of the response to PRG DHPH. We believe that other phenotypes such as the cell area or the pattern of actin assembly would only be consequences of this. Interestingly, as experimentators we were absolutely not able to predict the behavior by only seeing the shape of the cell, event after hundreds of activation experiments, and we tried to find characteristics that would distinguish both populations with the data in our hands and could not find any.

      There is some room for general improvement/editing of the text. 

      We tried our best to improve the text, following reviewers suggestions.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewing Editor's comments:

      There appears to be several mistakes/missing details in the additional statistical analyses reported in their response to Reviewer #'1 comments:

      (1) Detecting differentially expressed genes (DEGs):

      Reviewer #1 suggested adding an interaction term between sex and environment (ethnicity) in identifying DEGs. The authors performed ANCOVA analysis with sex and ethnicity as covariates (but not the interaction) and found sex explained more variance. This is not what the reviewer asked for, and the results do not help identify DEGs.

      We understand the reviewer’s suggestion about identification of DEGs using sex × ethnicity interaction. However, we could not find an appropriate tool to make such analysis, though we have carefully searched it in the literature. It should be noted that the interaction analysis between sex and environment was only designed to study genotype data rather than gene expression data. Besides, considering that we have added multiple covariates in our DEG detection, adding an interaction term between sex and environment (ethnicity) in identifying DEGs make the formulation too complex to resolve using current tools. Alternatively, we have made a linear regression model to test the explanation of sex for DEG detection in the revision (see details below). We would appreciate if the reviewer could provide any available tools, or previous studies conducting interaction analysis for DEG identification.

      (2) Overlap between DEGs and genes under positive selection in Tibetans (TSNGs)

      The authors claimed that the overlaps are significantly enriched in "sex-combined" set (p=0.048) and "male-only" set (p=9e-4), but it seems that the authors calculated the p-values incorrectly. Based on the histogram shown in Fig 3R (left penal), at least 750 out of 10,000 permutations led to 4 genes in overlap and there are additional permutations with 5 or more genes in overlap, so the p-value for the sex-combined set cannot be 0.048. In addition, the permutation procedure is somewhat questionable: it is unclear whether randomly sampling 192 genes from the human genome is reasonable choice, without matching for relevant gene features.

      As we explained in the response to Reviewer-1, we agree with the reviewer’s point that random sampling of genes in permutation should be extracted from genes expressed in each tissue rather than the entire genome. Based on this updated random sampling procedure, we redid the analysis, and our previous conclusions remain unchanged.

      (3) Polygenic adaptation signal based on eQTL information:

      The PolyGraph method is designed for highly polygenic traits with causal variants spread across the genome. However, the genetic architecture of the expression of a gene is much less polygenic with at most few cis- eQTLs per gene, so the PolyGraph model does not apply for expression of individual genes. On the other hand, eQTLs for different genes are associated with different "traits", so they cannot be simply aggregated together for PolyGraph analysis. Based on the Methods description, it is unclear how the authors ran the PolyGraph analysis on eQTLs practically and whether this practice is appropriate for detecting polygenic adaptation signal on gene expression.

      We understand the reviewer’s concern on polygenic adaptation analysis. In this study, we tested whether the estimated polygenic scores from eQTLs (estimated using sums of allele frequencies at independent eQTLs weighted by their effect sizes) were significantly enriched in Tibetans compared to other populations. The detailed descriptions of polygenic test are provided in the response to Reviewer-1.

      Reviewer #1 (Public Review):

      The revised manuscript new presented 1) a permutation-based test for the significance of the overlap between DEGs and genes with positive selection signals in Tibetans, and 2) polygenic adaptation test for the eQTLs. I make my suggestions in detail as below:

      Major Comments

      (1) My previous concern regarding the DEG analysis remains unresolved. Although the authors agreed in their response that the difference between the male- and female-specific DEGs are insufficient to the difference between sex-combined and sex-specific DEGs (Figure S6). However, the results section still states the opposite pattern between males and females as a decisive reason for the difference (p. 9, lines 236-239). Again, I would like to recommend the authors to test alternative ways of analysis to boost statistical power for DEG detection other than simply splitting data into males and females and performing analysis in each subset. For example, the authors may consider utilizing gene by environment interaction analysis schemes here biological sex as an environmental factor.

      To evaluate the effect of gene expression of each layer by sex, we adopted two strategies: 1) to calculate the variance explained by sex from the expression data; 2) to evaluate the statistical significance of association between sex from the expression data.

      Firstly, we observed a significantly higher variance explained by sex than by ethnicity in six layers of the placenta (see details in our previous response to reviewers).

      Then, we performed a linear regression model to test whether gender affects the gene expression. For each gene, a linear regression model was made by using R glm function with sex as covariates: glm (gene expression ~ sex). We discovered 5,865 genes significantly associated with sex, and most of them were located on the sex chromosomes. We observed 62.63% genes overlapped with those genes with opposite differential directions between the sex-combined and the sex-specific analyses.

      Considering the opposite direction of DEGs is likely only one of the explanations for the discrepancy between the sex-combined and the sex-specific DEGs, and there might be alternative mechanism for this phenomenon, we have tune down the description of this point in the revised manuscript:

      “Considering 62.63% of DEGs (248/396) with an opposite direction of between-population expression divergence in males and females, respectively (Figure S6), we reckon that there might be other factors such as sample size or cell composition affecting the identification of DEGs, which could cancel out the differences in the sex-combined analysis.” (Page 9)

      (2) Multiple testing schemes are still sub-optimal in some cases. Most of all, the p-values in the WGCNA analysis (p. 11), the authors corrected for the number of traits (n=12) after adjusting for the correlation between them. However, they did not mention whether they counted for the number of modules they tested at all (n=136 and 161 for males and females, respectively). Whether they account for the number of modules will make a substantial difference in the significance threshold, please incorporate and describe a proper multiple testing scheme for this analysis.

      We understand the reviewer’s point. Indeed, for multiple testing schemes, we considered both the number of traits and the number of modules. For the number of modules, multiple testing correction is already imbedded in WGCNA, as described in the published studies (Li et al. 2018; Zeng et al. 2023).

      (3) Evidence for natural selection on the observed DEG pattern is still weak and not properly described.

      (1) For the overlap between DEGs and TSNGs, the authors introduced a permutation-based test, but used a total set of genes in the human genome as a comparison set (p. 25, lines 699-700). I believe that the authors should sample random sets of genes from those already expressed in each tissue to make a fair comparison.

      We agree with the reviewer’s point that random sampling of genes in permutation should be extracted from genes expressed in each tissue, which is a fair comparison between the observed and the simulated counts of the overlapped genes.

      Therefore, for each permutation, we randomly extracted 192 genes from all the placenta expressed genes identified from the seven layers (17,284 genes in total), and we overlapped them with DEGs of the three sets (female + male, female only, and male only) and counted the gene numbers. After 10,000 permutations, we constructed a null distribution for each set, and found that the overlaps between DEGs and TSNGs were significantly enriched in the “sex-combined” set (p-value = 0.0123) and the “male-only” set (p-value < 1e-4), but not in the “female-only” set (p-value = 0.0572) (Figure R1). This result suggests that the observed DEGs are significantly enriched in TSNGs when compared to the set of random sampling, especially for the DEGs from the “male-only” set.

      Author response image 1.

      The distribution of 10,000 permutation tests of counts of the overlapped genes between 192 TSNGs and the DEGs randomly selected from the expressed genes in the placenta. The red-dashed lines indicate the observed values based on the randomly selected DEGs.

      (2) The entire polygraph analysis for polygenic adaptation is poorly described. The current version of the Methods does not clarify i) for which genes the eQTLs are discovered, 2) how the authors performed the eQTL analysis, iii) how the authors polarized the effect, and iv) how they set up a comparison between the eQTLs and the others.

      Considering the RNA-seq data of placenta mostly represent the transcriptomes of the newborns according to our analysis on maternal-fetal compositions of each dissected layer, we conducted eQTL analysis using the fetal genotypes and the placental tissue gene expression data (TPM) using R package MatrixEQTL (https://github.com/andreyshabalin/MatrixEQTL), and the altitude and maternal age were taken as covariates. We take a window 1 Mb upstream and 1 Mb downstream around each SNP to select genes or expression probes to test. Associations between these SNP–gene combinations are calculated using linear model. This tool can distinguish local (cis-) and distant (trans) eQTLs. We performed separate corrections for multiple testing.

      Finally, we detected 5,251 eQTLs (involving 319 eGenes), covering the SNPs significantly associated with gene expression (p-value < 5e-8). To identify the signatures of polygenic selection in Tibetans using eQTL information, we removed those SNPs in linkage disequilibrium (r2 > 0.2 in 1000 Genome Project) and obtained 176 independent eQTLs as input into PolyGraph (Racimo et al. 2018). QB (Racimo et al. 2018) and QX (Berg and Coop 2014) framework are used in Polygraph to determine whether the estimated polygenic scores exhibit more variance among populations than null expectation under genetic drift, by retrieving the summary statistics from the eQTL set.

      In this study, we focused on testing whether the estimated polygenic scores from eQTLs (estimated using sums of allele frequencies at independent eQTLs weighted by their effect sizes) were significantly enriched in Tibetans compared to other populations. The significance was evaluated by comparing to 10,000 sets of the control SNPs. Each set of control SNPs was randomly drawn from the genomic SNPs, and contained an equal number of SNPs as the eQTLs matched one-to-one by minor allele frequency.

      The PolyGraph result showed that Tibetans have a clear signature of polygenic selection on gene expression (Bonferroni-corrected p-value = 0.003, Figure S12). In other words, the frequency of alleles associated with gene expression (up-regulation or down-regulation) were specifically enriched in Tibetans, a signal of positive selection.

      Minor comments (1) In Figure S1, the amount of variance explained by PC1 and PC2 need to be corrected. PC1 explains less variance than PC2 (0.11 vs 0.68%).

      It was a typing error that mixed up the variances between PC1 and PC2. We have corrected it in the revised version.

      (2) In the section "Sex-biased expression divergence ..." (p. 8), the authors are using the term "gender" instead of sex. Considering that they are talking about the biological sex of each infant, I believe that sex is a more appropriate term to be used than gender.

      Following the reviewer’s suggestion, we rephrased “gender” as “sex” in the revised manuscript to describe the biological differences between females and males.

      Reviewer #3 (Public Review):

      More than 80 million people live at high altitude. This impacts health outcomes, including those related to pregnancy. Longer-lived populations at high altitudes, such as the Tibetan and Andean populations show partial protection against the negative health effects of high altitude. The paper by Yue sought to determine the mechanisms by which the placenta of Tibetans may have adapted to minimise the negative effect of high altitude on fetal growth outcomes. It compared placentas from pregnancies from Tibetans to those from the Han Chinese. It employed RNAseq profiling of different regions of the placenta and fetal membranes, with some follow-up of histological changes in umbilical cord structure and placental structure. The study also explored the contribution of fetal sex in these phenotypic outcomes.

      A key strength of the study is the large sample sizes for the RNAseq analysis, the analysis of different parts of the placenta and fetal membranes, and the assessment of fetal sex differences.

      A main weakness is that this study, and its conclusions, largely rely on transcriptomic changes informed by RNAseq. Changes in genes and pathways identified through bioinformatic analysis were not verified by alternate methods, such as by western blotting, which would add weight to the strength of the data and its interpretations. There is also a lack of description of patient characteristics, so the reader is unable to make their own judgments on how placental changes may link to pregnancy outcomes. Another weakness is that the histological analyses were performed on n=5 per group and were rudimentary in nature.

      For the three weaknesses raised by the reviewer, here are our responses:

      (1) Considering that our conclusions largely rely on the transcriptomic data, we agree with reviewer that more experiments are needed to validate the results from our transcriptomic data. However, this study was mainly aimed to provide a transcriptomic landscape of high-altitude placenta, and to characterize the gene-expression difference between native Tibetans and Han migrants. The molecular mechanism exploration is not the main task of this study, and more validation experiments are warranted in the future.

      (2) For the lack of description of patient characteristics, actually, we provided three-level results on the placental changes of Tibetans: macroscopic phenotypes (higher placental weight and volume), histological phenotypes (larger umbilical vein walls and umbilical artery intima and media; lower syncytial knots/villi ratios) and transcriptomic phenotypes (DEG and differential modules). Combined with the previous studies, these placenta changes suggest a better reproductive outcome. For example, the placenta volume shows a significantly positive correlation with birth weight (R = 0.31, p-value = 2.5e-16), therefore, the larger placenta volume of Tibetans is beneficial to fetal development at high altitude. In addition, the larger umbilical vein wall and umbilical artery intima and media of Tibetans can explain their adaptation in preventing preeclampsia.

      (3) For the sample size of histological analyses, we understand the reviewer’s concern that 5 vs. 5 samples are not very large in histological analyses. This is because it was difficult to collect high-altitude Han placenta samples, and we only got 13 Han samples, from which we selected 5 infant sex matched samples.

      Minor point:

      I feel the authors have responded well to the other reviewer comments. However, I am disappointed that the authors did not address my comment related to the validation of their RNAseq data. In particular, they failed to add new data that verifies and supports their RNAseq findings on pathways affected. This is imperative as their conclusions are based solely on the RNAseq analysis. The only other comment I have is that they should add a description of all abbreviations, including those in the supplementary information (like Table S12).

      For experimental validation of transcriptome, we understand the concern of reviewer. However, as we mentioned before, this study was mainly aimed to provide a transcriptomic landscape of high-altitude placenta, the molecular mechanism exploration is not the main task of this study, and more validation experiments are warranted in the future. Actually, we have tune down the description of power from transcriptomic data for explanation of biological difference, and called for the further functional validations in the future:

      “the transcriptome data is insufficient to explain the underlying molecular mechanisms of genetic adaptation in Tibetans. Future single-cell transcriptome analysis and functional validations of the candidate genes are warranted to reveal the responsible cell types and the molecular pathways.” (highlighted in Page 20)

      For abbreviations of the manuscript, according to the reviewer’s suggestion, we added descriptions of all abbreviations of this study in corresponding position (Table S1 and S12).

      References

      Berg JJ, and Coop G (2014). A population genetic signal of polygenic adaptation. PLoS Genet 10(8): e1004412.

      Li J, et al. (2018). Application of Weighted Gene Co-expression Network Analysis for Data from Paired Design. Sci Rep 8(1): 622.

      Racimo F, Berg JJ, and Pickrell JK (2018). Detecting Polygenic Adaptation in Admixture Graphs. Genetics 208(4): 1565-1584.

      Zeng JF, et al. (2023). Functional investigation and two-sample Mendelian randomization study of neuropathic pain hub genes obtained by WGCNA analysis. Frontiers in Neuroscience 17.

    2. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1:

      In this manuscript, the authors investigate differences between Tibetans and Han Chinese at altitude in terms of placental transcriptomes during full-term pregnancy. Most importantly, they found that the inter-population differentiation is mostly male-specific and the observed direction of transcriptional differentiation seems to be adaptive at high altitude. In general, it is of great importance and provides new insights into the functional basis of Tibetan high-altitude adaptations, which so far have been mostly studied via population genetic measures only. More specifically, I firmly believe that we need more phenotype data (including molecular phenotypes such as gene expression data) to fully understand Tibetan adaptations to high altitude, and this manuscript is a rare example of such a study. I have a few suggestions and/or questions with which I hope to improve the manuscript further, especially in terms of 1) testing if the observed DEG patterns are truly adaptive, and 2) how and whether the findings in this study can be linked to EPAS1 and EGLN1, the signature adaptation genes in Tibetans.

      We appreciate the reviewer’s constructive comments. We have addressed these points and the details are discussed below.

      Major Comments:

      1) The DEG analysis is the most central result in this manuscript, but the discrepancy between sex-combined and sex-specific DEGs is quite mind-boggling. For those that were differentially expressed in the sex-specific sets but not in the sex-combined one, the authors suggest an opposite direction of DE as an explanation (page 11, Figure S5). But Figure S5A does not show such a trend, showing that down-regulated genes in males are mostly not at all differentially expressed in females. Figure S5B does show such a trend, but it doesn't seem to be a dominant explanation. I would like to recommend the authors test alternative ways of analysis to boost statistical power for DEG detection other than simply splitting data into males and females and performing analysis in each subset. For example, the authors may consider utilizing gene-by-environment interaction analysis schemes here biological sex as an environmental factor.

      We agree with reviewer that the opposite direction of DEGs is likely only one of the possible explanations for the discrepancy between the sex-combined and the sex-specific DEGs. We have toned down the description of this point in the revised manuscripts.

      Following the suggestion of reviewer, we performed a ANCOVA analysis to evaluate the variance explained by sex from the expression data. For each gene, univariate comparisons of the average of gene expression between Tibetans and Han Chinese were made by using the ANCOVA test in R aov function with sex as covariates: aov (Expression ~ Ethnicity + Fetal sex). We observed a significantly higher variance explained by sex than by ethnicity in six layers of the placenta (except for the CN layer) (Author response image 1). For example, in the UC layer, fetal sex can explain ~0.203 variance, while the ethnicity explains ~0.107 variance (P-value = 4.9e-4). These results suggest a significant contribution of fetal sex for the observed variance of gene expression, consist with the observed sex-biased DEG patterns.

      Author response image 1.

      The ANCOVA results of the seven layers of placenta. The scatter plot shows the comparison of the explained variance (y-axis) and significance (x-axis, denoted by –log10(P-value)) between ethnicity (dots in red) and fetal sex (dots in blue). Each dot represents an investigated gene, and only genes with P<0.05 in significance are shown in the plots. The table is the summary statistics of the ANCOVA analysis.

      2) Please clarify how the authors handled multiple testing correction of p-values.

      There were three analyses involving multiple testing in this study: 1) for the differential expression analysis, we obtained the multiple corrected p-values by Benjamini-Hochberg FDR (false discovery rate) procedure; 2) for the GO enrichment analysis, we calculated the FDR-adjusted q-values from the overall p-values to correct for multiple testing.

      3) for the WGCNA analysis, considering the 12 traits were involved, including population, birth weight (BW), biparietal diameter (BPD), femur length (FL), gestation time (GT), placental weight (PW), placental volume (PLV), abdominal girth (AG), amniotic fluid maximcon depth (AFMD), amniotic fluid (AFI), fetal heart rate (FH) and fundal height (FUH). We calculated a Bonferroni threshold (p-value = 0.05/the number of independent traits) using the correlation matrix of the traits to evaluate the significant modules. We estimated the number of independent traits among the 12 investigated traits was 4 (Author response image 2). Therefore, we used a more stringent significant threshold p-value = 0.0125 (0.05/4) as the final threshold to correct the multiple testing brought by multiple traits in our WGCNA analyses. We have updated this section based on the new threshold.

      Author response image 2.

      The correlation matrix of 12 traits involved in the WGCNA analysis. The correlation coefficients larger than 0.2 (or smaller than -0.2) are regarded as significant correlation and marked in gradient colors.

      3) The "natural selection acts on the placental DEGs ..." section is potentially misleading readers to assume that the manuscript reports evidence for positive selection on the observed DEG pattern between Tibetans and Han, which is not.

      a) Currently the section simply describes an overlap between DEGs and a set of 192 genes likely under positive selection in Tibetans (TSNGs). The overlap is quite small, leading to only 13 genes in total (Figure 6). The authors are currently not providing any statistical measure of whether this overlap is significantly enriched or at the level expected for random sampling.

      We understand the reviewer’s point that the observed gene counts overlapped between DEGs from the three sets (4 for female + male; 9 for male only and 0 for female only) with TSNGs should be tested using a statistical method. Therefore, we adopted permutation approach to evaluate the enrichment of the overlapped DEGs with TSNGs.

      For each permutation, we randomly extracted 192 genes from the human genome, then overlapped with DEGs of the three sets (female + male; female only and male only) and counted the gene numbers. After 10,000 permutations, we constructed a null distribution for each set, and found that the overlaps between DEGs and TSNGs were significantly enriched in the “female + male” set (p-value = 0.048) and the “male only” set (p-value = 9e-4), but not in the “female only” set (p-value = 0.1158) (Author response image 3). This result suggests that the observed DEGs are significantly enriched in TSNGs when compared to random sampling, especially for the male DEGs. We added this analysis in the revised manuscript.

      Author response image 3.

      The distribution of 10,000 permutation tests of counts of the overlapped genes between DEGs and the 192 randomly selected genes in the genome. The red-dashed lines indicate the observed values based on the 192 TSNGs.

      b) The authors are describing sets of DEGs that seem to affect important phenotypic changes in a consistent and adaptive direction. A relevant form of natural selection for this situation may be polygenic adaptation while the authors only consider strong positive selection at a single variant/gene level.

      We agree with reviewer that polygenic adaptation might be a potential mechanism for DEGs to take effect on the adaptive phenotypes. Therefore, following the suggestion in the comment below, we conducted a polygenic adaptation analysis using eQTL information.

      c) The manuscript is currently providing no eQTL information that can explain the differential expression of key genes. The authors can actually do this based on the genotype and expression data of the individuals in this study. Combining eQTL info, they can set up a test for polygenic adaptation (e.g., Berg and Coop; https://journals.plos.org/plosgenetics/article?id=10.1371/journal.pgen.1004412). This will provide a powerful and direct test for the adaptiveness of the observed DEG pattern.

      Following the reviewer’s suggestion, we employed the PolyGraph (Racimo et al., 2018) tool to identify the signatures of polygenic selection in Tibetans using eQTL information. We conducted eQTL analysis for the seven layers, and collected a set of 5,251 eQTLs, covering the SNPs associated with gene expression with a significanct p-value < 5e-8. To obtain a list of independent eQTLs, we removed those SNPs in linkage disequilibrium (r2 > 0.2 in 1000 Genome Project). Finally, we obtained 176 independent eQTLs. At the same time, we generated a set of 1,308,436 independent SNPs of Tibetans as the control panel. The PolyGraph result showed that Tibetans have a clear signature of polygenic selection on gene expression (Bonferroni-correction p-value = 0.003) (Author response image 4).

      We have added this result in the revised manuscript (Figure S4), and added a detailed description of polygenic adaption in the Methods section.

      Author response image 4.

      Polygraphs for the eQTLs that show evidence for polygenic adaptation in the five-leaf tree built using the allele frequency data of 1001 Tibetans (Zheng et al. 2023) and 1000 Genome Project. The colors indicate the marginal posterior mean estimate of the selection parameter for variants associated with the gene expression. r, q, s and v in the tree nodes refer to the nodes in terminal branches and internal branches. TBN, Tibetans; CHB, Han Chinese in Beijing; JPT, Japanese in Tokyo, Japan; CEU, Northern Europeans from Utah; YRI, Yoruba in Ibadan, Nigeria.

      4) The manuscript is currently only minimally discussing how findings are linked to EPAS1 and EGLN1 genes, which show the hallmark signature of positive selection in Tibetans. In fact, the authors' group previously reported male-specific association between EPAS1 SNPs and blood hemoglobin level. Many readers will be intrigued to see a discussion about this point.

      According to the reviewer’s suggestion, in the revised manuscript, we added a paragraph to discuss the relationship between our transcriptomic data and the two genes with strong selective signals, i.e. EPAS1 and EGLN1.

      “As the gene with the strongest signal of natural selection in Tibetans, EPAS1 has been reported in numerus studies on its contribution to high altitude adaptation. In this study, we detected a significant expression reduction of EPAS1 in the Tibetan UC compared to the high-altitude Han. It was reported that the selected-for EPAS1 variants/haplotype were associated with lower hemoglobin levels in the Tibetan highlanders with a major effect (Beall et al., 2010; Peng et al., 2017), and the low hemoglobin concentration of Tibetans is causally associated with a better reproductive success (Cho et al., 2017). Therefore, we speculate that the selective pressure on EPAS1 is likely through its effect on hemoglobin, rather than directly on the reproductive traits. The down-regulation of EPAS1 in placentas likely reflects a blunted hypoxic response that may improve vasodilation of UC for better blood flow, and eventually leading to the higher BW in Tibetans (He et al., 2023). For EGLN1, another well-known gene in Tibetans, we detected between-population expression difference in the male UC layer, but not in other placental layers. Considering the known adaptation mechanism of EGLN1 is attributed to the two Tibetan-enriched missense mutations, the contribution of EGLN1 to the gene expression changes in the Tibetan UC is unexpected and worth to be explored in the future.”

      Reviewer #2 (Public Review):

      In this manuscript, the authors use newly-generated, large-scale transcriptomic data along with histological data to attempt to dissect the mechanisms by which individuals with Tibetan ancestry are able to mitigate the negative effects of high elevation on birth weight. They present detailed analyses of the transcriptomic data and find significant sex differences in the placenta transcriptome.

      I have significant concerns about the conclusions that are presented. The analyses also lack the information necessary to evaluate their reliability.

      The experimental design does not include a low elevation comparison and thus cannot be used to answer questions about how ancestry influences hypoxia responses and thus birthweight at high elevations. Importantly, because the placenta tissues (and trophoblasts specifically) are quickly evolving, there are a priori good reasons to expect to find population differences irrespective of adaptive evolution that might contribute to fetal growth protection. There are also significant details missing in the analyses that are necessary to substantiate and replicate the analyses presented.

      Although the datasets are ultimately valuable as reference sets, the absence of low elevation comparisons for Tibetans and Han Chinese individuals undermines the ability of the authors to assess whether differences observed between populations are linked to hypoxia responses or variation in the outcomes of interest (i.e., hypoxia-dependent fetal growth restriction).

      We understand the reviewer’s concern about the lack of low-altitude comparison. For the placenta transcriptomic data, actually, we previously studied the comparison of placenta from high-altitude Tibetans and low-altitude Han Chinese, including 63 placentas of Tibetans living at Lhasa (elevation: 3650m) and 14 placentas of Han in Kunming (elevation: 1800m) (Peng et al. 2017). The main finding was that in general, the expression profiles are similar between the high-altitude Tibetans and the low-altitude Han. In particular, most high-altitude Tibetans have a similar level of EPAS1 expression in the placenta as the lowlander Han Chinese, a reflection of Tibetans’ adaptation at altitude. In other words, (Peng et al. 2017). In this study, we observed a significant down-regulation of EPAS1 in the Tibetan UC when compared to Han Chinese living at the same high altitude. Therefore, the observed differences between Tibetans and Han Chinese placenta at high altitude are due to the adaptation of Tibetans.

      For phenotypic data, we made a systematical comparison of reproductive outcomes in our previous studies (He et al., 2023; He et al., 2022). We proved that polygenic adaptation of reproduction in Tibetans tends to reduce the chance of preterm birth and eliminate the restriction on fetal development at high altitude. Compared to the high-altitude Han Chinese migrants, the high-altitude Tibetans exhibit a less birth weight reduction and infant mortality induced by hypoxia, similar with the lowland Han Chinese as reference.

      In summary, although we cannot make combination analysis with our high-altitude data and the published low-altitude data because of batch effect and difference of sampling strategy, we obtained more supportive evidence for the adaptation of placenta expression regulation in Tibetans. To be objective, we have discussed the limitation of the lack of lowlander placenta data in the Discussion section.

      The authors attempt to tackle this phenotypic association by looking for correlations between gene networks (WGCNA) and individual genes with birthweight and other measurements collected at birth. I have some reservations about this approach with only two groups (i.e., missing the lowland comparison), but it is further problematic that the authors do not present data demonstrating that there are differences in birthweight or any other traits between the populations in the samples they collected.

      Throughout, I thus find conclusions about the adaptive value and hypoxia-responses made by the authors to be unsubstantiated and/or the data to be inadequate. There are also a gratuitous number of speculative statements about mechanisms by which differential gene expression leads to the protection of birthweight that are not evaluated and thus cannot be substantiated by the data presented.

      As currently presented and discussed, these results thus can only be used to evaluate population differences and tissue-specific variation therein.

      We understand the reviewer’s point that the observed differences of gene expression between Tibetan natives and Han immigrants living at high altitude might be explained by ancestral divergence, rather than hypoxia-associated response and genetic adaptation of native Tibetans.

      Firstly, we conclude that Tibetans have a better reproductive outcome, not only based on the two highlander groups living at the same altitude, but also relied on the change direction compared to the lowland level. For example, we observed a significant higher BW in Tibetans than Han migrants in our dataset (35 Tibetans vs. 34 Han: p-value = 0.012) (Author response image 5), and in a larger dataset (He et al. 2023) (1,317 Tibetans vs. 87 Han: p-value = 1.1e-6), suggesting an adaptation of Tibetans because BW decreases with the increase of altitude. The logic was the same to the other traits. Following the suggestion of reviewer, we added these phenotype comparisons in the revised manuscripts. The detailed information of the investigated samples and the statistic results were also added as supplementary tables in the revised version.

      For the WGCNA, we agree with the reviewer that the detected modules both showing significant correlation with population and other reproductive traits cannot be fully explained by adaptation of Tibetans. Therefore, we tuned down the description of this section and added other possible explanations, such as population differences, in the discussion.

      Author response image 5.

      Comparison of 11 reproductive traits between Tibetans and Han immigrants. (A) comparison based on the dataset of this study (35 Tibetans vs. 34 Han); (B) correlation between BW and altitude (left panel) and comparison analysis based on the larger sample size (the data were retrieved from (He et al., 2023)). Univariate comparisons of the average of each trait cross population were made by using the ANCOVA test in R aov function with fetal sex and maternal age as covariates.

      There is also some important methodological information missing that makes it difficult or impossible to assess the quality of the underlying data and/or reproduce the analyses, further limiting the potential impact of these data:

      1) Transcriptome data processing and analyses: RNA quality information is not mentioned (i.e., RIN). What # of reads are mapped to annotated regions? How many genes were expressed in each tissue (important for contextualizing the # of DE genes reported - are these a significant proportion of expressed genes or just a small subset?).

      According to the reviewer’s suggestion, we added more information about transcriptome data processing and analyses in the revised Methods and Results:

      “After RNA extraction, we assessed the RNA integrity and purity using 1% agarose gel electrophoresis. The RIN value of extracted RNA was 7.56 ± 0.71.”

      “In total, 10.6 billion reads were mapped to the annotated regions, and 17,283 genes express in all the investigated placenta.”

      “We identified 579 differentially expressed genes (DEGs) between Tibetans and Han, accounting for 3.4% of the total number of expressed genes.”

      2) The methods suggest that DE analyses were run using data that were normalized prior to reading them into DESeq2. DESeq2 has an internal normalization process and should not be used on data that was already normalized. Please clarify how and when normalization was performed.

      Actually, we made raw read count matrix as input file when conducting differential analysis using DESeq2, rather than using the normalized data. We have updated our description in the method section of the revised manuscript.

      3) For enrichment analyses, the background gene set (all expressed genes? all genes in the genome? or only genes expressed in the tissue of interest?) has deterministic effects on the outcomes. The background sets are not specified for any analyses.

      Actually, we utilized the genes expressed in placenta as the background gene set for enrichment analyses. The genes with more than two transcripts per million transcripts (TPM) were regarded as an expressed gene, which is commonly used criteria for RNA-seq data.

      4) In the WGCNA analysis, P-values for correlations of modules with phenotype data (birthweight etc.) should be corrected for multiple testing (i.e., running the module correlation for each outcome variables) and p.adjust used to evaluate associations to limit false positives given the large number of correlations being run.

      As we explained in response to comment#2 of Reviwer-1, we used a more stringent significant threshold of p-value = 0.0125 (0.05/4) as the final threshold to correct the multiple testing brought by multiple traits in the WGCNA analysis.

      5) The plots for umbilical histological data (Fig 5 C) contain more than 5 points, but the use of replicate sections is not specified. If replicate sections were used, the authors should control for non-independence of replicate sections in their analyses (i.e., random effects model).

      We did not use replicate sections. Figure 5C shows the umbilical artery intima and media. Because each human umbilical cord includes two umbilical arteries, the 5 vs. 5 individual comparison generates 10 vs. 10 umbilical artery comparison. To be clearer, we added an explanation in the revised manuscript.

      On more minor notes:

      There is significant and relevant published data on sex differences and hypoxia in rodents (see Cuffe et al 2014, "Mid- to late-term hypoxia in the mouse alters placental morphology, glucocorticoid regulatory pathways, and nutrient transporters in a sex-specific manner" and review by Siragher and Sferuzzi-Perro 2021, "Placental hypoxia: What have we learnt from small animal models?"), and historical work reporting sex differences in placental traits associated with high elevation adaptation in Andeans (series of publications by Moira Jackson in the late 1980s, reviewed in Wilsterman and Cheviron 2021, "Fetal growth, high altitude, and evolutionary adaptation: A new perspective").

      We thank the reviewer for the constructive comments on literature review. We have cited and discussed them in the revised manuscript.

      Reviewer #3 (Public Review):

      More than 80 million people live at high altitude. This impacts health outcomes, including those related to pregnancy. Longer-lived populations at high altitudes, such as the Tibetan and Andean populations show partial protection against the negative health effects of high altitude. The paper by Yue sought to determine the mechanisms by which the placenta of Tibetans may have adapted to minimise the negative effect of high altitude on fetal growth outcomes. It compared placentas from pregnancies from Tibetans to those from the Han Chinese. It employed RNAseq profiling of different regions of the placenta and fetal membranes, with some follow-up of histological changes in umbilical cord structure and placental structure. The study also explored the contribution of fetal sex in these phenotypic outcomes.

      A key strength of the study is the large sample sizes for the RNAseq analysis, the analysis of different parts of the placenta and fetal membranes, and the assessment of fetal sex differences.

      A main weakness is that this study, and its conclusions, largely rely on transcriptomic changes informed by RNAseq. Changes in genes and pathways identified through bioinformatic analysis were not verified by alternate methods, such as by western blotting, which would add weight to the strength of the data and its interpretations. There is also a lack of description of patient characteristics, so the reader is unable to make their own judgments on how placental changes may link to pregnancy outcomes. Another weakness is that the histological analyses were performed on n=5 per group and were rudimentary in nature.

      For the weakness raised by the reviewer, here are our responses:

      (1) Considering that our conclusions largely rely on the transcriptomic data, we agree with reviewer that more experiments are needed to validate the results from our transcriptomic data. However, this study was mainly aimed to provide a transcriptomic landscape of high-altitude placenta, and to characterize the gene-expression difference between native Tibetans and Han migrants. The molecular mechanism exploration is not the main task of this study, and more validation experiments are warranted in the future.

      (2) For the lack of description of patient characteristics, actually, we provided three level results on the placental changes of Tibetans: macroscopic phenotypes (higher placental weight and volume), histological phenotypes (larger umbilical vein walls and umbilical artery intima and media; lower syncytial knots/villi ratios) and transcriptomic phenotypes (DEG and differential modules). Combined with the previous studies, these placenta changes suggest a better reproductive outcome. For example, the placenta volume shows a significantly positive correlation with birth weight (R = 0.31, p-value = 2.5e-16), therefore, the larger placenta volume of Tibetans is beneficial to fetal development at high altitude. In addition, the larger umbilical vein wall and umbilical artery intima and media of Tibetans can explain their adaptation in preventing preeclampsia.

      (3) For the sample size of histological analyses, we understand the reviewer’s concern that 5 vs. 5 samples are not large in histological analyses. This is because it was difficult to collect high-altitude Han placenta samples, and we only got 13 Han samples, from which we selected 5 infant sex matched samples.

      References

      Beall, C.M., Cavalleri, G.L., Deng, L.B., Elston, R.C., Gao, Y., Knight, J., Li, C.H., Li, J.C., Liang, Y., McCormack, M., et al. (2010). Natural selection on EPAS1 (HIF2 alpha) associated with low hemoglobin concentration in Tibetan highlanders. P Natl Acad Sci USA 107, 11459-11464.

      Cho, J.I., Basnyat, B., Jeong, C., Di Rienzo, A., Childs, G., Craig, S.R., Sun, J., and Beall, C.M. (2017). Ethnically Tibetan women in Nepal with low hemoglobin concentration have better reproductive outcomes. Evol Med Public Health 2017, 82-96. He, Y., Guo, Y., Zheng, W., Yue, T., Zhang, H., Wang, B., Feng, Z., Ouzhuluobu, Cui, C., Liu, K., et al. (2023). Polygenic adaptation leads to a higher reproductive fitness of native Tibetans at high altitude. Curr Biol.

      He, Y., Li, J., Yue, T., Zheng, W., Guo, Y., Zhang, H., Chen, L., Li, C., Li, H., Cui, C., et al. (2022). Seasonality and Sex-Biased Fluctuation of Birth Weight in Tibetan Populations. Phenomics 2, 64-71.

      Peng, Y., Cui, C., He, Y., Ouzhuluobu, Zhang, H., Yang, D., Zhang, Q., Bianbazhuoma, Yang, L., He, Y., et al. (2017). Down-Regulation of EPAS1 Transcription and Genetic Adaptation of Tibetans to High-Altitude Hypoxia. Mol Biol Evol 34, 818-830.

      Racimo, F., Berg, J.J., and Pickrell, J.K. (2018). Detecting Polygenic Adaptation in Admixture Graphs. Genetics 208, 1565-1584.

    1. Author response:

      The following is the authors’ response to the current reviews.

      Reviewer #2 (Public review):

      Dipasree Hajra et al demonstrated that Salmonella was able to modulate the expression of Sirtuins (Sirt1 and Sirt3) and regulate the metabolic switch in both host and Salmonella, promoting its pathogenesis. The authors found Salmonella infection induced high levels of Sirt1 and Sirt3 in macrophages, which were skewed toward the M2 phenotype allowing Salmonella to hyper-proliferate. Mechanistically, Sirt1 and Sirt3 regulated the acetylation of HIF-1alpha and PDHA1, therefore mediating Salmonella-induced host metabolic shift in the infected macrophages. Interestingly, Sirt1 and Sirt3-driven host metabolic switch also had an effect on the metabolic profile of Salmonella. Counterintuitively, inhibition of Sirt1/3 led to increased pathogen burdens in an in vivo mouse model. Overall, this is a well-designed study.<br /> The revised manuscript has addressed all of the previous comments. The re-analysis of flow cytometry and WB data by authors makes the results and conclusion more complete and convincing.

      We are immensely grateful to the reviewer for improving the strength of the manuscript by providing insightful comments and for appreciating the work.

      Reviewer #3 (Public review):

      Summary:

      In this paper Hajra et al have attempted to identify the role of Sirt1 and Sirt3 in regulating metabolic reprogramming and macrophage host defense. They have performed gene knock down experiments in RAW macrophage cell line to show that depletion of Sirt1 or Sirt3 enhances the ability of macrophages to eliminate Salmonella Typhimurium. However, in mice inhibition of Sirt1 resulted in dissemination of the bacteria but the bacterial burden was still reduced in macrophages. They suggest that the effect they have observed is due to increased inflammation and ROS production by macrophages. They also try to establish a weak link with metabolism. They present data to show that the switch in metabolism from glycolysis to fatty acid oxidation is regulated by acetylation of Hif1a, and PDHA1.

      Strengths:

      The strength of the manuscript is that the role of Sirtuins in host-pathogen interactions have not been previously explored in-depth making the study interesting. It is also interesting to see that depletion of either Sirt1 or Sirt3 result in a similar outcome.

      Weaknesses:

      The major weakness of the paper is the low quality of data, making it harder to substantiate the claims. Also, there are too many pathways and mechanisms being investigated. It would have been better if the authors had focussed on either Sirt1 or Sirt3 and elucidated how it reprograms metabolism to eventually modulate host response against Salmonella Typhimurium. Experimental evidences are also lacking to prove the proposed mechanisms. For instance they show correlative data that knockdown of Sirt1 mediated shift in metabolism is due to HIF1a acetylation but this needs to be proven with further experiments.

      As the public review of the reviewer remains unaltered as the previous version without further recommendations for authors, we are sticking to our former author’s response. We respect the reviewer’s opinion and thank the reviewer for the critical analysis of our work.

      ---------

      The following is the authors’ response to the previous reviews.

      Reviewer #2 (Public Review):

      Dipasree Hajra et al demonstrated that Salmonella was able to modulate the expression of Sirtuins (Sirt1 and Sirt3) and regulate the metabolic switch in both host and Salmonella, promoting its pathogenesis. The authors found Salmonella infection induced high levels of Sirt1 and Sirt3 in macrophages, which were skewed toward the M2 phenotype allowing Salmonella to hyper-proliferate. Mechanistically, Sirt1 and Sirt3 regulated the acetylation of HIF-1alpha and PDHA1, therefore mediating Salmonella-induced host metabolic shift in the infected macrophages. Interestingly, Sirt1 and Sirt3-driven host metabolic switch also had an effect on the metabolic profile of Salmonella. Counterintuitively, inhibition of Sirt1/3 led to increased pathogen burdens in an in vivo mouse model. Overall, this is a well-designed study.

      Comments on revised version:

      The authors have performed additional experiments to address the discrepancy between in vitro and in vivo data. While this offers some potential insights into the in vivo role of Sirt1/3 in different cell types and how this affects bacterial growth/dissemination, I still believe that Sirt1/3 inhibitors could have some effect on the gut microbiota contributing to increased pathogen counts. This possibility can be discussed briefly to give a better scenario of how Sirt1/3 inhibitors work in vivo. Additionally, the manuscript would improve significantly if some of the flow cytometry analysis and WB data could be better analyzed.

      We are highly grateful for your valuable and insightful comments. Thank you for appreciating the merit of our manuscript. As rightly pointed out by the eminent reviewer, we acknowledge the probable link of Sirtuin on gut microbiota and its effect on increased bacterial loads as indicated by previous literature studies (PMID: 22115311, PMID: 19228061). These reports suggested that a low dose of Sirt1 activator, resveratrol treatment in rats for 25 days treatment under 5% DSS induced colitis condition led to alterations in gut microbiota profile with increased lactobacilli and bifidobacteria alongside reduced abundance of enterobacteria. This study correlates with our study wherein we have detected enhanced Salmonella (belonging to Enterobacteriaceae family) loads under both Sirt1/3 in vivo knockdown condition or inhibitor-treated condition in C57BL/6 mice and reduced burden under Sirt-1 activator treatment SRT1720.

      As per your valid suggestion, we have discussed this possibility in our discussion section. (Line- 541-548).

      We have incorporated the suggestions for the improvement in the analysis of WB data and flow cytometry.

      Reviewer #3 (Public Review):

      Summary:

      In this paper Hajra et al have attempted to identify the role of Sirt1 and Sirt3 in regulating metabolic reprogramming and macrophage host defense. They have performed gene knock down experiments in RAW macrophage cell line to show that depletion of Sirt1 or Sirt3 enhances the ability of macrophages to eliminate Salmonella Typhimurium. However, in mice inhibition of Sirt1 resulted in dissemination of the bacteria but the bacterial burden was still reduced in macrophages. They suggest that the effect they have observed is due to increased inflammation and ROS production by macrophages. They also try to establish a weak link with metabolism. They present data to show that the switch in metabolism from glycolysis to fatty acid oxidation is regulated by acetylation of Hif1a, and PDHA1.

      Strengths:

      The strength of the manuscript is that the role of Sirtuins in host-pathogen interactions has not been previously explored in-depth making the study interesting. It is also interesting to see that depletion of either Sirt1 or Sirt3 results in a similar outcome.

      Weaknesses:

      The major weakness of the paper is the low quality of data, making it harder to substantiate the claims. Also, there are too many pathways and mechanisms being investigated. It would have been better if the authors had focussed on either Sirt1 or Sirt3 and elucidated how it reprograms metabolism to eventually modulate host response against Salmonella Typhimurium. Experimental evidence is also lacking to prove the proposed mechanisms. For instance they show correlative data that knock down of Sirt1 mediated shift in metabolism is due to HIF1a acetylation but this needs to be proven with further experiments.

      We appreciate the reviewer’s critical analysis of our work. In the revised manuscript, we aimed to eliminate the low-quality data sets and have tried to substantiate them with better and conclusive ones, as directed in the recommendations for the author section. We agree with the reviewer that the inclusion of both Sirtuins 1 and 3 has resulted in too many pathways and mechanisms and focusing on one SIRT and its mechanism of metabolic reprogramming and immune modulation would have been a less complicated alternative approach. However, as rightly pointed out, our work demonstrated the shared and few overlapping roles of the two sirtuins, SIRT1 and SIRT3, together mediating the immune-metabolic switch upon Salmonella infection. As per the reviewer’s suggestion, we have performed additional experiments with HIF-1α inhibitor treatment in our revised manuscript to substantiate our correlative findings on SIRT1-mediated regulation of host glycolysis (Fig.7G). We wanted to clarify our claim in this regard. Our results suggested that loss of SIRT1 function triggered increased host glycolysis alongside hyperacetylation of HIF-1α. HIF-1α is reported to be one of the important players in glycolysis regulation (Kierans SJ, Taylor CT. Regulation of glycolysis by the hypoxia-inducible factor (HIF): implications for cellular physiology. J Physiol. 2021;599(1):23-37. doi:10.1113/JP280572.) and additionally, SIRT1 has been shown to regulate HIF-1α acetylation status (Lim JH, Lee YM, Chun YS, Chen J, Kim JE, Park JW. Sirtuin 1 modulates cellular responses to hypoxia by deacetylating hypoxia-inducible factor 1 alpha. Mol Cell. 2010;38(6):864-878. doi:10.1016/j.molcel.2010.05.023.) Further, ectopic expression of SIRT1 has been demonstrated to reduce glycolysis by negatively regulating HIF-1α. (Wang Y, Bi Y, Chen X, et al. Histone Deacetylase SIRT1 Negatively Regulates the Differentiation of Interleukin-9-Producing CD4(+) T Cells. Immunity. 2016;44(6):1337-1349. doi:10.1016/j.immuni.2016.05.009). We have subsequently shown in Fig. 7G, that the increase in host glycolysis upon SIRT knockdown in the infected macrophages gets lowered upon HIF-1α inhibitor treatment, suggesting that one of the mechanisms of SIRT-mediated regulation of host glycolysis is via regulation of HIF-1α. However, this warrants further future mechanistic research.

      Recommendations for the authors:

      Reviewer #2 (Recommendations For The Authors):

      (1) Figures 8I-S: are only viable cells used for analysis? Please provide gating strategy used for these analyses.

      (2) Many changes seen in WB seem to be marginal. Since the authors used densitometric plot to quantify the band intensities, I expect these experiments were repeated at least three times. Please indicate the number of repeats. For instance, Figures 7C, 7I (UI SCR vs UI shSIRT3), 7J, show marginal changes or no changes. What do other WB images look like? Are they more convincing than the ones currently shown? Please provide them in the response letter.

      (3) Figure 7C: label is a bit misleading. Please relabel the figure title to Acetylated HIF vs total levels

      (4) Figure 7J: which band is AcPDHA1?

      (1) We are highly apologetic for not clarifying our gating strategy for the analysis.

      We initially gated the viable splenocyte population based on Forward scatter (FSC) and Side Scatter (SSC). This gated population was further subjected to gating based on cell FSC-H (height) versus FSC-A (area). Subsequently, the population was gated as per SSC-A and GFP (expressed by intracellular bacteria) based on the autofluorescence exhibited by the uninfected control (Fig. 8I-J).

      Author response image 1.

      UNINFECTED

      Author response image 2.

      VEHICLE CONTROL INFECTED

      Author response image 3.

      EX-527 INFECTED

      Author response image 4.

      3TYP INFECTED

      Author response image 5.

      SRT 1720 INFECTED

      For gating different cell types such as F4/80 (PE) positive population in Fig. 8K-L, the viable cell population was gated based on SSC-A versus PE-A to gate the macrophage population. These macrophage populations were gated further based on GFP (Salmonella) + population to obtain the percentage of macrophage population harboring GFP+ bacteria. Similar strategies were followed for other cell types as depicted in Fig. 8M-S, Fig. S8.

      (2) We agree with the reviewer’s concern with the marginal changes in the western blots (Figures 7C, 7I (UI SCR vs UI shSIRT3), 7J). As per the suggestions, we have provided the alternate blot images and have indicated the number of repeats in the manuscript. The alternate blot images are provided herewith:

      Author response image 6.

      Alternate blot images for Fig. 7B-C

      Author response image 7.

      Alternate blot images for Fig. 7I, J

      (1) We are highly thankful to the reviewer for recommending this suggestion. We have made the necessary modifications of relabelling Fig. C to Acetylated HIF-1α over total HIF-1α as per the suggestion.

      (2) 7J Acetylated PDHA1 has been duly pointed as per the suggestion. We are extremely apologetic for the inconvenience caused.

      Author response image 8.

      Reviewer #3 (Recommendations For The Authors):

      The authors have done some work to improve the manuscript. However, the data presented lacks clarity.

      Fig 4B: I still do not see a change in Ac p65 in the less saturated blot. It looks reduced as the band is distorted. I am not sure how this could be quantified.

      Fig S2 b-actin bands are hyper saturated, and it is not possible to decipher the knockdown efficiency. It is probably better to provide a ponceau staining similar to S2C. The band intensity values are out of place.

      Fig 5F HADHA blot: Lane 1 expression appears to be significantly higher than lane 3, but the values mentioned do not match the intensity of the bands.

      It is hard to interpret the authors' claim that the shift in metabolism is HIF1a-dependent.

      Fig 7B: I would expect HIF1a acetylation to be increased in UI ShSIRT1 compared to UI SCR. The blot shows reduced HIF1a acetylation.

      Fig 7D: SIRT1 immunoprecipitates with HIF1a equally under all conditions. Is this what the authors expect? Labelling of the blots are not clear. It looks like the bottom SIRT1 blot is from Beads IgG control.

      Fig 7H: How does PDHA1 interact with SIRT3 so strongly in shSIRT3 cells (lane 2)?

      Authors have mentioned in their response that a knockdown of 40% has been achieved in the uninfected but the blot does not reflect that. SIRT3 expression seems to be more in the knockdown.

      Blots are also not labelled properly especially Input. The lanes are not marked.

      We thank the reviewer for acknowledging the improvements in the revised version and for suggesting further clarifications and improvements.

      We have tried to incorporate the specified modifications to the best of our abilities in the revised manuscript.

      We are highly apologetic for the inconclusive blot image in the figure 4B. We have provided an alternative blot image with better clarity for Fig.4B used for quantification analysis.

      Author response image 9.

       

      As per the reviewer’s valuable suggestions, we have provided the ponceau image in the Fig. S2B.

      We thank the reviewers for rightly pointing out the discrepancy in the band intensity quantification in the Fig. 5F. We have re-evaluated the intensities on imageJ and have provided with the correct band intensities. We are highly apologetic for the inaccuracies.

      As per the reviewer’s previous suggestion, we have performed additional experiments with HIF-1α inhibitor treatment in our revised manuscript to substantiate our correlative findings on SIRT1-mediated regulation of host glycolysis (Fig.7G). We wanted to clarify our claim in this regard. Our results suggested that loss of SIRT1 function triggered increased host glycolysis alongside hyperacetylation of HIF-1α. HIF-1α is reported to be one of the important players of glycolysis regulation (Kierans SJ, Taylor CT. Regulation of glycolysis by the hypoxia-inducible factor (HIF): implications for cellular physiology. J Physiol. 2021;599(1):23-37. doi:10.1113/JP280572.) and additionally, SIRT1 has been shown to regulate HIF-1α acetylation status (Lim JH, Lee YM, Chun YS, Chen J, Kim JE, Park JW. Sirtuin 1 modulates cellular responses to hypoxia by deacetylating hypoxia-inducible factor 1alpha. Mol Cell. 2010;38(6):864-878. doi:10.1016/j.molcel.2010.05.023.) Further, ectopic expression of SIRT1 has been demonstrated to reduce glycolysis by negatively regulating HIF-1α. (Wang Y, Bi Y, Chen X, et al. Histone Deacetylase SIRT1 Negatively Regulates the Differentiation of Interleukin-9-Producing CD4(+) T Cells. Immunity. 2016;44(6):1337-1349. doi:10.1016/j.immuni.2016.05.009). We have subsequently shown in Fig. 7G, that the increase in host glycolysis upon SIRT knockdown in the infected macrophages gets lowered upon HIF-1α inhibitor treatment, suggesting that one of the mechanisms of SIRT-mediated regulation of host glycolysis is via regulation of HIF-1α. However, this warrants further future mechanistic research.

      We agree with the reviewer’s claim of increased HIF-1α acetylation in the UI sh1 versus UI SCR. The apparent reduced acetylation depicted in UI sh1 in Fig. 7B could be attributed to lower HIF-1α levels in the UI sh1 compared to UI SCR. Therefore, we have provided an alternate blot image that been used for quantification in Fig. 7C (Author response image 6).

      To answer the reviewer’s question in Fig. 7D, we have noticed more or less equal degree of immunoprecipitation of HIF-1α under pull down of HIF-1α in all the sample cohorts under conditions of SIRT1 inhibitor treatment. However, we have observed reduced interaction of HIF-1α with SIRT1 in the infected sample upon SIRT1 inhibitor treatment.

      We thank the reviewers for suggesting improvements in the blot labelling and for raising this concern. We have corrected the blot labelling to avoid the previous confusion.

      We appreciate the reviewer’s concern and therefore we have provided an alternate blot image for Fig. 7H which might address the previous stated concern wherein we have achieved an enhanced SIRT3 knockdown percentage.

      We are extremely apologetic for the improper labelling of the Input blot with unmarked lanes. We have addressed this issue by labelling the lanes in the input section of the blots.

    1. Author Response

      The following is the authors’ response to the previous reviews

      We appreciate the positive comments from the editors and reviewers. The followings are the point to point responses to the questions and comments of the Reviewers:

      Reviewer #1 (Public Review):

      In this study, Jiamin Lin et al. investigated the potential positive feedback loop between ZEB2 and ACSL4, which regulates lipid metabolism and breast cancer metastasis. They reported a correlation between high expression of ZEB2 and ACSL4 and poor survival of breast cancer patients, and showed that depletion of ZEB2 or ACSL4 significantly reduced lipid droplets abundance and cell migration in vitro. The authors also claimed that ZEB2 activated ACSL4 expression by directly binding to its promoter, while ACSL4 in turn stabilized ZEB2 by blocking its ubiquitination. While the topic is interesting, there are several concerns with the study:

      1. My concern regarding the absence of appropriate thresholds or False Discovery Rate (FDR) adjustments for the RNA-seq analysis has not been addressed, leading to incorrect thresholds and erroneous identification of significant signals.

      Response: We thank the reviewer for the concern about the RNA-seq analysis. RNA-seq data was analyzed by the Benjamini and Hochberg’s approach for controlling the false discovery rate. The procedure of RNA-seq bioinformatic analysis is as follows: For data analysis, raw data of fastq format were firstly processed through in-house perl scripts. In this step, clean data were obtained by removing reads containing adapter, reads containing N base and low quality reads from raw data. All the downstream analyses were based on the clean data with high quality. Index of the reference genome was built using Hisat2 v2.0.5 and paired-end clean reads were aligned to the reference genome using Hisat2 v2.0.5. FeatureCounts v1.5.0-p3 was used to count the reads numbers mapped to each gene, and then FPKM of each gene was calculated based on the length of the gene and reads count mapped to this gene. Differential expression analysis of two conditions/groups was performed using the DESeq2 R package (1.20.0). The resulting P-values were adjusted using the Benjamini and Hochberg’s approach for controlling the false discovery rate. Genes with an adjusted P-value (<0.05) found by DESeq2 were assigned as differentially expressed.

      1. In Figure 3B and C, it appears that the knockdown efficiency of ACSL4 is inadequate in these cells, which contradicts the Western blot results presented in Figure 2F.

      Response: We thank the reviewer for the concern. In figure 3B and 3C, we use the shRNA for the knockdown experiment and in Figure 2F we use siRNA for the knockdown experiment, so the efficiency of them were different.

      1. Regarding Figure 6, the discovery of consensus binding sequences (CACCT) for ZEB2 alone is insufficient evidence to support the direct binding of ZEB2 to the ACSL4 promoter.

      Response: We thank the reviewer for the concern. We performed chromatin immunoprecipitation (ChIP), which examines the direct interaction between DNA and protein, to test if ZEB2 directly binds to the ACSL4 promoter. The results showed that the primer set 1, which covered -184 to -295 of ACSL4 promoter region exhibited apparent ZEB2 binding (Fig. 6F). Moreover, the mutant sequence (AAAA) of ACSL4 promoter showed significant decreased luciferase activity (Fig. 7H). All these evidences suggest that ZEB2 directly bond to the consensus sequence of ACSL4 promoter.

      1. For Figure 7E, there are multiple bands present, and it appears that ZEB2-HA has been cropped, which should ideally be presented with unaltered raw data. Please provide the uncropped raw data.

      Response: We thank the reviewer for the concern. The raw data of the figure 7E ZEB2-HA is shown in Author response image 1:

      Author response image 1.

      1. In Figure 7C, the author claimed to have used 293T cells for the ubiquitin assay, which are not breast cancer cells. Moreover, the efficiency of over-expression differs between ZEB2 and ACSL4 in 293T cell lines. Performing the experiment in an unrelated cell line to justify an important interaction is not acceptable.

      Response: We thank the reviewer for the concern. We also performed the ubiquitination assay in MDA-MB-231 cells in Fig 7D (Author response image 2), The results confirm that knockdown of ACSL4 obviously enhanced the ubiqutination of ZEB2. We also have performed the IP experiment in MDA-MB-231 cells in Author response image 3 (Fig 7F). The results confirmed the interaction between ZEB2 and ACSL4:

      Author response image 2.

      Author response image 3.

      Reviewer #2 (Public Review):

      In this study, the authors validated a positive feedback loop between ZEB2 and ACSL4 in breast cancer, which regulates lipid metabolism to promote metastasis.

      Overall, the study is original, well structured, and easy to read.

      We appreciate the positive comments from the reviewer.

      Reviewer #3 (Public Review):

      The manuscript by Lin et al. reveals a novel positive regulatory loop between ZEB2 and ACSL4, which promotes lipid droplets storage to meet the energy needs of breast cancer metastasis.

      We appreciate the positive comments from the reviewer.

      Reviewer #2 (Recommendations For The Authors):

      I still have some points that should be addressed by the Authors:

      The interaction between ACSL4 and ZEB2 is still not convincing, due to the cellular localization of ACSL4 and ZEB2 is different. The authors should consider utilizing the Duolink experiment to more accurately determine the interaction location of these two proteins in cells.

      Response: We appreciate the reviewer’s suggestion. We performed GST pull-down assay to examine whether ZEB2 and ACSL4 form a complex. GST pull-down assay confirmed the interaction of ZEB2 and ACSL4 (Supplementary Fig. S10). We also performed immunofluorescence assay and found that ZEB2 was co-localized with ACSL4 in some certain regions of the cytoplasm in Author response image 5 (Supplementary Fig. S11):

      Author response image 4.

      Author response image 5.

      In Figure S4, the authors showed both "shACSL4" and "siACSL4", which is a description error.

      Response: We appreciate the reviewer to point out the mistake. We have corrected the "siACSL4" into "shACSL4".

      Author response image 6.

      Reviewer #3 (Recommendations For The Authors):

      The manuscript is improved.

      We appreciate the positive comments from the reviewer.

    2. Author Response

      The following is the authors’ response to the original reviews.

      On behalf of my co-authors, we thank you very much for giving us the opportunity to revise our manuscript entitled “A positive feedback loop between ZEB2 and ACSL4 regulates lipid metabolism to promote breast cancer metastasis” (manuscript number: eLife-RP-RA-2023-87510).

      We would like to convey our appreciation to you and the expert reviewers for your valuable time and effort in reviewing and improving our work. We are grateful for the constructive comments raised by the six expert reviewers. We have studied the reviewer’s comments carefully and have accordingly conducted additional experiments as recommended. We have made the following revisions point by point. We found that our work was substantially strengthened by addressing these points.

      Reviewer #1 (Public Review):

      In this study, Jiamin Lin et al. investigated the potential positive feedback loop between ZEB2 and ACSL4, which regulates lipid metabolism and breast cancer metastasis. They reported a correlation between high expression of ZEB2 and ACSL4 and poor survival of breast cancer patients, and showed that depletion of ZEB2 or ACSL4 significantly reduced lipid droplets abundance and cell migration in vitro. The authors also claimed that ZEB2 activated ACSL4 expression by directly binding to its promoter, while ACSL4 in turn stabilized ZEB2 by blocking its ubiquitination. While the topic is interesting, there are several major concerns with the study and its conclusions are not convincing.

      1) Figure 1A, the clinical relevance or biological significance of drug-resistant luminal breast cancer cell lines with metastatic cancer is questionable. Additionally, the RNA-seq analysis lacked multiple test correction for differential gene expression analysis, and no fold-change cut-off was used, leading to incorrect thresholds and wrongly identified significant signals.

      We appreciate the reviewer’s valuable questions to improve our manuscript. We identified many EMT related transcription factors such as ZEB2, SNAIL, TWIST, etc. was up-regulated in drug-resistant cells, so we hypothesized that drug-resistant cells may undergone EMT and acquire metastatic capability. The drug-resistant cells used in this study had already been proved and examined in the previous studies of our research team as follows:

      (1) Zheng FM, Long ZJ, Hou ZJ et al., A novel small molecule aurora kinase inhibitor attenuates breast tumor-initiating cells and overcomes drug resistance. Mol Cancer Ther. 2014 Aug;13(8):1991-2003.

      (2) Yang N, Wang C, Wang Z, et al., FOXM1 recruits nuclear Aurora kinase A to participate in a positive feedback loop essential for the self-renewal of breast cancer stem cells. Oncogene. 2017 Jun 15;36(24):3428-3440.

      For the second question, we used the fold-change cut-off in RNA-seq analysis and the fold change was over 1.5-fold and the adjust P value is less than 0.05. To make it more clearly, we have reset the cut off with a |log2FC|2 and p<0.05 and generated the volcano Plot using R4.3.0 software for differentially expressed genes as follows in Author response image 1. The results showed 3217 and 3035 up-regulated genes in TAXOL-resistant and EPI-resistant cells respectively, along with 2427 (TAXOL) and 2901 (EPI) down-regulated genes. Both ACSL4 and ZEB2 were up-regulated in two cell lines. We have put the figure in the new supplementary Fig S2.

      Author response image 1.

      2) Figure 1D-E, the clinical associations between ACSL4 and ZEB2 overexpression and poor patient survival are not justified. The authors used an old web tool, the Kaplan-Meier plotter database, based on microarray data, to perform the analysis. The reviewer repeated the analysis and found that multiple microarray probes for ZEB2 were available, leading to opposite results when different probes were selected. The reviewer also repeated the analysis using more reliable TCGA RNA-seq data and found no correlation between ASCL4 or ZEB2 expression and post-progression survival.

      We appreciate the reviewer’s thoughtful questions. The Kaplan-Meier plotter database (http://kmplot.com/analysis/) we used is handled by a PostgreSQL server, which integrates gene expression and clinical data simultaneously including GEO, EGA and TCGA data. We used auto-select best cutoff for the the Kaplan-Meier analysis. Due to the web tool is old, we repeated the Kaplan-Meier survival analysis using R4.3.0 software and split the patients in TCGA database according to the third quartile expression (new Fig. 1D-F). The results also show that patients with high expression of ACSL4 and/or ZEB2 have relatively worse prognosis as follows in Author response image 2 (p<0.01):

      Author response image 2.

      3) Figure 1I relied on IHC to support the negative correlation between ACSL4 and Erα expression, but the small sample size limits the power to establish the relationship and the results are not definitive without further replication or biological investigation. The authors should provide more detailed and comprehensive analysis, including appropriate statistical tests, to ensure the findings are robust and reliable.

      We appreciate the reviewer’s suggestion. To better understand the positive correlation between ACSL4 and ZEB2 expression, we add up to 45 breast cancer cases for IHC analysis and the correlation is shown as follows in Author response image 3 (new Fig. 1 H):

      Author response image 3.

      4) Figure 3B-C lacks justification of the differences by showing only one field without any internal control for exposure. The reviewer suggests to show additional fields where cells with both efficiently and inefficiently knocked-down are present, to justify the robustness of the results. This can also be achieved by mixing control and knockdown cells.

      We totally understand the reviewer's concern. Thank you for pointing out this problem. The lower magnification field of view is shown as follows and it includes both efficiently and inefficiently knocked-down cells. We have changed the Fig. 3B and C as follows in Author response image 4:

      Author response image 4.

      5) Figure 4A-D, oleate-induced cell migration is a well-documented feature across different cancer types. To make it more relevant to the current study, the authors should examine multiple cell lines with high and low ZEB2/ACSL4 expression to determine the underlying relevance.

      We appreciate the reviewer’s comments and performed the suggested experiments. To better determine the role of oleic acid and ACSL4 on cell migration, we use MCF-7 cell line, which has low ZEB2/ACSL4 expression, to test the influence of oleate on the cell migration. Transwell and Wound healing assays revealed that oleic acid treated MCF-7 cells also exhibited enhanced invasive and metastatic capacities compared with control cells. This results indicates that oleate induces cell migration in MCF-7 cells may via mechanisms other than ACSL4. We have added the results to the new Supplementary Fig. 8 as follows in Author response image 5.

      Author response image 5.

      6) Figure 4E, it is difficulty to conclude that cancer cells utilize stored lipids during migration to fuel metastasis based on current data. Do you see any evidence of lipid signal decreasing in the leading edge of the scratch wound-healing migration assay? The authors should also compare signals between unmigrated and migrated cells in the transwell assay.

      We appreciate the reviewer’s constructive suggestion. We performed the wound-healing migration assay and observed that the lipid signal was obviously decreased in the leading edge of the scratch, as shown in the Author response image 6 (New Fig. 4E). In the transwell experiment, the cells which migrated to the lower side of the chamber after 24 hours showed decreased lipid signals (Fig. 4F). All these results indicates that lipid is utilized during migration.

      Author response image 6.

      7) Figure 6 warrants a genome-wide ChIP-seq to justify direct regulation of ASCL4 promoter by ZEB2. The reviewer’s analysis of publicly available ZEB2 ChIP-seq in multiple cell types detected no ZEB2 binding signaling within {plus minus} 5 kb of ASCL4 promoter.

      We thank the reviewer for the concern. We found that the breast cancer cells are not included in some data base, such as Cistrome Data Browser, which is a resource of human and mouse cis-regulatory information derived from ChIP-seq, DNase-seq and ATAC-seq chromatin profiling assays. Due to that different cell type may have totally different mechanisms, that’s why the ZEB2 binding signaling cannot be found within ASCL4 promoter in some cells.

      We searched JASPAR data base (https://jaspar.genereg.net/), which is an open-access database of non-redundant transcription factor (TF) binding profiles, and found the consensus binding sequences (CACCT) of ZEB (zinc finger E-box binding homeobox) transcription family were within the 2kb of ASCL4 promoter as follows in Author response image 7.

      Author response image 7.

      8) Figure 7 presents a series of self-contradictory results. Figure 7C, why no significant change in ZEB2-MYC expression was observed in the presence of ACSL4 and/or HA-Ubi? In Figure 7 E&G, why robust ACSL4 expression is present in the control group in E but not in (G)? Additionally, why there is no degradation in ZEB2 baseline level over time in the shACSL4 group in E? These raise severe concerns about the data quality.

      We appreciate the reviewer to point out these problems.

      Response to question 1: In fig. 7C, we used 293T cell for the ubiquitin assay and it is not a breast cancer cells. The efficiency of over-expression is different between ZEB2 and ACSL4 in 293T cell lines.

      Response to question 2: Because the expression of ACSL4 is low in MCF-7 and is high in MDA-MB-231 cells. In Figure 7E (New Fig. 7G), we used MDA-MB-231 cells for the control and ACSL4 knockdown cells. In Figure 7G (New Fig. 7I), we used MCF-7 cells for the control and ACSL4 over-expressed cells. We have also revised the figure legend of Fig.7 as follows:

      I, The stability of ZEB2 protein was detected by CHX treatment assay in control or ACSL4 over-expressed MCF-7 cells. GAPDH was used as the internal loading control.

      Response to question 3: Because knockdown of ACSL4 also significantly decreased the mRNA level of ZEB2 (New Fig. 7A), so the baseline levels of ZEB2 in the shACSL4 group (New Fig. 7G) were very low and degradation is not obvious.

      9) Figure 7D, the IP result of ACSL4 is not justified as there is no enrichment of ACSL4 in the IP compared to input. With the current data, it is hard to justify that there is any direct interaction. Moreover, based on IF data in Figure 3B-C, ACSL4 is exclusively localized in the cytoplasm, while ZEB2 is exclusively localized in the nucleus. It is hard to believe there is any direct interaction and mutual regulation.

      We appreciate the reviewer’s thoughtful questions. We have repeated the IP assay and found that the enrichment of ACSL4 was observed in the IP process and added to new Fig. 7E as follows in Author response image 8. We also repeated the immunofluorescence assay in the MDA-MB-231 cells. We observed that ZEB2 can also be found in the cytoplasm and co-localized with ACSL in some certain regions of the cytoplasm as follows in Author response image 9 (Supplementary Fig. S11):

      Author response image 8.

      Author response image 9.

      Reviewer #2 (Public Review):

      In this study, the authors validated a positive feedback loop between ZEB2 and ACSL4 in breast cancer, which regulates lipid metabolism to promote metastasis.

      Overall, the study is original, well structured, and easy to read. Despite the reliability of the data discussed in this article, there are still some deficiencies that need to be addressed through further explanation.

      Major issues:

      1) The authors demonstrated that ACSL4 regulates ZEB2 not only via a post-transcriptional mechanism but also via a transcriptional mechanism. The authors have not provided a comprehensive explanation of the specific mechanism in this paper. Therefore, it is recommended that the author delve into the potential mechanisms in the discussion section. For example, related mechanisms affecting ZEB2 ubiquitination degradation, as well as factors affecting ZEB2 upstream transcriptional regulation, etc.

      We appreciate the positive comments and constructive suggestion from the reviewer. We have added the following paragraph in the second paragraph of the discussion section :

      Interestingly, our RNA-seq data revealed that some ubiquitin E3 ligases, such as FBXO4, UBE3C, NEDD4, RBX1 etc. were significantly reduced in ACSL4 knockdown cells (Fig. S12). This result indicated that ACSL4 may reduce the ubiquitin of ZEB2 via down-regulating ubiquitin E3 ligase. Additionally, we found that ACSL4 promoted ZEB transcription as the mRNA level of ZEB2 was significantly reduced after ACSL4 knockdown. A recent study reported that LD-derived lipolysis provide acetyl-CoA for the epigenetic regulation of gene transcription. We observed that ACSL4 can also promote FAO, which generates acetyl-CoA for the epigenetic regulation. It is likely that ACSL4 regulates the ZEB2 mRNA level via lipid-epigenetic reprogramming mechanism, which is worth studying in the future.

      2) To further clarify the interaction of ZEB2 and ACSL4, it is best to perform in vitro glutathione-S-transferase (GST) pulldown assay and immunofluorescence assay.

      We appreciate the reviewer’s suggestion. We performed GST pull-down assay to examine whether ZEB2 and ACSL4 form a complex. GST pull-down assay confirmed the interaction of ZEB2 and ACSL4 as follows in Author response image 10 (Supplementary Fig. S10). We also performed immunofluorescence assay and found that ZEB2 was co-localized with ACSL in some certain regions of the cytoplasm as follows in Author response image 11. (Supplementary Fig. S11):

      Author response image 10.

      Author response image 11.

      3) In Figure 7B, the protein level of ZEB2 seems not to be altered in BT549 BCSC cell line after the depletion of ACSL4.

      We appreciate the reviewer to point out this problem. The protein level of ZEB2 in BT549 BCSC cell is not abundant as MDA-MB-231. We repeated the experiment and found that ZEB2 was reduced after the depletion of ACSL4 in BT549. We have replaced the Fig.7B as follows in Author response image 12:

      Author response image 12.

      4) EMT is characterized by changes in cell morphology, so the staining of cytoskeletons with Phalloidin is needed.

      We appreciate the reviewer’s suggestion and performed the staining. The results show that the ACSL4 knockdown cells had a significantly smaller length to width ratio, which indicates the reversion of EMT process, than those of the control group (p<0.05). We have put the results in Supplementary Fig. S4 as follows in Author response image 13:

      Author response image 13.

      5) Additional breast cancer cases or cohorts (such as TMA) should be used to validate the positive correlation between ACSL4 and ZEB2 expression through IHC analysis.

      We thank the reviewer for the suggestion. To better understand the positive correlation between ACSL4 and ZEB2 expression, we added more breast cancer cases up to 45 for IHC analysis and validated the positive correlation between ACSL4 and ZEB2. We have put the results into Fig 1 H and I as follows in Author response image 14:

      Author response image 14.

      Reviewer #3 (Public Review):

      The manuscript by Lin et al. reveals a novel positive regulatory loop between ZEB2 and ACSL4, which promotes lipid droplets storage to meet the energy needs of breast cancer metastasis. It is of interest, however, some concerns should be addressed to strengthen the finding.

      Major concerns:

      1) The effect of ZEB2 overexpression is not fully demonstrated in the whole study. This point should be addressed.

      We appreciate the positive comments and constructive suggestion from the reviewer. We have performed ZEB2 over-expressed MCF7 cell line. Over-expression of ZEB2 significantly enhanced the metastatic and invasive capacities of MCF7 cells. (Supplementary Fig. S5A and 5B).

      Author response image 15.

      1. Does the addition of oleate restore the ability of migration or invasion in ACSL4 knockdown cells?

      We thank the reviewer for the question. To address this point, the oleate was added in the culture medium of ACSL4 knockdown cells. As expected, the addition of oleate obviously restores the invasive and metastatic capacities of ACSL4 knockdown cells by 33.12% and 18.61% respectively. We have added the results in the new Fig. 4D as follows in Author response image 16:

      Author response image 16.

      3) Which cellular compartment does ACSL4 localize in and interact with ZEB2 to stabilize ZEB2?

      We thank the reviewer for the question. We have repeated the immunofluorescence assay in the MDA-MB-231 cells. We observed that ZEB2 can also be found in the cytoplasm and co-localized with ACSL in some certain regions of the cytoplasm (Supplementary Fig. S11):

      4) The ubiquitination assay and Co-IP assay are just performed in HEK293T cells. This result should be confirmed in MDA-MB-231 cells or Taxol-resistant MCF-7 cells.

      We appreciate the reviewer’s suggestion. We performed the ubiquitination assay and IP assay in MDA-MB-231 cells as follows. The results confirm that knockdown of ACSL4 obviously enhanced the ubiqutination of ZEB2. We have put the results into Fig. 7D and 7F as follows in Author response image 17:

      Author response image 17.

      5) How does ACSL4 regulate ZEB2 at the mRNA level?Please verify.

      We thank the reviewer for the thoughtful question. A recent study reported that LD-derived lipolysis provide acetyl-CoA for the epigenetic regulation of gene transcription. We observed that ACSL4 can promote FAO, which generates acetyl-CoA for the epigenetic regulation. It is likely that ACSL4 regulates the ZEB2 mRNA level via lipid-epigenetic reprogramming mechanism, which is worth studying in the future and we had added the following sentences into the second paragraph in the discussion section :

      Additionally, we found that ACSL4 promoted ZEB2 transcription as the mRNA level of ZEB2 was significantly reduced after ACSL4 knockdown. A recent study reported that LD-derived lipolysis provide acetyl-CoA for the epigenetic regulation of gene transcription. We observed that ACSL4 can also promote FAO, which can generate acetyl-CoA for the epigenetic regulation. It is likely that ACSL4 regulates the ZEB2 mRNA level via lipid-epigenetic reprogramming mechanism, which is worth studying in the future.

      6) In Fig. 2F, the silencing efficiency for ACSL4 and ZEB2 should be shown. In addition, the protein level of ZEB2 or ACSL4 in shZEB2 and shZEB2+ACSL4 groups should also be addressed.

      We appreciate the reviewer's suggestions. We have added the protein levels in Fig 2F and 2H as follows in Author response image 18:

      Author response image 18.

      7) What is the survival status of patients with both high expression of ACSL4 and ZEB2 in TCGA. In addition, more survival data from databases especially patients with both high expression of ACSL4 and ZEB2 are needed to analyze to support the finding.

      We thank the reviewer for the constructive suggestion. We repeated the Kaplan-Meier survival analysis of TCGA RNA-seq data by using R4.3.0 software. The survival data show that the patients with both high expression of ACSL4 and ZEB2 have the worst prognosis in the four groups (P<0.05) ( New Fig. 1D-F).

      Reviewer #1 (Recommendations For The Authors):

      10) Only one siRNA/shRNA was used for knockdown in one cell line. Different siRNAs/shRNAs and multiple cell lines should be used to rule out off-target effects.

      We appreciate the reviewer’s suggestion. We have test three siRNA and shRNA for the knockdown efficiency (negative control siRNA or ACSL4 and ZEB2 siRNA were from the company of GenePharma), we chose one sequence with the best knock-down effect.

      Author response image 19.

      11) Western blot data are required to justify the overexpression or knockdown efficiency of ACSL4 in cells in Figure 2 A-C.

      We thank the reviewer for the suggestion. we have added the following western blot data in Figure 2:

      Author response image 20.

      12) In Figure 1G, there is a huge variation of the protein input, which makes the results not justified. The authors should repeat the experiments to ensure consistency and reproducibility of the results.

      We appreciate the reviewer to point out this problem. Because this is the tissue samples of breast cancer patients. The results are affected by the tumor tissue composition between different patient sample, and it is difficult to obtain fresh tissues. In our paper, paraffin specimens have been used for IHC staining, and the results confirmed that ACSL4 and ZEB2 are positively correlated. We have put the results in the supplementary data.

      Reviewer #2 (Recommendations For The Authors):

      1) Data from Figure 1A showed the EMT transcription factor SNAIL was also among the top upregulated genes. Please explain why the association between ACSL4 and ZEB2 was studied instead of ACSL4 and SNAIL.

      We appreciate the reviewer’s question. We had calculated the correlation between the ACSL4 and SNAIL by Pearson’s correlation test. The correlation of ACSL4 and SNAIL is 0.33, less than that of ZEB2. Bedsides, the binding motif analysis reveals that the consensus sequence of ZEB transcription family is within the ACSL4 promoter. Thus, we investigated the relationship between ACSL4 and ZEB2 in breast cancer cells.

      Author response image 21

      2) What is the limitation of your study? Please add some relevant description in the part of discussion.

      We appreciate the reviewer’s suggestion. We have added the description of limitation of our study in the last paragraph of discussion section as follows:

      The limitation of this study is the clinical samples is only 45. The future study should expand the clinical samples and cases to provide more clinical evidence for the crucial role of ACSL4 in breast cancer metastasis.

      3). In Figure 3 Figure Legends part, the authors used the word "knockout", which is a description error.

      We appreciate the reviewer’s advice. We have corrected "knockout" into "knockdown".

      Reviewer #3 (Recommendations For The Authors):

      Minor concerns:

      1) In line 352-353, the statement about whether the high or low expression of ACSL4 and ZEB2 or the advanced breast cancer affects prognosis is inaccurate.

      We appreciate the reviewer to point out this problem. We have corrected the statement into “We found that patients with higher ACSL4 or ZEB2 expression, especially those with simultaneous high expression had worse prognosis than those with lower expression ”.

      2) The title of the seventh part of your results contains a logical error that is opposite to the experimental conclusion.

      We truly appreciate the reviewer to point out this problem. We have changed the title of the seventh part of results to “ACSL4 regulates ZEB2 mRNA expression and protein stabilization”.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Responses to Reviewer #1:

      Reviewer #1: The study shows a new mechanism of NFkB-p65 regulation mediated by Vangl2-dependent autophagic targeting. Autophagic regulation of p65 has been reported earlier; this study brings an additional set of molecular players involved in this important regulatory event, which may have implications for chronic and acute inflammatory conditions.

      Comments on the revised version:

      The authors have addressed the earlier concerns and I am satisfied with the revised version. I have no additional comments to make.

      We appreciate the reviewer’s comments on our revised manuscript.

      Responses to Reviewer #2:

      Reviewer #2: Vangl2, a core planar cell polarity protein involved in Wnt/PCP signaling, cell proliferation, differentiation, homeostasis, and cell migration. Vangl2 malfunctioning has been linked to various human ailments, including autoimmune and neoplastic disorders. Interestingly, it was shown that Vangl2 interacts with the autophagy regulator p62, and autophagic degradation limits the activity of inflammatory mediators, such as p65/NF-κB. However, the possible role of Vangl2 in inflammation has not been investigated. In this manuscript, Lu et al. describe that Vangl2 expression is upregulated in human sepsis-associated PBMCs and that Vangl2 mitigates experimental sepsis in mice by negatively regulating p65/NF-κB signaling in myeloid cells. Their mechanistic studies further revealed that Vangl2 recruits the E3 ubiquitin ligase PDLIM2 to promote K63-linked poly-ubiquitination of p65. Vangl2 also facilitated the recognition of ubiquitinated p65 by the cargo receptor NDP52. These molecular processes caused selective autophagic degradation of p65. Indeed, abrogation of PDLIM2 or NDP52 functions rescued p65 from autophagic degradation, leading to extended p65/NF-κB activity in myeloid cells. Overall, the manuscript presents convincing evidence for novel Vangl2-mediated control of inflammatory p65/NF-kB activity. The proposed pathway may expand interventional opportunities restraining aberrant p65/NF-kB activity in human ailments.

      IKK is known to mediate p65 phosphorylation, which instructs NF-kB transcriptional activity. In this manuscript, Vangl2 deficiency led to an increased accumulation of phosphorylated p65 and IKK also at 30 minutes post-LPS stimulation; however, autophagic degradation of p-p65 may not have been initiated at this early time point. Therefore, this set of data put forward the exciting possibility that Vangl2 could also be regulating the immediate early phase of inflammatory response involving the IKK-p65 axis - a proposition that may be tested in future studies.

      We appreciate the reviewer’s comments on our manuscript, and we have added the discussion about IKK-p65 axis in revised version. (Page 15, lines 467-474)

      Responses to Reviewer #3:

      Reviewer #3: Lu et al. describe Vangl2 as a negative regulator of inflammation in myeloid cells. The primary mechanism appears to be through binding p65 and promoting its degradation, albeit in an unusual autolysosome/autophagy dependent manner. Overall, these findings are novel, valuable and the crosstalk of PCP pathway protein Vangl2 with NF-kappaB is of interest. While generally solid, some concerns still remain about the rigor and conclusions drawn.

      Comments on the revised version:

      (1) Lu et al. address my comments through responses and new experimental data. However, some of the explanations provided are inadequate.

      However, in response to my enquiry regarding directly exploring PCP effects, the authors simply assert "Our study revealed that Vangl2 recruits the E3 ubiquitin ligase PDLIM2 to facilitate K63-linked ubiquitination of p65, which is subsequently recognized by autophagy receptor NDP52 and then promotes the autophagic degradation of p65. Our findings by using autophagy inhibitors and autophagic-deficient cells indicate that Vangl2 regulates NFkB signaling through a selective autophagic pathway, rather than affecting the PCP pathway, WNT, HH/GLI, Fat-Dachsous or even mechanical tension."

      I do not agree that the use of autophagy inhibitors and autophagy-deficient cells can rule out the contributions of PCP or any other pathways. Only experimentally inhibiting the pathway(s) with adequate demonstration of target inhibition/abolition of well-known effector function and documenting unaltered p65 regulation under these conditions can be considered proof. Autophagy inhibitors and autophagy-deficient cells only prove that this particular pathway is necessary. Nonetheless, I do not want to dwell on proving a negative and agree that Vangl2 is a novel regulator of p65 through its role in promoting p65 degradation. The inclusion of a statement discussing the limitations of their approach would have sufficed. The response from the authors could have been better.

      We thank the reviewer for helping us improve the quality of the manuscript. We provided new data and revised the Discussion as suggested.

      To ascertain whether Vangl2 degrades p65 through a selective autophagic pathway or the PCP pathway, 293T cells were transfected with p65, together with or without the Vangl2 plasmids, and treated with different pharmacological inhibitors. We found the degradation of p65 induced by Vangl2 was blocked by autolysosome inhibitor (CQ), but not by the JNK inhibitor (SP600125) or Wnt/β-catenin inhibitor (FH535) (New Figure. 1). These data suggest that Vangl2 primarily degrades p65 through a selective autophagic pathway, rather than through the JNK or Wnt signaling pathway. Nevertheless, additional pathway inhibitions, such as those of the HH/GLI and Fat-Dachsous pathways, should also be employed to further elucidate the function of Vangl2 in p65 degradation. As suggested, we have added a statement about the limitation of the approach in the discussion (Page 12, lines 378-385).

      Author response image 1.

      Vangl2 degrades p65 through a selective autophagic pathway, but not by the PCP pathway. HEK293T cells were transfected with Flag-p65 and HA-Vangl2 plasmids, and treated with DMSO, CQ (50 mM) for 6 h, SP600125 (20 mM) for 1 h or FH535 (30 mM) for 6 h. The cell lysates were analyzed by immunoblot.

      (2) I am also not satisfied with the explanation that "immune cells represent a minor fraction of the lungs and liver". There are lots of resident immune cells in the lungs and liver (alveolar macrophages in the lung and Kuppfer cells in the liver). For example, it may be so that Vangl2 is important in monocytes and not in the resident population. This might be a potential explanation. But this is not explored. The restricted tissue-specificity of the interaction between two ubiquitously present proteins is still a challenge to understand. The response from the authors is not satisfactory. There is plenty of Vangl2 in the liver in their western blot.

      We thank the reviewer for this question. We added this explanation in the Discussion. (Page 13, lines 398-404)

      (3) I had also simply pointed out PMID: 34214490 with reference to the findings described in the manuscript. There were no suggestions of contradiction. In fact, I would refer to the publication in discussion to support the findings and stress the novelty. The response from the authors could have been better.

      Thank you for the reviewer's insightful comments. We have modified this discussion as suggested. (Page 13, lines 410-415; Page 14, lines 419-421)

      (4) The response to my enquiry regarding homo- or heterozygosity is unsupported by any reference or data.

      As suggested, we provided the data that only Vangl2 deficient homozygous showed inhibition of the activation of NF-kB in New Figure. 2.

      Author response image 2.

      Vangl2 deficiency promotes NF-kB activation. (A) The survival rates of WT, Vangl2ΔM/ΔM and Vangl2ΔM/WT mice treated with high-dosage of LPS (30 mg/kg, i.p.) (n≥4). (B) IL-6 and TNF-a secretion by WT and Vangl2-deficient BMDMs treated with LPS for 6 h was measured by ELISA. IL-1β secretion by WT, Vangl2ΔM/ΔM and Vangl2ΔM/WT BMDMs treated with LPS for 6 h and ATP for 30 min was measured by ELISA.

      (5) The listing of 8 patients and healthy controls are also appreciated. The body temperature of #6 doesn't fall in the <36 or >38 degree C SIRS criteria. The inclusion of CRP, PCT, heart rate and respiratory rate, and other lab values would have further improved the inclusion criteria. Moreover, it is difficult to understand why there are 16 value points for healthy and sepsis cohorts in Fig 1 when there are 8 patients.

      We thank the reviewer for this valuable suggestion. We are sorry for our mistake that we entered data from two repeated experiments in Figure. 1 A and we have revised this data in the updated version (Figure. 1 A, Pages 12 Lines 146). As suggested, we have added CRP, WBC and heart rate in sepsis patients’ information. (Supplementary Materials and Methods)

      Recommendations for the authors:

      Reviewer #2 (Recommendations For The Authors):

      The proposition that Vangl2 may target additional mediators of inflammation could be indicated in the text.

      We thank the reviewer for this valuable suggestion. We had added discussion in modified version. (Page 15, lines 467-474)

      Reviewer #3 (Recommendations For The Authors):

      It is advised that some of the deficiencies pointed out by Reviewer #3 are textually addressed. Additionally, there could be some inconsistency in the number of healthy controls and patients (see Fig S1A and FIg 1A and Supplementary table, also see comments from Reviewer #3) - this should be carefully scrutinised and revised, if necessary.

      We thank the reviewer for this valuable suggestion. We are sorry for our mistake that we entered data from two repeated experiments in Figure. 1 A and we have revised this data in the updated version (Figure. 1 A, Pages 12 Lines 146).

    1. Author response:

      The following is the authors’ response to the previous reviews

      Reviewer #1 (Public review):

      Summary:

      Audio et al. measured cerebral blood volume (CBV) across cortical areas and layers using high-resolution MRI with contrast agents in non-human primates. While the non-invasive CBV MRI methodology is often used to enhance fMRI sensitivity in NHPs, its application for baseline CBV measurement is rare due to the complexities of susceptibility contrast mechanisms. The authors determined the number of large vessels and the areal and laminar variations of CBV in NHP, and compared those with various other metrics.

      Strengths:

      Noninvasive mapping of relative cerebral blood volume is novel for non-human primates. A key finding was the observation of variations in CBV across regions; primary sensory cortices had high CBV, whereas other higher areas had low CBV. The measured CBV values correlated with previously reported neuronal and receptor densities.

      We appreciate your recognition of the novelty of our non-invasive relative cerebral blood volume (CBV) mapping in non-human primates, as well as the observed areal variations and their correlations with neuronal and receptor densities. However, we are concerned that key contributions of our work—such as cortical layer-specific vasculature mapping and benchmarking surface vessel density estimations against anatomical ground truth—are being framed as limitations rather than significant advances in the field pushing the boundaries of current neuroimaging capabilities and providing a valuable foundation for future research. Additionally, we would like to clarify that dynamic susceptibility contrast (DSC) MRI using gadolinium is the gold standard for CBV measurement in clinical settings and the argument that “baseline CBV measurements are rare due to the complexities of susceptibility contrast” is simply not true. The limited use of ferumoxytol for CBV imaging is primarily due to previous FDA regulatory restrictions, rather than inherent methodological shortcomings.

      Changes in text:

      Compared to clinically used gadolinium-based agents, ferumoxytol's substantially longer half-life and stronger R<sub>2</sub>* effect allows for higher-resolution and more sensitive vascular volume measurements (Buch et al., 2022), albeit these methodologies are hampered by confounding factors such as vessel orientation relative to the magnetic field (B<sub>0</sub>) direction (Ogawa et al., 1993).

      Weaknesses:

      A weakness of this manuscript is that the quantification of CBV with postprocessing approaches to remove susceptibility effects from pial and penetrating vessels is not fully validated, especially on a laminar scale. Further specific comments follow.

      (1) Baseline CBV indices were determined using contrast agent-enhanced MRI (deltaR<sub>2</sub>*). Although this approach is suitable for areal comparisons, its application at a laminar scale poses challenges due to significant contributions from large vessels including pial vessels. The primary concern is whether large-vessel contributions can be removed from the measured deltaR<sub>2</sub>* through processing techniques.

      Eliminating the contribution of large vessels completely is unlikely, and we agree with the reviewer that ΔR<sub>2</sub>* results likely reflect a weighted combination of signals from both large vessels and capillaries. However, the distribution of ΔR<sub>2</sub>* more closely aligns with capillary density in areas V1–V5 than with large vessel distributions (Weber et al., 2008), suggesting that our ΔR<sub>2</sub>* results are more weighted toward capillaries. Moreover, we demonstrated that the pial vessel induced signal-intensity drop-outs are clearly limited to the superficial layers and exhibit smaller spatial extent than generally thought (Supp. Figs. 2 and 4).

      (2) High-resolution MRI with a critical sampling frequency estimated from previous studies (Weber 2008, Zheng 1991) was performed to separate penetrating vessels. However, this approach is still insufficient to accurately identify the number of vessels due to the blooming effects of susceptibility and insufficient spatial resolution. The reported number of penetrating vessels is only applicable to the experimental and processing conditions used in this study, which cannot be generalized.

      Our intention was not to suggest that our measurements provide a general estimate of vessel density across the macaque cerebral cortex. At 0.23 mm isotropic resolution, we successfully delineated approximately 30% of the penetrating vessels in V1. Our primary objective was to demonstrate a proof-of-concept quantifiable measurement rather than to establish a generalized vessel density metric for all brain regions. We have consistently emphasized this throughout the manuscript, but if there is a specific point of misunderstanding, we would be happy to consider revisions for clarity.

      (3) Baseline R<sub>2</sub>* is sensitive to baseline R<sub>2</sub>, vascular volume, iron content, and susceptibility gradients. Additionally, it is sensitive to imaging parameters; higher spatial resolution tends to result in lower R<sub>2</sub>* values (closer to the R<sub>2</sub> value). Thus, it is difficult to correlate baseline R<sub>2</sub>* with physiological parameters.

      The observed correlation between R<sub>2</sub>* and neuron density is likely indirect, as R<sub>2</sub>* is strongly influenced by iron, myelin, and deoxyhemoglobin densities. However, the robust correlation between R<sub>2</sub>* and neuron density, peaking in the superficial layers (R = 0.86, p < 10<sup>-10</sup>), is striking and difficult to ignore (revised Supp. Fig. 6D-E). Upon revision, we identified an error in Supp. Fig. 6D-E, where the previous version used single-subject R<sub>2</sub>* and ΔR<sub>2</sub>* maps instead of the group-averaged maps. The revised correlations are slightly stronger than in the earlier version.

      Given that the correlation between neuron density and R<sub>2</sub>* is strongest in the superficial layers, we suggest this relationship reflects an underlying association with tissue cytochrome oxidase (CO) activity and cumulative effect of deoxygenated venous blood drainage toward the pial network. The superficial cortical layers are also less influenced by myelin and iron densities, which are more concentrated in the deeper cortical layers. Additional factors may contribute to this relationship, including the iron dependence of mitochondrial CO activity, as iron is an essential component of CO’s heme groups. Moreover, myelin maintenance depends on iron, which is predominantly stored in oligodendrocytes. The presence of myelinated thin axons and a higher axonal surface density may, in turn, be a prerequisite for high neuron density.

      In this context, it is also valuable to note the absolute range of superficial R<sub>2</sub>* values (≈ 6 s<sup>-1</sup>; Supp. Fig. 6D). This variation in cortical surface R<sub>2</sub>* is about 12-30 times larger compared to the signal changes observed during task-based fMRI (6 vs. 0.2-0.5 s<sup>-1</sup>). This relation seems reasonable because regional increases in absolute blood flow associated with imaging signals, as measured by PET, typically do not exceed 5%–10% of the brain's resting blood flow (Raichle and Mintum 2016; Brain work and brain imaging). The venous oxygenation level is typically 60%, with task-induced activation increasing it by only a few percent. We suggest that this is ~40% oxygen extraction is reflected in the superficial R<sub>2</sub>*. Finally, the large intercept (≈ 14.5 1/s; Supp. Fig. 6D), which is not equivalent to the water R<sub>2</sub>* (≈ 1 1/s), suggests that R<sub>2</sub>* is influenced by substantial non-neuron density factors, such as receptor, myelin, iron, susceptibility gradients and spatial resolution.

      The R<sub>2</sub>* values are well known to be influenced by intra-voxel phase coherence and thus spatial resolution. However, our view is that the proposed methodology of acquiring cortical-layer thickness adjusted high-resolution (spin-echo) R<sub>2</sub> maps poses more methodological limitations and is less practical. Notwithstanding, to further corroborate the relationship between R<sub>2</sub>* and neuron density, we investigated whether a similar correlation exists in non-quantitative T2w SPACE-FLAIR images (0.32 mm isotropic) signal-intensity and neuron density. Using B<sub>1</sub> bias-field and B<sub>0</sub> orientation bias corrected T2w SPACE-FLAIR images (N=7), we parcellated the equivolumetric surface maps using Vanderbilt sections. Our findings showed that signal intensity—where regions with high signal intensity correspond to low R<sub>2</sub> values, and areas with low signal intensity correspond to high R<sub>2</sub> values—was positively correlated with neuron density, particularly in the superficial layers (R = 0.77, p = 10<sup>-11</sup>; Author response image 1).This analysis confirmed the correlation with neuron density and R<sub>2</sub> peaks at superficial layers. However, this correlation was slightly weaker compared to quantitative R<sub>2</sub>* (Supp. Fig. 6D), suggesting the variable flip-angle spin-echo train refocused signal-phase coherence loss from large draining vessels or that non-quantitative T2w-FLAIR images may be confounded by other factors such as B<sub>1</sub> transmission field biases (Glasser et al., 2022). Notwithstanding, this non-quantitative fast spin-echo with variable flip-angles approach, which is in principle less dependent on image resolution and closer to R<sub>2,intrinsic</sub> than R<sub>2</sub>*, yields similar findings in comparison to quantitative gradient-echo.

      Author response image 1.

      (A) T2w-FLAIR SPACE normalized signal-intensity plotted vs neuron density. Note that low signal-intensity corresponds to high R<sub>2</sub> and high neuron density, consistent with findings using ME-GRE. (B) Correlation between T2w-FLAIR SPACE and neuron density across equivolumetric layers. Notably, a similar relationship with neuron density was observed using a variable spin-echo pulse sequence as with quantitative gradient-echo-based imaging.

      Changes in text:

      Results:

      “Because the Julich cortical area atlas covers only a section of the cerebral cortex, and the neuron density estimates are interpolated maps, we extended our analysis using the original Collins sample borders encompassing the entire cerebral cortex (Supp. Fig. 6A-C). This analysis reaffirmed the positive correlation with ΔR<sub>2</sub>* (peak at EL2, R = 0.80, p < 10<sup>-11</sup>) and baseline R<sub>2</sub>* (peak at EL2a, R = 0.86, p < 10<sup>-13</sup>), yielding linear coefficients of ΔR<sub>2</sub>* = 102 × 10<sup>3</sup> neurons/s and R<sub>2</sub>* = 41 × 10<sup>3</sup> neurons/s (Supp. Fig. 6D-G). This suggests that the sensitivity of quantitative layer R<sub>2</sub>* MRI in detecting neuronal loss is relatively weak, and the introduction of the Ferumoxytol contrast agent has the potential to enhance this sensitivity by a factor of 2.5.”

      A new paragraph was added into discussion section 4.3 corroborating the relation between R<sub>2</sub>* and neuron density:

      “Another key finding of this study was the strong correlation between baseline R<sub>2</sub>* and neuron density (Supp. Fig. 6D, E). While R<sub>2</sub>* is well known to be influenced by iron, myelin, and deoxyhemoglobin densities, this correlation peaks in the superficial layers (Supp. Fig. 6E), suggesting a link to CO activity and the accumulation of deoxygenated venous blood draining from all cortical layers toward the pial network. Notably, the absolute range of superficial R<sub>2</sub>* values (max - min ≈ 6 s<sup>-1</sup>; Supp. Fig. 6D) is approximately 12-30 times larger than the ΔR<sub>2</sub>* observed during task-based BOLD fMRI at 3T (0.2-0.5 1/s) (Yablonskiy and Haacke 1994). Since venous oxygenation is around 60% and task-induced changes in blood flow account for only 5%–10% of the brain's resting blood flow (Raichle & Mintun, 2006), these results suggest that superficial R<sub>2</sub>* (Fig. 1D) may serve as a more accurate proxy for total deoxyhemoglobin content (and thus total oxygen consumption), which scales with the neuron density of the underlying cortical gray matter. Importantly, superficial layers may also provide a more specific measure of deoxyhemoglobin, as they are less influenced by myelin and iron, which are more concentrated in deeper cortical layers. Additionally, smaller but direct contributors, such as mitochondrial CO density—an iron-dependent factor—may also play a role in this relationship.”

      References:

      Raichle, M.E., Mintun, M.A., 2006. BRAIN WORK AND BRAIN IMAGING. Annu. Rev. Neurosci. 29, 449–476. https://doi.org/10.1146/annurev.neuro.29.051605.112819

      (4) CBV-weighted deltaR<sub>2</sub>* is correlated with various other metrics (cytoarchitectural parcellation, myelin/receptor density, cortical thickness, CO, cell-type specificity, etc.). While testing the correlation between deltaR<sub>2</sub>* and these other metrics may be acceptable as an exploratory analysis, it is challenging for readers to discern a causal relationship between them. A critical question is whether CBV-weighted deltaR<sub>2</sub>* can provide insights into other metrics in diseased or abnormal brain states.

      We acknowledge that having multivariate analysis using dense histological maps would be valuable to establish causality among these several metrics:

      “To comprehensively understand the factors contributing to the vascular organization of the brain, experimental disentanglement through multivariate analysis of laminar cell types and receptor densities is needed (Hayashi et al., 2021, Froudist-Walsh et al., 2023). Moreover, employing more advanced statistical modeling, including considerations for synapse-neuron interactions, may be important for refined evaluations.”

      We think the primary contributors to the brain's energy budget are neurons and receptors, as shown in several references and stated in the manuscript. To investigate relationship between neuron density and CBV, we estimated the energy budget allocated to neurons and extrapolated the remaining CBV to other contributing factors:

      Changes in text:

      “However, this is a simplified estimation, and a more comprehensive assessment would need to account for an aggregate of biophysical factors such as neuron types, neuron membrane surface area, firing rates, dendritic and synaptic densities (Fig. 6F-G), neurotransmitter recycling, and other cell types (Kageyama 1982; Elston and Rose 1997; Perge et al., 2009; Harris et al., 2012). Indeed, the majority of the mitochondria reside in the dendrites and synaptic transmission is widely acknowledged to drive the majority of the energy consumption and blood flow (Wong-Riley, 1989; Attwell et al., 2001).

      Extrapolating cortical ΔR<sub>2</sub>* to zero neuron density results in a large intercept (~35 1/s), corresponding to 60% of the maximum cortical CBV (57 1/s; Supp. Fig. 6F). This supports the view that the majority of energy consumption occurs in the neuropil—comprising dendrites, synapses, and axons—which accounts for ~80–90% of cortical gray matter volume, whereas neuronal somata constitute only ~10–20% (Wong-Riley, 1989). Although neuronal cell bodies exhibit higher CO activity per unit volume due to their dense mitochondrial content, these results suggest their overall contribution to the total CBV per mm<sup>3</sup> tissue remains lower than that of the neuropil, given the latter's substantially larger volume fraction in cortical tissue.

      Contrary to our initial expectations, we observed a relatively smaller CBV in regions and layers with high receptor density (Fig. 6B, D, F). This relationship extends to other factors, such as number of spines (putative excitatory inputs) and dendrite tree size across the entire cerebral cortex (Supp. Fig. 7) (Froudist-Walsh et al., 2023, Elston 2007). These results align with the work of Weber and colleagues, who reported a similar negative correlation between vascular length density and synaptic density, as well as a positive correlation with neuron density in macaque V1 across cortical layers (Weber et al., 2008).”

      Variations in neurons and receptors are reflected in cytoarchitecture, myelin (axon density likely scales with neuron density and myelin inhibits synaptic connections), and cell-type composition. For example, fast-spiking parvalbumin interneurons, which target the soma or axon hillock, are well-suited for regulating activity in regions with high neuron density, whereas bursting calretinin interneurons, which target distal dendrites, are more adapted to areas with high synaptic density. These factors in turn, gradually change along the cortical hierarchy level (higher levels have thinner cortical layer IV, more complex dendrite trees and more numerous inter-areal connectivity patterns). In our view, these factors are tightly interlinked and explain the strong correlations and metabolic demands observed across different metrics.

      We also agree that cortical layer imaging of vasculature in diseased or abnormal brain states is an intriguing direction for future research; however, it falls beyond the scope of the present study.

      Reviewer #2 (Public review):

      Summary:

      This manuscript presents a new approach for non-invasive, MRI-based, measurements of cerebral blood volume (CBV). Here, the authors use ferumoxytol, a high-contrast agent and apply specific sequences to infer CBV. The authors then move to statistically compare measured regional CBV with known distribution of different types of neurons, markers of metabolic load and others. While the presented methodology captures and estimated 30% of the vasculature, the authors corroborated previous findings regarding lack of vascular compartmentalization around functional neuronal units in the primary visual cortex.

      Strengths:

      Non invasive methodology geared to map vascular properties in vivo.

      Implementation of a highly sensitive approach for measuring blood volume.

      Ability to map vascular structural and functional vascular metrics to other types of published data.

      Weaknesses:

      The key issue here is the underlying assumption about the appropriate spatial sampling frequency needed to captures the architecture of the brain vasculature. Namely, ~7 penetrating vessels / mm2 as derived from Weber et al 2008 (Cer Cor). The cited work, begins by characterizing the spacing of penetrating arteries and ascending veins using vascular cast of 7 monkeys (Macaca mulatta, same as in the current paper). The ~7 penetrating vessels / mm2 is computed by dividing the total number of identified vessels by the area imaged. The problem here is that all measurements were made in a "non-volumetric" manner and only in V1. Extrapolating from here to the entire brain seems like an over-assumption, particularly given the region-dependent heterogeneity that the current paper reports.

      We appreciate the reviewer’s concerns regarding spatial sampling frequency and its implications for characterizing brain vasculature, which we investigated in this study. To clarify, our analysis of surface vessel density was explicitly restricted to V1 precisely due to the limitations of our experimental precision. While we reported the total number of vessels identified in the cortex, we intentionally chose not to present density values across regions in this manuscript. Although these calculations are feasible, we focused on the data directly analyzed and avoided extrapolating density values beyond the scope of our findings. Thus, we are uncertain about the suggestion that we extrapolated vessel density values across the entire brain, as we have taken care to limit our conclusions of our vessel density precision to V1.

      Regarding methodology, we conducted two independent analyses of vessel density specifically in V1. The first involved volumetric analysis using the Frangi filter, while the second used surface-based analysis of local signal-intensity gradients (as illustrated in Fig. 2E and Supp. Figs. 3 and 4), albeit the final surface density analysis is performed using the ultra-high resolution equivolumetric layers. Notably, these two approaches produced consistent and comparable vessel density estimates, supporting the reliability of our findings within the scope of V1 (we found 30% of the vessels relative to the ground-truth).

      Comments on revisions:

      I appreciate the effort made to improve the manuscript. That said, the direct validation of the underlying assumption about spatial resolution sampling remains unaddressed in the final version of this manuscript. With the only intention to further strengthen the methodology presented here, I would encourage again the authors to seek a direct validation of this assumption for other brain areas.

      In their reply, the authors stated "... line scanning or single-plane sequences, at least on first impression, seem inadequate for whole-brain coverage and cortical surface mapping. ". This seems to emanate for a misunderstanding as the method could be used to validate the mapping, not to map per-se.

      We apologize for any misunderstanding in our previous response and appreciate your clarification. We now understand that you were suggesting the use of line-scanning or single-plane sequences as a method to validate, rather than map, our spatial sampling assumptions.

      We agree that single-plane sequences at very high in-plane resolution (e.g., 50 × 50 × 1000 µm) have great potential to detect penetrating vessels and even vessel branching patterns. These techniques could indeed provide valuable insights into region-specific vessel density variations which could then be used to validate whole brain 3D acquisitions. However, as noted above, we have refrained from reporting vessel densities outside V1 precisely due to sampling limitations (we only found 30% of the penetrating vessels in V1, or only 2 mm<sup>2</sup>/30mm<sup>2</sup> ≈ 7% of branching vessel ground-truth, see discussion).

      We acknowledge the merit of incorporating such methods to validate regional vessel densities and agree that this would be an important avenue for future research. Thank you for suggesting this point, we have briefly mentioned the advantage of single-plane EPI at discussion.

      Changes in text:

      “4.1 Methodological considerations - vessel density informed MRI

      …anatomical studies accounting for branching patterns have reported much higher vessel densities up to 30 vessels/mm<sup>2</sup> (Keller et al., 2011; Adams et al., 2015). Further investigations are warranted, taking into account critical sampling frequencies associated with vessel branching patterns (Duverney 1981), and achieving higher SNR through ultra-high B<sub>0</sub> MRI (Bolan et al., 2006; Harel et al., 2010; Kim et al., 2013) and utilize high-resolution single-plane sequences and prospective motion correction schemes to accurately characterize regional vessel densities. Such advancements hold promise for improving vessel quantification, classifications for veins and arteries and constructing detailed cortical surface maps of the vascular networks which may have diagnostic and neurosurgical utilities (Fig. 2A, B) (Iadecola, 2013; Qi and Roper, 2021; Sweeney et al., 2018).”

      During the revision we found a typo and corrected it in Supp. Fig. 8: Dosal -> Dorsal.

    1. Author response:

      The following is the authors’ response to the original reviews.

      In light of some reviewer comments requesting more clarity on the relationship between our model and prior theoretical studies of systems consolidation, we propose a modification to the title of our manuscript: “Selective consolidation of learning and memory via recall-gated plasticity.” We believe this title better reflects the key distinguishing feature of our model, that it selectively consolidates only a subset of memories, and also highlights the model’s applicability to task learning as well as memory storage.

      Major comments:

      Reviewer #3’s primary concern with the paper is the following: “The main weakness of the paper is the equation of recall strength with the synaptic changes brought about by the presentation of a stimulus. In most models of learning, synaptic changes are driven by an error signal and hence cease once the task has been learned. The suggested consolidation mechanism would stop at that point, although recall is still fine. The authors should discuss other notions of recall strength that would allow memory consolidation to continue after the initial learning phase.”

      We thank the reviewer for drawing attention to this issue, which primarily results from a poor that memories should be interpreted as actual synaptic weight updates,∆𝑤and thus in the context choice of notation on our part. Our decision to denote memories as gives the impression of supervised learning would go to zero when the task is learned. However, in the formalism of our model, memories are in fact better interpreted as target values of synaptic weights, and the synaptic model/plasticity rule is responsible for converting these target values into synaptic weight updates. We were unclear on this point in our initial submission, because our paper primarily considers binary synaptic weights, where target synaptic weights have a one-to-one correspondence with candidate synaptic weight updates. We have updated the paper to use w* to refer to memories, which we hope resolves this confusion, and have updated our introduction to the term “memory” to reflect their interpretation as target synaptic weight values. We have also updated the paper’s language to more clearly disambiguate between the “learning rule,” which determines how the memory vector (target synaptic weight vectors) are derived from task variables, and the “plasticity rule,” which governs how these are translated into actual synaptic weight updates. We acknowledge that our manuscript still does not explicitly consider a plasticity rule that is sensitive to continuous error error signals, as our analysis is restricted to binary weights. However, we believe that the updated notation and exposition makes it more clear that our model could be applied in such a case.

      Reviewer #1 brought up that our framework cannot capture “single-shot learning, for example, under fear conditioning or if a presented stimulus is astonishing.” Reviewer #2 raised a related question of how our model “relates to the opposite more intuitive idea, that novel surprising experiences should be stored in memory, as the familiar ones are presumably already stored.”

      We agree that the built-in inability to consolidate memories after a single experience is a limitation of our model, and that extreme novelty is one factor (among others, such as salience or reward) that might incentivize one-shot consolidation. We have added a comment to the discussion to acknowledge these points (added text in bold): “ Moreover, in real neural circuits, additional factors besides recall, such as reward or salience, are likely to influence consolidation as well. For instance, a sufficiently salient event should be stored in long-term memory even if encountered only once. Furthermore, while in our model familiarity drives consolidation, certain forms of novelty may also incentivize consolidation, raising the prospect of a non-monotonic relationship between consolidation probability and familiarity.” We agree that future work should address the combined influence of recall (as in our model) and other factors on the propensity to consolidate a memory.

      Reviewer #1 requested, “a comparison/discussion of the wide range of models on synaptic tagging for consolidation by various types of signals. Notably, studies from Wulfram Gerstner's group (e.g., Brea, J., Clayton, N. S., & Gerstner, W. (2023). Computational models of episodic-like memory in food-caching birds. Nature Communications, 14(1); and studies on surprise).”

      We thank the reviewer for the reference, which we have added to the manuscript. The model of Brea et al.(2023) is similar to that of Roxin & Fusi (2013), in that consolidation consists of “copying” synaptic weights from one population to another. As a result, just like the model of Roxin & Fusi (2013), this model does not provide the benefit that our model offers in the context of consolidating repeatedly recurring memories. However, the model of Brea et al. does have other interesting properties – for instance, it affords the ability to decode the age of a memory, which our model does not. We have added a comment on this point in the subsection of the Discussion tilted “Other models of systems consolidation.”

      Reviewer #2 noted, “While the article extensively discusses the strengths and advantages of the recall-gated consolidation model, it provides a limited discussion of potential limitations or shortcomings of the model, such as the missing feature of generalization, which is part of previous consolidation models. The model is not compared to other consolidation models in terms of performance and how much it increases the signal-to-noise ratio.”

      We agree that our work does not consider the notion of generalization and associated changes to representational geometry that accompany consolidation, which is the focus of many other studies on consolidation. We have further highlighted this limitation in the discussion. Regarding the comparison to other models, this is a tricky point as the desiderata we emphasize in this study (the ability to recall memories that are intermittently reinforced) is not the focus of other studies. Indeed, our focus is primarily on the ability of systems consolidation to be selective in which memories are consolidated, which is somewhat orthogonal to the focus of many other theoretical studies of consolidation. We have updated some wording in the introduction to emphasize this focus.

      Additional comments made by reviewer #1

      Reviewer #1 pointed out issues in the clarity of Fig. 2A. We have added substantial clarifying text to the figure caption.

      Reviewer #1 pointed out lack of clarity in our introduction to the terms “reliability” and “reinforcement.” We have now made it more clear what we mean by these terms the first time they are used.

      We have updated our definition of “recall” to use the term “recall factor,” which is how we refer to it subsequently in the paper.

      We have made explicit in the main text our simplifying assumption that memories are mean-centered.

      We have made consistent our use of “forgetting curve” and “memory trace”.

      Additional comments made by reviewer #2

      We have added a comment in the discussion acknowledging alternative interpretations of the result of Terada et al. (2021)

      We have significantly expanded the discussion of findings about the mushroom body to make it accessible to readers who do not specialize in this area. We hope this clarifies the nature of the experimental finding, which uncovered a circuit that performs a strikingly clean implementation of our model.

      The reviewer expresses concern that the songbird study (Tachibana et al., 2022) does not provide direct evidence for consolidation being gated by familiarity of patterns of activity. Indeed, the experimental finding is one-step removed from the direct predictions of our model. That said, the finding – that the rate of consolidation increases with performance – is highly nontrivial, and is predicted by our model when applied to reinforcement learning tasks. We have added a comment to the discussion acknowledging that this experimental support for our model is behavioral and not mechanistic.

      We do not regard it as completely trivial that the parallel LTM model performs roughly the same as the STM model, since a slower learning rate can achieve a higher SNR (as in Fig. 2C). Nevertheless we have added wording to the main text around Fig. 4B to note that the result is not too surprising.

      We have added a sentence that clarifies the goal / question of our paper earlier on in the introduction.

      We have updated Figure 3 by labeling the key components of the schematics and adding more detail to the legend, as suggested by the reviewer. We also reordered the figure panels as suggested.

      Additional comments made by reviewer #3:

      We have clarified in the main text that Fig. 2C and all results from Fig. 4 onward are derived from an ideal observer model (which we also more clearly define).

      We have now emphasized in the main text that the derivations of the recall factors for specific learning rules are derived in the Supplementary Information.

      We have highlighted more clearly in the main text that the recall factors associated with specific learning rules may correspond to other notions that do not intuitively correspond to “recall,” and have added a pointer to Fig. 3A where these interpretations are spelled out.

      We have added references corresponding to the types of learning rules we consider.

      The cutoffs / piecewise-looking behavior of plots in Fig. 4 are primarily the result of finite N, which limits the maximum SNR of the system, rather than coarse sampling of parameter values.

      Thank you for pointing out the error in the legend in Fig. 5D (also affected Supp Fig. S7/S8), which is now fixed.

      The reference to the nonexistence panel Fig. 5G has been removed.

      As the reviewer points out, the use of a binary action output in our reinforcement learning task renders it quite similar to the supervised learning task, making the example less compelling. In the revised manuscript we have updated the RL simulation to use three actions. Note also that in our original submission the network outputs represented action probabilities directly (which is straightforward to do for binary actions, but not for more than two available actions). In order to parameterize a policy when more than two actions are available, we sample actions using a softmax policy, as is more standard in the field and as the reviewer suggested. The associated recall factor is still a product of reward and a “confidence factor,” and the confidence factor is still the value of the network output in the unit corresponding to the chosen action, but in the updated implementation this factor is equal to , similar (though with a sign difference) to the reviewer’s suggestion. We believe these updates make our RL implementation and simulation more compelling, as it allows them to be applied to tasks with arbitrary numbers of actions.

      Additional minor comments

      The reviewers made a number of other specific line-by-line wording suggestions, typo corrections,

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment

      The study provides potentially fundamental insight into the function and evolution of daily rhythms. The authors investigate the function of the putative core circadian clock gene Clock in the cnidarian Nematostella vectensis. While it parts still incomplete, the evidence suggests that, in contrast to mice and fruit flies, Clock in this species is important for daily rhythms under constant conditions, but not under a rhythmic light/dark cycle, suggesting that the major role of the circadian oscillator in this species could be a stabilizing function under non-rhythmic environmental conditions.

      Public Reviews:

      Reviewer #1 (Public Review):

      In this nice study, the authors set out to investigate the role of the canonical circadian gene Clock in the rhythmic biology of the basal metazoan Nematostella vectensis, a sea anemone, which might illuminate the evolution of the Clock gene functionality. To achieve their aims the team generated a Clock knockout mutant line (Clock-/- ) by CRISPR/Cas9 gene deletion and subsequent crossing. They then compared wild-type (WT) with Clock-/- animals for locomotor activity and transcriptomic changes over time in constant darkness (DD) and under light/dark cycles to establish these phenotypes under circadian control and those driven by light cycles. In addition, they used Hybridization Chain Reaction-In situ Hybridization (HCR-ISH) to demonstrate the spatial expression of Clock and a putative circadian clocl-controlled gene Myh7 in whole-mounted juvenile anemones.

      The authors demonstrate that under LD both WT and Clock-/- animals were behaviourally rhythmic but under DD the mutants lost this rhythmicity, indicating that Clock is necessary for endogenous rhythms in activity. With altered LD regimes (LD6:6) they show also that Clock is light-dependent. RNAseq comparisons of rhythmic gene expression in WT and Clock-/- animals suggest that clock KO has a profound effect on the rhythmic genome, with very little overlap in rhythmic transcripts between the two phenotypes; of the rhythmic genes in both LD and DD in WT animals (220- termed clock-controlled genes, CCGS) 85% were not rhythmic in Clock-/- animals in either light condition. In silico gene ontology (GO) analysis of CCGS reflected process associated with circadian control. Correspondingly, those genes rhythmic in KO animals under DD (here termed neoCCGs) were not rhythmic in WT, lacked upstream E-box motifs associated with circadian regulation, and did not display any GO enrichment terms. 'Core' circadian genes (as identified in previous literature) in WT and Clock-/- animals were only rhythmic under entrainment (LD) conditions whilst Clock-/- displayed altered expression profiles under LD compared to WT. Comparing CCGs with previous studies of cycling genes in Nematostellar, the authors selected a gene from 16 rhythmic transcripts. One of these, Myh7 was detectable by both RNAseq and HCR-ISH and considered a marker of the circadian clock by the authors.

      The authors claim that the study reveals insights into the evolutionary origin of circadian timing; Clock is conserved across distant groups of organisms, having a function as a positive regulator of the transcriptional translational feedback loop at the heart of daily timing, but is not a central element of the core feedback loop circadian system in this basal species. Their behavioural and transcriptomic data largely support the claims that Clock is necessary for endogenous daily activity but that the putative molecular circadian system is not self-sustained under constant darkness (this was known already for WT animals)- rather it is responsive to light cycles with altered dynamics in Clock-/- specimens in some core genes under LD. In the main, I think the authors achieved their aims and the manuscript is a solid piece of important work. The Clock-/- animal is a useful resource for examining time-keeping in a basal metazoan.

      The work described builds on other transcriptomic-based works on cnidaria, including Nematostellar, and does probe into the molecular underpinnings with a loss-of-function in a gene known to be core in other circadian systems. The field of chronobiology will benefit from the evolutionary aspect of this work and the fact that it highlights the necessity to study a range of non-model species to get a fuller picture of timing systems to better appreciate the development and diversity of clocks.

      Strengths:

      The generation of a line of Clock mutant Nematostellar is a very useful tool for the chronobiological community and coupled with a growing suite of tools in this species will be an asset. The experiments seem mostly well conceived and executed (NB see 'weaknesses'). The problem tackled is an interesting one and should be an important contribution to the field.

      Weaknesses:

      I think the claims about shedding light on the evolutionary origin of circadian time maintenance are a little bold. I agree that the data do point to an alternative role for Clock in this animal in light responsiveness, but this doesn't illuminate the evolution of time-keeping more broadly in my view. In addition, these are transcriptomic data and so should be caveated- they only demonstrate the expression of genes and not physiology beyond that. The time-course analysis is weakened by its low resolution, particularly for the RAIN algorithm when 4-hour intervals constrain the analysis. I accept that only 24h rhythms were selected in the analysis from this but, it might be that detail was lost - I think a preferred option would be 2 or 3-hour resolution or 2 full 24h cycles of analysis.

      The authors discount the possibility of the observed 12h rhythmicity in Clock-/- animals by exposing them to LD6:6 cycles before free-running them in DD. I suggest that LD cycles are not a particularly robust way to entrain tidal animals as far as we know. Recent papers show inundation/mechanical agitation are more reliable cues (Kwiatkowski ER, et al. Curr Biol. 2023, 2;33(10):1867-1882.e5. doi: 10.1016/j.cub.2023.03.015; Zhang L., et al Curr Biol. 2013, 23;19, 1863-1873 doi.org/10.1016/j.cub.2013.08.038.) and might be more effective in revealing endogenous 12h rhythms in the absence of 24h cues.

      Response: We removed the suggestion that we used 6:6h LD to perform tidal entrainment. We generated this ultradian light condition to address the 24h rhythmicity observed in the NvClk1-/- in 12:12h LD.

      Reviewer #2 (Public Review):

      This manuscript addresses an important question: what is the role of the gene Clock in the control of circadian rhythms in a very primitive group of animals: Cnidaria. Clock has been found to be essential for circadian rhythms in several animals, but its function outside of Bilaterian animals is unknown. The authors successfully generated a severe loss-of-function mutant in Nematostella. This is an important achievement that should help in understanding the early evolution of circadian clocks. Unfortunately, this study currently suffers from several important weaknesses. In particular, the authors do not present their work in a clear fashion, neither for a general audience nor for more expert readers, and there is a lack of attention to detail. There are also important methodological issues that weaken the study, and I have questions about the robustness of the data and their analysis. I am hoping that the authors will be able to address my concerns, as this work should prove important for the chronobiology field and beyond. I have highlighted below the most important issues, but the manuscript needs editing throughout to be accessible to a broad audience, and referencing could be improved.

      Major issues:

      (1) Why do the authors make the claim in the abstract that CLOCK function is conserved with other animals when their data suggest that it is not essential for circadian rhythms? dCLK is strictly required in Drosophila for circadian rhythms. In mammals, there are two paralogs, CLOCK and NPAS2, but without them, there are no circadian rhythms either. Note also that the recent claim of BMAL1-independent rhythms in mammals by Ray et al., quoted in the discussion to support the idea that rhythms can be observed in the absence of the positive elements of the circadian core clock, had to be corrected substantially, and its main conclusions have been disputed by both Abruzzi et al. and Ness-Cohn et al. This should be mentioned.

      Response: According to our Behavioral and Transcriptomic data, CLOCK function is conserved in constant light condition. In LD context, the rhythmicity is maintained probably by the light-response pathway in Nematostella. We modified our rhythmic transcriptomic analysis and considered the context of the contested results by Ray et al., and discussed it in the revised manuscript.

      (2) The discussion of CIPC on line 222 is hard to follow as well. How does mRNA rhythm inform the function of CIPC, and why would it function as a "dampening factor"? Given that it is "the only core clock member included in the Clock-dependent CCGs," (220) more discussion seems warranted. Discussing work done on this protein in mammals and flies might provide more insight.

      Response: The initial sentence was unclear. Furthermore, since we restricted our rhythmic analysis to genes only found rhythmic with a p<0.01 with RAIN combined with JTK, NvCipc was no longer defined as rhythmic in free running.

      (3) The behavioral arrhythmicity seen with their Clock mutation is really interesting. However, what is shown is only an averaged behavior trace and a single periodogram for the entire population. This leaves open the possibility that individual animals are poorly synchronized with each other, rather than arrhythmic. I also note that in DD there seem to be some residual rhythms, though they do not reach significance. Thus, it is also possible that at least some individual animals retain weak rhythms. The authors should analyze behavioral rhythms in individual animals to determine whether behavioral rhythmicity is really lost. This is important for the solidity of their main conclusions.

      Response: Fig. 1 has been modified. We have separated the data for WT and NvClk1-/- animals to provide clarity on the average behavior pattern for each genotype. While the LSP analysis on the population average informs us about the synchronization of the population, it is true that it does not provide insight into individual rhythmicity. To address this, we analyzed individuals in all conditions using the Discorhythm website (Carlucci et al., 2019).

      In the revised figure, we have included a comparison plot of the acrophase of 24-hour rhythmic animals between genotypes using Cosinor analysis, which is most suitable for acrophase detection. This plot indicates the number of animals detected as significantly rhythmic, providing direct visual input to the reader regarding individual rhythmicity. Additionally, we have added Table 1, which contains the Cosinor period analysis (24 and 12 hours) of individuals for all genotypes and conditions, further enhancing the clarity of our findings.

      (4) There is no mention in the results section of the behavior of heterozygotes. Based on supplement figure 2A, there is a clear reduction in amplitude in the heterozygous animals. Perhaps this might be because there is only half a dose of Clock, but perhaps this could be because of a dominant-negative activity of the truncated protein. There is no direct functional evidence to support the claim that the mutant allele is nonfunctional, so it is important to discuss carefully studies in other species that would support this claim, and the heterozygous behavior since it raises the possibility that the mutant allele acts as a dominant negative.

      Response: Extended Data Fig.1 modified. We show NvClk1+/- normalized locomotion over time in DD of the population, comparison of individual normalized behavior amplitude, LSP of the average population and individual acrophase of only rhythmic 24h individuals. Indeed, we cannot discriminate Dominant-negative from non-functional allele.

      (5) I do not understand what the bar graphs in Figure 2E and 3B represent - what does the y-axis label refer to?

      Response: Not relevant to the revised manuscript.

      (6a) I note that RAIN was used, with a p<0.05 cut-off. I believe RAIN is quite generous in calling genes rhythmic, and the p-value cut-off is also quite high. What happens if the stringency is increased, for example with a p<0.01.

      Response: We acknowledge your concern regarding the stringency of our statistical analysis. To address this, we opted to combine both RAIN and JTK methods and applied a more stringent p-value cut-off of p<0.01.

      (6b) It would be worth choosing a few genes called rhythmic in different conditions (mutant or wild-type. LD or DD), and using qPCR to validate the RNAseq results. For example, in Figure 3D, Myh7 RNAseq data are shown, and they do not look convincing. I am surprised this would be called a circadian rhythm. In wild-type, the curve seems arrhythmic to me, with three peaks, and a rather large difference between the first and second ZT0 time point. In the Clock mutants, rhythms seem to have a 12hr period, so they should not be called rhythmic according to the material and methods, which says that only ca 24hr period mRNA rhythms were considered rhythmic. Also, the result section does not say anything about Myh7 rhythms. What do they tell us? Why were they presented at all?

      Response: Regarding the suggestion for independent verification of our RNAseq results, we agree that such validation would enhance the robustness of our findings. To address this, we chose to overlap our identified rhythmic genes under WT LD conditions with those from another transcriptomic study that shared similarities in experimental design. Notably, the majority of overlapping rhythmic genes between the studies are candidate pacemaker genes. We believe that this replication of biologically significant rhythmic genes strengthens the validity and reliability of our results (see Extended Data Fig. 2).

      Furthermore, we have decided to remove the NvMhc-st (mistakenly named Myh7, only rhythmic in WT DD in the new analysis) as it does not contribute substantively to the revised version of the manuscript.

      (7) The authors should explain better why only the genes that are both rhythmic in LD and DD are considered to be clock-controlled genes (CCGs). In theory, any gene rhythmic in DD could be a CCG. However, Leach and Reitzel actually found that most genes in DD1 do not cycle the next day (DD2)? This suggests that most "rhythmic" genes might show a transient change in expression due to prolonged obscurity and/or the stress induced by the absence of a light-dark cycle, rather than being clock controlled. Is this why the authors saw genes rhythmic under both LD and DD as actual CCGs? I would suggest verifying that in DD the phase of the oscillation for each CCG is similar to that in LD. If a gene is just responding to obscurity, it might show an elevated expression at the end of the dark period of LD, and then a high level in the first hours of DD. Such an expression pattern would be very unlikely to be controlled by the circadian clock.

      Response: As we modified our transcriptomic analysis, we do no longer analyze LD+DD rhythmic genes, but any genes rhythmic (RAIN and JTK p<0.01) in each condition. As such we end up with four list of genes corresponding to each experimental conditions.

      (8) Since there are still rhythms in LD in Clock mutants, I wonder whether there is a paralog that could be taking Clock's place, similar to NPAS2 in mammals.

      Response: see response to (1) > The only NPAS2 orthologous identified in Nematostella NPAS3 showed marginally significance (p=0.013) with RAIN in LD WT suggesting a regulation similar to the candidate pacemaker genes. As such we included within our candidate pacemaker genes list.

      (9) I do not follow the point the authors try to make in lines 268-272. The absence of anticipatory behavior in Drosophila Clk mutants results from disruption of the circadian molecular clock, due to the loss of Clk's circadian function. Which light-dependent function of Clock are the authors referring to, then? Also, following this, it should be kept in mind that clock mutant mice have a weakened oscillator. The effect on entrainment is secondary to the weakening of the oscillator, rather than a direct effect on the light input pathway (weaker oscillators have increased response to environmental inputs). The authors thus need to more clearly explain why they think there is a conservation of circadian and photic clock function.

      Response: Following the changes in our statistical analysis we reframed the discussion and address directly the circadian and the photic clock function (we call it light-response pathway in the manuscript)

      Recommendations for the authors:

      We suggest the following improvements:

      (1) Please undertake a serious effort to make this work more accessible to non-marine chronobiologists. This includes better explanations, and schemes of the animal when images of staining are shown (e.g. Fig.1b) which include the labeling of relevant morphological structures mentioned in the text (like "tentacle endodermis and mesenteries" (line 132)). Similar issues for mentioned life cycle stages like "late planula stage" (line 133), "bisected physa" (line 149).

      Response: Fig. 1b, we outlined the animal shaped and added 2 arrows to locate the tentacle endodermis and mesenteries. We replaced the term late planula stage, by larvae. And we rephrased bisected physa by tissue sampling.

      Please attend to details. This includes:

      • Wrong referrals to figures (currently line 151 refers to EDF2- but should be EDF 1 instead, there is a Fig.3f mentioned in the text, but there is no such Fig.).

      Response: Fixed

      • Mentioning of ZTs when the HCR stainings were performed.

      Response: Fixed

      • Fig.1 a shows a rather incomplete and thus potentially confusing phylogenetic tree. Vertebrates have at least two Clk orthologs (NPAS2 and CLK), please include both, use an outgroup, and rout the tree.

      Response: Identifying NPAS2 and CLK orthologous in all species added more confusion into the conclusion. However, we followed the suggestion of adding an outgroup using a CLK orthologous sequence identified in the sponge Amphimedon queenslandica and rout the tree. Thank for the suggestion.

      • What do the y-axis labels in Figure 2E and 3B refer to exactly? Y-axis label annotations in Fig.3a,d are entirely missing- what do the numbers refer to?

      Response: not relevant in the revised manuscript

      • Fig.2D- is the Go term enrichment referring to LD or DD?

      Response: to DD. We made it cleared on the figure 5.

      • Wording: "Clock regulates genetic pathways." What is meant by "genetic pathways"? There are no "non-genetic pathways". Could one simply say: "Clock regulates a variety of transcripts".

      Response: We modified our threshold to use only p.adj<0.01, which reduced the GO term numbers. We removed “genetic pathways” and now address the specific pathways: cell-cycle and neuronal.

      The use of the term "epistatic" is confusing (line 219), i.e. that light is epistatic to Clock. In genetics, epistasis is defined as the effect of gene interactions on phenotypes. To a geneticist, this implies that there is a second gene impacting on the phenotype of the Clock mutants. Please re-word.

      Response: “light is epistatic on Clock” has been re-phrased.

      The provided Supplementary tables are not well annotated. Several of them need guess-work about what is shown. For instance, for Supplementary Table 1, the Ns are unclear, which in total can go up to almost 200 per condition-genotype, but only about 30 animals for each were tested. Thus, where do the high totals in the LSP table come from? What do the numbers of each periodicity mean? Initially one might assume it was the number of animals that showed a periodogram peak at a given periodicity, but it seems that cannot be. Maybe it counted any period bin over statistical significance? Please clarify with better descriptions and labels.

      Response: Supplementary tables are now clearly annotated on their first Tabs. About Fig.1, we already addressed this point in the public review.

      Albeit not essential, it would be more reader-friendly to also add a summary table with average period and SD, power and SD, and percentage rhythmicity to the main figure.

      Response: Table 1 is added: it contains individual count of rhythmic animals (24h and 12h) with Cosinor. However, using Discorhythm we had to ask for a specific Period. Thus, we can only provide animal count significant for a given period value. And not an estimation of their own period.

      (2) Some of the terminology is quite confusing, in particular the double meaning of the word "clock" (i.e the pacemaker and the transcription factor). This is not a specific problem to this manuscript, but it would be helpful for the readability to try to improve this.

      Could the gene/transcript/protein be spelled: clk and Clk?

      Alternatively, for clarity- how about talking about "core pacemaker genes," "CLOCK-dependent rhythmic genes" and "CLOCK-independent rhythmic genes"?

      Response:

      Clock/CLOCK > NvClk / NvCLK and the mutant is NvClk1-/-

      Core clock genes > candidate pacemaker genes.

      CLOCK-dependent CCG > this notion no longer exists in the revised manuscript.

      CLOCK-independent CCG > this notion no longer exists in the revised manuscript.

      (3) The dismissal of the 12h rhythmicity in Clock-/- animals is not really convincing and should be reconsidered. LD6:6 cycles (before free-running animals in DD) is likely a not particularly robust way to entrain tidal animals. Recent papers show inundation/mechanical agitation are more reliable cues (Kwiatkowski ER, et al. Curr Biol. 2023, 2;33(10):1867-1882.e5. doi: 10.1016/j.cub.2023.03.015; Zhang L., et al Curr Biol. 2013, 23;19, 1863-1873 doi.org/10.1016/j.cub.2013.08.038.) and might be more effective in revealing endogenous 12h rhythms in the absence of 24h cues.

      Response: We removed the proposition of using 6:6hLD as Tidal entrainment. Instead, the LD 6:6 experiment reveals the direct light-dependency of the NvClk1-/- mutant.

      (4) There are significant questions raised on the validity of BMAL1-independent rhythms in mammals as suggested by the Ray et al study. See DOI: 10.1126/science.abe9230 and DOI: 10.1126/science.abf0922

      These technical comments should also be taken into account and the discussion adjusted accordingly to better reflect the ongoing discussions in the chronobiology field.

      Response: We modified our rhythmic analysis. As we cannot use BHQ or adjusted p-value which resulted in very genes, we defined 24h-rhythmic genes if p<0.01 with two different algorithms (RAIN and JTK). We propose this compromise to reduce the risk of false-positive. Furthermore, we discussed our methodology in the light of the significant questions raised by these papers you cited. We thank the reviewer for this important point.

      (5) The HCR stainings for clk are not very convincing. Normally, HCR should have more dots. In principle, the logic of HCR is such that it detects individual mRNA molecules in the cell. Thus, having only one strong dot/cell like in Fig.1b doesn't make much sense.

      Response: We were the first surprised by this single dot signal. We are experienced users of HCRv.3 across different species. We decided to remove the close-up (for further investigations) but to keep the full animal signal. According to our approach it is a convincing signal. However, the doty nature of the signal itself it is not easy to make it highly visible at full scale animal on the picture. We did our best to show the mRNA signal visible without altering the pattern.

      Furthermore, the controls for the HCR in situ hybridization are unclear. In the methods, there are two Clock probes described (B3 & B5) and two control probes (B1 & B3), however, in the negative control image, a combination of one Clock (B1) and one control (B3) probes is used and is unclear what "redundant detection" means in the legend of figure S2.

      Response: Considering the nature of the signal (single of few dots), we decided to use two probes with 2 different fluorophores. A noise is by nature random. Our hypothesis was: only overlapping fluorescent dots are true signal of NvClk mRNA.

      For Control probes we used two zebrafish probes labelling hypothalamic peptides.

      Based on the experience with non-Drosophila, non-mouse animal model systems the reviewers assume that non-sense mediated mRNA decay (NMD) is not strongly initiated upon Crispr-induced premature STOP-codons. If this assumption is correct it would be worth to mention it. Alternatively, it would be worth testing if Nematostella induces NMD, as this would be a great control for the HCR and the mutation itself. At which ZT was the HCR done?

      Response: We performed the HCR at ZT10 when NvClk is described to be at peak. It is now indicated in the Fig. 1b. The RNAseq detected a higher quantity of NvClk1 mRNA in the NvClk1-/- (see Fig. 4a). mRNA quantity regulation involves transcription, stabilization, and degradation. At this stage, we cannot identify which specific step is affected.

      For Fig.1c- please provide the binding site and sequence in the figure, simply include EDF 1 in the main figure.

      Response: We generated a clear indication in the new Fig.1c and EDF. 1b about the protein domains, the CRISPR binding site and the consequences on the DNA and AA sequences.

      (6) Please provide the individual trace data for the behavioral analyses either as supplementary files or as a link to an openly accessible database like DRYAD (see also comment 7 in the public review of reviewer 2). Maybe this is what is shown in Supplementary Table 1, but it is really not clear what is actually shown.

      Response: Fig.1 is updated. Table 1 is added. Supplementary Table 1 contains individual normalized locomotor data of each polyps for each genotypes and light conditions. Supplementary Table 2 contains the cosinor individual rhythmic behavior analysis based on the Supplementary Table 1.

      (7) It is not really clear if the mutation is a true loss-of-function or could also be dominant negative. While this is raised in the discussion, it should be more carefully considered. The reason why a dominant negative would be unlikely is unclear. More specifically also see comment 8) in the public review of reviewer 2.

      Response: Indeed, the results cannot tell us if it is a true loss of function, a dominant negative or non-functional allele. We addressed it in the first part of the discussion.

      (8) The pretty small overlap of rhythmic transcripts in LD and DD could reflect the true biology of a more core clock driven-process under constant conditions and a more light-driven process under LD. But still- wouldn't one expect that similar processes should be rhythmic? If not, why not?

      It would certainly add strength to the data if for one or two transcripts these results were independently verified by qPCR from an independent sampling. This could even be done for just two time points with the most extreme differences.

      Response: We appreciate the reviewer's comments and concerns regarding the overlap of rhythmic transcripts in different conditions. In response to the reviewer's query, we revised our interpretation of the transcriptomic data, acknowledging the limited overlap between light and genotype conditions in our study. This prompted us to reconsider the underlying biological processes driving rhythmic gene expression under constant conditions versus light-dark cycles.

      Regarding the suggestion for independent verification of our RNAseq results, we agree that such validation would enhance the robustness of our findings. To address this, we chose to overlap our identified rhythmic genes under WT LD conditions with those from another transcriptomic study that shared similarities in experimental design. Notably, the majority of overlapping rhythmic genes between the studies are candidate pacemaker genes. We believe that this replication of biologically significant rhythmic genes strengthens the validity and reliability of our results (see Extended Data Fig. 2).

      (9) Expression of myh7 : Checking for co-expression should be pretty straightforward by HCR. This is what this type of staining technique is really good for. Please do clk and myh7 co-staining if you want to claim co-expression. Otherwise don't make such a claim.

      Response: We agree that checking for co-expression should be straightforward by HCR. However, due to time constraints during the revision period, we are unable to conduct the double in-situ experiment. Additionally, upon careful consideration, we recognize that including myhc-st (mistakenly named myh7) staining and co-expression analysis would not significantly contribute to the main conclusions of our study. Therefore, we have decided to remove this analysis from the revised manuscript.

      (10) Missing methodological details:

      • The false discovery rate for each analysis should be included (see Hughes et al.,: "Guidelines for Genome-Scale Analysis of Biological Rhythms," 2017).

      Response: THE FDR is indicated for each gene in supplementary table 3

      • Fig.1f- continuous light- please provide a spectrum (If there is no good spectrophotometer available, please provide at least manufacturer information.

      Response: Unfortunately, we don’t have a good spectrophotometer available during the time of the revision. We added to the method the reference of the lamp. We found the light spectrum provided by the supplier. However, we did not add it to the revised manuscript.

      Author response image 1.

      Spectrum of the Aquastar t8

      Also, it would be easier for the reader, if the measurements of light intensity are provided in photons, because this is what the light receptors ultimately measure.

      Response: Modified.

      • Fig.2E- please add the consensus sequence used for circadian E-box vs. E-box to the figure.

      Response: In the revised manuscript Fig.4c, we show which E-box motifs we extracted for our promoter analysis. We as well changed our analysis and did no longer use HOMER, but we directly extracted promoter sequences and looked for canonical Ebox CANNTG and Circadian Ebox CACGTG and generate a Circadian Ebox enrichment output per gene promoter.

      (11) There has been some discussion about the evolutionary statement as stated by the authors. It appears that depending on the background of the reader, this can be misunderstood. We thus suggest to more clearly point out where the author thinks there is evolutionary conservation (a function for clk in the circadian oscillator under constant light or dark conditions) versus where there is no apparent evolutionary conservation (the situation under light-dark conditions).

      Response: In the revised manuscript we proposed a conserved function of NvCLK in constant darkness, and a light-response pathway compensating in LD conditions in the mutant.

      Please also consider the major comments 8 and 9 of the common review from reviewer 2.

      Reviewer #1 (Recommendations For The Authors):

      The hybridization chain-reaction ISH is OK but, I'm not sure I understand the control condition-this should be clarified. I would also welcome the use of Clock-/- animals in HCR as another, more direct level of control. In addition, the authors state that the Myh7 probes hybridise in anatomical regions resembling those for Clock (Fig 3e). It would be better to duplex these two probe sets with different fluors for a better representation of the relative spatial distributions of each transcript.

      Response: We agree that checking for co-expression should be straightforward by HCR. However, due to time constraints during the revision period, we are unable to conduct the double in-situ experiment. Additionally, upon careful consideration, we recognize that including myhc-st (mistakenly named myh7) staining and co-expression analysis would not significantly contribute to the main conclusions of our study. Therefore, we have decided to remove this analysis from the revised manuscript.

      We clarified in the methods the control probes design.

      Minor points:

      Figure legends do not all convey sufficient detail. For instance, Figure 1c needs a better explanation. Figure 3e- are these images both WT? Fig 3f doesn't exist and other figure text references do not align with figures and need an overhaul.

      Response: All errors have been fixed.

      Reviewer #2 (Recommendations For The Authors):

      Major issues:

      (1) The authors need to introduce their model system better for a broad audience. What are the tissues/cells that express Clock at a higher level? What is their function, does this provide a potential explanation for their specific Clock expression, and how CLOCK might regulate behavior? Terms such as "tentacle endodermis and mesenteries" (line 132), "late planula stage" (line 133), "bisected physa" (line 149) would need some explanation.

      Response: We modified term such as planula to larvae, and bisected physa to tissue samples.

      2) Some of the terminology used is quite confusing, because of the double-meaning of the word "clock" (i.e the pacemaker and the transcription factor). The authors use terms such as "clock-controlled genes", "core clock genes", "CLOCK-dependent clock-controlled genes", "neo-clock-controlled genes". Is there any way to help the reader? Here are several suggestions: "core pacemaker genes," "CLOCK-dependent rhythmic genes" and "CLOCK-independent rhythmic genes".

      Response: all the terminology has been clarified, see previous comments

      3) Also in the abstract, there is mention of "hierarchal light- and Clock-signaling" (52-3) - is this related to the statement on line 219 that light is epistatic to Clock? I do not quite understand what epistatic would mean here. Who is upstream of whom? LD modifies rhythmicity in Clock mutant animals, but Clock mutations also impact rhythmicity in LD. Also, as epistasis is defined as the effect of gene interactions on phenotypes - what is the secondary gene impacting the phenotype of the Clock mutants? I am not sure the term epistatic is appropriate in the present context.

      Response: Indeed, Epistatic is a genetic term which might be unclear in this context. We removed it.

      4) The control for the in situ hybridization is unclear. In the methods, there are two Clock probes described (B3 & B5) and two control probes (B1 & B3), however, in the negative control image, a combination of one Clock (B1) and one control (B3) probe is used, I am not sure what "redundant detection" means in the legend of figure S2. Also, the sequences of each Clock probe should be provided. It might be worth testing the Clock mutant the authors generated. Clock mRNA could be reduced due to non-sense, mediated RNA decay, since the mutation causes a premature stop codon. This would be a great additional control for the in situ hybridization. Even better would be if, by chance, the probes target the mutated sequence. The signal should then be completely lost.

      Response: HCR is a tilling probe. Which means the target transcript is covered by dozens of successive DNA sequence “primer-like” which allow the HCRv.3 technology. We cannot design a mutant probe specific with this technology.

      (5) I have concerns with rhythmic-expression calls, particularly as there is so little overlap between LD and DD, and that a completely different set of rhythmic genes is observed in Clock mutant and wild-type animals. I am not an expert in whole-genome expression studies, so I hope one of my colleague reviewers can weigh in.

      When describing rhythmicity analysis in the Methods, it states that Benjamini-Hochberg corrections were applied to account for multiple comparisons. However, the false discovery rate for each analysis should be included (see Hughes et al.,: "Guidelines for Genome-Scale Analysis of Biological Rhythms," 2017).

      Response: As explained before we cannot used Benjamini-Hochberg corrections as only few genes (mostly oscillator gene pass the threshold). As such we combined two different algorithms (RAIN and JTK) with a p<0.01 to detect confidently rhythmic genes while reducing the risk of false-positives.

      Minor issues:

      (1) Environmental inputs are not "circadian", as written in the title.

      Response: Title modified

      (2) In the abstract, the description of the Clock mutant behavioral phenotypes is hard to follow, with no mention of whether or not Clock mutant animals are behaviorally rhythmic or arrhythmic in constant conditions.

      Response: corrected

      (3) Abstract: A 6/6 h LD cycle is not a compressed tidal cycle as written in the abstract. Light is not an input to tidal rhythms.

      Response: corrected

      (4) Line 101: timeout is not a core clock gene in animals.

      Response: we removed it from the candidate pacemaker genes.

      (5) What is the evidence for the role of PAR-Zip proteins in the Nematostella clock? The reference provided does not mention those.

      Response: There is no functional data in Nematostella yet to support their role within the pacemaker. However based on their rhythmicity in LD and protein conservation, we included them within the candidate pacemaker genes list. The refences have been corrected.

      (6) Line 125. should refer to Fig 1C when describing the Clock protein.

      Response: corrected

      (7) Line 143-4. based on the figure, the region targeted by gRNA was not "close to the 5' end" as stated, it is closer to the middle of the gene sequence as shown in Figure 1C. A more accurate description would be a region in between the PAS domains.

      Response: Indeed we modified the figure and the text.

      (8) Line 150. The mutant allele is described as Clock1 initially, then for the rest of the paper as Clock-. SInce it is not clear that the allele is a null (see major comment #8), Clock1 should be used throughout the manuscript.

      Response: the allele is named NvClk1 in the revised manuscript

      (9) Figure 2A, the second CT/ZT0 is misplaced.

      Response: Fig. 2 modified in the revised manuscript

      (10) Figure legend for 2E and 3B. "The 1000bp upstream ATG" is unclear. I guess it means that 1000bp upstream of the putative initiation codon was used.

      Response: Right, and in the revised version we analyzed 5kb upstream the putative ATG.

      (11) Line 164. The authors write "We discovered..." , but wasn't it already known that these animals are behaviorally rhythmic?

      Response: Fixed

      (12) It would be worth mentioning in the results section the reduced amplitude of rhythms in LL compared to DD (in WT and seemingly also in Clock mutants).

      Response: Indeed, we observed a significant reduction in the mean amplitude in the NvClk1-/- in DD and LL compared WT and NvClk1-/- in LD, DD and LL. However, as rhythmicity is lost by virtually all mutants in LL and DD we do not think these results add to the current interpretation of the gene function.

      (13) Please correct the figure numbers in the main text, there are several mistakes.

      Response: Done

      (14) Line 196, most genes in the quoted study did not cycle on day 2, so whether they are truly clock controlled is questionable.

      Response: We agree, identifying free-running cycling genes in cnidarian remains a challenge to overcome. One of the limitations of this study was to detect rhythmic genes in LD which conserved rhythmicity in DD. However, considering different transcriptomic studies (cited in the discussion) it seems that in the cnidaria phyla rhythmic genes in LD are not necessarily the one we identified rhythmic in DD.

      (15) Line 204-206 needs to be rephrased. It is confusing.

      Response: rephrased

      (16) Line 216. Rephrase to something like: "A similar finding was made for."

      Response: rephrased

      (17) "Clock regulates genetic pathways" sounds quite odd. Do you mean it regulates preferentially specific genetic (or maybe better, molecular) pathways?

      Response: rephrased

      (18) Figure 4 and legend: Dashed lines indicating threshold are missing. Do the black and red dots represent WT and Clock-/-, as indicated in the legend, or up/down, as indicated in the figures?

      Response: Fig.5 modified accordingly. Colors in the Volcano plot indicate Up- (black) versus Down- (red) regulated. It is now coherent within the figure.

      (19) Legend for Extended figure 1. "Immature peptide sequence" is incorrect.

      Response: rephrased

      (20) Extended data Figure 4. What the asterisks labels is unclear.

      Response: EDF4 was modified and become EDF2 with different content. The * indicates NvClk mRNA

      (21) Line 228. Gene "isoforms". I guess the authors mean "paralogs".

      Response: corrected.

      (22) Line 232-3/Figure 3e. Please include a comparable image of the Clk ISH to facilitate the comparison of the spatial expression pattern. In addition, where and what is the "analysis" referred to - "the spatial expression pattern of Myh7 closely resembled that of Clock, as evidenced by our analysis"?

      Response: the analysis has been removed from the revised manuscript because we currently cannot perform the double ish.

      (23) Line 282-3. As mentioned above, it is difficult to be sure that circadian behavior is lost, if only looking at a population of animals.

      Response: Fig.1 corrected

      (24) Line 301-5. Rephrase.

      Response: Rephrased

      (25) Line 325. I am not convinced that the author can say that their mutant is amorphic. See Major comment 8.

      Response: corrected.

      (26) Line 351 "simplifying interactions with the environment". Please explain what is meant here.

      Response: this confusing sentence has been removed from the revised manuscript

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      In this work, the authors investigate the functional difference between the most commonly expressed form of PTH, and a novel point mutation in PTH identified in a patient with chronic hypocalcemia and hyperphosphatemia. The value of this mutant form of PTH as a potential anabolic agent for bone is investigated alongside PTH(1-84), which is a current anabolic therapy. The authors have achieved the aims of the study. Their conclusion that this suggests a "new path of therapeutic PTH analog development" seems unfounded; the benefit of this PTH variant is not clear, but the work is still interesting.

      The work does not identify why the patient with this mutation has hypocalcemia and hyperphosphatemia; this was not the goal of the study, but the data is useful for helping to understand it.

      Thank you for your valuable feedback. In this study, we confirmed that <sup>R25C</sup>PTH can form a dimer, and our in vivo experiments in the mouse model demonstrated that dimeric <sup>R25C</sup>PTH can stimulate bone formation similarly to normal PTH. Furthermore, patients with the <sup>R25C</sup>PTH mutation, who have been exposed to high levels of this variant over an extended period, were reported to have high bone mineral density. Based on these observations, we hypothesized that dimeric <sup>R25C</sup>PTH might have potential as a new therapeutic PTH analog, particularly as a bone anabolic agent. However, we acknowledge that it is premature to make definitive claims regarding its therapeutic utility. Thus, we are currently conducting follow-up research to further investigate the subsignaling pathway changes induced by dimeric <sup>R25C</sup>PTH and their impact on bone metabolism.

      Moreover, to fully understand the patient’s symptoms, it is crucial to determine the form in which <sup>R25C</sup>PTH exists in vivo. While our in vitro experiments demonstrated that <sup>R25C</sup>PTH is secreted primarily in its dimeric form, we do not yet know whether this dimeric structure is maintained in vivo. We are actively conducting experiments to analyze the circulating form of <sup>R25C</sup>PTH in patients through blood sample collection (Andersen et al., 2022; Lee et al., 2015). Should the mutation predominantly exist in its monomeric form in vivo, this would align with clinical findings reported by Lee et al. (2015), which could help explain the patient’s hypocalcemia and hyperphosphatemia. However, if <sup>R25C</sup>PTH primarily exists in its dimeric form, additional research will be necessary to uncover the underlying mechanisms. Based on our experimental results, the dimeric <sup>R25C</sup>PTH exhibits a reduced binding affinity to PTH1R compared to the monomeric form. Furthermore, our in vitro experiments revealed that dimeric <sup>R25C</sup>PTH induces lower levels of cAMP production upon PTH1R activation. Accordingly, we can assume that this reduction in receptor signaling is likely to account for the impaired regulation of calcium and phosphate in patients with the mutation. However, despite this diminished signaling in calcium and phosphate homeostasis, dimeric <sup>R25C</sup>PTH was still capable of promoting bone formation at levels comparable to wild-type PTH. This apparent paradox warrants further investigation, and we are actively pursuing studies to elucidate how the dimeric form exerts its effects on bone metabolism.

      References

      Andersen, S. L., Frederiksen, A. L., Rasmussen, A. B., Madsen, M., & Christensen, A. R. (2022). Homozygous missense variant of PTH (c.166C>T, p.(Arg56Cys)) as the cause of familial isolated hypoparathyroidism in a three-year-old child. J Pediatr Endocrinol Metab, 35(5), 691-694. https://doi.org/10.1515/jpem-2021-0752

      Lee, S., Mannstadt, M., Guo, J., Kim, S. M., Yi, H. S., Khatri, A., Dean, T., Okazaki, M., Gardella, T. J., & Juppner, H. (2015). A Homozygous [Cys25]PTH(1-84) Mutation That Impairs PTH/PTHrP Receptor Activation Defines a Novel Form of Hypoparathyroidism. J Bone Miner Res, 30(10), 1803-1813. https://doi.org/10.1002/jbmr.2532

      Strengths:

      The work is novel, as it describes the function of a novel, naturally occurring, variant of PTH in terms of its ability to dimerise, to lead to cAMP activation, to increase serum calcium, and its pharmacological action compared to normal PTH.

      Weaknesses:

      (1) The use of very young, 10 week old, mice as a model of postmenopausal osteoporosis remains a limitation of this study, but this is now quite clearly described as a limitation, including justifying the use of the primary spongiosa as a measurement site.

      We appreciate the reviewer’s comment.

      (2) Methods have been clarified. It is still necessary to properly define the micro-CT threshold in mm HA/cc^3. I think it might be acat about 200mg HA/cc^3 in this study.

      Thank you for your insightful comment. To address this, we utilized hydroxyapatite (HA) phantom with HA content ranging from 0 to 1200 mg/cm<sup>3</sup>, with calibration points at 0, 50, 200, 800, 1000, and 1200 mg CaHA/cm<sup>3</sup>, to measure grayscale values via µ-CT. Based on these measurements, the trabecular bone BMD in our study was determined to range from 100 to 200 mg/cm<sup>3</sup>.

      Author response image 1.

      (3) The apparent contradiction between the cortical thickness data (where there is no difference between the two PTH formulations) and the mechanical testing data (where there is a difference) remains unresolved. It is still not clear whether there is a material defect in the bone, which can be partially assessed by reporting the 3-point bending test, corrected for the diameters of the bone (i.e. as stress / strain curves).

      Thank you for your comment. First, we ensured that the bones sampled during the experiment showed no defects, and we carefully separated the femur bones from the mice to preserve their integrity. In the 3-point bending test, PTH treatment significantly increased the maximum load of the femur bone compared to the OVX-control group. Additionally, the maximum load in the PTH treatment group was significantly greater than that observed in the PTH dimer group. Furthermore, structural factors influencing bone strength, such as the perosteal perimeter and the endocortical bone perimeter, were also increased in the PTH treatment group compared to the PTH dimer group (data only for reviewer).

      Author response image 2.

      (4) It is also puzzling that both dimeric and monomeric PTH lead to a reduction in total bone area (cross sectional area?). This would suggest a reduction in bone growth. This should be discussed in the work.

      In our experiment, the data showed an increase in cortical bone area in the PTH treatment group, but not in the PTH dimer treatment group. However, both dimeric and monomeric PTH treatments resulted in a reduction in total tissue area. We added revised sentence in page 13 line 317 and page 14 line 333 as follows:

      “In addition, the data showed an increase in cortical bone area (Ct.Ar) in the PTH treatment group but not in the PTH dimer treatment group. However, both dimeric and monomeric PTH treatments reduced total tissue area (Tt.Ar), suggesting potential effects on bone growth in the width of mice or humans.”

      “This study has several limitations. First, it is urgently necessary to determine whether dimeric <sup>R25C</sup>PTH is present in human patient serum. Second, TRAP staining showed an inhibitory effect of PTH treatment on the primary spongiosa area. However, the secondary spongiosa, which more accurately reflects bone remodeling (55), was not examined due to the barely detectable bone in this area in OVX-induced osteoporosis mouse models. Third, it is unclear whether similar bone phenotypes exist between human <sup>R25C</sup>PTH patients and dimeric <sup>R25C</sup>PTH-treated mice, particularly regarding low bone strength. Although the dimeric <sup>R25C</sup>PTH-treated group showed higher cortical BMD compared to WT-Sham or PTH groups, there was no difference in bone strength compared to the osteoporotic mouse model. Fourth, our study demonstrated that PTH or <sup>R25C</sup>PTH treatment decreased circumferential length, which could affect bone growth in width. However, whether this phenotype is also observed in patients treated with PTH or <sup>R25C</sup>PTH remains uncertain.”

    1. Author Response

      The following is the authors’ response to the original reviews.

      We would like to thank the reviewers for their insightful comments and recommendations. We have extensively revised the manuscript in response to the valuable feedback. We believe the results is a more rigorous and thoughtful analysis of the data. Furthermore, our interpretation and discussion of the findings is more focused and highlights the importance of the circuit and its role in the response to stress. Thank you for helping to improve the presented science.

      Key changes made in response to the reviewers comments include:

      • Revision of statistical analyses for nearly all figures, with the addition of a new table of summary statistics to include F and/or t values alongside p-values.

      • Addition of statistical analyses for all fiber photometry data.

      • Examination of data for possible sex dependent effects.

      • Clarification of breeding strategies and genotype differences, with added details to methods to improve clarity.

      • Addressing concerns about the specificity of virus injections and the spread, with additional details added to methods.

      • Modification of terminology related to goal-directed behavior based on reviewer feedback, including removal of the term from the manuscript.

      • Clarification and additional data on the use of photostimulation and its effects, including efforts to inactivate neurons for further insight, despite technical challenges.

      • Correction of grammatical errors throughout the manuscript.

      Reviewer 1:

      Despite the manuscript being generally well-written and easy to follow, there are several grammatical errors throughout that need to be addressed.

      Thank you for highlighting this issue. Grammatical errors have been fixed in the revised version of the manuscript.

      Only p values are given in the text to support statistical differences. This is not sufficient. F and/or t values should be given as well.

      In response to this critique and similar comments from Reviewer 2, we re-evaluated our approach to statistical analyses and extensively revised analyses for nearly all figures. We also added a new table of summary statistics (Supplemental Table 1) containing the type of analysis, statistic, comparison, multiple comparisons, and p value(s). For Figures 4C-E, 5C, 6C-E, 7H-I, and 8H we analyzed these data using two-way repeated measures (RM) ANOVA that examined the main effect of time (either number of sessions or stimulation period) in the same animal and compared that to the main effect of genotype of the animal (Cre+ vs Cre-), and if there was an interaction. For Supplemental Figure 7A we also conducted a two-way RM ANOVA with time as a factor and activity state (number of port activations in active vs inactive nose port) as the other in Cre+ mice. For Figures 5D-E we conducted a two-way mixed model ANOVA that accounted and corrected for missing data. In figures that only compared two groups of data (Figures 5F-L, 6F, 8C-D, 8I, and Supp 6F-G) we used two-tailed t-test for the analysis. If our question and/or hypothesis required us to conduct multiple comparisons between or within treatments, we conducted Bonferroni’s multiple comparisons test for post hoc analysis (we note which groups we compared in Supplemental Table 1). For figures that did or did not show a change in calcium activity (Figure 3G, 3I-K, 7B, 7D-E, 8E-F), we compared waveform confidence intervals (Jean-Richard-Dit-Bressel, Clifford, McNally, 2020). The time windows we used as comparison are noted in Supplemental Table 1, and if the comparisons were significant at 95%, 99%, and 99.9% thresholds.

      None of prior comparisons in prior analyses that were significant were found to have fallen below thresh holds for significance. Of those found to be not significantly different, only one change was noted. In Figure 6E there was now a significant baseline difference between Cre+ and Cre- mice with Cre- mice taking longer to first engage the port compared to Cre+ mice (p=0.045). Although the more rigorous approach the statistical analyses did not change our interpretations we feel the enhanced the paper and thank the reviewer for pushing this improvement.

      Moreover, the fibre photometry data does not appear to have any statistical analyses reported - only confidence intervals represented in the figures without any mention of whether the null hypothesis that the elevations in activity observed are different from the baseline.

      This is particularly important where there is ambiguity, such as in Figure 3K, where the spontaneous activity of the animal appears to correlate with a spike in activity but the text mentions that there is no such difference. Without statistics, this is difficult to judge.

      Thank you for highlighting this critical point and providing an opportunity to strengthen our manuscript. We added statistical analyses of all fiber photometry data using a recently described approach based on waveform confidence intervals (Jean-Richard-Dit-Bressel, Clifford, McNally, 2020). In the statistical summary (Supplemental Table 1) we note the time window that we used for comparison in each analysis and if the comparisons were significant at 95%, 99%, and 99.9% thresholds. Thank you from highlighting this and helping make the manuscript stronger.

      With respect to Figure 3K, we are not certain we understood the spike in activity the reviewer referred to. Figure 3J and K include both velocity data (gold) and Ca2+ dependent signal (blue). We used episodes of velocity that were comparable to the avoidance respond during the ambush test and no significant differences in the Ca2+ signal when gating around changes in velocity in the absence of stressor (Supplemental Table1). This is in contrast to the significant change in Ca2+ signal following a mock predator ambush (Figure 3J). We interpret these data together to indicate that locomotion does not correlate with an increase in calcium activity in SuMVGLUT2+::POA neurons, but that coping to a stressor does. This conclusion is further examined in supplemental Figure 5, including examining cross-correlation to test for temporally offset relationship between velocity and Ca2+ signal in SUMVGLUT2+::POA neurons.

      The use of photostimulation only is unfortunate, it would have been really nice to see some inactivation of these neurons as well. This is because of the well-documented issues with being able to determine whether photostimulation is occurring in a physiological manner, and therefore makes certain data difficult to interpret. For instance, with regards to the 'active coping' behaviours - is this really the correct characterisation of what's going on? I wonder if the mice simply had developed immobile responding as a coping strategy but when they experience stimulation of these neurons that they find aversive, immobility is not sufficient to deal with the summative effects of the aversion from the swimming task as well as from the neuronal activation? An inactivation study would be more convincing.

      We agree with the point of the reviewer, experiments demonstrating necessity of SUMVGLUT2+::POA neurons would have added to the story here. We carried out multiple experiments aimed at addressing questions about necessity of SuMVGLUT2+::POA neurons in stress coping behaviors, specifically the forced swim assay. Efforts included employing chemogenetic, optogenetic, and tetanus toxin-based methods. We observed no effects on locomotor activity or stress coping. These experiments are both technically difficult and challenging to interpret. Interpretation of negative results, as we obtained, is particularly difficult because of potential technical confounds. Selective targeting of SuMVGLUT2+::POA neurons for inhibition requires a process requiring three viral injections and two recombination steps, increasing variability and reducing the number of neurons impacted. Alternatively, photoinhibition targeting SuMVGLUT2+::POA cells can be done using Retro-AAV injected into POA and a fiber implant over SuM. We tried both approaches. Data obtained were difficult to interpret because of questions about adequate coverage of SuMVGLUT2+::POA population by virally expressed constructs and/or light spread arose. The challenge of adequate coverage to effectively prevent output from the targeted population is further confounded by challenges inherent in neural inhibition, specifically determining if the inhibition created at the cellular level is adequate to block output in the context of excitatory inputs or if neurons must be first engaged in a particular manner for inhibition to be effective. Baseline neural activity, release probability, and post-synaptic effects could all be relevant, which photo-inhibition will potentially not resolve. So, while the trend is to always show “necessary and sufficient” effects, we’ve tried nearly everything, and we simply cannot conclude much from our mixed results. There are also wellestablished problems with existing photo-inhibition methods, which while people use them and tout them, are often ignored. We have a lot of expertise in photo-inhibition optogenetics, and indeed have used it with some success, developed new methods, yet in this particular case we are unable to draw conclusions related to inhibition. People have experienced similar challenges in locus coeruleus neurons, which have very low basal activity, and inhibition with chemogenetics is very hard, as well as with optogenetic pump-based approaches, because the neurons fire robust rebound APs. We have spent almost 2.5 years trying to get this to work in this circuit because reviews have been insistent on this result for the paper to be conclusive. Unfortunately, it simply isn’t possible in our view until we know more about the cell types involved. This is all in spite of experience using the approach in many other publications.

      We also employed less selective approaches, such as injecting AAV-DIO-tetanus toxin light chain (Tettox) constructs directly into SuM VGLUT2-Cre mice but found off target effects impacting animal wellbeing and impeding behavioral testing due viral spread to surrounding areas.

      While we are disappointed for being unable to directly address questions about necessity of SuMVGLUT2+::POA neurons in active coping with experimental data, we were unable to obtain results allowing for clear interpretation across numerous other domains the reviewers requested. We also feel strongly that until we have a clear picture of the molecular cell type architecture in the SuM, and Cre-drivers to target subsets of neurons, this question will be difficult to resolve for any group. We are working now on RNAseq and related spatial transcriptomics efforts in the SuM and examining additional behavioral paradigm to resolve these issues, so stay tuned for future publications.

      Accordingly, we avoid making statements relating to necessity in the manuscript. In spite of having several lines of physiological data with strong robust correlations behavior related to the SuMVGLUT2+::POA circuit.

      Nose poke is only nominally instrumental as it cannot be shown to have a unique relationship with the outcome that is independent of the stimuli-outcome relationships (in the same way that a lever press can, for example). Moreover, there is nothing here to show that the behaviours are goal-directed.

      Thank you for highlighting this point. Regarding goal-direct terminology, we removed this terminology from the manuscript. Since the mice perform highly selective (active vs inactive) port activation robustly across multiple days of training the behavior likely transitions to habitual behavior. We only tested the valuation of stimuli termination of the final day of training with time limited progressive ratio test. With respect to lever press versus active port activation, we are unclear how using a lever in this context would offer a different interpretation. Lever pressing may be more sensitive to changes in valuation when compared to nose poke port activation (Atalayer and Rowland 2008); however, in this study the focus of the operant behavior is separating innate behaviors for learned action–outcome instrumental learned behaviors for threat response (LeDoux and Daw 2018). The robust highly selective activation of the active port illustrated in Figure 6 fits as an action–outcome instrumental behavior wherein mice learn to engage the active but not inactive port to terminate photostimulation. The first activation of the port occurs through exploration of the arena but as demonstrated by the number of active port activations and the decline in time of the first active port engagement, mice expressing ChR2eYFP learn to engage the port to terminate the stimulation. To aid in illustrating this point we have added Supplemental Figure 7 showing active and inactive port activations for both Cre+ and Cre- mice. This adds clarity to high rate of selective port activation driven my stimulation of SUMVGLUT2+::POA neurons compared to controls. The elimination of goal directed and providing additional data narrows and supports one of the key points of the operant experiment.

      With regards to Figure 1: This is a nice figure, but I wonder if some quantification of the pathways and their density might be helpful, perhaps by measuring the intensity of fluorescence in image J (as these are processes, not cell bodies that can be counted)? Mind you, they all look pretty dense so perhaps this is not necessary! However, because the authors are looking at projections in so-called 'stress-engaged regions', the amygdala seems conspicuous by its absence. Did the authors look in the amygdala and find no projections? If so it seems that this would be worth noting.

      This is an interesting question but has proven to be a very technically challenging question. We consulted with several leaders who routinely use complimentary viral tracing methods in the field. We were unable to devise a method to provide a satisfactorily meaningful quantitative (as opposed to qualitative) approach to compare SUMVGLUT2+::POA to SuMVGLUT2+ projections. A few limitations are present that hinder a meaningful quantitative approach. One limitation was the need for different viral strategies to label the two populations. Labeling SuMVGLUT2+::POA neurons requires using VGLUT2-Flp mice with two injections into the POA and one into SuM. Two recombinase steps were required, reducing efficiency of overlap. This combination of viral injections, particularly the injections of RetroAAVs in the POA, can induce significant quantitative variability due to tropism, efficacy, and variability of retro-viral methods, and viral infection generally. These issues are often totally ignored in similar studies across the “neural circuit” landscape, but it doesn’t make them less relevant here.

      Although people do this in the field, and show quantification, we actually believe that it can be a quite misleading read-out of functionally relevant circuitry, given that neurotransmitter release ultimately is amplified by receptors post-synaptically, and many examples of robust behavioral effects have been observed with low fiber tracing complimentary methods (McCall, Siuda et al. 2017). In contrast, the broader SuMVGLUT2+ population was labeled using a single injection into the SuM. This means there like more efficient expression of the fluorophore. Additionally, in areas that contain terminals and passing fibers understanding and interpreting fluorescent signal is challenging. Together, these factors limit a meaningful quantitative comparison and make an interpretation difficult to make. In this context, we focused on a conservative qualitative presentation to demonstrate two central points. That 1) SuMVGLUT2+::POA neurons are subset of SuMVGLUT2+ neurons that project to specific areas and that exclude dentate gyrus, and they 2) arborize extensively to multiple areas which have be linked to threat responses. We agree that there is much to be learned about how different populations in SuM connect to targets in different regions of the brain and to continue to examine this question with different techniques. A meaningful quantitative study comparing projections is technically complex and, we feel, beyond our ability for this study.

      Also, for the reasons above we do not believe that quantification provides exceptional clarity with respect to the putative function of the circuit, glutamate released, or other cotransmitters given known amplification at the post-synaptic side of the circuit.

      With regard to the amygdala, other studies on SuM projections have found efferent projections to amygdala (Ottersen, 1980; Vertes, 1992). In our study we were unable to definitively determine projections from SuMVGLUT2+::POA neurons to amygdala, which if present are not particularly dense. For this reason we were conservative and do not comment on this particular structure.

      I would suggest removing the term goal-directed from the manuscript and just focusing on the active vs. passive distinction.

      We removed the use of goal-directed. Thank you for helping us clarify our terminology.

      The effect observed in Figure 7I is interesting, and I'm wondering if a rebound effect is the most likely explanation for this. Did the authors inhibit the VGAT neurons in this region at any other times and observe a similar rebound? If such a rebound was not observed it would suggest that it is something specific about this task that is producing the behaviour. I would like it if the authors could comment on this.

      We agree that results showing the change in coping strategy (passive to active) in forced swim after but not during stimulation of SuMVGAT+ neurons is quite interesting (Figure 7I). This experiment activated SuMVGAT+ neurons during a section of the forced swim assay and mice showed a robust shift to mobility after the stimulation of SuMVGAT+ neurons stopped. We did not carry out inhibition of SuMVGAT+ neurons in this manuscript. As the reviewer suggested, strong inhibition of local SuM neurons, including SUMVGLUT2+::POA neurons, could lead to rebound activity that may shift coping behaviors in confusing ways. We agree this is an interesting idea but do not have data to support the hypothesis further at this time.

      Reviewer 2

      (1) These are very difficult, small brain regions to hit, and it is commendable to take on the circuit under investigation here. However, there is no evidence throughout the manuscript that the authors are reliably hitting the targets and the spread is comparable across experiments, groups, etc., decreasing the significance of the current findings. There are no hit/virus spread maps presented for any data, and the representative images are cropped to avoid showing the brain regions lateral and dorsal to the target regions. In images where you can see the adjacent regions, there appears expression of cell bodies (such as Supp 6B), suggesting a lack of SuM specificity to the injections.

      We agree with the reviewer that the areas studied are small and technically challenging to hit. This was one of driving motivations for using multiple tools in tandem to restrict the area targeted for stimulation. Approaches included using a retrograde AAVs to express ChR2eFYP in SUMVGLUT2+::POA neurons; thereby, restricting expression to VGLUT2+ neurons that project to the POA. Targeting was further limited by placement of the optic fiber over cell bodies on SuM. Thus, only neurons that are VGLUT2+, project to the POA, and were close enough to the fiber were active by photostimulation. Regrettably, we were not able to compile images from mice where the fiber was misplaced leading to loss of behavioral effects. We would have liked to provide that here to address this comment. Unfortunately, generating heat maps for injections is not possible for anatomic studies that use unlabeled recombinase as part of an intersectional approach. Also determining the point of injection of a retroAAV can be difficult to accurately determine its location because neurons remote to injection site and their processes are labeled.

      Experiments described in Supplemental Figure 6B on VGAT neurons in SuM were designed and interpreted to support the point that SUMVGLUT2+::POA neurons are a distinct population that does not overlap with GABAergic neurons. For this point it is important that we targeted SuM, but highly confined targeting is not needed to support the central interpretation of the data. We do see labeling in SuM in VGAT-Cre mice but photo stimulation of SuMVGAT+ neurons does not generate the behavioral changes seen with activation of SUMVGLUT2+::POA neurons. As the reviewer points out, SuM is small target and viral injection is likely to spread beyond the anatomic boundaries to other VGAT+ neurons in the region, which are not the focus here. The activation would be restricted by the spread of light from the fiber over SuM (estimated to be about a 200um sphere in all directions). We did not further examine projections or localization of VGAT+ neurons in this study but focused on the differential behavioral effects of SUMVGLUT2+::POA neurons.

      (2) In addition, the whole brain tracing is very valuable, but there is very little quantification of the tracing. As the tracing is the first several figures and supp figure and the basis for the interpretation of the behavior results, it is important to understand things including how robust the POA projection is compared to the collateral regions, etc. Just a rep image for each of the first two figures is insufficient, especially given the above issue raised. The combination of validation of the restricted expression of viruses, rep images, and quantified tracing would add rigor that made the behavioral effects have more significance.

      For example, in Fig 2, how can one be sure that the nature of the difference between the nonspecific anterograde glutamate neuron tracing and the Sum-POA glutamate neuron tracing is real when there is no quantification or validation of the hits and expression, nor any quantification showing the effects replicate across mice? It could be due to many factors, such as the spread up the tract of the injection in the nonspecific experiment resulting in the labeling of additional regions, etc.

      Relatedly, in Supp 4, why isn’t C normalized to DAPI, which they show, or area? Similar for G what is the mcherry coverage/expression, and why isn’t Fos normalized to that?

      Thank you for highlighting the importance of anatomy and the value of anatomy. Two points based on the anatomic studies are central to our interpretation of the experimental data. First, SUMVGLUT2+::POA are a distinct population within the SuM. We show this by demonstrating they are not GABAergic and that they do not project to dentate gyrus. Projections from SuM to dentate gyrus have been described in multiple studies (Boulland et al., 2009; Haglund et al., 1987; Hashimotodani et al., 2018; Vertes, 1992) and we demonstrate them here for SuMVGLUT2+ cells. Using an intersectional approach in VGLUT2-Flp mice we show SUMVGLUT2+::POA neurons do not project to dentate gyrus. We show cell bodies of SUMVGLUT2+::POA neurons located in SuM across multiple figures including clear brain images. Thus, SUMVGLUT2+::POA neurons are SuM neurons that do not project to dentate gyrus, are not GABAergic, send projections to a distinct subset of targets, most notably excluding dentate gyrus. Second, SUMVGLUT2+::POA neurons arborize sending projections to multiple regions. We show this using a combinatorial genetic and viral approach to restrict expression of eYFP to only neurons that are in SuM (based on viral injection), project to the POA (based on retrograde AAV injection in POA), and VGLUT2+ (VGLUT2-Flp mice). Thus, any eYFP labeled projection comes from SUMVGLUT2+::POA neurons. We further confirmed projections using retroAAV injection into areas identified using anterograde approaches (Supplemental Figure 2). As discussed above in replies to Reviewer 1, we feel limitations are present that preclude meaningful quantitative analysis. We thus opted for a conservative interpretation as outlined.

      Prior studies have shown efferent projections from SuM to many areas, and projections to dentate gyrus have received substantial attention (Bouland et al., 2009; Haglund, Swanson, and Kohler, 1984; Hashimotodani et al., 2018; Soussi et al., 2010; Vertes, 1992; Pan and McNaugton, 2004). We saw many of the same projections from SuMVGLUT2+ neurons. We found no projections from SUMVGLUT2+::POA neurons to dentate gyrus (Figure 2). Our description of SuM projection to dentate gyrus is not new but finding a population of neurons in SuM that does not project to dentate gyrus but does project to other regions in hippocampus is new. This finding cannot be explained by spread of the virus in the tract or non-selective labeling.

      (3) The authors state that they use male and female mice, but they do not describe the n’s for each experiment or address sex as a biological variable in the design here. As there are baseline sex differences in locomotion, stress responses, etc., these could easily factor into behavioral effects observed here.

      Sex specific effects are possible; however, the studies presented here were not designed or powered to directly examine them. A point about experimental design that helps mitigate against strong sex dependent effect is that often the paradigm we used examined baseline (pre-stimulation) behavior, how behavior changed during stimulation, and how behavior returned (or not) to baseline after stimulation. Thus, we test changes in individual behaviors. Although we had limited statistical power, we conducted analyses to examine the effects of sex as variable in the experiments and found no differences among males and females.

      (4) In a similar vein as the above, the authors appear to use mice of different genotypes (however the exact genotypes and breeding strategy are not described) for their circuit manipulation studies without first validating that baseline behavioral expression, habituation, stress responses are not different. Therefore, it is unclear how to interpret the behavioral effects of circuit manipulation. For example in 7H, what would the VGLUT2-Cre mouse with control virus look like over time? Time is a confound for these behaviors, as mice often habituate to the task, and this varies from genotype to genotype. In Fig 8H, it looks like there may be some baseline differences between genotypes- what is normal food consumption like in these mice compared to each other? Do Cre+ mice just locomote and/or eat less? This issue exists across the figures and is related to issues of statistics, potential genotype differences, and other experimental design issues as described, as well as the question about the possibility of a general locomotor difference (vs only stress-induced). In addition, the authors use a control virus for the control groups in VGAT-Cre manipulation studies but do not explain the reasoning for the difference in approach.

      Thank you for highlighting the need for greater clarity about the breeding strategies used and for these related questions. We address the breeding strategy and then move to address the additional concerns raised. We have added details to the methods section to address this point. For VGLUT2-Cre mice we use litter mates controls from Cre/WT x WT/WT cross. The VGLUT2-Cre line (RRID:IMSR_JAX:028863) (Vong L , et al. 2011) used here been used in many other reports. We are not aware of any reports indicating a phenotype associated with the addition of the IRES-Cre to the Slc17a6 loci and there is no expected impact of expression of VGLUT2. Also, we see in many of the experiments here that the baseline (Figures 4, 5, and 7) behaviors are not different between the Cre+ and Cre- mice. For VGAT-Cre mice we used a different breeding strategy that allowed us to achieve greater control of the composition of litters and more efficient cohorts cohort. A Cre/Cre x WT/WT cross yielded all Cre/WT litters. The AAV injected, ChR2eYFP or eYFP, allowed us to balance the cohort.

      Regarding Figure 7H, which shows time immobile on the second day of a swim test, data from the Cre- mice demonstrate the natural course of progression during the second day of the test. The control mice in the VGAT-Cre cohort (Figure 7I) have similar trend. The change in behavior during the stimulation period in the Cre+ mice is caused by the activation of SUMVGLUT2+::POA neurons. The behavioral shift largely, but not completely, returns to baseline when the photostimulation stops. We have no reason to believe a VGLUT2-Cre+ mouse injected with control AAV to express eYFP would be different from WT littermate injected with AVV expressing ChR2eYFP in a Cre dependent manner.

      Turning to concerns related to 8H, which shows data from fasted mice quantify time spent interacting with food pellet immediately after presentation of a chow pellet, we found no significant difference between the control and Cre+ mice. We unaware of any evidence indicating that the two groups should have a different baseline since the Cre insertion is not expected to alter gene expression and we are unaware of reports of a phenotype relating to feeding and the presence of the transgene in this mouse line. Even if there were a small baseline shift this would not explain the large abrupt shift induced by the photostimulation. As noted above, we saw shifts in behavior abruptly induced by the initiation of photostimulation when compared to baseline in multiple experiments. This shift would not be explained by a hypothetical difference in the baseline behaviors of litter mates.

      (5) The statistics used throughout are inappropriate. The authors use serial Mann-Whitney U tests without a description of data distributions within and across groups. Further, they do not use any overall F tests even though most of the data are presented with more than two bars on the same graph. Stats should be employed according to how the data are presented together on a graph. For example, stats for pre-stim, stim, and post-stim behavior X between Cre+ and Cre- groups should employ something like a two-way repeated measures ANOVA, with post-hoc comparisons following up on those effects and interactions. There are many instances in which one group changes over time or there could be overall main effects of genotype. Not only is serially using Mann-Whitney tests within the same panel misleading and statistically inaccurate, but it cherry-picks the comparisons to be made to avoid more complex results. It is difficult to comprehend the effects of the manipulations presented without more careful consideration of the appropriate options for statistical analysis.

      We thank the reviewer for pointing this out and suggesting alterative analyses, we agree with the assessment on this topic. Therefore, we have extensively revised the statical approach to our data using the suggested approach. Reviewer 1 also made a similar comment, and we would like to point to our reply to reviewer 1’s second point in regard to what we changed and added to the new statistical analyses. Further, we have added a full table detailing the statical values for each figure to the paper.

      Conceptual:

      (6) What does the signal look like at the terminals in the POA? Any suggestion from the data that the projection to the POA is important?

      This is an interesting question that we will pursue in future investigations into the roles of the POA. We used the projection to the POA from SuM to identify a subpopulation in SuM and we were surprised to find the extensive arborization of these neurons to many areas associated with threat responses. We focused on the cell bodies as “hubs” with many “spokes”. Extensive studies are needed to understand the roles of individual projections and their targets. There is also the hypothetical technical challenge of manipulating one projection without activating retrograde propagation of action potentials to the soma. At the current time we have no specific insights into the roles of the isolated projection to POA. Interpretation of experiments activating only “spoke” of the hub would be challenging. Simple terminal stimulation experiments are challenged by the need to separate POA projections from activation of passing fibers targeting more anterior structures of the accumbens and septum.

      (7) Is this distinguishing active coping behavior without a locomotor phenotype? For example, Fig. 5I and other figure panels show a distance effect of stimulation (but see issues raised about the genotype of comparison groups). In addition, locomotor behavior is not included for many behaviors, so it is hard to completely buy the interpretation presented.

      We agree with the reviewer and thank them for highlighting this fundamental challenge in studies examining active coping behaviors in rodents, which requires movement. Additionally, actively responding to threatening stressors would include increased locomotor activity. Separation of movement alone from active coping can be challenging. Because of these concerns we undertook experiments using diverse behavioral paradigms to examine the elicited behaviors and the recruitment of SuMVGLUT2+::POA neurons to stressors. We conducted experiments to directly examine behaviors evoked by photoactivation of SuMVGLUT2+::POA. In these experiments we observed a diversity of behaviors including increased locomotion and jumping but also treading/digging (Figure 4). These are behaviors elicited in mice by threatening and noxious stimuli. An Increase of running or only jumping could signify a specific locomotor effect, but this is not what was observed. Based on these behaviors, we expected to find evidence of increase movement in open field (Figure 5G-I) and light dark choice (Figure 5J-L) assays. For many of the assays, reporting distance traveled is not practical. An important set of experiments that argues against a generic increase in locomotion is the operant behavior experiments, which require the animal to engage in a learned behavior while receiving photostimulation of SuMVGLUT2+::POA neurons (Figure 6). This is particularly true for testing using a progressive ratio when the time of ongoing photostimulation is longer, yet animals actively and selectively engage the active port (Figure 6G-H). Further, we saw a shift in behavioral strategy induce by photoactivation in forced swim test (Figure 7H). Thus, activation of SUMVGLUT2+::POA neurons elicited a range of behaviors that included swimming, jumping, treading, and learned response, not just increased movement. Together these data strongly argue that SuMVGLUT2+::POA neurons do not only promote increased locomotor behavior. We interpret these data together with the data from fiber photometry studies to show SuMVGLUT2+::POA neurons are recruited during acute stressors, contribute to aversive affective component of stress, and promote active behaviors without constraining the behavioral pattern.

      Regarding genotype, we address this in comments above as well but believe that clarifying the use of litter mates, the extensive use of the VGLUT2-Cre line by multiple groups, and experimental design allowing for comparison to baseline, stimulation evoked, and post stimulation behaviors within and across genotypes mitigate possible concerns relating to the genotype.

      (8) What is the role of GABA neurons in the SuM and how does this relate to their function and interaction with glutamate neurons? In Supp 8, GABA neuron activation also modulates locomotion and in Fig 7 there is an effect on immobility, so this seems pretty important for the overall interpretation and should probably be mentioned in the abstract.

      Thank you for noting these interesting findings. We added text to highlight these findings to the abstract. Possible roles of GABAergic neurons in SuM extend beyond the scope of the current study particularly since SuM neurons have been shown to release both GABA and glutamate (Li Y, Bao H, Luo Y, et al. 2020, Root DH, Zhang S, Barker DJ et al. 2018). GABAergic neurons regulate dentate gyrus (Ajibola MI, Wu JW, Abdulmajeed WI, Lien CC 2021), REM sleep (Billwiller F, Renouard L, Clement O, Fort P, Luppi PH 2017), and novelty processing Chen S, He L, Huang AJY, Boehringer R et al. 2020). The population of exclusively GABAergic vs dual neurotransmitter neurons in SuM requires further dissection to be understood. How they may relate to SUMVGLUT2+::POA neurons require further investigation.

      Questions about figure presentation:

      (9) In Fig 3, why are heat maps shown as a single animal for the first couple and a group average for the others?

      Thank you for highlighting this point for further clarification. We modified the labels in the figure to help make clear which figures are from one animal across multiple trials and those that are from multiple animals. In the ambush assay each animal one had one trial, to avoid habituation to the mock predator. Accordingly, we do not have multiple trials for each animal in this test. In contrast, the dunk assay (10 trial/animal) and the shock (5 trials/animal) had multiple trials for each animal. We present data from a representative animal when there are multiple trials per animal and the aggerate data.

      Why is the temporal resolution for J and K different even though the time scale shown is the same?

      Thank you for noticing this error carried forward from a prior draft of the figure so we could correct it. We replaced the image in 3J with a more correctly scaled heatmap.

      What is the evidence that these signal changes are not due to movement per se?

      Thank you for the question. There are two points of evidence. First, all the 465 nm excitation (Ca2+ dependent) data was collected in interleaved fashion with 415 nm (isosbestic) excitation data. The isosbestic signal is derived from GCaMP emission but is independent of Ca2+ binding (Martianova E, Aronson S, Proulx CD. 2019). This approach, time-division multiplexing, can correct calcium-dependent for changes in signal most often due to mechanical change. The second piece of evidence is experimental. Using multiple cohorts of mice, we examined if the change in Ca2+ signal was correlated with movement. We used the threshold of velocity of movement seen following the ambush. We found no correlation between high velocity movements and Ca2+ signal (Figure 3K) including cross correlational analysis (Supplemental figure 5). Based on these points together we conclude the change in the Ca2+ signal in SUMVGLUT2+::POA neurons is not due to movement induced mechanical changes and we find no correlation to movement unless a stressor is present, i.e. mock predator ambush or forced swim. Further, the stressors evoke very different locomotor responses fleeing, jumping, or swimming.

      (10) In Fig 4, the authors carefully code various behaviors in mice. While they pick a few and show them as bars, they do not show the distribution of behaviors in Cre- vs Cre+ mice before manipulation (to show they have similar behaviors) or how these behaviors shift categories in each group with stimulation. Which behaviors in each group are shifting to others across the stim and post-stim periods compared to pre-stim?

      This is an important point. We selected behaviors to highlight in Figure4 C-E because these behaviors are exhibited in response to stress (De Boer & Koolhaas, 2003; van Erp et al., 1994). For the highlighted behaviors, jumping, treading/digging, grooming, we show baseline (pre photostimulation), stimulation, and post stimulation for Cre+ and Cre- mice with the values for each animal plotted. We show all nine behaviors as a heat map in Figure 4B. The panels show changes that may occur as a function of time and show changes induced by photostimulation.

      The heatmaps demonstrate that photostimulation of SUMVGLUT2+::POA neurons causes a suppression of walking, grooming, and immobile behaviors with an increase in jumping, digging/treading, and rapid locomotion. After stimulation stops, there is an increase in grooming and time immobile. The control mice show a range of behaviors with no shifts noted with the onset or termination of photostimulation.

      Of note, issues of statistics, genotype, and SABV are important here. For example, the hint that treading/digging may have a slightly different pre-stim basal expression, it seems important to first evaluate strain and sex differences before interpreting these data.

      We examined the effects of sex as a biological variable in the experiments reported in the manuscript and found no differences among males and females in any of the experiments where we had enough animals in each sex (minimum of 5 mice) for meaningful comparisons. We did this by comparing means and SEM of males and females within each group (e.g. Cre+ males vs Cre+ female, Cre- males vs Cre- females) and then conducted a t-test to see if there was a difference. For figures that show time as a variable (e.g Figure 6C-E), we compared males and females with time x sex as main factors and compared them (including multiple comparisons if needed). We found no significant main effects or interactions between males and females. Because of this, and to maximize statistical power, we decided to move forward to keep males and females together in all the analyses presented in the manuscript. It is worth noting also that the core of the experimental design employed is a change in behavior caused by photostimulation. The mice are also the same strain with only difference being the modification to add an IRES and sequence for Cre behind the coding sequence of the Slc17A6 (VGLUT2) gene.

      (11) Why do the authors use 10 Hz stimulation primarily? is this a physiologically relevant stim frequency? They show that they get effects with 1 Hz, which can be quite different in terms of plasticity compared to 10 Hz.

      Thank you for the raising this important question. Because tests like open field and forced swim are subject to habituation and cannot be run multiple times per animal a test frequency was needed to use across multiple experiments for consistency. The frequency of 10Hz was selected because it falls within the rate of reported firing rates for SuM neurons (Farrel et al., 2021; Pedersen et al., 2017) and based on the robust but sub maximal effects seen in the real-time place preference assays. Identification of the native firing rates during stress response would be ideal but gathering this data for the identified population remains a dauting task.

      (12) In Fig 5A-F, it is unclear whether locomotion differences are playing a role. Entrances (which are low for both groups) are shown but distance traveled or velocity are not.

      In B, there is no color in the lower left panel. where are these mice spending their time? How is the entirety of the upper left panel brighter than the lower left? If the heat map is based on time distribution during the session, there should be more color in between blue and red in the lower left when you start to lose the red hot spots in the upper left, for example. That is, the mice have to be somewhere in apparatus. If the heat map is based on distance, it would seem the Cre- mice move less during the stim.

      We appreciate the opportunity to address this question, and the attention to detail the reviewer applied to our paper. In the real time place preference test (RTPP) stimulation would only be provided while the animal was on the stimulation side. Mice quickly leave the stimulation side of the arena, as seen in the supplemental video, particularly at the higher frequencies. Thus, the time stimulation is applied is quite low. The mice often retreat to a corner from entering the stimulation side during trials using higher frequency stimulation. Changing locomotor activity along could drive changes in the number entrances but we did not find this. In regard to the heat map, the color scale is dynamically set for each of the paired examples that are pulled from a single trial. To maximize the visibility between the paired examples the color scale does not transfer between the trials. As a result, in the example for 10 Hz the mouse spent a larger amount of time in the in the area corresponding to the lower right corner of the image and the maximum value of the color scale is assigned to that region. As seen in the supplemental video, mice often retreated to the corner of the non-stimulation side after entering the stimulation side. The control animal did not spend a concentrated amount of time in any one region, thus there is a lack of warmer colors. In contrast the baseline condition both Cre+ and Cre- mice spent time in areas disturbed on both sides of arena, as expected. As a result, the maximum value in the heat map is lower and more area are coded in warmer colors allowing for easier visual comparison between the pair. Using the scale for the 10 Hz pair across all leads to mostly dark images. We considered ways to optimized visualization across and within pairs and focused on the within pair comparison for visualization.

      (13) By starting with 1 hz, are the experimenters inducing LTD in the circuit? what would happen if you stop stimming after the first epoch? Would the behavioral effect continue? What does the heat map for the 1 hz stim look like?

      Relatedly, it is a lot of consistent stimulation over time and you likely would get glutamate depletion without a break in the stim for that long.

      Thank you for the opportunity to add clarity around this point regarding the trials in RTPP testing. Importantly, the trials were not carried out in order of increasing frequency of stimulation, as plotted. Rather, the order of trials was, to the extent possible with the number of mice, counterbalanced across the five conditions. Thus, possible contribution of effects of one trial on the next were minimized by altering the order of the trials.

      We have added a heat map for the 1 Hz condition to figure 5B.

      For experiments on RTPP the average stimulation time at 10Hz was less than 10 seconds per event. As a result, the data are unlikely to be affected by possible depletion of synaptic glutamate. For experiments using sustained stimulation (open field or light dark choice assays) we have no clear data to address if this might be a factor where 10Hz stimulation was applied for the entire trial.

      (14) In Fig 6, the authors show that the Cre- mice just don't do the task, so it is unclear what the utility of the rest of the figure is (such as the PR part). Relatedly, the pause is dependent on the activation, so isn't C just the same as D? In G and H, why ids a subset of Cre+ mice shown?

      Why not all mice, including Cre- mice?

      Thank you for the opportunity to improve the clarity of this section. A central aspect of the experiments in Figure 6 is the aversiveness of SUMVGLUT2+::POA neuron photostimulation, as shown in Figure 5B-F. The aversion to photostimulation drives task performance in the negative reinforcer paradigm. The mice perform a task (active port activation) to terminate the negative reinforcer (photostimulation of SuMVGLUT2+::POA neurons). Accordingly, control mice are not expected to perform the task because SuMVGLUT2+::POA neurons are not activated and, thus the mice are not motivated to perform the task.

      A central point we aim to covey in this figure is that while SuMVGLUT2+::POA neurons are being stimulated, mice perform the operant task. They selectively activated the active port (Supplemental Figure 7). As expected, control mice activate the active port at a low level in the process of exploring the arena. This diminishes on subsequent trials as mice habituate to the arena (Figure 6D). The data in Figures 6 C and D are related but can be divergent. Each pause in stimulation requires a port activation of a FR1 test but the number of port activations can exceed the pauses, which are 10 seconds long, if the animal continues to activate the port. Comparing data in Figures 6 C and D revels that mice generally activated the port two to three times for each pause earned with a trend towards greater efficiency on day 4 with more rewards and fewer activations.

      The purpose of the progressive ratio test is to examine if photostimulation of SuMVGLUT2+::POA continues to drive behavior as the effort required to terminate the negative stimuli increases. As seen in Figures 6 G and H, the stimulation of SuMVGLUT2+::POA neurons remains highly motivating. In the 20-minute trial we did not find a break point even as the number of port activations required to pause the stimulation exceed 50. We do not show the Cre- mice is Figure 6G and H because they did not perform the task, as seen in Figure 6F. For technical reasons in early trials, we have fully timely time stamped data for rewards and port activations from a subset of the Cre+ mice. Of note, this contains both the highest and lowest performing mice from the entire data set.

      Taken together, we interpret the results of the operant behavioral testing as demonstrating that SuMVGLUT2+::POA neuron activation is aversive, can drive performance of an operant tasks (as opposed to fixed escape behaviors), and is highly motivating.

      (15) In Fig 7, what does the GCaMP signal look like if aligned to the onset of immobility? It looks like since the hindpaw swimming is short and seems to precede immobility, and the increase in the signal is ramping up at the onset of hindpaw swimming, it may be that the calcium signal is aligned with the onset of immobility.

      What does it look like for swimming onset?

      In I, what is the temporal resolution for the decrease in immobility? Does it start prior to the termination of the stim, or does it require some elapsed time after the termination, etc?

      Thank for the opportunity to addresses these points and improve that clarity of our interpretation of the data. Regarding aligning the Ca2+ signal from fiber photometry recordings to swimming onset and offset, it is important to note that the swimming bouts are not the same length. As a result, in the time prior to alignment to offset of behaviors animals will have been swimming for different lengths of time. In Figure 7 C, we use the behavioral heat map to convey the behavioral average. Below we show the Ca2+ dependent signal aligned at the offset of hindpaw swim for an individual mouse (A) and for the total cohort (B). This alignment shows that the Ca2+ dependent signal declines corresponding to the termination of hindpaw swimming. Because these bouts last less than the total the widow shown, the data is largely included in Figure 7 C and D, which is aligned to onset. Due to the nuance of the difference is the alignment and the partial redundancy, we elected to include the requested alignment to swimming offset in the reply rather in primary figure.

      Author response image 1.

      Turning to the question regarding swimming onset, the animals started swimming immediately when placed in the water and maintained swimming and climbing behaviors until shifting behaviors as illustrated in Figure 7A and B. During this time the Ca2+-dependent signal was elevated but there is only one trial per animal. This question can perhaps be better addressed in the dunk assay presented in Figure 3C, F and G and Supplemental Figure 4 H and I. Here swimming started with each dunk and the Ca2+ signal increased.

      Regarding the question for about figure 7I. We scored for entire periods (2 mins) in aggerate. We noted in videos of the behavior test that there was an abrupt decrease in immobility tightly corresponding to the end of stimulation. In a few animals this shift occurred approximately 15-20s before the end of stimulation. This may relate to the depletion of neurotransmitter as suggested by the reviewer.

      Reviewer 3

      Major points

      (1) Results in Figure 1 suggested that SuM-Vglu2::POA projected not only POA but also to the diverse brain regions. We can think of two models which account for this. One is that homogeneous populations of neurons in SuM-Vglu2::POA have collaterals and innervated all the efferent targets shown in Figure 1. Another is to think of distinct subpopulations of neurons projecting subsets of efferent targets shown in Figure 1 as well as POA. It is suggested to address this by combining approaches taken in experiments for Figure 1 and Supplemental Figure 2.

      Thank you for raising this interesting point. We have attempted combining retroAAV injections into multiple areas that receive projections from SUMVGLUT2+::POA neurons. However, we have found the results unsatisfactory for separating the two models proposed. Using eYFP and tdTomato expressing we saw some overlapping expressing in SuM. We are not able to conclude if this indicates separate populations or partial labeling of a homogenous populations. A third option seems possible as well. There could be a mix of neurons projecting to different combinations of downstream targets. This seems particularly difficult to address using fluorophores. We are preparing to apply additional methodologies to this question, but it extends beyond the scope of this manuscript.

      (2) Since the authors drew a hypothetical model in which the diverse brain regions mediate the effect of SuM-Vglu2::POA activation in behavioral alterations at least in part, examination of the concurrent activation of those brain regions upon photoactivation of SuM-Vglu2::POA. This must help the readers to understand which neural circuits act upon the induction of active coping behavior under stress.

      Thank you for raising this important point. We agree that activating glutamatergic neurons should lead to activation of post synaptic neurons in the target regions. Delineating this in vivo is less straight forward. Doing so requires much greater knowledge of post synaptic partners of SUMVGLUT2+::POA neurons. There are a number of issues that would need to be accounted for. Undertaking two color photo stimulation plus fiber photometry is possible but not a technical triviality. Further, it is possible that we would measure Ca2+ signals in neurons that have no relevant input or that local circuits in a region may shape the signal. We would also lack temporal resolution to identify mono-postsynaptic vs polysynaptic connections. Thus, we would struggle to know if the change in signal was due to the excitatory input from SuM or from a second region. At present, we remain unclear on how to pursue this question experimentally in a manner that is likely to generate clearly interpretable results.

      (3) In Figure 4, "active coping behaviors" must be called "behaviors relevant to the active behaviors" or "active coping-like behaviors", since those behaviors were in the absence of stressors to cope with.

      Thank you for the suggestion on how to clarify our terminology. We have adopted the active coping-like term.

      (4) For the Dunk test, it is suggested to describe the results and methods more in detail, since the readers would be new to it. In particular, the mice could change their behavior between dunks under this test, although they still showed immobility across trials as in Supplemental Figure 4I. Since neural activity during the test was summarized across trials as in Figure 3, it is critical to examine whether the behavior changes according to time.

      Thank you for identifying this opportunity to improve our manuscript. We have expanded and added a detailed description of the dunk test in the methods section.

      As for Supplemental Figure 4I, we apologize for the confusion because the purpose of this figure is to show that mice remained mobile for the entire 30-second dunk trial. This did not appreciably change over the 10 trials. We have revised this figure to plot both immobile and mobile time to achieve greater clarity on this point.

      Minor points

      Typos

      In Figure 1, please add a serotype of AAVs to make it compatible with other figures and their legends.

      In the main text and Figure 2K, the authors used MHb/LHb and mHb/lHb in a mixed fashion. Please make them unified.

      In the figure legend of Figure 6, change "SuMVGLUT2+::POA neurons drive" to "SuMVGLUT2+::POA neurons " in the title.

      In line 86, please change "Retro-AAV2-Nuc-flox(mCherry)-eGFP" to "AAV5-Nuc-flox(mCherry)eGFP".

      In line 80, please change "Positive controls" to "As positive controls, ".

      Thank you for taking the time and making the effort to identify and call these out. We have corrected them.

    1. Author Response

      The following is the authors’ response to the previous reviews

      The revised manuscript is much improved - many unclear points are now better explained. However, in our opinion, some issues could still be significantly improved.

      1. Statistics: none of us are experts in statistics but several things remain questionable in our opinion and if it were our study, we would consult with an expert:

      a) while we understand the authors note about N-chasing and p-hacking, we wonder how the number of N's was premeditated before obtaining the results. Why in 4M an N of 3 is sufficient while in 3E the N is >20 (and not mentioned). At the very least, we think it would be wise to be cautious when stating something as not-significant when it is clear (as in 4M) that the likelihood of it actually being statistically significant is quite large.

      b) In most analyses, the data is not only normalized by actin or some other measure but also to the first (i.e left side on the graph) condition, resulting in identical data points that equal '1' (in Figure 4 alone - C; I; K; M; and O) - while this might be scientifically sound, it should be mentioned (the specific normalization) and also note that this technique shadows any real variance that exists in the original data in this condition. consider exploring techniques to overcome this issue.

      c) In 3C, - if we understand the experiment, you want to convince us that the DIFFERENCE between eB2-FC compared to FC is larger in the control compared to the experiment. We are not absolutely sure that the statistical tools employed here are sufficient - which is why we would consult an expert.

      A) We are aware that many studies do not consistently quantify such experiments. For example, there are essentially no published examples of the signalling timelines of EphB2 receptors as in Fig. 5. By striving to quantifying such biochemical effects, an unquantified experiment stands out, and so perhaps we were too strict by trying to quantify as many experiments as possible, resulting in low n’s for some of them. We acknowledge that additional experiments on EPHB1 protein stability may reach significance. We have adjusted our text on line 332-335 to point to this interesting trend, and slightly changed the conclusion to this section. Similarly, we commented on similar trends when describing Figs. 1E and 4G on lines 901 and 952.

      B) For the Western blot band intensity normalisation, we believe that our method is scientifically sound. Normally, when the replicate samples are loaded on one gel and blotted on the same membrane, the experimenter only needs to normalise the target band intensity to its cognate loading control band intensity for quantitation. However, we usually have a large number of samples from multiple experiments, carried out on different dates. For example, in Fig. 4B,C there are 7 biological replicates collected from 7 experiments and in Fig. 4D there are 10 protein samples. It is not possible for us to run all samples on the same gel. In addition, due to the combined effects of variance in transfer efficiency, the potency of antibodies, detection efficiency and the developing time for each blot, it is practically impossible to generate similar band intensity for each batch. Thus, we use normalisation of test bands to the loading control for individual experiments, and this analysis method is widely accepted by reputable journals with a focus on biochemical experiments (for example: PMID 37695914: Fig. 3 A,B,C; PMID 36282215: Fig. 3 B,C,D,E; PMID 33843588: Fig. 3 C,D,E,F,G,H). Since the value of the first sample on the plot is 1, which is a hypothetical value and does not meet the parametric test requirement, we performed one-sample t-test for statistics when other samples are compared with the first sample (PMID 35243233 Fig. 6 A,B,C,D; https://www.graphpad.com/quickcalcs/oneSampleT1/, “A one sample t-test compares the mean with a hypothetical value. In most cases, the hypothetical value comes from theory. For example, if you express your data as 'percent of control', you can test whether the average differs significantly from 100.”). Thus, we believe that our normalisation and statistical methods are both correct with a large number of precedents.

      C) This comment refers to the cell collapse experiment shown in Fig. 3C for which the data are plotted in Fig. 3D. We stand by the statistical method used. There are two groups of cells (CTRLCRISPR and MYCBP2 CRISPR) and two treatments for each cell group (Fc control and eB2), thus we should use two-way ANOVA. Since we compared the cell retraction effects of Fc and eB2 on the two groups of cells, Sidak post hoc comparison is the right method to avoid errors introduced by multiple comparisons. Here is an example of an eLife article that used the same statistical method for similar comparisons: PMID 37830910, Fig. 1 H,I. To make the comparison easier, we grouped the experiments by cell type (CTRLCRISPR and MYCBP2 CRISPR) as opposed to by treatment. Below, the old version is on the right, and the new version is on the left. The conclusion is that eB2 induces less cell collapse in cells depleted of MYCBP2, when compared to the control cells. However, eB2 is still able to collapse cells lacking MYCBP2.

      Author response image 1.

      Revisiting these data, we noticed an error introduced when CC compiled the data used to generate Fig. 3D. The data were acquired from nine biological replicates per condition. CC used a mix of two methods for cell collapse rate calculation: the first method involved the sum of collapsed cells and all cells from multiple regions of one coverslip (biological replicate). The second method involved computing a collapse rate in each region which then was used to calculate the average collapse rate for the entire coverslip (technical replicate). Given the small cell numbers due to sparse culture conditions, we believe that the first method is a more conservative approach. We hence re-plotted all replicate data using the first method. This resulted in slightly different % collapse and p values. These were changed accordingly in the text and plot and do not affect the conclusion of this experiment.

      2) thanks for the clarification that the interaction between the extracellular domain of EPHB2 and MYCBP2 might not occur directly - however, unless we missed this it was not clearly stated in the text. It is an important point and also a cool direction for the future - to find the elusive co-receptor that actually helps EPHB2 and MYCBP2 form a complex.

      We now also refer to this in the results section on line 215.

      “Since EPHB2 is a transmembrane protein and MYCBP2 is localised in the cytosol, these experiments suggest that the interaction between the extracellular domain of EPHB2 and MYCBP2 might be indirect and mediated by other unknown transmembrane proteins.”

      3) The Hela CRISPR cell line is better explained in the response letter but still not sufficiently explained in the text for a non-expert reader. If the authors want any reader to comprehend this, we would strongly recommend adding a scheme.

      We now include a schematic outlining the CRISPR cell generation as Fig. 3A and its description on line 926.

      Author response image 2.

      4) To clarify some of our previous (and persisting) concerns about Figure 3D/E - it is true that a reduction in 25% of cell size is dramatic. But (if we understand correctly) your claim is that a reduction in 22% (this is a guess, as the actual numbers are not supplies) is significantly less than 25%. Even if it is, statistically speaking, significant, what is the physiological relevance of this very slight effect? In this experiment, the N was quite large, and we wonder if the images in D are representative - it would be nice to label the data points in E to highlight which images you used.

      We now mention the average cell area contraction measurements in the legend to Fig. 3F on line 935. We also tracked down the individual cells shown in Fig. 3E and they are now labelled as data points in blue in Fig. 3F. HeLa cell collapse is a simplified model of EPHB2 function and we do not know whether the difference between the behaviour of CTRLCRISPR and MYCBP2 CRISPR cells is physiologically significant and thus we prefer not to speculate on this.

      5) Figure 3F and other stripe assays - In the end, it is your choice how to quantify. We believe that quantifying area of overlap is a more informative and objective measurement that might actually benefit your analyses. That said, if you do keep the quantification as it is now, you have to define the threshold of what you mean by "cell/s (or an axon in 7A, where it is even more complicated as are you eluding to primary, secondary, or even smaller branches) are RESIDING within the stripe". Is 1% overlap sufficient or do you need 10 or 50% overlap?

      We now added this statement to the methods on line 745: “A cell was considered to be on an ephrin-B2 stripe when more than 50% of its nucleus was located on that stripe”. For chick explant stripe assay, when measuring the length of an axon on a stripe, we only measured the main axons originated from the explants.

      For explant/stripe experiments in Fig. 7 AB, we now use the term “GFP-expressing neurite” rather than “branch”. This was already present in the results of the previous version, but the methods and legend needed to be brought up to date (lines 786 and 1008. We think that “branch” was a confusing term that was supposed to mean the same thing as “neurite” but came across as some indication of branching. We do not know whether the GFP+ neurites were primary or secondary extensions of explants, or in fact, whether some of them contained more than one axon. We also adjusted the method to reflect the fact that some stripes were used in conjunction with a single explant and added a reference to a previous study extensively using this method (Poliak et al., 2015) on line 778.

      6) We still don't get the link to the lysosomal degradation. Your data suggests that in your cells EPHB2 is primarily degraded by the lysosomal pathway and not proteasome. Any statement about MYCBP2 is not strongly supported by the data, in our opinion - Unless you develop some statistical measurement that shows that the effect of BafA1 is statistically different in MYCBP2 cells than in control cells. Currently, this is not the case and the link is therefore not warranted in our opinion.

      We generated a new version of Fig. 4K with average increase in EPHB2 levels in the presence of BafA1 and CoQ, compared to DMSO treated controls (see below). BafA1 and CoQ restored EPHB2 protein levels by 19% and 14% respectively in CtrlCRISPR cells, while the inhibitors restored EPHB2 protein levels by 40% and 35% respectively in MYCBP2 CRISPR cells.

      Author response image 3.

      For each of the 4 replicates, the increase in EPHB2 levels by BafA1 compared to DMSO is as follows:

      Author response table 1.

      These values are not significantly different between CtrlCRISPR cells versus MYCBP2 CRISPR cells (p= 0.08, student’s t test). Similarly for the CoQ experiment. We now temper our conclusion for this experiment: Although the difference in percentage increase between CTRLCRISPR cells and MYCBP2CRISPR cells is not significant, this trend raises the possibility that the loss of MYCBP2 promotes EPHB2 receptor degradation through the lysosomal pathway (line 319). We also adjusted the section title (line 306).

      7) While the C. elegans part is now MUCH better explained - we are not sure we understand the additional insight. The fact that vab-1 and glo4 double mutants are additive as are vab1 and fsn1, suggest they act in parallel (if the mutants are NULL, and not if they are hypomorphs, if one wants to be accurate) - how this relates to your story is unclear. The vab1/rpm1 double mutant is still uninformative and incomplete. rpm1 phenotype is so severe that nothing would make it more severe. We read the Jin paper that the authors directed to - nothing makes the rpm1 phenotype more severe. Yes, some DOWNSTREAM elements make the rpm1 phenotype LESS severe - this is not something you were testing, to the best of our knowledge. Rather, you wanted to see if rpm1 mutant resulted in stabilization of vab1 and thus suppression of vab1 phenotype - we are just not sure the system is amenable to test (actually reject) your hypothesis that Vab1 is degraded by rpm1. Also, assuming we are talking about NULLs, the fact that the rpm1 phenotype is WAY stronger than the vab1 mutant, suggests that rpm1 functions via multiple routes, adding even more complexity to the system. Given these results, despite the much improved clarity, we are still not sure that the worm data adds new insight, rather than potentially confusing the reader.

      We realise that the genetic interactions between vab-1 and the RPM-1/MYCBP2 signalling network are complicated. However, we insist on keeping the data for the sake of its availability for future studies and completeness. We also think it is important for readers and the community to see these data, even if the authors and reviewers are not entirely in agreement about the importance/interpretation of experimental outcomes. It is our hope that the community will examine the results and draw their own conclusions.

      A few points of clarification:

      The C. elegans experiments were designed to test genetically if the vertebrate interactions between EPHB2 and MYCBP2 and its signalling network are conserved. We studied two kinds of interactions: (1) between vab-1 and RPM-1/MYCBP2 downstream proteins (GLO-4 and FSN-1) and (2) between vab-1 and rpm-1. For these studies, we used null alleles for vab-1, glo-4 and fsn-1 which is now noted on lines 440, 453, 475 and 859. Our findings are consistent with the VAB-1 Ephrin receptor functioning in parallel to known RPM-1 binding proteins. This is further supported by new data: vab-1; fsn-1 double mutants showed enhanced incidence of axon overextension defects using a second transgenic background, zdIs5 (Pmec-4::GFP), to visualize axon termination (Fig. 8F).

      This second transgenic background also allowed us to generate new data to address your concerns about phenotypic saturation in rpm-1 mutants. To do this, we used the zdIs5 (Pmec4::GFP) genetic background, in which axon termination defects are not saturated in rpm-1 mutants (Fig. 8F) because they can be enhanced by other mutants such as cdc-42 and unc-33 (Fig. 7C, D, in Borgen et al. Development 144, 4658–4672 (2017), PMID 29084805). In this new background, we found that vab-1 loss of function fails to enhance the incidence of severe “hook” defects in rpm-1 mutants which is an indication that the two genes function in the same pathway. Importantly, prior studies in this background, also showed that mutants in the RPM-1 signalling network (e.g. fsn-1, glo-4 and ppm-2) do not enhance the incidence of severe “hook” defects as double mutants with rpm-1 compared to rpm-1 single mutants (Fig. 7B, ibid.).

      To reflect these ideas more clearly, we revised the Results section pertaining to C. elegans genetics (starting on line 418) and tempered our discussion (lines 517). Basically, this section now says that we studied genetic interactions between vab-1 and the RPM-1/MYCBP2 signalling network. From these experiments we conclude that: (1) The enhancement of overextension defects in vab-1; glo-4 and vab-1; fsn-1 double mutants compared to single mutants indicates that VAB-1/EPHR functions in parallel to known RPM-1 binding proteins to facilitate axon termination, and (2) Since the vab-1; rpm-1 double mutants do not display an increased frequency or severity of overextension defects compared to rpm-1 single mutants, VAB-1 /EPHR functions in the same genetic pathway as RPM-1/MYCBP2.

      The new genetic data included in this version were generated by Karla J. Opperman who is now included as a co-author.

      Further corrections:

      Author response image 4.

      Because of the errors associated with quantifications in Fig. 3D (see above), we reviewed other quantification methodologies and noticed another discrepancy that required a correction. In the hippocampal neuron growth cone collapse assay shown in the previous version of Fig. 7 D (left), the growth cones were classified into three groups: 1, fully collapsed; 2, hard to tell, but not fully collapsed; 3, fan-shape cones. Two different quantifications were performed as follows: (1), number of fully collapsed cones divided by the numbers of all growth cones; (2), number of fully collapsed cones divided by [number of fully collapsed cones + fan-shape cones]. CC erroneously used the second method to generate Fig. 7D.

      We think that the first method is more appropriate. Furthermore, since n=5 for the Fc and eB1-Fc conditions, but n=3 for the eB2-Fc condition, we decided to omit it. The final plot for figure 7D is the following:

      Author response image 5.

      Our conclusion still stands that exogenous FBD1 WT overexpression impaired the growth cone collapse mediated by EphB.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      In this paper, Steinemann et al. characterized the nature of stochastic signals underlying the trial-averaged responses observed in the lateral intraparietal cortex (LIP) of non-human primates (NHPs), while these performed the widely used random dot direction discrimination task. Ramp-up dynamics in the trial averaged LIP responses were reported in numerous papers before. However, the temporal dynamics of these signals at the single-trial level have been subject to debate. Using large-scale neuronal recordings with Neuropixels in NHPs, allows the authors to settle this debate rather compellingly. They show that drift-diffusion-like computations account well for the observed dynamics in LIP.

      Strengths:

      This work uses innovative technical approaches (Neuropixel recordings in behaving macaque monkeys). The authors tackle a vexing question that requires measurements of simultaneous neuronal population activity and hence leverage this advanced recording technique in a convincing way

      They use different population decoding strategies to help interpret the results.

      They also compare how decoders relying on the data-driven approach using dimensionality reduction of the full neural population space compare to decoders relying on more traditional ways to categorize neurons that are based on hypotheses about their function. Intriguingly, although the functionally identified neurons are a modest fraction of the population, decoders that only rely on this fraction achieve comparable decoding performance to those relying on the full population. Moreover, decoding weights for the full population did not allow the authors to reliably identify the functionally identified subpopulation.

      Weaknesses:

      No major weaknesses beyond a few, largely clarification issues, detailed below.

      We thank Reviewer 1 (R1) for this summary. The revised manuscript incorporates R1’s suggestions, as detailed below.

      Reviewer #2 (Public Review):

      Steinemann, Stine, and their co-authors studied the noisy accumulation of sensory evidence during perceptual decision-making using Neuropixels recordings in awake, behaving monkeys. Previous work has largely focused on describing the neural underpinnings through which sensory evidence accumulates to inform decisions, a process which on average resembles the systematic drift of a scalar decision variable toward an evidence threshold. The additional order of magnitude in recording throughput permitted by the methodology adopted in this work offers two opportunities to extend this understanding. First, larger-scale recordings allow for the study of relationships between the population activity state and behavior without averaging across trials. The authors’ observation here of covariation between the trial-to-trial fluctuations of activity and behavior (choice, reaction time) constitutes interesting new evidence for the claim that neural populations in LIP encode the behaviorally-relevant internal decision variable. Second, using Neuropixels allows the authors to sample LIP neurons with more diverse response properties (e.g. spatial RF location, motion direction selectivity), making the important question of how decision-related computations are structured in LIP amenable to study. For these reasons, the dataset collected in this study is unique and potentially quite valuable.

      However, the analyses at present do not convincingly support two of the manuscript’s key claims: (1) that ”sophisticated analyses of the full neuronal state space” and ”a simple average of Tconin neurons’ yield roughly equivalent representations of the decision variable; and (2) that direction-selective units in LIP provide the samples of instantaneous evidence that these Tconin neurons integrate. Supporting claim (1) would require results from sophisticated population analyses leveraging the full neuronal state space; however, the current analyses instead focus almost exclusively on 1D projections of the data. Supporting claim (2) convincingly would require larger samples of units overlapping the motion stimulus, as well as additional control analyses.

      We thank the reviewer (R2) for their careful reading of our paper and the many useful suggestions.

      As detailed below, the revised manuscript incorporates new control analyses, improved quantification, and statistical rigor, which now provide compelling support for key claim #1. We do not regard claim #2 as a key claim of the paper. It is an intriguing finding with solid support, worthy of dissemination and further investigation. We have clarified the writing on this matter.

      Specific shortcomings are addressed in further detail below:

      (1) The key analysis-correlation between trial-by-trial activity fluctuations and behavior, presented in Figure 5 is opaque, and would be more convincing with negative controls. To strengthen the claim that the relationship between fluctuations in (a projection of) activity and fluctuations in behavior is significant/meaningful, some evidence should be brought that this relationship is specific - e.g. do all projections of activity give rise to this relationship (or not), or what level of leverage is achieved with respect to choice/RT when the trial-by-trial correspondence with activity is broken by shuffling.

      We do not understand why R2 finds the analysis opaque, but we are grateful for the lucid recommendations. The relationships between fluctuations in neural activity and behavior are indeed “specific” in the sense that R2 uses this term. In addition to the shuffle control, which destroys both relationships (Reviewer Figure 1), we performed additional control analyses that preserve the correspondence of neural signals and behavior on the same trial. We generated random coding directions (CDs) by establishing weight vectors that were either chosen from a standard normal distribution or by permuting the weights assigned to PC-1 in each session. The latter is the more conservative measure. Projections of the neural responses onto these random coding directions render 𝑆rand(𝑡). Specifically, the degree of leverage is effectively zero or greatly reduced. These analyses are summarized in a new Supplementary Figure S10. The bottom row of Figure S10 also addresses the question, “What degree of leverage and mediation would be expected for a theoretical decision variable?” This is accomplished by simulating decision variables using the drift-diffusion model fits in Figure 1c. The simulation is consistent with the leverage and (incomplete) mediation observed for the populations of Tcon neurons. For details see Methods, Simulated decision variables and Leverage of single-trial activity on behavior.

      (2) The choice to perform most analysis on 1D projections of population activity is not wholly appropriate for this unique type of dataset, limiting the novelty of the findings, and the interpretation of similarity between results across choices of projection appears circular:

      We disagree with the characterization of our argument as circular, but R2 raises several important points that will probably occur to other careful readers. We address them as subpoints 2.1–2.4, below. Importantly, we are neither claiming nor assuming that the LIP population activity is one-dimensional. We have revised the paper to avoid giving this impression. We are also not claiming that the average of Tin neurons (or the 1D projections) explains all features of the LIP population, nor would we expect it to, given the diversity of response fields across the population. Our objective is to identify the specific dimension within population activity that captures the decision variable (DV), which has been characterized successfully as a one-dimensional stochastic process—that is, a scalar function of time. We have endeavored to clarify our thinking on this point in the revised manuscript (e.g., lines 97–98, 103–104).

      (2.1) The bulk of the analyses (Figure 2, Figure 3, part of Figure 4, Figure 5, Figure 6) operate on one of several 1D projections of simultaneously recorded activity. Unless the embedding dimension of these datasets really does not exceed 1 (dimensionality using e.g. participation ratio in each session is not quantified), it is likely that these projections elide meaningful features of LIP population activity.

      We now report the participation ratio (4.4 ± 0.4, mean ± s.e. across sessions), and we state that the first 3 PCs explain 67.1±3.1% of the variance of time- and coherence-dependent signals used for the PCA. We agree that the 1D projections may elide meaningful features of LIP population activity. Indeed, we make this point through our analysis of the Min neurons. We do not claim that the 1D projections explain all of the meaningful features of LIP population activity. They do, however, reveal the decision variable, which is our main focus. These 1D signals contain features that correlate with events in the superior colliculus, summarized in Stine et al. (2023), attesting to their biological relevance.

      (2.2) Further, the observed similarity of results across these 1D projections may not be meaningful/interpretable. First, the rationale behind deriving Sramp was based on the ramping historically observed in Tin neurons during this task, so should be expected to resemble Tin.

      The Reviewer is correct that we would expect 𝑆ramp to resemble the ramping observed in Tin neurons. We refer to this approach as hypothesis-driven. It captures the drift component of drift-diffusion. It is true that the Tcon neurons exhibit such ramps in their trial average firing rates, but this does not guarantee in

      that the single-trial population firing rates would manifest as drift-diffusion. Indeed Latimer et al. (2015) concluded that the ramp-like averages comprise stepping from a low to a high firing rate on each trial at a random time. Therefore, while R2 is right to characterize the similarity of Tcon to the ramp direction in in trial-averaged activity as unsurprising, their similarity on single trials is not guaranteed.

      (2.3) Second, Tin comprises the largest fraction of the neuron groups sampled during most sessions, so SPC1 should resemble Tin too. The finding that decision variables derived from the whole population’s activity reduce essentially to the average of Tin neurons is thus at least in part ’baked in’ to the approach used for deriving the decision variables.

      This is incorrect. The Tcon in neurons constitute only 14.5% of the population, on average, across the sessions (see Table 1). This misunderstanding might contribute to R2’s concern about the importance of these neurons in shaping PC1. It is not simply because they are over-represented. Also, addressing R2’s concern about circularity, we would like to remind R2 that the selection of Tin neurons was based only on their spatial selectivity in the delayed saccade task. We do not see how it could be baked-in/guaranteed that a simple average of these neurons (i.e. zero degrees of freedom) yields dynamics and behavioral correlations that match those produced by dimensionality-reduction techniques that (𝑖) have degrees of freedom equal to the number of neurons and (𝑖𝑖) are blind to the neurons’ spatial selectivity. We have additionally modified what is now Supplementary Figure S13 (old Supplementary Figure S8), which portrays the mean accuracy of choice decoders trained on the neural activity of all neurons, only Tin neurons, all but the Tin neurons, and all but Tin and Min neurons, respectively. Figure S13 now highlights how much more readily choice can be decoded from the small population of Tin neurons than the remainder of the population.

      (2.4) The analysis presented in Figure S6 looks like an attempt to demonstrate that this isn’t the case, but is opaque. Are the magnitudes of weights assigned to units in Tin larger than in the other groups of units with preselected response properties? What is their mean weighting magnitude, in comparison with the mean weight magnitude assigned to other groups? What is the null level of correspondence observed between weight magnitude and assignment to Tin (e.g. a negative control, where the identities of units are scrambled)?

      The revised Figure S6—what is now Figure S9—displays more clearly that the weights assigned to Tcon and Tips neurons (purple & yellow, respectively) are larger in magnitude than those assigned in in to other neurons (gray). Author response table 1 shows a more detailed breakdown of the groups. Note that the length of the vector of weights is one. We are unsure what R2 means by “the null level of correspondence.” Perhaps it helps to know that the mean weight of the “other neurons” is close to zero for all four coding directions. However, it is the overlap of the weights and the relative abundance of non-Tin neurons that is more germane to the point we are making. To wit, knowing the weight (or percentile) of a neuron is a poor predictor that it belongs to the Tin category. This point is most clearly supported by the logistic regression (Fig. S9, bottom row). In other words, the large group of non-Tin neurons contribute substantially to all four coding directions examined in Figure S9. Thus, the similarity between Tin neurons and PC1 is not simply due to an over-representation of Tin neurons as suggested in item 2.3.

      Author response table 1.

      Mean weights assigned to neuron classes in four coding directions.

      (3) The principal components analysis normalization procedure is unclear, and potentially incorrect and misleading: Why use the chosen normalization window (±25ms around 100ms after motion stimulus onset) for standardizing activity for PCA, rather than the typical choice of mean/standard deviation of activity in the full data window? This choice would specifically squash responses for units with a strong visual response, which distorts the covariance matrix, and thus the principal components that result. This kind of departure from the standard procedure should be clearly justified: what do the principal components look like when a standard procedure is used, and why was this insufficient/incorrect/unsuitable for this setting?

      We used the early window because it is a robust measure of overall excitability, but we now use a more conventional window that spans the main epoch of our analyses, 200–600 ms after motion onset. This method yields results qualitatively similar to the original method. We are persuaded that this is the more sensible choice. We thank R2 for raising this concern.

      (4) Analysis conclusions would generally be stronger with estimates of variability and control analyses: This applies broadly to Figures 2-6.

      We have added estimates of variability and control analyses where appropriate.

      Figure 2 shows examples of single-trial signals. The variability is addressed in Figure 3a and the new Supplementary Figure S5.

      Figure 3 now contains error bars derived by bootstrapping (see Methods, Variance and autocorrelation of smoothed diffusion signals). We have also added Supplementary Figure S5, which substantiates the sublinearity claim using simulations.

      Figure 4 (i) We now indicate the s.e.m. of decoding accuracy (across sessions) by the shading in Figure 4a. (ii) The black symbols in new Supplementary Figure S8 show the mean±s.e.m. for all pairwise comparisons shown in Figure 4d & e. (iii) Supplementary Figure S8 also summarizes two control analyses that deploy random coding directions (CDs) in neuronal state space. The upper row of Fig S9 compares the observed cosine similarity (CoSim)—between the CD identified by the graph title and the other four CDs labeled along the abscissa—with values obtained with 1000 random CDs established by random permutations of the weight assignments. The brown symbols are the mean±sdev of the CoSim (N=1000). The error bars are smaller than the symbols. We use the cumulative distribution of CoSim under permutation to estimate p-values (p<0.001 for all comparisons). We used a similar approach to estimate the distribution of the analogous correlation statistics between signals rendered by random directions in state space (Figure S8, lower row). For additional details, please see Methods, Similarity of single-trial signals.

      Figure 5: The rigor of all claims associated with this figure is adduced from two control analyses and a simulation. The first control breaks the trial-by-trial correspondence between neural signals and behavior (Reviewer Figure 1). The second control shows that neural activity does not have substantial leverage on behavior when projected onto random directions in state space (Supplementary Figure S10, top). Simulations of decision variables using parameters derived from the fits to the behavioral data (Figure 1) support a degree of leverage and mediation comparable to the values observed for 𝑆Tincon (Supplementary Figure S10, bottom). For additional details, please see Methods (Leverage of single-trial activity on behavior) and the reply to item 1, above.

      Figure 6: Panels c&d show estimates of variability across neurons and experimental sessions, respectively. The reported p-value is based on a permutation test (see Methods, Correlations between Min and Tconin ). The correlations shown in panel e (heatmap) are derived from pooled data across sessions. The reported p-value is based on a permutation test (see Methods, Correlations between Min and Tconin ).

      Reviewer #3 (Public Review):

      Summary:

      The paper investigates which aspects of neural activity in LIP of the macaque give rise to individual decisions

      (specificity of choice and reaction times) in single trials, by recording simultaneously from hundreds of neurons. Using a variety of dimensionality reduction and decoding techniques, they demonstrate that a population-based drift-diffusion signal, which relies on a small subset of neurons that overlap choice targets, is responsible for the choice and reaction time variability. Analysis of direction-selective neurons in LIP and their correlation with decision-related neurons (T con in [Tconin ] neurons ) suggests that evidence integration occurs within area LIP.

      Strengths:

      This is an important and interesting paper, which resolves conflicting hypotheses regarding the mechanisms that underlie decision-making in single trials. This is made possible by exploiting novel technology (Primatepixels recordings), in conjunction with state-of-the-art analyses and well-established dynamic random dot motion discrimination tasks.

      General recommendations:

      (1) Please tone down causal language. You presentcompelling correlativeevidencefor the idea thatLIP population activity encodes the drift-diffusion DV. We feel that claims beyond that (e.g., ”Single-trial drift-diffusion signals control the choice and decision time”) would require direct interventions, and are only partially supported by the current evidence. Further examples are provided in point 1) of Reviewer 1 below.

      We have adopted the recommendation to “tone down the causal language.” Throughout the manuscript, we strive to avoid conveying the false impression that the present findings provide causal support for the decision mechanism. However, other causal studies of LIP support causality in the random dot motion task (Hanks et al., 2006; Jeurissen et al., 2022). It is therefore justifiable to use terms that imply causality in statements intended to convey hypotheses about mechanism. We agree that we should not give the false impression that the present support for said mechanism is adduced from causal perturbations in this study, as there were none.

      (2) Please provide a commonly used, data-driven quantification of the dimensionality of the population activity – for example, using participation ratio or the number of PCs explaining 90 % of the variance. This will help readers evaluate the conclusions about the dimensionality of the data.

      Principal component analysis reveals a participation ratio of 4.4 ± 0.4 (mean ±s.e., across sessions), and the first 3 PCs explain 67.1 ± 3.1 percent of the variance. The dimensionality of the data is low, but greater than one. We state this in Methods (Principal Component Analysis) and in Results (Single-trial drift-diffusion signals approximate the decision variable, lines 200–201).

      (3) Please justify the normalization procedure used for PCA: Why use the chosen normalization window (±25ms around 100ms after motion stimulus onset) for standardizing activity for PCA, rather than the more common quantification of mean/standard deviation across the full data window? What do the first principal components look like when the latter procedure is used?

      We now use a more conventional window that spans the main epoch of our analyses, 200–600 ms after motion onset. This method yields results qualitatively similar to the original method. We are persuaded that this is the more sensible choice.

      (4) Please provide estimates of variability for variance and autocorrelation in Fig. 3 (e.g., through bootstrapping). Further, simulations could substantiate the claim about the expected sub-linearity at later time points (Fig. 3a) due to the upper stopping bound and limited firing rate range.

      We thank the reviewers for these helpful recommendations. The revised Fig. 3 now contains error bars derived by bootstrapping (see Methods, Variance and autocorrelation of smoothed diffusion signals). We have also added Supplementary Figure S5, which substantiates the sub-linearity claim using simulations.

      (5) Please add controls and estimates of variability for decoding across sessions in Fig. 4: what are the levels of within-trial correlation/cosine similarity for random coding directions? What is the variability in the estimates of values shown in a/d/e?

      We have addressed each of these items. (1) Figure 4a now shows the s.e.m. of decoding accuracy (across sessions). (2) Regarding the variability of estimates shown in Figure 4d & e, the standard errors are displayed in the new supplementary Figure S8. It makes sense to show them there because there is no natural way to represent error on the heat maps in Figure 4, and Figure S8 concerns the comparison of the values in Figure 4d&e to values derived from random coding directions. (3) Random coding directions lead to values of cosine similarity and within-trial correlation that do not differ significantly from zero. We show this in several ways, summarized in our reply to Public Review item 4. Additional details are in the revised manuscript (Methods, Similarity of single-trial signals) and the new Supplementary Figure S8.

      (6) Please perform additional analysis to strengthen the claim from Fig. 6, that Min represents the integrand and not the integral. The analysis in Fig. 6d could be repeated with the integral (cumulative sum) of the single-trial Min signals. Does this yield an increase in leverage over time?

      The short answer is, yes in part. Reviewer Figure 2a provides support for leverage of the integral on choice, and this leverage, like 𝑆Tincon (t), increases as a function of time. The effect is present in all seven sessions that have both Mleftin and Mrightin neurons (all 𝑝 < 1𝑒 − 10). However, as shown in panel b, the same integral fails to demonstrate more than a hint of leverage on RT. All correlations are barely negative, and the magnitude does not increase as a function of time. We suspect—but cannot prove—that this failure arises because of limited power and the expected weak effect. Recall that the mediation analysis of RT is restricted to longer trials. Moreover, the correlation between the Min difference and the Tin signal is less than 0.1 (heatmap, Fig. 6e), implying that the Min difference explains less than 1% of the variance of 𝑆Tin(𝑡). We considered including Reviewer Figure 2 in the paper, but we feel it would be disingenuous (cherry-picking) to report only the positive outcome of the leverage on choice. If the editors feel strongly about it, we would be open to including it, but leaving these analyses out of the revised manuscript seems more consistent with our effort to deëmphasize this finding. In the future, we plan to record simultaneously from populations MT and LIP neurons (Min and Tin, of course) and optimize Min neuron yield by placing the RDM stimulus in the periphery.

      (7) Please describe the complete procedure for determining spatially-selective activity. E.g.: What response epoch was used, what was the spatial layout of the response targets, were responses to all ipsi- vs contralateral targets pooled, what was the spatial distribution of response fields relative to the choice targets across the population?

      We thank the reviewers for pointing out this oversight. We now explain this procedure in the Methods (lines 629–644):

      Neurons were classified post hoc as Tin by visual-inspection of spatial heatmaps of neural activity acquired in the delayed saccade task. We inspected activity in the visual, delay, and perisaccadic epochs of the task. The distribution of target locations was guided by the spatial selectivity of simultaneously recorded neurons in the superior colliculus (see Stine 2023 for details). Briefly, after identifying the location of the SC response fields, we randomly presented saccade targets within this location and seven other, equally spaced locations at the same eccentricity. In monkey J we also included 1–3 additional eccentricities, spanning 5–16 degrees. Neurons were classified as Tin if they displayed a clear, spatially-selective response in at least one epoch to one of the two locations occupied by the choice targets in the main task. Neurons that switched their spatial selectivity in different epochs were not classified as Tin. The classification was conducted before the analyses of activity in the motion discrimination task. The procedure was meant to mimic those used in earlier single-neuron studies of LIP (e.g., Roitman & Shadlen 2002) in which the location of the choice targets was determined online by the qualitative spatial selectivity of the neuron under study. The Tcon neurons in the in present study were highly selective for either the contralateral or ipislateral choice target used in the RDM task (AUC = 0.89±0.01; 𝑝 < 0.05 for 97% of neurons, Wilcoxon rank sum test). Given the sparse sampling of saccade target locations, we are unable to supply a quantitative estimate of the center and spatial extent of the RFs.

      (8) Please clarify if a neuron could be classified as both Tin and Min. Or were these categories mutually exclusive?

      These categories are mutually exclusive. If a neuron has spatially-selective persistent activity, as defined by the method described above, it is classified as a Tin neuron and not as an Min neuron even if it also shows motion-selective activity during passive motion viewing. We now specify this in the Methods (lines 831–832).

      Reviewer #1 (Recommendations For The Authors):

      𝑅∗1.1a Causal language (Line 23-24): “population activity represents […] drift” and “we provide direct support for the hypothesis that drift-diffusion signal is the quantity responsible for the variability in choice and RT” reads at first sight as if the authors claim that they present evidence for a causal effect of LIP activity on choice. The authors areotherwisenuanced and carefultopointout thattheir evidence is correlational. What seems to be meant is that the population activity/drift-diffusion signal ”approximates the DV that gives rise to the choices […]” (cf. line 399). I would recommend using such alternative phrasing to avoid confusion (and the typically strong reactions by readers against misleading causal statements).

      We have adopted the reviewer’s recommendation and have modified the text throughout to reduce causal language. See our response to General Recommendation 1.

      𝑅∗1.1b Relatedly, any discussion about the possibility of LIP being causally involved in evidence integration (e.g. lines 429-445 [Au: now 462–478]) should also comment on the possibility of a distributed representation of the decision variable given that neural correlates of the DV have been reported in several areas including PFC, caudate and FEF.

      We believe this is possible. However, we hope to avoid discussions about causality given that it is not a focus of the paper. Although it is somewhat tangential, we have shown elsewhere that LIP is causal in the sense that causal manipulations affect behavior, but it is also true that causality does not imply necessity, and similarly, lack of necessity does not imply “only correlation.” Regarding distributed representations, it is worth keeping in mind the cautionary counter-example furnished by the SC study (Stine et al., 2023). The firing rates measured by averaging over trials are similar in SC and LIP; both manifest as coherence and direction-dependent ramps, leading to the suggestion that they form a distributed representation of the decision variable. With single-trial resolution, we now know that LIP and SC exhibit distinct dynamics—drift-diffusion and bursting, respectively. It remains to be seen if single-trial resolution achievable by simultaneous Neuropixels recordings from prefrontal areas and LIP reveal shared or distinct dynamics.

      𝑅∗1.2 How was the spatially selective activity determined? The classification of Tin neurons is critical to this study - how was their spatial selectivity determined? Please describe this in similar detail as the description of direction selectivity on lines 681-690 [Au: now 824–832]. E.g.: what response epoch was used, what was the spatial layout of the response targets, were responses to all ipsi- vs contralateral targets pooled, and what was the spatial distribution of response fields relative to the choice targets across the population?

      We now explain the selection procedure in Methods (lines 629–644). Please see our reply to General Recommendation 7, above.

      𝑅∗1.3 Could a neuron be classified as both Tin and Min, or were these categories mutually exclusive? Please clarify. (This goes beyond the scope of the current study: but did the authors find evidence for topographic organization or clustering of these categories of neurons?)

      These categories are mutually exclusive. Please see our response to General Recommendation 8, above.

      𝑅∗1.4 Contrary to the statement on line 121, the trial averages in Fig. 2a, 2b show coherence dependency at the time of the saccade in saccade-aligned traces for the coding strategies, except for STin (fig. 2c). Is this a result of the choice for t1 (= 0.1s)? (The authors may want to change their statement on line 121.) Relatedly, do the population responses for the two coding strategies Sramp and SPC1 depend on the epoch used to derive weights for individual neurons?

      We have revised the description to accommodate R2’s observation. 𝑆ramp retains weak coherence-dependence before saccades towards the choice target contralateral to the recording site. This was true in four of the eight sessions. For 𝑆PC1, there is no longer a coherence dependency for the Tin choices, owing to the change in normalization method (see revised Figure 2b).

      We also corrected an error in the Methods section. Specifically, the ramp ends at 𝑡1 \= 0.05 s before the time of the saccade, not 𝑡1 \= 0.1 s. While we no longer emphasize the similarity of traces aligned to saccade, it is reasonable to find issue with the observation that they retain a dependency on coherence (𝑆ramp only) because, according to theory, traces associated with Tin choices should reach a common positive threshold at decision termination. That said, for the Ramp direction there may be a reason to expect this discrepancy from theory. The deterministic part of drift-diffusion includes an urgency signal that confers positive convexity to the deterministic drift. This accelerating nonlinearity is not captured by the ramp, and it is more prominent at longer decision times, thus low coherences. We do not share this interpretation in the revised manuscript, in part because retention of coherence dependency is present in only half the sessions (see Reviewer Figure 3) The correction to the definition of 𝑡1 also provides an opportunity to address R2’s final question (“Relatedly,…?”). For 𝑆ramp this particular variation in 𝑡1 does not affect 𝑆ramp, and 𝑆PC1 no longer retains coherence dependency for Tin choices. Note that our choice of 𝑡0 and 𝑡1 is based on the empirical observation that the ramping activity in response averages of Tin neurons typically begins 200 ms after motion onset and ends 50–100 ms before initiation of the saccadic choice. The starting time (𝑡0) is also supported by the observation that the decoding accuracy of a choice-decoder begins to diverge from chance at this time (Figure 4a).

      𝑅∗1.5 It is intriguing that Sramp and SPC1 show dynamics that look so similar (fig. 2a, 2b). How do the weights assigned to each neuron in both strategies compare across the population?

      The weights assigned to each neuron are very similar across the two strategies as indicated by a cosine similarity (0.65 ± 0.04, mean ±s.e.m. across sessions).

      𝑅∗1.6 Tin neurons, which show dynamics closely resembling different coding directions (fig. 2) and the decoders do not have weights that can distinguish them from the rest of the population in each of these analyses (fig. S7). Is it fair to interpret these findings as evidence for broad decision-related co-variability in the recorded neural population in LIP?

      Yes, our results are consistent with this interpretation. However, it is worth reiterating that decoding performance drops considerably when Tin neurons are not included (see Supplementary Figure S13). Thus, this broad decision-related co-variability is present but weak.

      𝑅∗1.7 It is intriguing that the decoding weights of the different decoders did not allow the authors to reliably identify Tin neurons. Could this be, in part, due to the low dimensionality of the population activity and task that the animals are presumably overtrained on? Or do the authors expect this finding to hold up if the population activity and task were higher dimensional?

      Great question! We can only speculate, but it seems possible that a more complex, “higher dimensional” task could make it easier to identify Tin neurons. For example, a task with four choices instead of two may decrease correlations among groups of neurons with different response fields. We have added this caveat to the discussion (lines 459-–461). One minor semantic objection: The animal has learned to perform a highly contrived task at low signal-to-noise. The animal is well-trained, not over-trained.

      𝑅∗1.8 Lines 135-137 [Au: now 141–142]: The similarity in the single trial traces from different coding strategies (fig. 2a-2c, left) is not as evident to me as the authors suggest. It might be worthwhile computing the correlation coefficients between individual traces for each pair of strategies and reporting the mean correlation to support the author’s point.

      We report the mean correlation between single-trial signals generated by the chosen dimensionality reduction methods in Figure 4e. We show the variability in this measure in Supplementary Figure S8. We have also adjusted the opacity of the single-trial traces in Figure 2, left.

      𝑅∗1.9 Minor/typos:

      -line 74: consider additionally citing Hyafil et al. 2023.

      -line 588: ”that were strongly correlated”?

      -line 615: ”were the actual drift-diffusion process were...”.

      -line 717: ”a causal influence” -> ”no causal influence”.

      Fig. 6: panel labels e vs d are swapped between the figure and caption.

      Fig. 3c: labels r1,3 & r2,3 are flipped.

      We have addressed all of these items. Thank you.

      Reviewer #2 (Recommendations For The Authors):

      𝑅∗2.1 (Figure 2) Determine whether restricting the analysis to 1D projections of the data is a suitable approach given the actual dimensionality of the datasets being analyzed:

      - Should show some quantification of the dimensionality of the recorded activity; could do this by quantifying the dimensionality of population activity in each session, e.g. with participation ratio or related measures (like # PCs to explain some high proportion of the variance, e.g. 90 %). If much of the variation is not described in 1 dimension, then the paper would benefit from some discussion/analysis of the signals that occupy the other dimensions.

      We now report the participation ratio (4.4 ± 0.4, mean ±s.e. across sessions), and we state that the first 3 PCs explain 67.1 ± 3.1% of the variance of the time- and coherence-dependent signals used for the PCA (mean ±s.e). We agree that the 1D projections may elide meaningful features of LIP population activity. Indeed, we make this point through our analysis of the Min neurons. To reiterate our response above, we do not claim that the 1D projections explain all of the meaningful features of LIP population activity. They do, however, reveal the decision variable, which is our main focus. These 1D signals contain features that correlate with events in the superior colliculus, summarized in Stine et al. (2023), attesting to their biological relevance.

      The Reviewer is correct that our approach presupposes a linear embedding of the 1D decision variable inthepopulationactivity. Inotherwords, anonlinearrepresentationofthe1Ddecisionvariableinpopulation activity could have an embedding dimensionality greater than 1, and there may well be a non-linear method that reveals this representation. To test this possibility, we decoded choice on each trial from population activity using (1) a linear decoder (logistic classifier) or (2) a multi-layer neural network, which can exploit non-linearities. We found that, for each session, the two decoders performed similarly: the neural network outperforms the logistic decoder (barely) in just one session. The analysis suggests that the assumption of linear embedding of the decision variable is justified. We hope this analysis convinces the reviewer that “sophisticated analyses of the full neuronal state space” and “a simple average of [Tcon ] neurons” do in indeed yield roughly equivalent representations of the decision variable. We have included the results of this analysis in Supplementary Figure S12. See also item 2 of the Public response.

      𝑅∗2.2 (Figure 3) Add estimates of variability for variance and autocorrelation through time from single-trial signals:

      –   E.g. by bootstrapping. Would be helpful for making rigorous the discussion of when the deviation from the theory is outside what would be expected by chance, even if it doesn’t change the specific conclusions here.

      –   If possible, it would help (by simulations, or maybe an added reference if it exists) to substantiate the claim about the expected sub-linearity at later time-points (Figure 3a) due to the upper stopping bound and limited firing rate range.

      We thank the reviewer for this helpful comment. The revised Fig. 3 now contains error bars derived by bootstrapping (see Methods, §Variance and autocorrelation of smoothed diffusion signals). We have also added Supplementary Figure S5, which substantiates the sub-linearity claim using simulations.

      𝑅∗2.3 (Figure 4) Add controls and estimates of variability for decoding across sessions:

      –   As a baseline - what is the level of within-trial correlation/cosine similarity when random coding directions are used?

      –   What is the variability in the estimates of values shown in a/d/e?

      We have addressed each of these items. (1) Figure 4a now shows the s.e.m. of decoding accuracy (across sessions). (2) Regarding the variability of estimates shown in Figure 4d & e, the standard errors are displayed in the new Supplementary Figure S8. It makes sense to show them there because (i) there is no natural way to represent error on the heat maps in Figure 4, and (ii) S8 concerns the comparison of the values in Figure 4d & e to values derived from random coding directions. (3) Random coding directions lead to values of cosine similarity and within-trial correlation that do not differ significantly from zero. We show this in several ways, summarized in our reply to Public Review item 4. Additional details are in the revised manuscript (Methods: Similarity of single-trial signals) and the new Supplementary Figure S8. We also provide this information in response to Recommendation 5, above.

      𝑅∗2.4 (Figure 5) Add negative controls and significance tests to support claims about trends in leverage:

      –   What is the level of increase in leverage attained from random 1D projections of the data, or other projections where the prior would be no leverage?

      –   What is the range of leverage values fit for a simulated signal with a ground-truth of no trend?

      We have added two control analyses. In addition to a shuffle control, which destroys the relationship (Review Figure 1) we performed additional analyses that preserve the correspondence of neural signals and behavior on the same trial. We generated random coding directions (CDs) by establishing weight-vectors that were either chosen from a Normal distribution or by permuting the weights assigned to PC-1 in each session. The latter is the more conservative measure. Projections of the neural responses onto these random coding directions render 𝑆rand(𝑡). Specifically, the degree of leverage is effectively zero or very much reduced. These analyses are summarized in a new Supplementary Figure S10. The distributions of our test statistics (e.g., leverage on choice and RT) under the variants of the null hypothesis also support traditional metrics of statistical significance. Figure S10 (bottom row) also provides an approximate answer to the question: What degree of leverage and mediation would be expected for a theoretical decision variable? Briefly, we simulated 60,000 trials using the race model that best fits the behavioral data of monkey M. For any noise-free representation of a Markovian integration process, the leverage of an early sample of the DV on behavior would be mediated completely by later activity as the latter sample—up to the time of commitment—subsumes all variability captured by the earlier sample. We, therefore, generated 𝑆sim(𝑡) by first subsampling the simulated data to match the trial numbers of each session. To evaluate a DV approximated from the activity of 𝑁 Tconin neurons per session rather than the true DV represented by the entire population, we generated 𝑁 noisy instantiations of the signal for each of the subsampled, simulated trials. The noisy decision variable, 𝑆sim (t) is the mean activity of these 𝑁 noise-corrupted signals. The simulation is consistent with the leverage and incomplete mediation observed for the populations of Tcon neurons. For in additional details, see Methods, §Leverage of single-trial activity on behavior) and Supplementary Figure S10, caption. See also our response to item 1 of the Public Response.

      𝑅∗2.5 The analysis is performed across several signed coherence levels, with data detrended for each signed coherence and choice to enable comparison of fluctuations relative to the relevant baseline; are results similar for the different coherences?

      The results are qualitatively similar for individual coherences. There is less power, of course, because there are fewer trials. The analyses cannot be performed for coherences ≥ 12.8% because there are not enough trials that satisfy the inclusion criteria (presence of left and right choice trials with RT ≤ 670 ms). Nonetheless, leverage on choice and RT is statistically significant for 27 of the 30 combinations of motion strengths < 12.8% × three signals (𝑆ramp, 𝑆PC1 and 𝑆Tin) × behavioral measures (RT and choice) (RT: all 𝑝 < 0.008, Fisher-z; choice: all 𝑝 < 0.05, t-test ). The three exceptions are trials with 6.4% coherence rightward motion, which do not correlate significantly with RT on leftward choice trials. Reviewer Figure 4 shows the results of the leverage and mediation analyses, using only the 0% coherence trials.

      𝑅∗2.6 (Figure 6) Additional analysis to strengthen the claim that Min represents the integrand and not the integral:

      a. Repeating the analysis in Figure 6d with the integral (cumulative sum) of the single-trial Min signals and instead observing a significant increase in leverage over time would be strong evidence for this interpretation. If you again see no increase, then it suggests that the activity of these units (while direction selective) may not be strongly yoked to behavior. This scenario (no increasing leverage of the integral of Min on behavior through time) also raises an intriguing alternative possibility: that the noise driving the ’diffusion’ of drift-diffusion here may originate in the integrating circuit, rather than just reflecting the complete integration of noise in the stream of evidence itself.

      b. Repeating the analysis in Figure 6d with the projection of the M subspace onto its own first PC (e.g. take the union of units {Mrightin, Mleftin} [our ], do PCA just on those units’ single

      trial activities, identify the first PC, and project those activities on that dimension to obtain SPC1-M.

      c. Ameliorating the sample-size limitation by relaxing the criteria for inclusion in Min - performing the same analyses shown, but including all units with visual RFs overlapping the motion stimulus, irrespective of their direction selectivity.

      a. Reviewer Figure 2a provides support for leverage of the integral on choice, and this leverage, like , increases as a function of time. The effect is present in all seven sessions that have both and neurons (all 𝑝 < 1𝑒 − 10). However, as shown in panel b, the same integral fails

      to demonstrate more than a hint of leverage on RT (all correlations are negative) and the magnitude does not vary as a function of time. We suspect—but cannot prove—that this failure arises because of limited power and the expected weak effect. Recall that the mediation analysis of RT is restricted to longer trials and that the correlation between the Min difference and the signal is less than 0.1 over the heatmap in Fig. 6e, implying that the Min difference explains less than 1% of the variance of 𝑆Tin(𝑡). We considered including Reviewer Figure 2 in the paper, but we feel it would be disingenuous (cherrypicking) to report only the positive outcome of the leverage on choice. If the editors feel strongly about it, we would be open to including it, but leaving these analyses out of the revised manuscript seems more consistent with our effort to deëmphasize this finding. In the future, we plan to record simultaneously from populations MT and LIP neurons (Min and Tin, of course) and optimize Min neuron yield by placing the RDM stimulus in the periphery. We also provide this information in response to Recommendation (6) above.

      b.  We tried the R’s suggestion to apply PCA to the union of Min neurons , , fully expecting PC1 to comprise weights of opposite sign for the right and left preferring neurons, but that is not what we observed. Instead, the direction selectivity is distributed over at least two PCs. We think this is a reflection of the prominence of other signals, such as the strong visual response and normalization signals (see Shushruth et al., 2018). In the spirit of the R’s suggestion, we also established an “evidence coding direction” using a regression strategy similar to the Ramp CD applied to the union of Min neurons. The strategy produced a coding direction with opposite signed weights dominating the right and left subsets. The projection of the neural data on this evidence CD yields a signal similar to the difference variable used in Fig. 6e (i.e., signals that are approximately constant firing rates vs time and scale as a function of signed coherence). These unintegrated signals exhibit weak leverage on choice and RT, consistent with Figure 6d. However, the integrated signal has leverage on choice but not RT, similar to the integral of the difference signal in Reviewer Figure 2.

      c.   We do not understand the motivation for this analysis. We could apply PCA or dPCA (or the regression approach, described above) to the population of units with RFs that overlap the motion stimulus, but it is hard to see how this would test the hypothesis that direction-selective neurons similar to those in area MT supply the momentary evidence. As mentioned, we have very few Min neurons (as few as two in session 3). Future experiments that place the motion stimulus in the periphery would likely increase the yield of Min neurons and would be better suited to study this question. As such, we do not see the integrand-like responses of Min neurons as a major claim of the paper. Instead, we view it as an intriguing observation that deserves follow-up in future experiments, including simultaneous recordings from populations of MT and LIP neurons (Min and Tin, of course). We have softened the language considerably to make it clear that future work will be needed to make strong claims about the nature of Min neurons.

      𝑅∗2.7 Other questions: Figure 2c is described as showing the average firing rate of units in Tconin on single trials, but must also incorporate some baseline subtraction (as the shown traces dip into negative firing rates). Whatbaselineissubtracted? Aretheseresidualsignals, asdescribedforlaterfigures, orisadifferent method used? (Presumably, a similar procedure is used also for Figure 2a/b, given that all single-trial traces begin at 0.). Is the baseline subtraction justified? If the dataset really does reflect the decision variable with single-trial resolution, eliminating the baseline subtraction when visualizing single-trial activity might actually help to make the point clearer: trials which (for any reason) begin with a higher projection on the particular direction that furnishes the DV would be predicted to reach the decision bound, at any fixed coherence, more quickly than trials with a smaller projection onto this direction.

      We thank the reviewer for this comment. For each trial, the mean activity between 175 ms and 225 ms after motion onset was subtracted when generating the single-trial traces. The baseline subtraction was only applied for visualization to better portray the diffusion component in the signal. Unless otherwise indicated, all analyses are computed on non-baseline corrected data. We now describe in the caption of Figure 2 that “For visualization, single-trial traces were baseline corrected by subtracting the activity in a 50 ms window around 200 ms.” Examples of the raw traces used for all follow-up analyses are displayed in Reviewer Figure 6.

      Reviewer #3 (Recommendations For The Authors):

      I only have a few comments to make the paper more accessible:

      𝑅∗3.1 I struggle to understand how the linear fitting from -1 to 1 was done. More detail about how the single cell single-trial activity was generated to possibly go from -1 to 1 or do I completely misunderstand the approach? I assume the data standardization does that job?

      We have rephrased and added clarifying detail to the section describing the derivation of the ramp signal in the Methods (Ramp direction).

      We applied linear regression to generate a signal that best approximates a linear ramp, on each trial, 𝑖, that terminates with a saccade to the choice-target contralateral to the hemisphere of the LIP recordings. The ramps are defined in the epoch spanning the decision time: each ramp begins at 𝑓𝑖(𝑡0) = −1, where 𝑡0 \= 0.2 s after motion onset, and ends at 𝑓𝑖(𝑡1) = 1, where 𝑡1 \= 𝑡sac − 0.05 s (i.e., 50 ms before saccade initiation). The ramps are sampled every 25 ms and concatenated using all eligible trials to construct a long saw-tooth function (see Supplementary Figure S2). The regression solves for the weights assigned to each neuron such that the weighted sum of the activity of all neurons best approximates the saw-tooth. We constructed a time series of standardized neural activity, sampled identically to the saw-tooth. The spike times from each neuron are represented as delta functions (rasters) and convolved with a non-causal 25 ms boxcar filter. The mean and standard deviation of all sampled values of activity were used to standardize the activity for each neuron (i.e., Z-transform). The coefficients derived by the regression establish the vector of weights that define 𝑆ramp. The algorithm ensures that the population signal 𝑆ramp(𝑡), but not necessarily individual neurons, have amplitudes ranging from approximately −1 to 1.

      𝑅∗3.2 It is difficult to understand how the urgency signal is derived, to then generate fig S4.

      The urgency signal is estimated by averaging 𝑆𝑥(𝑡) at each time point relative to motion onset, using only the 0% coherence trials. We have clarified this in the caption of Supplementary Figure S4.

      Author response image 1.

      Shuffle control for Fig. 5. Breaking the within-trial correspondence between neural signal, 𝑆(𝑡), and choice suppresses leverage to near zero.

      Author response image 2.

      Leverage of the integrated difference signal on choice and RT. Traces are the average leverage across seven sessions. Same conventions as in Figure 5.

      Author response image 3.

      Trial-averaged 𝑆ramp activity during individual sessions. Same as Figure 2b for individual sessions for Monkey M (left) and Monkey J (right). The figure is intended to illustrate the consistency and heterogeneity of the averaged signals. For example, the saccade-aligned averages lose their association with motion strength before left (contra) choices in sessions 1, 2, 5, and 6 but retain the association in sessions 3, 4, 7, and 8.

      Author response image 4.

      Drift-diffusion signals have measurable leverage on choice and RT even when only 0%-coherence trials are included in the analysis.

      Author response image 5.

      Raw single-trial activity for three types of population averages. Representative single-trial activity during the first 300 ms of evidence accumulation using two motion strengths: 0% and 25.6% coherence toward the left (contralateral) choice target. Unlike in Figure 2 in the paper, single-trial traces are not baseline corrected by subtracting the activity in a 50 ms window around 200 ms. We highlight a number of trials with thick traces and these are the same trials in each of the rows.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Public Reviews: 

      Reviewer #1 (Public review):

      Summary:

      The investigators in this study analyzed the dataset assembly from 540 Salmonella isolates, and those from 45 recent isolates from Zhejiang University of China. The analysis and comparison of the resistome and mobilome of these isolates identified a significantly higher rate of cross-region dissemination compared to localized propagation. This study highlights the key role of the resistome in driving the transition and evolutionary history of S. Gallinarum.

      Strengths:

      The isolates included in this study were from 16 countries in the past century (1920 to 2023). While the study uses S. Gallinarun as the prototype, the conclusion from this work will likely apply to other Salmonella serotypes and other pathogens.

      Thank you very much for your positive feedback. We recognize, as you noted, that emphasizing Salmonella enterica Serovar Gallinarum in the title may lead readers to perceive our methods and conclusions as overly restrictive. In light of your evaluation of our work, we have revised the title to: “Avian-specific Salmonella transition to endemicity is accompanied by localized resistome and mobilome interaction” We believe this final version not only reflects the applicability of our conclusions, as you appreciated, but also addresses your previous suggestion to highlight the resistome and mobilome.

      Revisions in the manuscript Lines: 1-3

      Weaknesses:

      While the isolates came from 16 countries, most strains in this study were originally from China.

      We believe that this issue was discussed in detail in our previous response. Although potential bias exists, we have minimized its impact by constructing the largest global S. Gallinarum genome dataset to date. In addition, we have further emphasized these limitations in the manuscript.

      Comments on revisions:

      This reviewer is happy with the detailed responses from the authors regarding revising this manuscript. I do not have further comments.

      We greatly appreciate your positive feedback and are pleased that our responses have addressed your concerns.

      Reviewer #2 (Public review):

      Summary:

      The authors sequence 45 new samples of S. Gallinarum, a commensal Salmonella found in chickens, which can sometimes cause disease. They combine these sequences with around 500 from public databases, determine the population structure of the pathogen, and coarse relationships of lineages with geography. The authors further investigate known anti-microbial genes found in these genomes, how they associate with each other, whether they have been horizontally transferred, and date the emergence of clades.

      Strengths:

      - It doesn't seem that much is known about this serovar, so publicly available new sequences from a high burden region are a valuable addition to the literature.

      - Combining these sequences with publicly available sequences is a good way to better contextualise any findings.

      - The genomic analyses have been greatly improved since the first version of the manuscript, and appropriately analyse the population and date emergence of clades.

      - The SNP thresholds are contextualised in terms of evolutionary time.

      - The importance and context of the findings are fairly well described.

      Thank you so much for your thorough review and constructive comments on the manuscript.

      Weaknesses:

      -  There are still a few issues with the genomic analyses, although they no longer undermine the main conclusions:

      We are grateful for the valuable time and effort you have dedicated to improving our manuscript. In this revision, we have provided a point-by-point response to each of your concerns. Moreover, with the addition of new supplementary materials and modifications to the figures, we have re-examined and adjusted the numbering of figures and supplementary materials in the text to ensure they appear correctly in the manuscript.

      (1) Although the SNP distance is now considered in terms of time, the 5 SNP distance presented still represents ~7yrs evolution, so it is unlikely to be a transmission event, as described. It would be better to use a much lower threshold or describe the interpretation of these clusters more clearly. Bringing in epidemiological evidence or external references on the likely time interval between transmissions would be helpful.

      We sincerely thank you for highlighting this issue. We appreciate your concern regarding the use of a 5-SNP threshold to define a transmission event, especially given the approximate 7-year evolutionary timeframe. Considering our updated estimate for the evolutionary rate of S. Gallinarum (approximately 0.74 SNPs per year, with a 95% HPD range of 0.42 to 1.06), we have revised the manuscript to use a 2-SNP threshold (approximately representing less than two years of evolution) to better control the temporal span of transmission events. In addition, we have updated the manuscript to reflect this new threshold and demonstrated that the use of a more stringent SNP threshold does not affect the overall conclusions of the study.

      Specifically, we adopted the newly established 2-SNP threshold to update Figure 3a and corresponding Supplementary Figure 8. The heatmap on the far right of New Figure 3a illustrates the SNP distances among 45 newly isolated S. Gallinarum strains from two locations in Zhejiang Province (Taishun and Yueqing). New Supplementary Figure 8 simulates potential transmission events between the bvSP strains isolated from Zhejiang Province (n=95) and those from other regions of China with available provincial information (n=435). These analyses collectively demonstrate the localized transmission patterns of bvSP within China.

      For New Figure 3a, we found that even with the 2-SNP threshold, the number of potential transmission events among the 45 newly isolated S. Gallinarum strains from the two Zhejiang locations (Taishun and Yueqing) remains unchanged. In fact, we observed that the results from SNP tracing using an SNP threshold of less than 5 are consistent (see Author response image 1). 

      Author response image 1.

      Clustering results of 45 newly isolated S. Gallinarum strains using different SNP thresholds of 1, 2, 3, 4, and 5 SNPs. The five subplots represent the clustering results under each threshold. Each point corresponds to an individual strain, and lines connect strains with potential transmission relationships.

      For New Supplementary Figure 8, we employed the 2-SNP threshold and found that the number of transmission events between the bvSP strains isolated from Zhejiang Province (n=95) and those from other Chinese provinces (n=435) decreased from 91 to 53. The names of the strains involved in these potential transmission events are listed in Supplementary Table 5.

      Revisions in the manuscript

      Lines: 352-357

      Figures: Figure 3; Supplementary Figure 8

      Table: Supplementary Table 5

      (2) The HGT definition has not fundamentally been changed and therefore still has some issues, mainly that vertical evolution is still not systematically controlled for. 

      We sincerely thank you for highlighting this issue. We hope the following explanation will help clarify and improve our manuscript, as well as address your concerns.

      In bacteria, mobile genetic elements (MGEs) such as plasmids, transposons, integrons, and prophages, as mentioned in our manuscript, are segments of DNA that encode enzymes and proteins responsible for mediating the movement of genetic material between bacterial genomes (commonly referred to as “jumping genes”). These MGEs contribute to the mechanisms of horizontal gene transfer (HGT) in Salmonella, including transduction (via prophages), conjugation (via plasmids), and transposition (via integrons and transposons) (Nat Rev Microbiol. 2005 Sep;3(9):722-32). These “jumping genes” can enable Salmonella to acquire additional antimicrobial resistance genes (ARGs), which may not only originate from other Salmonella strains but also from distantly related species.

      To further address your concern regarding the systematic control of vertical evolution, we employed the HGTphyloDetect pipeline developed by Le Yuan et al. (Brief Bioinform. 2023 Mar 19;24(2):bbad035) to control for vertical evolution in the ARG sequences mentioned in our manuscript. We chose HGTphyloDetect because, as noted, "jumping genes" often occur among evolutionarily distant species, rendering the use of Gubbins potentially unsuitable for these distant HGT events.

      Using the HGTphyloDetect pipeline, we extracted base sequences for the eight ARGs shown in Figure 6b with an HGT frequency greater than zero (bla<sup>TEM-1B</sup>, sul1, dfrA17, aadA5, sul2, aph(3’’)-Ib, tet(A), aph(6)-Id). For bla<sup>TEM-1B</sup>, sul1, dfrA17, aadA5, and sul2, the HGT frequency reached 100% across different isolates, indicating that these ARG sequences have a unique sequence type. In contrast, due to the ResFinder settings requiring both similarity and coverage to meet a minimum value of 90%, the base sequences for aph(3’’)-Ib, tet(A), and aph(6)-Id are not unique. Consequently, we applied the HGTphyloDetect pipeline individually to each sequence type of ARGs to verify their association with HGT events. Specifically, among 436 bvSP isolates collected in China, we identified two sequence types of aph(3’’)-Ib, four sequence types of tet(A), and three sequence types of aph(6)-Id.

      Subsequently, to identify potential ARGs horizontally acquired from evolutionarily distant organisms, we queried the translated amino acid sequences of each ARG against the National Center for Biotechnology Information (NCBI) non-redundant protein database. We then evaluated whether these sequences were products of HGT by calculating Alien Index (AI) scores and out_perc values.

      The calculation of AI score is as follows:

      In this study, bbhG and bbhO represent the E-values of the best blast hit in ingroup and outgroup lineages, respectively. The outgroup lineage is defined as all species outside of the kingdom, while the ingroup lineage encompasses species within the kingdom but outside of the subphylum. An AI score ≥ 45 is considered a strong indicator that the gene in question is likely derived from an HGT event.

      Regarding the calculation method for out_perc:

      Finally, according to the definition provided by the HGTphyloDetect pipeline, ARGs with AI score ≥ 45 and out_perc ≥ 90% are presumed to be potential candidates for HGT from evolutionarily distant species. We have compiled the calculation results for the aforementioned genes in New Supplementary Table 9. The results indicate that all ARGs presented in Figure 6b, which exhibited a HGT frequency greater than zero, were acquired horizontally by S. Gallinarum. Based on these findings, we have revised the manuscript accordingly.

      Revisions in the manuscript

      Lines: 302-307; 616-650; 955-957

      Table: Supplementary Table 9

      Using a 5kb window is not sufficient, as LD may extend across the entire genome.

      We agree with your point that linkage disequilibrium (LD) could influence the transmission of genes within chromosomal regions. LD can lead to the non-random cooccurrence of alleles at different loci within a population. Considering that horizontal gene transfer (HGT) events involving more distantly related ARGs may be accompanied by vertical propagation on chromosomes, and to simultaneously assess the impact of LD, we conducted two evaluations.

      It is important to note that the following assessments are based on the assumption that plasmid replicons detected by PlasmidsFinder are part of self-replicating, extrachromosomal DNA.

      (1) In the revised pipeline used to calculate ARG HGT frequencies, we categorized a total of 621 ARGs carried by 436 bvSP isolates collected in China and found that 415 of these ARGs were located on MGEs. We further investigated the distribution of these 415 ARGs across different MGEs, taking into account the complex nesting relationships among them. We observed that 90% of the ARGs (372/415) were located on plasmid contigs. It is important to clarify that this finding does not contradict our statement in the manuscript regarding plasmids and transposons as the primary reservoirs for resistome geo-temporal dissemination. This is because transposons, integrons, and prophages carrying ARGs can also be found on plasmids. Additionally, only 25 bvSG isolates from China contained ARGs, which were likely acquired via transposons or integrons located on the chromosome.  

      (2) In our manuscript, we searched for ARGs within a 5kb upstream and downstream region (a total of 10kb) of transposons and integrons (The BLASTn parameters used in the Bacant pipeline to identify transposons and integrons were set to a coverage threshold of 60%, rather than 100%). However, in light of the potential impact of LD on vertical transmission, we expanded our search to include a 10kb upstream and downstream range (a total of 20kb)  for these 25 isolates. The decision to expand the search range to 10kb upstream and downstream range is based on the following two considerations: 1) Based on literature, we determined the overall lengths of the integrons and transposons carried by the 25 isolates (Tn801, Tn6205, Tn1721, In498, In1440, In473, and In282), and found that the maximum length of these elements is ~13.5 kb. Using a 10kb upstream and downstream threshold effectively covers these integrons/transposons. 2) The limitation posed by genomic fragmentation due to next-generation sequencing, which restrict the search range. We present the results of this expanded search for colocalization of ARGs with transposons and integrons at: Figshare:  https://doi.org/10.6084/m9.figshare.28129130.v1

      We found that these results were consistent with those obtained using the previous search range.

      Taken together, these results suggest that although linkage disequilibrium may influence genetic processes within chromosomal regions—particularly for the few chromosomeassociated antibiotic resistance genes linked to integrons and transposons—the overall impact in our study is likely minimal. This conclusion is supported by the observation that 90% of the ARGs in our dataset are located on plasmids, and even an expanded search range does not alter this outcome. Additionally, by incorporating Alien Index scores and calculating out_perc, we can further confirm the occurrence of horizontal gene transfer events.

      However, it is undeniable that other studies using our current pipeline may be affected. As a temporary remedial measure, we have included a note in the "README" file  as below (https://github.com/tjiaa/Cal_HGT_Frequency):

      “Note: Considering that ARGs located on the chromosome and carried by mobile genetic elements—such as integrons and transposons—may introduce potential computational errors, we recommend evaluating the number of ARGs associated with these elements on the chromosome during your analysis. If a majority of ARGs in your dataset fall into this category, we suggest using additional methods to evaluate the potential impact of linkage disequilibrium. Additionally, by modifying the “MGE_start” and “MGE_end” parameters in the “eLife_MGE_ARG_Co_location.ipynb” script, you can assess the distance between different ARGs and integrons or transposons on the chromosome. This approach will further aid in evaluating the impact of linkage disequilibrium on the genetic process.”

      We believe this approach will assist researchers in further assessing the potential impact of vertical evolution and help other users determine whether additional methods are necessary to account for such effects.

      As the authors have now run gubbins correctly, they could use the results from this existing analysis to find recent HGT.

      We sincerely thank you for your valuable suggestion. Utilizing additional methods to predict potential horizontal gene transfer (HGT) events could indeed enhance the robustness of the results. However, "jumping genes" often occur among evolutionarily distant species, rendering the use of Gubbins potentially unsuitable for these distant HGT events.

      Furthermore, the primary focus of our study is to identify HGT of antimicrobial resistance genes (ARGs) in the Salmonella genome driven by mobile genetic elements. Therefore, we employed the HGTphyloDetect pipeline developed by Le Yuan et al. (Brief Bioinform. 2023 Mar 19;24(2):bbad035) to control for vertical evolution in the ARG sequences. The specific computational methods and conclusions have been detailed above.

      To definite mobilisation, perhaps a standard pipeline such (e.g. https://github.com/EBIMetagenomics/mobilome-annotation-pipeline) would be more convincing.

      Thank you for your valuable suggestion. We agree that defining mobilization using a standardized pipeline can add rigor and clarity to our analysis. The pipeline you referenced (https://github.com/EBI-Metagenomics/mobilome-annotation-pipeline) is an excellent resource and provides a robust approach to the identification and annotation of mobile genetic elements.

      We have examined and run this pipeline, which uses “IntegronFinder” and “ICEfinder” to detect integrons, “geNomad” to identify plasmids, and “geNomad” and “VIRify” to detect prophages. Our initial checks revealed that the numbers of integrons, plasmids, and prophages identified using this pipeline were consistent with those detected in our study. However, due to the significantly different output formats, the results from this pipeline could not be integrated with the pipeline we used for calculating HGT frequency.

      We will incorporate the standardized pipeline you suggested in future studies to further improve the reliability of our findings.

      (3) The invasiveness index is better described, but the authors still did not provide convincing evidence that the small difference is actually biologically meaningful (there was no statistical difference between the two strains provided in response Figure 6). What do other Salmonella papers using this approach find, and can their links be brought in? If there is still no good evidence, a better description of this difference would help make the conclusions better supported.

      We sincerely appreciate your thoughtful feedback. The initial introduction of the invasiveness index in our manuscript aimed to quantitatively assess the differences in invasiveness between two geographically distinct strains of S. Gallinarum (isolated from Taishun and Yueqing) by comparing the degradation of 196 top predicted genes associated with invasiveness in their genomes. We found a highly significant statistical difference (P < 0.0001) in the invasiveness index between them.

      Several studies have also employed the invasiveness index to predict biological relevance in Salmonella strains, and we believe these examples provide further context for our approach:

      (1) Caisey V. Pulford et al, Nat Microbiol, 2021, used the same method to calculate the invasiveness index for Salmonella Typhimurium and employed it to characterize the invasiveness of different lineage strains. They found that Salmonella in Lineage-3 exhibited the highest invasiveness index, suggesting an adaptation from an intestinal to a systemic lifestyle. The authors noted, "Although the invasiveness index cannot yet be experimentally validated, Salmonella isolates with different invasiveness indices produce distinct clinical symptoms in a human population (BMC Med. 2020 Jul 17; 18(1):212)". They emphasized the necessity of developing more robust methods to measure Salmonella invasiveness.

      (2) Sandra Van Puyvelde et al, Nat Commun, 2019, reported that Salmonella Typhimurium sequence type 313 (ST313) lineage II.1 exhibited a higher invasiveness index compared to lineage II, suggesting that the two lineages might have distinct adaptations to an invasive lifestyle. Further experiments demonstrated significant differences between these lineages in terms of biofilm formation (A red dry and rough (RDAR) assay) and metabolic capacity for carbon compounds.

      (3) Wim L. Cuypers et al, Nat Commun, 2023, calculated the invasiveness index for 284 global Salmonella Concord strains across different lineages and found that Lineage-4 potentially exhibited the highest invasiveness.

      Given these evidences, we acknowledge that no significant difference in mortality was observed between the L2b and L3b S. Gallinarum strains in 16-day-old SPF chicken embryos. Existing literature suggests that strains with higher invasiveness indices may still exhibit differences in biofilm formation and metabolic capacities, reflecting their adaptation to different host environments. As such, we maintain that the invasiveness index remains a valuable metric for evaluating the genomic differences between S. Gallinarum strains from Taishun and Yueqing. We plan to further investigate these differences through phenotypic experiments in our next research.

      In the revised manuscript, we have added the following discussion along with additional references:

      Lines 358-365: “Moreover, the invasiveness index of bvSP from Taishun and Yueqing suggests that different lineages of S. Gallinarum recovered from distinct regions may exhibit biological differences. Previous studies have shown that strains with higher invasiveness indexes tend to be more virulent in hosts (30, 31), potentially causing neurological or arthritic symptoms in S. Gallinarum infections. Furthermore, strains with varying invasiveness indexes have been confirmed to differ in their biofilm formation abilities and metabolic capacities for carbon compounds (32).”

      Revisions in the manuscript:

      Lines: 358-365, 806-827.

      In summary, the analysis is broadly well described and feels appropriate. Some of the conclusions are still not fully supported, although the main points and context of the paper now appear sound.

      Thank you so much for your positive evaluation of our work. We hope that the revised manuscript meets your expectations and offers a more accurate interpretation of our findings.

      Recommendations for the authors:

      Reviewer #2 (Recommendations for the authors):

      This is a great improvement over the first version and I thank the authors for a thorough response, as well as changing their conclusions in response to their improvements.

      Other small remaining issues:

      Figure 3: Heatmap of SNPs is hard to read in grayscale. It also just represents the between clade distances already shown by the tree. It would be more useful to present intraclade distances only to see the SNP resolution _within_ each lineage. Using a better colour scheme would also help.

      Thank you for your insightful comments and suggestions regarding Figure 3. We agree that the grayscale heatmap may present challenges in terms of visual clarity. To address this, we have updated the heatmap with a more distinct color gradient, ensuring better contrast and easier interpretation (New Figure 3). 

      Regarding your second suggestion: "It would be more useful to present intraclade distances only to see the SNP resolution within each lineage," we believe it is already addressed in the current version of New Figure 3. Specifically, the heatmap on the right side of New Figure 3 illustrates the SNP distances between S. Gallinarum isolates from Taishun and Yueqing, with the goal of demonstrating that genomic variation within isolates from a single region is generally smaller compared to those from different regions. In this figure, 45 newly isolated S. Gallinarum strains are categorized into two lineages: L2b and L3b. The heatmap on the right side of Figure 3 displays the SNP distances between all pairwise combinations of these 45 strains, where the intraclade distances are represented by the red regions (highlighting the pairwise distances within each lineage, specifically L3b and L2b, which are indicated by two triangles). The between-clade distances are shown by the blue regions.

      We also believe in further exploring the intraclade distances across the entire dataset of 580 S. Gallinarum strains, as it could provide additional insights. However, this analysis would extend beyond the scope of the current section.

      Revisions in the manuscript Line: 998

      Figure: Figure 3

      Please remove Figure 6c, it does not add anything to the paper and raises questions about performing this regression.

      Thank you for pointing out this issue. We have removed Figure 6c and the corresponding description in the "Results" section from the manuscript (New Figure 6).

      Revisions in the manuscript Lines: 316, 319, 1035-1041.

      Figure: Figure 6

      Again, thank you all for your time and efforts in reviewing our work. We believe the improved manuscript meets the high standards of the journal.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Weaknesses & incompletely supported claims:

      (1) A central mechanistic claim of the paper is that "DCP1a can regulate DCP2's cellular decapping activity by enhancing DCP2's affinity to RNA, in addition to bridging the interactions of DCP2 with other decapping factors. This represents a pivotal molecular mechanism by which DCP1a exerts its regulatory control over the mRNA decapping process." Similar versions of this claim are repeated in the abstract and discussion sections. However, this appears to be entirely at odds with the observation from in vitro decapping assays with immunoprecipitated DCP2 that showed DCP1 knockout does not significantly affect the enzymatic activity of DCP2 (Figures 2B-D; I note that there may be a very small change in DCP2 activity shown in panel C, but this may be due to slightly different amounts of immunoprecipitated DCP2 used in the assay, as suggested by panel D). If DCP1 pivotally regulates decapping activity by enhancing RNA binding to DCP2, why is no difference in decapping activity observed in the absence of DCP1?

      Furthermore, the authors show only weak changes in relative RNA levels immunoprecipitated by DCP2 with versus without DCP1 (~2-3 fold change; consistent with the Valkov 2016 NSMB paper, which shows what looks like only modest changes in RNA binding affinity for yeast Dcp2 +/- Dcp1). Is the argument that only a 2-3 fold change in RNA binding affinity is responsible for the sizable decapping defects and significant accumulation of deadenylated intermediates observed in cells upon Dcp1 depletion? (and if so, why is this the case for in-cell data, but not the immunoprecipitated in vitro data?)

      We appreciate the reviewer's thoughtful comments on our paper. The reviewer points out an apparent contradiction between the claim that DCP1a regulates DCP2's cellular decapping activity and the observation that knocking out DCP1a does not significantly affect DCP2's enzymatic activity in vitro. However, it is important to underscore the challenge of reconciling differences between in vitro and in vivo experiments in scientific research. Although in vitro systems provide a controlled environment, they have inherent limitations that often fail to capture the complexities of cellular processes. Our in vitro experiments used immunoprecipitated proteins to ensure the presence of relevant factors, but these experiments cannot fully replicate the precise stoichiometry and dynamic interactions present in a cellular environment. Furthermore, the limited volume in vitro can actually facilitate reactions that may not occur as readily in the complex and heterogeneous environment of a cell. Therefore, the lack of a significant difference in decapping activity observed in vitro does not necessarily negate the regulatory role of DCP1 in the cellular context. Rather, it underscores our previous oversight of DCP1's importance in the decapping process under in vitro conditions. The conclusions regarding DCP1's regulatory mechanisms remain valid and supported by the presented evidence, especially when considering the inherent differences between in vitro and in vivo experimental conditions. It is precisely because of these differences that we recognized our previous underestimation of DCP1's significance. Therefore, our subsequent experiments focused on elucidating DCP1's regulatory mechanisms in the decapping process

      The authors acknowledge this apparent discrepancy between the in vitro DCP2 decapping assays and in-cell decapping data, writing: "this observation could be attributed to the inherent constraints of in vitro assays, which often fall short of faithfully replicating the complexity of the cellular environment where multiple factors and cofactors are at play. To determine the underlying cause, we postulated that the observed cellular decapping defect in DCP1a/b knockout cells might be attributed to DCP1 functioning as a scaffold." This is fair. They next show that DCP1 acts as a scaffold to recruit multiple factors to DCP2 in cells (EDC3, DDX6, PatL1, and PNRC1 and 2). However, while DCP1 is shown to recruit multiple cofactors to DCP2 (consistent with other studies in the decapping field, and primarily through motifs in the Dcp1 C-terminal tail), the authors ultimately show that *none* of these cofactors are actually essential for DCP2-mediated decapping in cells (Figures 3A-F). More specifically, the authors showed that the EVH1 domain was sufficient to rescue decapping defects in DCP1a/b knockout cells, that PNRC1 and PNRC2 were the only cofactors that interact with the EVH1 domain, and finally that shRNA-mediated PNRC1 or PNCR2 knockdown has no effect on in-cell decapping (Figures 3E and F). Therefore, based on the presented data, while DCP1 certainly does act as a scaffold, it doesn't seem to be the case that the major cellular decapping defect observed in DCP1a/b knockout is due to DCP1's ability to recruit specific cofactors to DCP2.

      The findings that none of the decapping cofactors recruited by DCP1 to DCP2 are essential for decapping in cells further underscore the complexity of the decapping process in vivo. This observation suggests that while DCP1's scaffolding function is crucial for recruiting cofactors, the decapping process likely involves additional layers of regulation that are not fully captured by our current understanding of DCP1. Furthermore, the reviewer mentions that the observed changes in RNA binding affinity (approximately 2-3 fold) in our in vitro experiments seem relatively modest. While these changes may appear insignificant in vitro, their cumulative impact in the dynamic cellular environment could be substantial. Even minor perturbations in RNA binding affinity can trigger cascading effects, leading to significant changes in decapping activity and the accumulation of deadenylated intermediates upon Dcp1 depletion. Cellular processes involve complex networks of interrelated events, and small molecular changes can result in amplified biological outcomes. The subtle molecular variations observed in vitro may translate into significant phenotypic outcomes within the complex cellular environment, underscoring the importance of DCP1a's regulatory role in the cellular decapping process.

      So as far as I can tell, the discrepancy between the in vitro (DCP1 not required) and in-cell (DCP1 required) decapping data, remains entirely unresolved. Therefore, I don't think that the conclusions that DCP1 regulates decapping by (a) changing RNA binding affinity (authors show this doesn't matter in vitro, and that the change in RNA binding affinity is very small) or (b) by bridging interactions of cofactors with DCP2 (authors show all tested cofactors are dispensable for robust in-cell decapping activity), are supported by the evidence presented in the paper (or convincingly supported by previous structural and functional studies of the decapping complex).

      We have addressed the reconciliation of differences between in vitro and in vivo experiments in the revised manuscript and emphasized the importance of considering cellular interactions when interpreting our findings.

      (2) Related to the RNA binding claims mentioned above, are the differences shown in Figure 3H statistically significant? Why are there no error bars shown for the MBP control? (I understand this was normalized to 1, but presumably, there were 3 biological replicates here that have some spread of values?). The individual data points for each replicate should be displayed for each bar so that readers can better assess the spread of data and the significance of the observed differences. I've listed these points as major because of the key mechanistic claim that DCP1 enhances RNA binding to DCP2 hinges in large part on this data.

      Thank you for your feedback. Regarding your comments on the statistical significance of the differences shown in Figure 3H and the absence of error bars for the MBP control, we will address these concerns in the revised manuscript. We’ll include individual data points for the three biological replicates and corresponding statistical analysis to more clearly demonstrate the data spread and significance of the observed differences.

      (3) Also related to point (1) above, the kinetic analysis presented in Figure 2C shows that the large majority of transcript is mostly decapped at the first 5-minute timepoint; it may be that DCP2-mediated decapping activity is actually different in vitro with or without DCP1, but that this is being missed because the reaction is basically done in less than 5 minutes under the conditions being assayed (i.e. these are basically endpoint assays under these conditions). It may be that if kinetics were done under conditions to slow down the reaction somewhat (e.g. lower Dcp2 concentration, lower temperatures), so that more of the kinetic behavior is captured, the apparent discrepancy between in vitro and in-cell data would be much less. Indeed, previous studies have shown that in yeast, Dcp1 strongly activates the catalytic step (kcat) of decapping by ~10-fold, and reduces the KM by only ~2 fold (Floor et al, NSMB 2010). It might be beneficial to use purified proteins here (only a Western blot is used in Figure 2D to show the presence of DCP2 and/or DCP1, but do these complexes have other, and different, components immunoprecipitated along with them?), if possible, to better control reaction conditions.

      This contradiction between the in vitro and in-cell decapping data undercuts one of the main mechanistic takeaways from the first half of the paper. This needs to be addressed/resolved with further experiments to better define the role of DCP1-mediated activation, or the mechanistic conclusions significantly changed or removed.

      We genuinely appreciate the reviewer’s insightful comments on the kinetic analysis presented in Figure 2C. Your astute observation regarding the potential influence of reaction duration on the interpretation of in vitro decapping activity, especially in the absence of DCP1, is well-received. The time-sensitive nature of our experiments, as you rightly pointed out, might not fully capture the nuanced kinetic behaviors. In addition, the DCP2 complex purified from cells could not be precisely quantified. In response to your suggestion, we attempted to purify human DCP2 protein from E. coli; however, regrettably, the purified protein failed to exhibit any enzymatic activity. This disparity may be attributed to species differences.

      Considering the reviewer’s valuable insights, our revised manuscript emphasized that purified DCP2 from cells exhibits activity regardless of the presence of DCP1. This adjustment aims to provide a clearer perspective on our findings and to better align with the nuances of our experimental design and the meticulous consideration of the results.

      (4) The second half of the paper compares the transcriptomic and metabolic profiles of DCP1a versus DCP1b knockouts to reveal that these target a different subset of mRNAs for degradation and have different levels of cellular metabolites. This is a great application of the DCP1a/b KO cells developed in this paper and provides new information about DCP1a vs b function in metazoans, which to my knowledge has not really been explored at all. However, the analysis of DCP1 function/expression levels in human cancer seems superficial and inconclusive: for example, the authors conclude that "...these findings indicate that DCP1a and DCP1b likely have distinct and non-redundant roles in the development and progression of cancer", but what is the evidence for this? I see that DCP1a and b levels vary in different cancer cell types, but is there any evidence that these changes are actually linked to cancer development, progression, or tumorigenesis? If not, these broader conclusions should be removed.

      Thank you to the reviewer for pointing out that such a description may be misleading. We have removed our previous broader conclusion and revised our sentences. To further explore the potential impact of DCP1a and DCP1b on cancer progression, we examined the association between the expression levels of DCP1a and DCP1b and progression-free interval (PFI). We have incorporated this information into our revised manuscript.

      (5) The authors used CRISPR-Cas9 to introduce frameshift mutations that result in premature termination codons in DCP1a/b knockout cells (verified by Sanger sequencing). They then use Western blotting with DCP1a or DCP1b antibodies to confirm the absence of DCP1 in the knockout cell lines. However, the DCP1a antibody used in this study (Sigma D5444) is targeted to the C-terminal end of DCP1a. Can the authors conclusively rule out that the CRISPR/Cas-generated mutations do not result in the production of truncated DCP1a that is just unable to be detected by the C-terminally targeted antibody? While it is likely the introduced premature termination codon in the DCP1a gene results in nonsense-mediated decay of the resulting transcript, this outcome is indeed supported by the knockout results showing large defects in cellular decapping which can be rescued by the addition of the EVH1 domain, it would be better to carefully validate the success of the DCP1a knockout and conclusively show no truncated DCP1a is produced by using N-terminally targeted DCP1a antibodies (as was the case for DCP1b).

      Thank you for your insightful comment regarding the validation of our DCP1a/b knockout cell line. We acknowledge your point about the DCP1a C-terminal targeting of the Sigma D5444 antibody used in our Western blot analysis. We agree that we cannot definitively rule out the possibility of truncated DCP1a protein production solely based on the lack of full-length protein detection. To address this limitation, we utilized a commercial information available N-terminally targeted DCP1a antibody (aviva ARP39353_T100) in a Western blot analysis. This will allow us to comprehensively detect any truncated protein fragments remaining after the CRISPR-Cas9-generated frameshift mutation.

      Some additional minor comments:

      • More information would be helpful on the choice of DCP1 truncation boundaries; why was 1-254 chosen as one of the truncations?

      Thank you for the reviewer's comment and suggestion. Regarding the choice of DCP1 1-254 truncation boundaries based on the predicted structure from AlphaFoldDB (A0A087WT55). We will include this information in the revised manuscript.

      • Figure S2D is a pretty important experiment because it suggests that the observed deadenylated intermediates are in fact still capped; can a positive control be added to these experiments to show that removal of cap results in rapid terminator-mediated degradation?

      Unfortunately, due to our institution's current laboratory safety policies, we are unable to perform experiments involving the use of radioactive isotopes such as 32P. Therefore, while adding the suggested positive control experiment to demonstrate rapid RNA degradation upon decapping would further validate our interpretation, we regret that we cannot carry out this experiment at the moment. However, the observed deadenylated intermediates in Figure S2D match the predicted size of capped RNA fragments, and not the expected sizes of degradation products after decapping. Furthermore, previous literature has well-established that for these types of RNAs, decapping leads directly to rapid 5' to 3' exonuclease-mediated degradation, without producing stable deadenylated intermediates. Thus, we believe that the current data is sufficient to support our conclusion that the deadenylated intermediates retain the 5' cap structure.

      Reviewer #2 (Public Review):

      Weaknesses:

      The direct targets of DCP1a and/or DCP1b were not determined as the analysis was restricted to RNA-seq to assess RNA abundance, which can be a result of direct or indirect regulation by DCP1a/b.

      Thank you for raising this important point. In our study, we acknowledge that the use of RNA-seq to assess RNA abundance provides a broad overview of the regulatory impacts of DCP1a and DCP1b. This method captures changes in RNA levels that may arise from both direct and indirect regulatory actions of these proteins. While we did not directly determine the targets of DCP1a and DCP1b, the data obtained from our RNA-seq analysis serve as a foundational step for future targeted experiments, which could include techniques such as RIP-seq, to delineate the direct targets of DCP1a and DCP1b more precisely. We believe that our current findings contribute valuable information to the field and pave the way for these subsequent analyses.

      P-bodies appear to be larger in human cells lacking DCP1a and DCP1b but a lack of image quantification prevents this conclusion from being drawn.

      Thank you for the reviewer’s valuable feedback. We have addressed the reviewer’s concern regarding P-bodies' size in human cells lacking DCP1a and DCP1b. We have now performed image quantification and can confirm that P-bodies are indeed larger in these cells.

      The lack of details in the methodology and figure legends limit reader understanding.

      We acknowledge the reviewer's concerns regarding the level of detail provided in the methodology and figure legends. To address this, we are committed to enhancing both sections with additional details and clarifications in our revised manuscript. Thank you for bringing this to our attention.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) To me, the second half of the paper comparing DCP1a and DCP1b is in many ways distinct from the first half and could stand on its own as an interesting paper if this comparative analysis is explored a little deeper (maybe by validating some of the differences in decay observed for individual mRNAs targeted by DCP1a versus DCP1b, by measuring and comparing the decay rates of some individual transcripts under differential control by DCP1a vs b?), and revising the conclusions about links to cancer as mentioned above. I think these later comparative results in the paper present the most new and interesting data concerning DCP1 function in humans (especially since I think the mechanistic conclusions from the first half aren't well supported yet or are at least inconsistent), but when I read these later sections of the paper I struggle to understand the key takeaways from the transcriptomic and metabolomic data.

      Thank you for the reviewer's suggestions. Estimating the decay rates of individual transcripts within the transcriptomes of DCP1a_KO, DCP1b_KO, and wild type can provide insight into the direct targets of DCP1a or DCP1b. However, this requires either time-series RNA-seq or specialized sequencing technologies such as Precision Run-On sequencing (PRO-seq) or RNA Approach to Equilibrium Sequencing (RATE-Seq). Unfortunately, we lack the necessary dataset in our project to estimate the decay rates for the potential targets identified in our RNA-seq data. Despite this limitation, we acknowledge the potential of this approach in identifying the true targets of DCP1a and DCP1b and have included this idea in our discussion.

      (2) I think it would be helpful to add a little more descriptive or narrative language to the figure legends (I know some of them are already quite long!) so that readers can follow the general idea of the experiment through the figure legend as well as the main text; as written, the figure legends are mostly exclusively technical details, so it can be hard to parse what experiment is being carried out in some cases.

      Thank you for the reviewer’s suggestion, we will strive to improve the language of the figure legends to include technical details while clearly conveying the main idea of the experiment. We will ensure that the language of the figure legends is more readable and comprehensible so that readers can more easily parse what experiment is being carried out.

      Reviewer #2 (Recommendations For The Authors):

      Suggestions for improved or additional experiments, data, or analyses:

      The use of RNA-seq to measure RNA abundance in DCP1a and/or b knockout cells can give some insight into both the indirect and direct effects of DCP1a/b on gene expression but cannot identify the direct targets of these genes. Rather, global analysis of RNA stability or capturing uncapped RNA decay intermediates would allow the authors to conclude they have identified direct targets of DCP1a and/or b. Without such analyses, the interpretation of these data should be scaled back to clearly state that RNA levels can be altered through indirect effects of DCP1a/b absence throughout the text.

      We appreciate the reviewer's suggestion. We have modified our sentences to emphasize that the dysregulated genes could be caused by both direct and indirect effects.

      A control/randomly generated gene list should be analyzed for GO terms to determine whether the enrichment of cancer-related pathways in the differentially expressed genes in the DCP1a/b knockout cells is meaningful.

      Thank you for the reviewer's comment. We shuffled our gene list and reperformed the pathway enrichment analysis in Figure 4C and 4D 1,000 times. We focused on the following cancer-related pathways: E2F targets, MTORC1 signaling, G2M checkpoint, MYC target V1, EMT transition, KRAS signaling DN, P53 pathway, and NOTCH signaling pathways. We then calculated how many times the q-values obtained from the shuffled gene list were more significant than the q-value obtained from our real data. In four of the eight pathways (E2F targets, MTORC1 signaling, G2M checkpoint, and MYC target v1), none of the shuffled gene lists resulted in a q-value smaller than the real one. In the other four pathways (EMT transition, KRAS signaling DN, P53 pathway, and NOTCH signaling pathways), the q-values were smaller than the real q-value 2, 11, 4, and 4 times out of the 1000 shuffles. Based on the shuffled results, we conclude that the transcriptome of DCP1a/b knockout cells is statistically enriched in these cancer-related pathways.

      Author response image 1.

      Distribution of q-values resulting from the Gene Set Enrichment Analysis (GSEA) conducted on 1,000 shuffled gene lists for eight cancer-related pathways. The q-values derived from Figure 4C and 4D are indicated by red (DCP1a_KO) and blue (DCP1b_KO) dashed lines, respectively. Some q-values derived from Figure 4C are too small to be labeled on the plots, such as in E2F targets (q value: 5.87E-07), MTORC1 signaling (q values: 6.59E-07 and 1.58E-06 for DCP1a_KO and DCP1b_KO, respectively), MYC target V1 (q value: 0.004644174 for DCP1a_KO), etc. The numbers x/1000 indicate how often the shuffled q-values were smaller than the real q-value out of 1,000 permutations.

      Comparisons of the DCP1a and/or b knockout RNA-seq results should be done to published datasets such as those published by Luo et al., Cell Chemical Biology (2021) to determine whether there are common targets with DCP2 and validate the reported findings.

      Thank you for reviewer’s suggestion. We compared the upregulated genes from DCP1a_KO, DCP1b_KO, and DCP1a/b_KO cell lines with the 91 targets of DPC2 identified by Luo et al. in Cell Chemical Biology (2021). Only EPPK1 was found to be overlapped between the potential DCP1b_KO targets and the targets of DCP2. No genes were found to be overlapped between the potential DCP1a_KO targets and the targets of DCP2. However, three genes, TES, PAX6, and C18orf21, were found to be overlapped between the significantly upregulated DEGs of DCP1a/b_KO and the targets of DCP2. We have included this information in the discussion section.

      The RNA tethering assays are not clear and are difficult to interpret without further controls to delineate the polyadenylated and deadenylated species.

      Thank you for the reviewer’s feedback. We acknowledge that the reviewer might harbor some doubts regarding the outcomes of the RNA tethering assays. Nonetheless, this methodology is well-established and has also found extensive application across many studies. We are committed to enhancing the clarity of our experiment’s details and results within the figure legends and textual descriptions.

      The representative images of p-bodies clearly show that DCP1a/b KO cells have larger p-bodies than the wild-type cells. The authors should quantify p-body size in each image set as the current interpretation of the data is that there is no difference in size or number of p-bodies, but the data suggest otherwise.

      Thank you very much for the reviewer’s insightful comments and for drawing our attention to the need to quantify p-body sizes in DCP1a/b KO and wild-type cells. We agree with the reviewer’s assessment that the representative images suggest a difference in p-body size between DCP1a/b KO cells and wild-type cells, which we initially overlooked. We will revise our manuscript accordingly to include these findings, ensuring that our interpretation of the data aligns with the observed differences.

      Statistical analysis of the Figure 2C results should be included because the difference between the wild-type and Dco1a/b KO cells with GFP-DCP2 looks significantly different but is interpreted in the text as not significant.

      Thank you for pointing out the need for a statistical analysis of the results shown in Figure 2C. We acknowledge that the visual difference between the wild-type and Dco1a/b KO cells with GFP-DCP2 suggests a significant variation, which may not have been clearly communicated in our text. We will conduct the necessary statistical analysis to substantiate the observations made in Figure 2C. Furthermore, we would like to emphasize that our primary focus was to demonstrate that purified DCP2 within cells retains its activity even in the absence of DCP1. This critical point will be highlighted and clarified in the revised version of our manuscript to prevent any misunderstanding.

      Recommendations for improving the writing and presentation:

      Additional context including what is known about the role of dcp1 in decapping from the decades of work in yeast and other model organisms should be incorporated into the introduction and discussion sections.

      Thank you for the reviewer’s suggestion. We will incorporate additional context about the function and significance of DCP1 in decapping processes within our revised manuscript's introduction and discussion sections.

      Details should be provided within the figure legends and methods section on experimental approaches and the number of replicates and statistical analyses used throughout the manuscript. For example, it is not clear whether western blots or RNA-IP experiments were performed more than once as representative images are shown.

      Thank you for the reviewer’s suggestion. In the figure legends and methods section, we will provide more details about the experimental methods, number of replicates, and statistical analyses. Regarding the Western blots and RNA-IP experiments the reviewer mentioned, we performed multiple experiments and presented representative images in the manuscript. We will clarify this in the revised manuscript to eliminate potential confusion.

      The rationale for performing metabolic profiling is not clear.

      We appreciate the reviewer's thoughtful feedback. The rationale behind conducting metabolic profiling in our study is rooted in its efficacy as a valuable tool for deciphering the consequences of specific gene mutations, particularly those closely associated with phenotypic changes or final metabolic pathways. Our objective is to utilize metabolic profiling to unravel the distinct biofunctions of DCP1a and DCP1b. By employing this approach, we aim to gain insights into the intricate metabolic alterations that result from the absence of these genes, thereby enhancing our understanding of their roles in cellular processes. We recognize the necessity of clearly presenting this rationale and promise to bolster the articulation of these points in the revised version of our manuscript to ensure the clarity and transparency of our research motivation.

      Details in the methods section should be included for the CRISPR/Cas9-mediated gene editing validation. The Sangar sequencing results presented in Figure S1b should be explained. The entire western blot(s) should be shown in Figure S1A to give confidence the Dcp1a/b KO cells are not expressing truncated proteins and the epitopes of the antibodies used to detect Dcp1a/b should be described. The northern blot probes should be described and sequences included. The transcriptomics method should be detailed.

      Thank you for your feedback, in the revised manuscript we will detail the CRISPR/Cas9 gene editing validation, explain the Sanger sequencing results in Figure S1b, show the full Western blot in Figure S1A to confirm that the Dcp1a/b knockout cells are not expressing truncated proteins, describe the Northern blot probes used, and detail the transcriptomics method, all to ensure clarity and comprehensiveness in our experimental procedures and results.

      A diagram showing the RNA tethering assays with labels corresponding to all blots/gels should be provided.

      Thank you for your suggestion. We will provide a diagram showing the RNA tethering assays with labels corresponding to all blots/gels in our revised manuscript. This will help readers better understand our experimental design and results.

      The statement, "This suggests that the disruption of the decapping process in DCP1a/b-knockout cells results in the accumulation of unprocessed mRNA intermediates" regarding the results of the RNA-seq assay is not supported by the evidence as RNA-seq does not measure RNA decay intermediates or RNA decay rates.

      Thank you for the reviewer’s comment. We agree with that RNA-seq experiments indeed do not directly measure RNA decay intermediates or RNA decay rates. Our statement could have caused confusion, and we have therefore removed this sentence from the manuscript.

      Minor corrections to the text and figures:

      Figure S6A is uninterpretable as presented.

      Thank you for the reviewer’s valuable feedback. We have taken note and made improvements. We have simplified Figure S6A to enhance its interpretability, hoping that the current version will make it easier for the readers to understand.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #1 (Public Review):

      Original comment: There is no explanation for how this work could be a breakthrough in simulation gregarious feeding as is stated in the manuscript.

      Reviewer response: I think I understand where the authors are trying to take this next step. If the authors were to follow up on this study with the proposed implementation of inhalant/exhalent velocities profiles (or more preferably velocity/pressure fields), then that study would be a breakthrough in simulating such gregarious feeding. Based on what has been done within the present study, I think the term "breakthrough" is instead overly emphatic. An additional note on this. The authors are correct that incorporating additional models could be used to simulation a population (as has been successfully done for several Ediacaran taxa despite computational limitations), but it's not the only way. The authors 1 might explore using periodic boundary conditions on the external faces of the flow domain. This could require only a single Olivooid model to assess gregarious impacts - see the abundant literature of modeling flow through solar array fields.

      We appreciate the reviewer 1 for the suggestion. Modeling gregarious feeding via periodic boundary conditions is surely a practical way with limited computational resources. Modeling flow through solar array fields can also be an inspiring case. However, to realism the simulation of gregarious feeding behavior on an uneven seabed and with irregular organism spatial distribution, just using periodic boundary conditions may not be sufficient (see Author response image 1 for a simple example). We will go on exploring the way of realizing the simulations of large-scale gregarious feeding.

      Author response image 1.

      An example of modeling gregarious feeding behavior on an uneven seabed.

      Original comment: The claim that olivooid-type feeding was most likely a prerequisite transitional form to jet-propelled swimming needs much more support or needs to be tailored to olivooids. This suggests that such behavior is absent (or must be convergent) before olivooids, which is at odds with the increasing quantities of pelagic life (whose modes of swimming are admittedly unconstrained) documented from Cambrian and Neoproterozoic deposits. Even among just medusozoans, ancestral 1 state reconstruction suggests that they would have been swimming during the Neoproterozoic (Kayal et al., 2018; BMC Evolutionary Biology) with no knowledge of the mechanics due to absent preservation. Author response: Thanks for your suggestions. Yes, we agree with you that the ancestral swimming medusae may appear before the early Cambrian, even at the Neoproterozoic deposits. However, discussions on the affinities of Ediacaran cnidarians are severely limited because of the lack of information concerning their soft anatomy. So, it is hard to detect the mechanics due to absent preservation. Olivooids found from the basal Cambrian Kuanchuanpu Formation can be reasonably considered as cnidarians based on their radial symmetry, external features, and especially the internal anatomies (Bengtson and Yue 1997; Dong et al. 2013; 2016; Han et al. 2013; 2016; Liu et al. 2014; Wang et al. 2017; 2020; 2022). The valid simulation experiment here was based on the soft tissue preserved in olivooids.

      Reviewer response: This response does not sufficiently address my earlier comment. While the authors are correct that individual Ediacaran affinities are an area of active research and that Olivooids can reasonably be considered cnidarians, this doesn't address the actual critique in my comment. Most (not all) Ediacaran soft-bodied fossils are considered to have been benthic, but pelagic cnidarian life is widely acknowledged to at least be present during later White Sea and Nama assemblages (and earlier depending on molecular clock interpretations). The authors have certainly provided support for the mechanics of this type of feeding being co-opted for eventual jet propulsion swimming in Olivooids. They have not provided sufficient justifications within the manuscript for this to be broadened beyond this group.

      Thanks for your sincere commentary. We of course agree with the possibility of the emergence of swimming cnidarians before the lowermost Cambrian Fortunian Stage. See lines 16-129: “Ediacaran fossil assemblages with complex ecosystems consist of exceptionally preserved soft-bodied eukaryotes of enigmatic morphology, which their affinities are mostly unresolved (Tarhan et al., 2018, Integrative and Comparative Biology, 58 (4), 688–702; Evans et al., 2022, PNAS, 11(46), e220747511).” Undoubtedly Olivooids belong to cnidarians charactered by their external and internal biological structures. Limited by the fossil records, we could only speculate on the transition from the benthic to the swimming of ancestral cnidarians via the valid fossil preservation, e.g. olivooids. The transition may require processes such as increasing body size, thickening the mesoglea, and degenerating the periderm, etc. And these processes may also evolve independently or comprehensively. Moreover, the ecological behaviors of the ancestral cnidarians may evolve independently at different stages from Ediacaran to Cambrian. We therefore could not provide more sufficient justifications beyond olivooids.

      Original comment: L446: two layers of hexahedral elements is a very low number for meshing boundary layer flow

      Reviewer response: As the authors point out in the main text, these organisms are small (millimeters in scale) and certainly lived within the boundary layer range of the ocean. While the boundary layer is not the main point, it still needs to be accurately resolved as it should certainly affect the flow further towards the far field at this scale. I'm not suggesting the authors need to perfectly resolve the boundary layer or focus on using turbulence models more tailored to boundary layer flows (such as k-w), but the flow field still needs sufficient realism for a boundary bounded flow. The authors really should consider quantitatively assessing the number of hexahedral elements within their mesh refinement study.

      To address this concern, we run another four simulations based on mesh4 within our mesh refinement study to assess the number of hexahedral elements (five layers and eight layers of hexahedral elements with different thickness of boundary layer mesh (controlled by thickness adjustment factor), respectively). the results had been supplemented to Table supplement 2. As shown in the results, the number of layers of hexahedral elements seems does not significant influence the result, but the thickness of boundary layer mesh can influence the maximum flow velocity of the contraction phase. However, the results of all the simulations were generally consistent, as shown in Author response image 2. The description of the results above were added to section “Mesh sensitivity analysis”.

      Author response image 2.

      Results of mesh refinement study of different boundary layer mesh parameters.

    1. Author response:

      The following is the authors’ response to the previous reviews

      Overview of reviewer's concerns after peer review: 

      As for the initial submission, the reviewers' unanimous opinion is that the authors should perform additional controls to show that their key findings may not be affected by experimental or analysis artefacts, and clarify key aspects of their core methods, chiefly:  

      (1) The fact that their extremely high decoding accuracy is driven by frequency bands that would reflect the key press movements and that these are located bilaterally in frontal brain regions (with the task being unilateral) are seen as key concerns, 

      The above statement that decoding was driven by bilateral frontal brain regions is not entirely consistent with our results. The confusion was likely caused by the way we originally presented our data in Figure 2. We have revised that figure to make it more clear that decoding performance at both the parcel- (Figure 2B) and voxel-space (Figure 2C) level is predominantly driven by contralateral (as opposed to ipsilateral) sensorimotor regions. Figure 2D, which highlights bilateral sensorimotor and premotor regions, displays accuracy of individual regional voxel-space decoders assessed independently. This was the criteria used to determine which regional voxel-spaces were included in the hybridspace decoder. This result is not surprising given that motor and premotor regions are known to display adaptive interhemispheric interactions during motor sequence learning [1, 2], and particularly so when the skill is performed with the non-dominant hand [3-5]. We now discuss this important detail in the revised manuscript:

      Discussion (lines 348-353)

      “The whole-brain parcel-space decoder likely emphasized more stable activity patterns in contralateral frontoparietal regions that differed between individual finger movements [21,35], while the regional voxel-space decoder likely incorporated information related to adaptive interhemispheric interactions operating during motor sequence learning [32,36,37], particularly pertinent when the skill is performed with the non-dominant hand [38-40].”

      We now also include new control analyses that directly address the potential contribution of movement-related artefact to the results.  These changes are reported in the revised manuscript as follows:

      Results (lines 207-211):

      “An alternate decoder trained on ICA components labeled as movement or physiological artefacts (e.g. – head movement, ECG, eye movements and blinks; Figure 3 – figure supplement 3A, D) and removed from the original input feature set during the pre-processing stage approached chance-level performance (Figure 4 – figure supplement 3), indicating that the 4-class hybrid decoder results were not driven by task-related artefacts.”

      Results (lines 261-268):

      “As expected, the 5-class hybrid-space decoder performance approached chance levels when tested with randomly shuffled keypress labels (18.41%± SD 7.4% for Day 1 data; Figure 4 – figure supplement 3C). Task-related eye movements did not explain these results since an alternate 5-class hybrid decoder constructed from three eye movement features (gaze position at the KeyDown event, gaze position 200ms later, and peak eye movement velocity within this window; Figure 4 – figure supplement 3A) performed at chance levels (cross-validated test accuracy = 0.2181; Figure 4 – figure supplement 3B, C). “

      Discussion (Lines 362-368):

      “Task-related movements—which also express in lower frequency ranges—did not explain these results given the near chance-level performance of alternative decoders trained on (a) artefact-related ICA components removed during MEG preprocessing (Figure 3 – figure supplement 3A-C) and on (b) task-related eye movement features (Figure 4 – figure supplement 3B, C). This explanation is also inconsistent with the minimal average head motion of 1.159 mm (± 1.077 SD) across the MEG recording (Figure 3 – figure supplement 3D).“

      (2) Relatedly, the use of a wide time window (~200 ms) for a 250-330 ms typing speed makes it hard to pinpoint the changes underpinning learning, 

      The revised manuscript now includes analyses carried out with decoding time windows ranging from 50 to 250ms in duration. These additional results are now reported in:

      Results (lines 258-261):

      “The improved decoding accuracy is supported by greater differentiation in neural representations of the index finger keypresses performed at positions 1 and 5 of the sequence (Figure 4A), and by the trial-by-trial increase in 2-class decoding accuracy over early learning (Figure 4C) across different decoder window durations (Figure 4 – figure supplement 2).”

      Results (lines 310-312):

      “Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C).“

      Discussion (lines 382-385):

      “This was further supported by the progressive differentiation of neural representations of the index finger keypress (Figure 4A) and by the robust trial-bytrial increase in 2-class decoding accuracy across time windows ranging between 50 and 250ms (Figure 4C; Figure 4 – figure supplement 2).”

      Discussion (lines 408-9):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1).”

      (3) These concerns make it hard to conclude from their data that learning is mediated by "contextualisation" ---a key claim in the manuscript; 

      We believe the revised manuscript now addresses all concerns raised in Editor points 1 and 2.

      (4) The hybrid voxel + parcel space decoder ---a key contribution of the paper--- is not clearly explained; 

      We now provide additional details regarding the hybrid-space decoder approach in the following sections of the revised manuscript:

      Results (lines 158-172):

      “Next, given that the brain simultaneously processes information more efficiently across multiple spatial and temporal scales [28, 32, 33], we asked if the combination of lower resolution whole-brain and higher resolution regional brain activity patterns further improve keypress prediction accuracy. We constructed hybrid-space decoders (N = 1295 ± 20 features; Figure 3A) combining whole-brain parcel-space activity (n = 148 features; Figure 2B) with regional voxel-space activity from a datadriven subset of brain areas (n = 1147 ± 20 features; Figure 2D). This subset covers brain regions showing the highest regional voxel-space decoding performances (top regions across all subjects shown in Figure 2D; Methods – Hybrid Spatial Approach). 

      […]

      Note that while features from contralateral brain regions were more important for whole-brain decoding (in both parcel- and voxel-spaces), regional voxel-space decoders performed best for bilateral sensorimotor areas on average across the group. Thus, a multi-scale hybrid-space representation best characterizes the keypress action manifolds.”

      Results (lines 275-282):

      “We used a Euclidian distance measure to evaluate the differentiation of the neural representation manifold of the same action (i.e. - an index-finger keypress) executed within different local sequence contexts (i.e. - ordinal position 1 vs. ordinal position 5; Figure 5). To make these distance measures comparable across participants, a new set of classifiers was then trained with group-optimal parameters (i.e. – broadband hybrid-space MEG data with subsequent manifold extraction (Figure 3 – figure supplements 2) and LDA classifiers (Figure 3 – figure supplements 7) trained on 200ms duration windows aligned to the KeyDown event (see Methods, Figure 3 – figure supplements 5). “

      Discussion (lines 341-360):

      “The initial phase of the study focused on optimizing the accuracy of decoding individual finger keypresses from MEG brain activity. Recent work showed that the brain simultaneously processes information more efficiently across multiple—rather than a single—spatial scale(s) [28, 32]. To this effect, we developed a novel hybridspace approach designed to integrate neural representation dynamics over two different spatial scales: (1) whole-brain parcel-space (i.e. – spatial activity patterns across all cortical brain regions) and (2) regional voxel-space (i.e. – spatial activity patterns within select brain regions) activity. We found consistent spatial differences between whole-brain parcel-space feature importance (predominantly contralateral frontoparietal, Figure 2B) and regional voxel-space decoder accuracy (bilateral sensorimotor regions, Figure 2D). The whole-brain parcel-space decoder likely emphasized more stable activity patterns in contralateral frontoparietal regions that differed between individual finger movements [21, 35], while the regional voxelspace decoder likely incorporated information related to adaptive interhemispheric interactions operating during motor sequence learning [32, 36, 37], particularly pertinent when the skill is performed with the non-dominant hand [38-40]. The observation of increased cross-validated test accuracy (as shown in Figure 3 – Figure Supplement 6) indicates that the spatially overlapping information in parcel- and voxel-space time-series in the hybrid decoder was complementary, rather than redundant [41].  The hybrid-space decoder which achieved an accuracy exceeding 90%—and robustly generalized to Day 2 across trained and untrained sequences— surpassed the performance of both parcel-space and voxel-space decoders and compared favorably to other neuroimaging-based finger movement decoding strategies [6, 24, 42-44].”

      Methods (lines 636-647):

      “Hybrid Spatial Approach.  First, we evaluated the decoding performance of each individual brain region in accurately labeling finger keypresses from regional voxelspace (i.e. - all voxels within a brain region as defined by the Desikan-Killiany Atlas) activity. Brain regions were then ranked from 1 to 148 based on their decoding accuracy at the group level. In a stepwise manner, we then constructed a “hybridspace” decoder by incrementally concatenating regional voxel-space activity of brain regions—starting with the top-ranked region—with whole-brain parcel-level features and assessed decoding accuracy. Subsequently, we added the regional voxel-space features of the second-ranked brain region and continued this process until decoding accuracy reached saturation. The optimal “hybrid-space” input feature set over the group included the 148 parcel-space features and regional voxelspace features from a total of 8 brain regions (bilateral superior frontal, middle frontal, pre-central and post-central; N = 1295 ± 20 features).”

      (5) More controls are needed to show that their decoder approach is capturing a neural representation dedicated to context rather than independent representations of consecutive keypresses; 

      These controls have been implemented and are now reported in the manuscript:

      Results (lines 318-328):

      “Within-subject correlations were consistent with these group-level findings. The average correlation between offline contextualization and micro-offline gains within individuals was significantly greater than zero (Figure 5 – figure supplement 4, left; t = 3.87, p = 0.00035, df = 25, Cohen's d = 0.76) and stronger than correlations between online contextualization and either micro-online (Figure 5 – figure supplement 4, middle; t = 3.28, p = 0.0015, df = 25, Cohen's d = 1.2) or micro-offline gains (Figure 5 – figure supplement 4, right; t = 3.7021, p = 5.3013e-04, df = 25, Cohen's d = 0.69). These findings were not explained by behavioral changes of typing rhythm (t = -0.03, p = 0.976; Figure 5 – figure supplement 5), adjacent keypress transition times (R2 = 0.00507, F[1,3202] = 16.3; Figure 5 – figure supplement 6), or overall typing speed (between-subject; R2 = 0.028, p \= 0.41; Figure 5 – figure supplement 7).”

      Results (lines 385-390):

      “Further, the 5-class classifier—which directly incorporated information about the sequence location context of each keypress into the decoding pipeline—improved decoding accuracy relative to the 4-class classifier (Figure 4C). Importantly, testing on Day 2 revealed specificity of this representational differentiation for the trained skill but not for the same keypresses performed during various unpracticed control sequences (Figure 5C).”

      Discussion (lines 408-423):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1). This result remained unchanged when measuring offline contextualization between the last and second sequence of consecutive trials, inconsistent with a possible confounding effect of pre-planning [30] (Figure 5 – figure supplement 2A). On the other hand, online contextualization did not predict learning (Figure 5 – figure supplement 3). Consistent with these results the average within-subject correlation between offline contextualization and micro-offline gains was significantly stronger than withinsubject correlations between online contextualization and either micro-online or micro-offline gains (Figure 5 – figure supplement 4). 

      Offline contextualization was not driven by trial-by-trial behavioral differences, including typing rhythm (Figure 5 – figure supplement 5) and adjacent keypress transition times (Figure 5 – figure supplement 6) nor by between-subject differences in overall typing speed (Figure 5 – figure supplement 7)—ruling out a reliance on differences in the temporal overlap of keypresses. Importantly, offline contextualization documented on Day 1 stabilized once a performance plateau was reached (trials 11-36), and was retained on Day 2, documenting overnight consolidation of the differentiated neural representations.”

      (6) The need to show more convincingly that their data is not affected by head movements, e.g., by regressing out signal components that are correlated with the fiducial signal;  

      We now include data in Figure 3 – figure supplement 3D showing that head movement was minimal in all participants (mean of 1.159 mm ± 1.077 SD).  Further, the requested additional control analyses have been carried out and are reported in the revised manuscript:

      Results (lines 204-211):

      “Testing the keypress state (4-class) hybrid decoder performance on Day 1 after randomly shupling keypress labels for held-out test data resulted in a performance drop approaching expected chance levels (22.12%± SD 9.1%; Figure 3 – figure supplement 3C). An alternate decoder trained on ICA components labeled as movement or physiological artefacts (e.g. – head movement, ECG, eye movements and blinks; Figure 3 – figure supplement 3A, D) and removed from the original input feature set during the pre-processing stage approached chance-level performance (Figure 4 – figure supplement 3), indicating that the 4-class hybrid decoder results were not driven by task-related artefacts.” Results (lines 261-268):

      “As expected, the 5-class hybrid-space decoder performance approached chance levels when tested with randomly shuffled keypress labels (18.41%± SD 7.4% for Day 1 data; Figure 4 – figure supplement 3C). Task-related eye movements did not explain these results since an alternate 5-class hybrid decoder constructed from three eye movement features (gaze position at the KeyDown event, gaze position 200ms later, and peak eye movement velocity within this window; Figure 4 – figure supplement 3A) performed at chance levels (cross-validated test accuracy = 0.2181; Figure 4 – figure supplement 3B, C). “

      Discussion (Lines 362-368):

      “Task-related movements—which also express in lower frequency ranges—did not explain these results given the near chance-level performance of alternative decoders trained on (a) artefact-related ICA components removed during MEG preprocessing (Figure 3 – figure supplement 3A-C) and on (b) task-related eye movement features (Figure 4 – figure supplement 3B, C). This explanation is also inconsistent with the minimal average head motion of 1.159 mm (± 1.077 SD) across the MEG recording (Figure 3 – figure supplement 3D). “

      (7) The offline neural representation analysis as executed is a bit odd, since it seems to be based on comparing the last key press to the first key press of the next sequence, rather than focus on the inter-sequence interval

      While we previously evaluated replay of skill sequences during rest intervals, identification of how offline reactivation patterns of a single keypress state representation evolve with learning presents non-trivial challenges. First, replay events tend to occur in clusters with irregular temporal spacing as previously shown by our group and others.  Second, replay of experienced sequences is intermixed with replay of sequences that have never been experienced but are possible. Finally, and perhaps the most significant issue, replay is temporally compressed up to 20x with respect to the behavior [6]. That means our decoders would need to accurately evaluate spatial pattern changes related to individual keypresses over much smaller time windows (i.e. - less than 10 ms) than evaluated here. This future work, which is undoubtably of great interest to our research group, will require more substantial tool development before we can apply them to this question. We now articulate this future direction in the Discussion:

      Discussion (lines 423-427):

      “A possible neural mechanism supporting contextualization could be the emergence and stabilization of conjunctive “what–where” representations of procedural memories [64] with the corresponding modulation of neuronal population dynamics [65, 66] during early learning. Exploring the link between contextualization and neural replay could provide additional insights into this issue [6, 12, 13, 15].”

      (8) And this analysis could be confounded by the fact that they are comparing the last element in a sequence vs the first movement in a new one. 

      We have now addressed this control analysis in the revised manuscript:

      Results (Lines 310-316)

      “Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C). The offline contextualization between the final sequence of each trial and the second sequence of the subsequent trial (excluding the first sequence) yielded comparable results. This indicates that pre-planning at the start of each practice trial did not directly influence the offline contextualization measure [30] (Figure 5 – figure supplement 2A, 1st vs. 2nd Sequence approaches).”

      Discussion (lines 408-416):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1). This result remained unchanged when measuring offline contextualization between the last and second sequence of consecutive trials, inconsistent with a possible confounding effect of pre-planning [30] (Figure 5 – figure supplement 2A). On the other hand, online contextualization did not predict learning (Figure 5 – figure supplement 3). Consistent with these results the average within-subject correlation between offline contextualization and micro-offline gains was significantly stronger than within-subject correlations between online contextualization and either micro-online or micro-offline gains (Figure 5 – figure supplement 4).”

      It also seems to be the case that many analyses suggested by the reviewers in the first round of revisions that could have helped strengthen the manuscript have not been included (they are only in the rebuttal). Moreover, some of the control analyses mentioned in the rebuttal seem not to be described anywhere, neither in the manuscript, nor in the rebuttal itself; please double check that. 

      All suggested analyses carried out and mentioned are now in the revised manuscript.

      eLife Assessment 

      This valuable study investigates how the neural representation of individual finger movements changes during the early period of sequence learning. By combining a new method for extracting features from human magnetoencephalography data and decoding analyses, the authors provide incomplete evidence of an early, swift change in the brain regions correlated with sequence learning…

      We have now included all the requested control analyses supporting “an early, swift change in the brain regions correlated with sequence learning”:

      The addition of more control analyses to rule out that head movement artefacts influence the findings, 

      We now include data in Figure 3 – figure supplement 3D showing that head movement was minimal in all participants (mean of 1.159 mm ± 1.077 SD).  Further, we have implemented the requested additional control analyses addressing this issue:

      Results (lines 207-211):

      “An alternate decoder trained on ICA components labeled as movement or physiological artefacts (e.g. – head movement, ECG, eye movements and blinks; Figure 3 – figure supplement 3A, D) and removed from the original input feature set during the pre-processing stage approached chance-level performance (Figure 4 – figure supplement 3), indicating that the 4-class hybrid decoder results were not driven by task-related artefacts.”

      Results (lines 261-268):

      “As expected, the 5-class hybrid-space decoder performance approached chance levels when tested with randomly shuffled keypress labels (18.41%± SD 7.4% for Day 1 data; Figure 4 – figure supplement 3C). Task-related eye movements did not explain these results since an alternate 5-class hybrid decoder constructed from three eye movement features (gaze position at the KeyDown event, gaze position 200ms later, and peak eye movement velocity within this window; Figure 4 – figure supplement 3A) performed at chance levels (cross-validated test accuracy = 0.2181; Figure 4 – figure supplement 3B, C). “

      Discussion (Lines 362-368):

      “Task-related movements—which also express in lower frequency ranges—did not explain these results given the near chance-level performance of alternative decoders trained on (a) artefact-related ICA components removed during MEG preprocessing (Figure 3 – figure supplement 3A-C) and on (b) task-related eye movement features (Figure 4 – figure supplement 3B, C). This explanation is also inconsistent with the minimal average head motion of 1.159 mm (± 1.077 SD) across the MEG recording (Figure 3 – figure supplement 3D).“

      and to further explain the proposal of offline contextualization during short rest periods as the basis for improvement performance would strengthen the manuscript. 

      We have edited the manuscript to clarify that the degree of representational differentiation (contextualization) parallels skill learning.  We have no evidence at this point to indicate that “offline contextualization during short rest periods is the basis for improvement in performance”.  The following areas of the revised manuscript now clarify this point:  

      Summary (Lines 455-458):

      “In summary, individual sequence action representations contextualize during early learning of a new skill and the degree of differentiation parallels skill gains. Differentiation of the neural representations developed during rest intervals of early learning to a larger extent than during practice in parallel with rapid consolidation of skill.”

      Additional control analyses are also provided supporting a link between offline contextualization and early learning:

      Results (lines 302-318):

      “The Euclidian distance between neural representations of Index<sub>OP1</sub> (i.e. - index finger keypress at ordinal position 1 of the sequence) and Index<sub>OP5</sub> (i.e. - index finger keypress at ordinal position 5 of the sequence) increased progressively during early learning (Figure 5A)—predominantly during rest intervals (offline contextualization) rather than during practice (online) (t = 4.84, p < 0.001, df = 25, Cohen's d = 1.2; Figure 5B; Figure 5 – figure supplement 1A). An alternative online contextualization determination equaling the time interval between online and offline comparisons (Trial-based; 10 seconds between Index<sub>OP1</sub> and Index<sub>OP5</sub> observations in both cases) rendered a similar result (Figure 5 – figure supplement 2B).

      Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C). The offline contextualization between the final sequence of each trial and the second sequence of the subsequent trial (excluding the first sequence) yielded comparable results. This indicates that pre-planning at the start of each practice trial did not directly influence the offline contextualization measure [30] (Figure 5 – figure supplement 2A, 1st vs. 2nd Sequence approaches). Conversely, online contextualization (using either measurement approach) did not explain early online learning gains (i.e. – Figure 5 – figure supplement 3).”  

      Public Reviews: 

      Reviewer #1 (Public review): 

      Summary: 

      This study addresses the issue of rapid skill learning and whether individual sequence elements (here: finger presses) are differentially represented in human MEG data. The authors use a decoding approach to classify individual finger elements and accomplish an accuracy of around 94%. A relevant finding is that the neural representations of individual finger elements dynamically change over the course of learning. This would be highly relevant for any attempts to develop better brain machine interfaces - one now can decode individual elements within a sequence with high precision, but these representations are not static but develop over the course of learning. 

      Strengths: 

      The work follows a large body of work from the same group on the behavioural and neural foundations of sequence learning. The behavioural task is well established a neatly designed to allow for tracking learning and how individual sequence elements contribute. The inclusion of short offline rest periods between learning epochs has been influential because it has revealed that a lot, if not most of the gains in behaviour (ie speed of finger movements) occur in these so-called micro-offline rest periods. 

      The authors use a range of new decoding techniques, and exhaustively interrogate their data in different ways, using different decoding approaches. Regardless of the approach, impressively high decoding accuracies are observed, but when using a hybrid approach that combines the MEG data in different ways, the authors observe decoding accuracies of individual sequence elements from the MEG data of up to 94%. 

      Weaknesses:  

      A formal analysis and quantification of how head movement may have contributed to the results should be included in the paper or supplemental material. The type of correlated head movements coming from vigorous key presses aren't necessarily visible to the naked eye, and even if arms etc are restricted, this will not preclude shoulder, neck or head movement necessarily; if ICA was conducted, for example, the authors are in the position to show the components that relate to such movement; but eye-balling the data would not seem sufficient. The related issue of eye movements is addressed via classifier analysis. A formal analysis which directly accounts for finger/eye movements in the same analysis as the main result (ie any variance related to these factors) should be presented.

      We now present additional data related to head (Figure 3 – figure supplement 3; note that average measured head movement across participants was 1.159 mm ± 1.077 SD) and eye movements (Figure 4 – figure supplement 3) and have implemented the requested control analyses addressing this issue. They are reported in the revised manuscript in the following locations: Results (lines 207-211), Results (lines 261-268), Discussion (Lines 362-368).

      This reviewer recommends inclusion of a formal analysis that the intra-vs inter parcels are indeed completely independent. For example, the authors state that the inter-parcel features reflect "lower spatially resolved whole-brain activity patterns or global brain dynamics". A formal quantitative demonstration that the signals indeed show "complete independence" (as claimed by the authors) and are orthogonal would be helpful.

      Please note that we never claim in the manuscript that the parcel-space and regional voxelspace features show “complete independence”.  More importantly, input feature orthogonality is not a requirement for the machine learning-based decoding methods utilized in the present study while non-redundancy is [7] (a requirement satisfied by our data, see below). Finally, our results show that the hybrid space decoder out-performed all other methods even after input features were fully orthogonalized with LDA (the procedure used in all contextualization analyses) or PCA dimensionality reduction procedures prior to the classification step (Figure 3 – figure supplement 2).

      Relevant to this issue, please note that if spatially overlapping parcel- and voxel-space timeseries only provided redundant information, inclusion of both as input features should increase model over-fitting to the training dataset and decrease overall cross-validated test accuracy [8]. In the present study however, we see the opposite effect on decoder performance. First, Figure 3 – figure supplement 1 & 2 clearly show that decoders constructed from hybrid-space features outperform the other input feature (sensor-, wholebrain parcel- and whole-brain voxel-) spaces in every case (e.g. – wideband, all narrowband frequency ranges, and even after the input space is fully orthogonalized through dimensionality reduction procedures prior to the decoding step). Furthermore, Figure 3 – figure supplement 6 shows that hybrid-space decoder performance supers when parceltime series that spatially overlap with the included regional voxel-spaces are removed from the input feature set. 

      We state in the Discussion (lines 353-356)

      “The observation of increased cross-validated test accuracy (as shown in Figure 3 – Figure Supplement 6) indicates that the spatially overlapping information in parcel- and voxel-space time-series in the hybrid decoder was complementary, rather than redundant [41].”

      To gain insight into the complimentary information contributed by the two spatial scales to the hybrid-space decoder, we first independently computed the matrix rank for whole-brain parcel- and voxel-space input features for each participant (shown in Author response image 1). The results indicate that whole-brain parcel-space input features are full rank (rank = 148) for all participants (i.e. - MEG activity is orthogonal between all parcels). The matrix rank of voxelspace input features (rank = 267± 17 SD), exceeded the parcel-space rank for all participants and approached the number of useable MEG sensor channels (n = 272). Thus, voxel-space features provide both additional and complimentary information to representations at the parcel-space scale.  

      Author response image 1.

      Matrix rank computed for whole-brain parcel- and voxel-space time-series in individual subjects across the training run. The results indicate that whole-brain parcel-space input features are full rank (rank = 148) for all participants (i.e. - MEG activity is orthogonal between all parcels). The matrix rank of voxel-space input features (rank = 267 ± 17 SD), on the other hand, approached the number of useable MEG sensor channels (n = 272). Although not full rank, the voxel-space rank exceeded the parcel-space rank for all participants. Thus, some voxel-space features provide additional orthogonal information to representations at the parcel-space scale.  An expression of this is shown in the correlation distribution between parcel and constituent voxel time-series in Figure 2—figure Supplement 2.

      Figure 2—figure Supplement 2 in the revised manuscript now shows that the degree of dependence between the two spatial scales varies over the regional voxel-space. That is, some voxels within a given parcel correlate strongly with the time-series of the parcel they belong to, while others do not. This finding is consistent with a documented increase in correlational structure of neural activity across spatial scales that does not reflect perfect dependency or orthogonality [9]. Notably, the regional voxel-spaces included in the hybridspace decoder are significantly less correlated with the averaged parcel-space time-series than excluded voxels. We now point readers to this new figure in the results.

      Taken together, these results indicate that the multi-scale information in the hybrid feature set is complimentary rather than orthogonal.  This is consistent with the idea that hybridspace features better represent multi-scale temporospatial dynamics reported to be a fundamental characteristic of how the brain stores and adapts memories, and generates behavior across species [9].  

      Reviewer #2 (Public review): 

      Summary: 

      The current paper consists of two parts. The first part is the rigorous feature optimization of the MEG signal to decode individual finger identity performed in a sequence (4-1-3-2-4; 1~4 corresponds to little~index fingers of the left hand). By optimizing various parameters for the MEG signal, in terms of (i) reconstructed source activity in voxel- and parcel-level resolution and their combination, (ii) frequency bands, and (iii) time window relative to press onset for each finger movement, as well as the choice of decoders, the resultant "hybrid decoder" achieved extremely high decoding accuracy (~95%). This part seems driven almost by pure engineering interest in gaining as high decoding accuracy as possible. 

      In the second part of the paper, armed with the successful 'hybrid decoder,' the authors asked more scientific questions about how neural representation of individual finger movement that is embedded in a sequence, changes during a very early period of skill learning and whether and how such representational change can predict skill learning. They assessed the difference in MEG feature patterns between the first and the last press 4 in sequence 41324 at each training trial and found that the pattern differentiation progressively increased over the course of early learning trials. Additionally, they found that this pattern differentiation specifically occurred during the rest period rather than during the practice trial. With a significant correlation between the trial-by-trial profile of this pattern differentiation and that for accumulation of offline learning, the authors argue that such "contextualization" of finger movement in a sequence (e.g., what-where association) underlies the early improvement of sequential skill. This is an important and timely topic for the field of motor learning and beyond. 

      Strengths: 

      Each part has its own strength. For the first part, the use of temporally rich neural information (MEG signal) has a significant advantage over previous studies testing sequential representations using fMRI. This allowed the authors to examine the earliest period (= the first few minutes of training) of skill learning with finer temporal resolution. Through the optimization of MEG feature extraction, the current study achieved extremely high decoding accuracy (approx. 94%) compared to previous works. For the second part, the finding of the early "contextualization" of the finger movement in a sequence and its correlation to early (offline) skill improvement is interesting and important. The comparison between "online" and "offline" pattern distance is a neat idea. 

      Weaknesses: 

      Despite the strengths raised, the specific goal for each part of the current paper, i.e., achieving high decoding accuracy and answering the scientific question of early skill learning, seems not to harmonize with each other very well. In short, the current approach, which is solely optimized for achieving high decoding accuracy, does not provide enough support and interpretability for the paper's interesting scientific claim. This reminds me of the accuracy-explainability tradeoff in machine learning studies (e.g., Linardatos et al., 2020). More details follow. 

      There are a number of different neural processes occurring before and after a key press, such as planning of upcoming movement and ahead around premotor/parietal cortices, motor command generation in primary motor cortex, sensory feedback related processes in sensory cortices, and performance monitoring/evaluation around the prefrontal area. Some of these may show learning-dependent change and others may not.  

      In this paper, the focus as stated in the Introduction was to evaluate “the millisecond-level differentiation of discrete action representations during learning”, a proposal that first required the development of more accurate computational tools.  Our first step, reported here, was to develop that tool. With that in hand, we then proceeded to test if neural representations differentiated during early skill learning. Our results showed they did.  Addressing the question the Reviewer asks is part of exciting future work, now possible based on the results presented in this paper.  We acknowledge this issue in the revised Discussion:  

      Discussion (Lines 428-434):

      “In this study, classifiers were trained on MEG activity recorded during or immediately after each keypress, emphasizing neural representations related to action execution, memory consolidation and recall over those related to planning. An important direction for future research is determining whether separate decoders can be developed to distinguish the representations or networks separately supporting these processes. Ongoing work in our lab is addressing this question. The present accuracy results across varied decoding window durations and alignment with each keypress action support the feasibility of this approach (Figure 3—figure supplement 5).”

      Given the use of whole-brain MEG features with a wide time window (up to ~200 ms after each key press) under the situation of 3~4 Hz (i.e., 250~330 ms press interval) typing speed, these different processes in different brain regions could have contributed to the expression of the "contextualization," making it difficult to interpret what really contributed to the "contextualization" and whether it is learning related. Critically, the majority of data used for decoder training has the chance of such potential overlap of signal, as the typing speed almost reached a plateau already at the end of the 11th trial and stayed until the 36th trial. Thus, the decoder could have relied on such overlapping features related to the future presses. If that is the case, a gradual increase in "contextualization" (pattern separation) during earlier trials makes sense, simply because the temporal overlap of the MEG feature was insufficient for the earlier trials due to slower typing speed.  Several direct ways to address the above concern, at the cost of decoding accuracy to some degree, would be either using the shorter temporal window for the MEG feature or training the model with the early learning period data only (trials 1 through 11) to see if the main results are unaffected would be some example. 

      We now include additional analyses carried out with decoding time windows ranging from 50 to 250ms in duration, which have been added to the revised manuscript as follows: 

      Results (lines 258-261):

      “The improved decoding accuracy is supported by greater differentiation in neural representations of the index finger keypresses performed at positions 1 and 5 of the sequence (Figure 4A), and by the trial-by-trial increase in 2-class decoding accuracy over early learning (Figure 4C) across different decoder window durations (Figure 4 – figure supplement 2).”

      Results (lines 310-312):

      “Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C).“

      Discussion (lines 382-385):

      “This was further supported by the progressive differentiation of neural representations of the index finger keypress (Figure 4A) and by the robust trial-by trial increase in 2-class decoding accuracy across time windows ranging between 50 and 250ms (Figure 4C; Figure 4 – figure supplement 2).”

      Discussion (lines 408-9):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1).”

      Several new control analyses are also provided addressing the question of overlapping keypresses:

      Reviewer #3 (Public review):

      Summary: 

      One goal of this paper is to introduce a new approach for highly accurate decoding of finger movements from human magnetoencephalography data via dimension reduction of a "multi-scale, hybrid" feature space. Following this decoding approach, the authors aim to show that early skill learning involves "contextualization" of the neural coding of individual movements, relative to their position in a sequence of consecutive movements.

      Furthermore, they aim to show that this "contextualization" develops primarily during short rest periods interspersed with skill training and correlates with a performance metric which the authors interpret as an indicator of offline learning. 

      Strengths: 

      A strength of the paper is the innovative decoding approach, which achieves impressive decoding accuracies via dimension reduction of a "multi-scale, hybrid space". This hybridspace approach follows the neurobiologically plausible idea of concurrent distribution of neural coding across local circuits as well as large-scale networks. A further strength of the study is the large number of tested dimension reduction techniques and classifiers. 

      Weaknesses: 

      A clear weakness of the paper lies in the authors' conclusions regarding "contextualization". Several potential confounds, which partly arise from the experimental design (mainly the use of a single sequence) and which are described below, question the neurobiological implications proposed by the authors and provide a simpler explanation of the results. Furthermore, the paper follows the assumption that short breaks result in offline skill learning, while recent evidence, described below, casts doubt on this assumption.  

      Please, see below for detailed response to each of these points.

      Specifically: The authors interpret the ordinal position information captured by their decoding approach as a reflection of neural coding dedicated to the local context of a movement (Figure 4). One way to dissociate ordinal position information from information about the moving effectors is to train a classifier on one sequence and test the classifier on other sequences that require the same movements, but in different positions (Kornysheva et al., Neuron 2019). In the present study, however, participants trained to repeat a single sequence (4-1-3-2-4).

      A crucial difference between our present study and the elegant study from Kornysheva et al. (2019) in Neuron highlighted by the Reviewer is that while ours is a learning study, the Kornysheva et al. study is not. Kornysheva et al. included an initial separate behavioral training session (i.e. – performed outside of the MEG) during which participants learned associations between fractal image patterns and different keypress sequences. Then in a separate, later MEG session—after the stimulus-response associations had been already learned in the first session—participants were tasked with recalling the learned sequences in response to a presented visual cue (i.e. – the paired fractal pattern). 

      Our rationale for not including multiple sequences in the same Day 1 training session of our study design was that it would lead to prominent interference effects, as widely reported in the literature [10-12].  Thus, while we had to take the issue of interference into consideration for our design, the Kornysheva et al. study did not. While Kornysheva et al. aimed to “dissociate ordinal position information from information about the moving effectors”, we tested various untrained sequences on Day 2 allowing us to determine that the contextualization result was specific to the trained sequence. By using this approach, we avoided interference effects on the learning of the primary skill caused by simultaneous acquisition of a second skill.

      The revised manuscript states our findings related to the Day 2 Control data in the following locations:

      Results (lines 117-122):

      “On the following day, participants were retested on performance of the same sequence (4-1-3-2-4) over 9 trials (Day 2 Retest), as well as on the single-trial performance of 9 different untrained control sequences (Day 2 Controls: 2-1-3-4-2, 4-2-4-3-1, 3-4-2-3-1, 1-4-3-4-2, 3-2-4-3-1, 1-4-2-3-1, 3-2-4-2-1, 3-2-1-4-2, and 4-23-1-4). As expected, an upward shift in performance of the trained sequence (0.68 ± SD 0.56 keypresses/s; t = 7.21, p < 0.001) was observed during Day 2 Retest, indicative of an overnight skill consolidation effect (Figure 1 – figure supplement 1A).”

      Results (lines 212-219):

      “Utilizing the highest performing decoders that included LDA-based manifold extraction, we assessed the robustness of hybrid-space decoding over multiple sessions by applying it to data collected on the following day during the Day 2 Retest (9-trial retest of the trained sequence) and Day 2 Control (single-trial performance of 9 different untrained sequences) blocks. The decoding accuracy for Day 2 MEG data remained high (87.11% ± SD 8.54% for the trained sequence during Retest, and 79.44% ± SD 5.54% for the untrained Control sequences; Figure 3 – figure supplement 4). Thus, index finger classifiers constructed using the hybrid decoding approach robustly generalized from Day 1 to Day 2 across trained and untrained keypress sequences.”

      Results (lines 269-273):

      “On Day 2, incorporating contextual information into the hybrid-space decoder enhanced classification accuracy for the trained sequence only (improving from 87.11% for 4-class to 90.22% for 5-class), while performing at or below-chance levels for the Control sequences (≤ 30.22% ± SD 0.44%). Thus, the accuracy improvements resulting from inclusion of contextual information in the decoding framework was specific for the trained skill sequence.”

      As a result, ordinal position information is potentially confounded by the fixed finger transitions around each of the two critical positions (first and fifth press). Across consecutive correct sequences, the first keypress in a given sequence was always preceded by a movement of the index finger (=last movement of the preceding sequence), and followed by a little finger movement. The last keypress, on the other hand, was always preceded by a ring finger movement, and followed by an index finger movement (=first movement of the next sequence). Figure 4 - supplement 2 shows that finger identity can be decoded with high accuracy (>70%) across a large time window around the time of the keypress, up to at least +/-100 ms (and likely beyond, given that decoding accuracy is still high at the boundaries of the window depicted in that figure). This time window approaches the keypress transition times in this study. Given that distinct finger transitions characterized the first and fifth keypress, the classifier could thus rely on persistent (or "lingering") information from the preceding finger movement, and/or "preparatory" information about the subsequent finger movement, in order to dissociate the first and fifth keypress. 

      Currently, the manuscript provides little evidence that the context information captured by the decoding approach is more than a by-product of temporally extended, and therefore overlapping, but independent neural representations of consecutive keypresses that are executed in close temporal proximity - rather than a neural representation dedicated to context. 

      During the review process, the authors pointed out that a "mixing" of temporally overlapping information from consecutive keypresses, as described above, should result in systematic misclassifications and therefore be detectable in the confusion matrices in Figures 3C and 4B, which indeed do not provide any evidence that consecutive keypresses are systematically confused. However, such absence of evidence (of systematic misclassification) should be interpreted with caution, and, of course, provides no evidence of absence. The authors also pointed out that such "mixing" would hamper the discriminability of the two ordinal positions of the index finger, given that "ordinal position 5" is systematically followed by "ordinal position 1". This is a valid point which, however, cannot rule out that "contextualization" nevertheless reflects the described "mixing".

      The revised manuscript contains several control analyses which rule out this potential confound.

      Results (lines 318-328):

      “Within-subject correlations were consistent with these group-level findings. The average correlation between offline contextualization and micro-offline gains within individuals was significantly greater than zero (Figure 5 – figure supplement 4, left; t = 3.87, p = 0.00035, df = 25, Cohen's d = 0.76) and stronger than correlations between online contextualization and either micro-online (Figure 5 – figure supplement 4, middle; t = 3.28, p = 0.0015, df = 25, Cohen's d = 1.2) or micro-offline gains (Figure 5 – figure supplement 4, right; t = 3.7021, p = 5.3013e-04, df = 25, Cohen's d = 0.69). These findings were not explained by behavioral changes of typing rhythm (t = -0.03, p = 0.976; Figure 5 – figure supplement 5), adjacent keypress transition times (R<sup>2</sup> = 0.00507, F[1,3202] = 16.3; Figure 5 – figure supplement 6), or overall typing speed (between-subject; R<sup>2</sup> = 0.028, p \= 0.41; Figure 5 – figure supplement 7).”

      Results (lines 385-390):

      “Further, the 5-class classifier—which directly incorporated information about the sequence location context of each keypress into the decoding pipeline—improved decoding accuracy relative to the 4-class classifier (Figure 4C). Importantly, testing on Day 2 revealed specificity of this representational differentiation for the trained skill but not for the same keypresses performed during various unpracticed control sequences (Figure 5C).”

      Discussion (lines 408-423):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1). This result remained unchanged when measuring offline contextualization between the last and second sequence of consecutive trials, inconsistent with a possible confounding effect of pre-planning [30] (Figure 5 – figure supplement 2A). On the other hand, online contextualization did not predict learning (Figure 5 – figure supplement 3). Consistent with these results the average within-subject correlation between offline contextualization and micro-offline gains was significantly stronger than within subject correlations between online contextualization and either micro-online or micro-offline gains (Figure 5 – figure supplement 4). 

      Offline contextualization was not driven by trial-by-trial behavioral differences, including typing rhythm (Figure 5 – figure supplement 5) and adjacent keypress transition times (Figure 5 – figure supplement 6) nor by between-subject differences in overall typing speed (Figure 5 – figure supplement 7)—ruling out a reliance on differences in the temporal overlap of keypresses. Importantly, offline contextualization documented on Day 1 stabilized once a performance plateau was reached (trials 11-36), and was retained on Day 2, documenting overnight consolidation of the differentiated neural representations.”

      During the review process, the authors responded to my concern that training of a single sequence introduces the potential confound of "mixing" described above, which could have been avoided by training on several sequences, as in Kornysheva et al. (Neuron 2019), by arguing that Day 2 in their study did include control sequences. However, the authors' findings regarding these control sequences are fundamentally different from the findings in Kornysheva et al. (2019), and do not provide any indication of effector-independent ordinal information in the described contextualization - but, actually, the contrary. In Kornysheva et al. (Neuron 2019), ordinal, or positional, information refers purely to the rank of a movement in a sequence. In line with the idea of competitive queuing, Kornysheva et al. (2019) have shown that humans prepare for a motor sequence via a simultaneous representation of several of the upcoming movements, weighted by their rank in the sequence. Importantly, they could show that this gradient carries information that is largely devoid of information about the order of specific effectors involved in a sequence, or their timing, in line with competitive queuing. They showed this by training a classifier to discriminate between the five consecutive movements that constituted one specific sequence of finger movements (five classes: 1st, 2nd, 3rd, 4th, 5th movement in the sequence) and then testing whether that classifier could identify the rank (1st, 2nd, 3rd, etc) of movements in another sequence, in which the fingers moved in a different order, and with different timings. Importantly, this approach demonstrated that the graded representations observed during preparation were largely maintained after this cross decoding, indicating that the sequence was represented via ordinal position information that was largely devoid of information about the specific effectors or timings involved in sequence execution. This result differs completely from the findings in the current manuscript. Dash et al. report a drop in detected ordinal position information (degree of contextualization in figure 5C) when testing for contextualization in their novel, untrained sequences on Day 2, indicating that context and ordinal information as defined in Dash et al. is not at all devoid of information about the specific effectors involved in a sequence. In this regard, a main concern in my public review, as well as the second reviewer's public review, is that Dash et al. cannot tell apart, by design, whether there is truly contextualization in the neural representation of a sequence (which they claim), or whether their results regarding "contextualization" are explained by what they call "mixing" in their author response, i.e., an overlap of representations of consecutive movements, as suggested as an alternative explanation by Reviewer 2 and myself.

      Again, as stated in response to a related comment by the Reviewer above, it is not surprising that our results differ from the study by Kornysheva et al. (2019) . A crucial difference between the studies that the Reviewer fails to recognize is that while ours is a learning study, the Kornysheva et al. study is not. Our rationale for not including multiple sequences in the same Day 1 training session of our study design was that it would lead to prominent interference effects, as widely reported in the literature [10-12].  Thus, while we had to take the issue of interference into consideration for our design, the Kornysheva et al. study did not, since it was not concerned with learning dynamics. The strengths of the elegant Kornysheva study highlighted by the Reviewer—that the pre-planned sequence queuing gradient of sequence actions was independent of the effectors or timings used—is precisely due to the fact that participants were selecting between sequence options that had been previously—and equivalently—learned. The decoders in the Kornynsheva study were trained to classify effector- and timing-independent sequence position information— by design—so it is not surprising that this is the information they reflect.

      The questions asked in our study were different: 1) Do the neural representations of the same sequence action executed in different skill (ordinal sequence) locations differentiate (contextualize) during early learning?  and 2) Is the observed contextualization specific to the learned sequence? Thus, while Kornysheva et al. aimed to “dissociate ordinal position information from information about the moving effectors”, we tested various untrained sequences on Day 2 allowing us to determine that the contextualization result was specific to the trained sequence. By using this approach, we avoided interference effects on the learning of the primary skill caused by simultaneous acquisition of a second skill.

      Such temporal overlap of consecutive, independent finger representations may also account for the dynamics of "ordinal coding"/"contextualization", i.e., the increase in 2class decoding accuracy, across Day 1 (Figure 4C). As learning progresses, both tapping speed and the consistency of keypress transition times increase (Figure 1), i.e., consecutive keypresses are closer in time, and more consistently so. As a result, information related to a given keypress is increasingly overlapping in time with information related to the preceding and subsequent keypresses. The authors seem to argue that their regression analysis in Figure 5 - figure supplement 3 speaks against any influence of tapping speed on "ordinal coding" (even though that argument is not made explicitly in the manuscript). However, Figure 5 - figure supplement 3 shows inter-individual differences in a between-subject analysis (across trials, as in panel A, or separately for each trial, as in panel B), and, therefore, says little about the within-subject dynamics of "ordinal coding" across the experiment. A regression of trial-by-trial "ordinal coding" on trial-by-trial tapping speed (either within-subject, or at a group-level, after averaging across subjects) could address this issue. Given the highly similar dynamics of "ordinal coding" on the one hand (Figure 4C), and tapping speed on the other hand (Figure 1B), I would expect a strong relationship between the two in the suggested within-subject (or group-level) regression. 

      The aim of the between-subject regression analysis presented in the Results (see below) and in Figure 5—figure supplement 7 (previously Figure 5—figure supplement 3) of the revised manuscript, was to rule out a general effect of tapping speed on the magnitude of contextualization observed. If temporal overlap of neural representations was driving their differentiation, then participants typing at higher speeds should also show greater contextualization scores. We made the decision to use a between-subject analysis to address this issue since within-subject skill speed variance was rather small over most of the training session. 

      The Reviewer’s request that we additionally carry-out a “regression of trial-by-trial "ordinal coding" on trial-by-trial tapping speed (either within-subject, or at a group-level, after averaging across subjects)” is essentially the same request of Reviewer 2 above. That request was to perform a modified simple linear regression analysis where the predictor is the sum the 4-4 and 4-1 transition times, since these transitions are where any temporal overlaps of neural representations would occur.  A new Figure 5 – figure supplement 6 in the revised manuscript includes a scatter plot showing the sum of adjacent index finger keypress transition times (i.e. – the 4-4 transition at the conclusion of one sequence iteration and the 4-1 transition at the beginning of the next sequence iteration) versus online contextualization distances measured during practice trials. Both the keypress transition times and online contextualization scores were z-score normalized within individual subjects, and then concatenated into a single data superset. As is clear in the figure data, results of the regression analysis showed a very weak linear relationship between the two (R<sup>2</sup> = 0.00507, F[1,3202] = 16.3). Thus, contextualization score magnitudes do not reflect the amount of overlap between adjacent keypresses when assessed either within- or between-subject.

      The revised manuscript now states:

      Results (lines 318-328):

      “Within-subject correlations were consistent with these group-level findings. The average correlation between offline contextualization and micro-offline gains within individuals was significantly greater than zero (Figure 5 – figure supplement 4, left; t = 3.87, p = 0.00035, df = 25, Cohen's d = 0.76) and stronger than correlations between online contextualization and either micro-online (Figure 5 – figure supplement 4, middle; t = 3.28, p = 0.0015, df = 25, Cohen's d = 1.2) or micro-offline gains (Figure 5 – figure supplement 4, right; t = 3.7021, p = 5.3013e-04, df = 25, Cohen's d = 0.69). These findings were not explained by behavioral changes of typing rhythm (t = -0.03, p = 0.976; Figure 5 – figure supplement 5), adjacent keypress transition times (R<sup>2</sup> = 0.00507, F[1,3202] = 16.3; Figure 5 – figure supplement 6), or overall typing speed (between-subject; R<sup>2</sup> = 0.028, p \= 0.41; Figure 5 – figure supplement 7).”

      Furthermore, learning should increase the number of (consecutively) correct sequences, and, thus, the consistency of finger transitions. Therefore, the increase in 2-class decoding accuracy may simply reflect an increasing overlap in time of increasingly consistent information from consecutive keypresses, which allows the classifier to dissociate the first and fifth keypress more reliably as learning progresses, simply based on the characteristic finger transitions associated with each. In other words, given that the physical context of a given keypress changes as learning progresses - keypresses move closer together in time and are more consistently correct - it seems problematic to conclude that the mental representation of that context changes. To draw that conclusion, the physical context should remain stable (or any changes to the physical context should be controlled for). 

      The revised manuscript now addresses specifically the question of mixing of temporally overlapping information:

      Results (Lines 310-328)

      “Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C). The offline contextualization between the final sequence of each trial and the second sequence of the subsequent trial (excluding the first sequence) yielded comparable results. This indicates that pre-planning at the start of each practice trial did not directly influence the offline contextualization measure [30] (Figure 5 – figure supplement 2A, 1st vs. 2nd Sequence approaches). Conversely, online contextualization (using either measurement approach) did not explain early online learning gains (i.e. – Figure 5 – figure supplement 3). Within-subject correlations were consistent with these group-level findings. The average correlation between offline contextualization and micro-offline gains within individuals was significantly greater than zero (Figure 5 – figure supplement 4, left; t = 3.87, p = 0.00035, df = 25, Cohen's d = 0.76) and stronger than correlations between online contextualization and either micro-online (Figure 5 – figure supplement 4, middle; t = 3.28, p = 0.0015, df = 25, Cohen's d = 1.2) or micro-offline gains (Figure 5 – figure supplement 4, right; t = 3.7021, p = 5.3013e-04, df = 25, Cohen's d = 0.69). These findings were not explained by behavioral changes of typing rhythm (t = -0.03, p = 0.976; Figure 5 – figure supplement 5), adjacent keypress transition times (R<sup>2</sup> = 0.00507, F[1,3202] = 16.3; Figure 5 – figure supplement 6), or overall typing speed (between-subject; R<sup>2</sup> = 0.028, p \= 0.41; Figure 5 – figure supplement 7). “

      Discussion (Lines 417-423)

      “Offline contextualization was not driven by trial-by-trial behavioral differences, including typing rhythm (Figure 5 – figure supplement 5) and adjacent keypress transition times (Figure 5 – figure supplement 6) nor by between-subject differences in overall typing speed (Figure 5 – figure supplement 7)—ruling out a reliance on differences in the temporal overlap of keypresses. Importantly, offline contextualization documented on Day 1 stabilized once a performance plateau was reached (trials 11-36), and was retained on Day 2, documenting overnight consolidation of the differentiated neural representations.”

      A similar difference in physical context may explain why neural representation distances ("differentiation") differ between rest and practice (Figure 5). The authors define "offline differentiation" by comparing the hybrid space features of the last index finger movement of a trial (ordinal position 5) and the first index finger movement of the next trial (ordinal position 1). However, the latter is not only the first movement in the sequence but also the very first movement in that trial (at least in trials that started with a correct sequence), i.e., not preceded by any recent movement. In contrast, the last index finger of the last correct sequence in the preceding trial includes the characteristic finger transition from the fourth to the fifth movement. Thus, there is more overlapping information arising from the consistent, neighbouring keypresses for the last index finger movement, compared to the first index finger movement of the next trial. A strong difference (larger neural representation distance) between these two movements is, therefore, not surprising, given the task design, and this difference is also expected to increase with learning, given the increase in tapping speed, and the consequent stronger overlap in representations for consecutive keypresses. Furthermore, initiating a new sequence involves pre-planning, while ongoing practice relies on online planning (Ariani et al., eNeuro 2021), i.e., two mental operations that are dissociable at the level of neural representation (Ariani et al., bioRxiv 2023).  

      The revised manuscript now addresses specifically the question of pre-planning:

      Results (lines 310-318):

      “Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C). The offline contextualization between the final sequence of each trial and the second sequence of the subsequent trial (excluding the first sequence) yielded comparable results. This indicates that pre-planning at the start of each practice trial did not directly influence the offline contextualization measure [30] (Figure 5 – figure supplement 2A, 1st vs. 2nd Sequence approaches). Conversely, online contextualization (using either measurement approach) did not explain early online learning gains (i.e. – Figure 5 – figure supplement 3).”

      Discussion (lines 408-416):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1). This result remained unchanged when measuring offline contextualization between the last and second sequence of consecutive trials, inconsistent with a possible confounding effect of pre-planning [30] (Figure 5 – figure supplement 2A). On the other hand, online contextualization did not predict learning (Figure 5 – figure supplement 3). Consistent with these results the average within-subject correlation between offline contextualization and micro-offline gains was significantly stronger than within-subject correlations between online contextualization and either micro-online or micro-offline gains (Figure 5 – figure supplement 4).”

      A further complication in interpreting the results stems from the visual feedback that participants received during the task. Each keypress generated an asterisk shown above the string on the screen. It is not clear why the authors introduced this complicating visual feedback in their task, besides consistency with their previous studies. The resulting systematic link between the pattern of visual stimulation (the number of asterisks on the screen) and the ordinal position of a keypress makes the interpretation of "contextual information" that differentiates between ordinal positions difficult. During the review process, the authors reported a confusion matrix from a classification of asterisks position based on eye tracking data recorded during the task and concluded that the classifier performed at chance level and gaze was, thus, apparently not biased by the visual stimulation. However, the confusion matrix showed a huge bias that was difficult to interpret (a very strong tendency to predict one of the five asterisk positions, despite chance-level performance). Without including additional information for this analysis (or simply the gaze position as a function of the number of astersisk on the screen) in the manuscript, this important control analysis cannot be properly assessed, and is not available to the public.  

      We now include the gaze position data requested by the Reviewer alongside the confusion matrix results in Figure 4 – figure supplement 3.

      Results (lines 207-211):

      “An alternate decoder trained on ICA components labeled as movement or physiological artefacts (e.g. – head movement, ECG, eye movements and blinks; Figure 3 – figure supplement 3A, D) and removed from the original input feature set during the pre-processing stage approached chance-level performance (Figure 4 – figure supplement 3), indicating that the 4-class hybrid decoder results were not driven by task-related artefacts.” Results (lines 261-268):

      “As expected, the 5-class hybrid-space decoder performance approached chance levels when tested with randomly shuffled keypress labels (18.41%± SD 7.4% for Day 1 data; Figure 4 – figure supplement 3C). Task-related eye movements did not explain these results since an alternate 5-class hybrid decoder constructed from three eye movement features (gaze position at the KeyDown event, gaze position 200ms later, and peak eye movement velocity within this window; Figure 4 – figure supplement 3A) performed at chance levels (cross-validated test accuracy = 0.2181; Figure 4 – figure supplement 3B, C). “

      Discussion (Lines 362-368):

      “Task-related movements—which also express in lower frequency ranges—did not explain these results given the near chance-level performance of alternative decoders trained on (a) artefact-related ICA components removed during MEG preprocessing (Figure 3 – figure supplement 3A-C) and on (b) task-related eye movement features (Figure 4 – figure supplement 3B, C). This explanation is also inconsistent with the minimal average head motion of 1.159 mm (± 1.077 SD) across the MEG recording (Figure 3 – figure supplement 3D).”

      The rationale for the task design including the asterisks is presented below:

      Methods (Lines 500-514)

      “The five-item sequence was displayed on the computer screen for the duration of each practice round and participants were directed to fix their gaze on the sequence. Small asterisks were displayed above a sequence item after each successive keypress, signaling the participants' present position within the sequence. Inclusion of this feedback minimizes working memory loads during task performance [73]. Following the completion of a full sequence iteration, the asterisk returned to the first sequence item. The asterisk did not provide error feedback as it appeared for both correct and incorrect keypresses. At the end of each practice round, the displayed number sequence was replaced by a string of five "X" symbols displayed on the computer screen, which remained for the duration of the rest break. Participants were instructed to focus their gaze on the screen during this time. The behavior in this explicit, motor learning task consists of generative action sequences rather than sequences of stimulus-induced responses as in the serial reaction time task (SRTT). A similar real-world example would be manually inputting a long password into a secure online application in which one intrinsically generates the sequence from memory and receives similar feedback about the password sequence position (also provided as asterisks), which is typically ignored by the user.”

      The authors report a significant correlation between "offline differentiation" and cumulative micro-offline gains. However, this does not address the question whether there is a trial-by-trial relation between the degree of "contextualization" and the amount of micro-offline gains - i.e., the question whether performance changes (micro-offline gains) are less pronounced across rest periods for which the change in "contextualization" is relatively low. The single-subject correlation between contextualization changes "during" rest and micro-offline gains (Figure 5 - figure supplement 4) addresses this question, however, the critical statistical test (are correlation coefficients significantly different from zero) is not included. Given the displayed distribution, it seems unlikely that correlation coefficients are significantly above zero. 

      As recommend by the Reviewer, we now include one-way right-tailed t-test results which provide further support to the previously reported finding. The mean of within-subject correlations between offline contextualization and cumulative micro-offline gains was significantly greater than zero (t = 3.87, p = 0.00035, df = 25, Cohen's d = 0.76; see Figure 5 – figure supplement 4, left), while correlations for online contextualization versus cumulative micro-online (t = -1.14, p = 0.8669, df = 25, Cohen's d = -0.22) or micro-offline gains t = -0.097, p = 0.5384, df = 25, Cohen's d = -0.019) were not. We have incorporated the significant one-way t-test for offline contextualization and cumulative micro-offline gains in the Results section of the revised manuscript (lines 313-318) and the Figure 5 – figure supplement 4 legend.

      The authors follow the assumption that micro-offline gains reflect offline learning.

      However, there is no compelling evidence in the literature, and no evidence in the present manuscript, that micro-offline gains (during any training phase) reflect offline learning. Instead, emerging evidence in the literature indicates that they do not (Das et al., bioRxiv 2024), and instead reflect transient performance benefits when participants train with breaks, compared to participants who train without breaks, however, these benefits vanish within seconds after training if both groups of participants perform under comparable conditions (Das et al., bioRxiv 2024). During the review process, the authors argued that differences in the design between Das et al. (2024) on the one hand (Experiments 1 and 2), and the study by Bönstrup et al. (2019) on the other hand, may have prevented Das et al. (2024) from finding the assumed (lasting) learning benefit by micro-offline consolidation. However, the Supplementary Material of Das et al. (2024) includes an experiment (Experiment S1) whose design closely follows the early learning phase of Bönstrup et al. (2019), and which, nevertheless, demonstrates that there is no lasting benefit of taking breaks for the acquired skill level, despite the presence of micro-offline gains. 

      We thank the Reviewer for alerting us to this new data added to the revised supplementary materials of Das et al. (2024) posted to bioRxiv. However, despite the Reviewer’s claim to the contrary, a careful comparison between the Das et al and Bönstrup et al studies reveal more substantive differences than similarities and does not “closely follows a large proportion of the early learning phase of Bönstrup et al. (2019)” as stated. 

      In the Das et al. Experiment S1, sixty-two participants were randomly assigned to “with breaks” or “no breaks” skill training groups. The “with breaks” group alternated 10 seconds of skill sequence practice with 10 seconds of rest over seven trials (2 min and 2 sec total training duration). This amounts to 66.7% of the early learning period defined by Bönstrup et al. (2019) (i.e. - eleven 10-second-long practice periods interleaved with ten 10-second-long rest breaks; 3 min 30 sec total training duration).  

      Also, please note that while no performance feedback nor reward was given in the Bönstrup et al. (2019) study, participants in the Das et al. study received explicit performance-based monetary rewards, a potentially crucial driver of differentiated behavior between the two studies:

      “Participants were incentivized with bonus money based on the total number of correct sequences completed throughout the experiment.”

      The “no breaks” group in the Das et al. study practiced the skill sequence for 70 continuous seconds. Both groups (despite one being labeled “no breaks”) follow training with a long 3-minute break (also note that since the “with breaks” group ends with 10 seconds of rest their break is actually longer), before finishing with a skill “test” over a continuous 50-second-long block. During the 70 seconds of training, the “with breaks” group shows more learning than the “no breaks” group. Interestingly, following the long 3minute break the “with breaks” group display a performance drop (relative to their performance at the end of training) that is stable over the full 50-second test, while the “no breaks” group shows an immediate performance improvement following the long break that continues to increase over the 50-second test.  

      Separately, there are important issues regarding the Das et al. study that should be considered through the lens of recent findings not referred to in the preprint. A major element of their experimental design is that both groups—“with breaks” and “no breaks”— actually receive quite a long 3-minute break just before the skill test. This long break is more than 2.5x the cumulative interleaved rest experienced by the “with breaks” group. Thus, although the design is intended to contrast the presence or absence of rest “breaks”, that difference between groups is no longer maintained at the point of the skill test. 

      The Das et al. results are most consistent with an alternative interpretation of the data— that the “no breaks” group experiences offline learning during their long 3-minute break. This is supported by the recent work of Griffin et al. (2025) where micro-array recordings from primary and premotor cortex were obtained from macaque monkeys while they performed blocks of ten continuous reaching sequences up to 81.4 seconds in duration (see source data for Extended Data Figure 1h) with 90 seconds of interleaved rest. Griffin et al. observed offline improvement in skill immediately following the rest break that was causally related to neural reactivations (i.e. – neural replay) that occurred during the rest break. Importantly, the highest density of reactivations was present in the very first 90second break between Blocks 1 and 2 (see Fig. 2f in Griffin et al., 2025). This supports the interpretation that both the “with breaks” and “no breaks” group express offline learning gains, with these gains being delayed in the “no breaks” group due to the practice schedule.

      On the other hand, if offline learning can occur during this longer break, then why would the “with breaks” group show no benefit? Again, it could be that most of the offline gains for this group were front-loaded during the seven shorter 10-second rest breaks. Another possible, though not mutually exclusive, explanation is that the observed drop in performance in the “with breaks” group is driven by contextual interference. Specifically, similar to Experiments 1 and 2 in Das et al. (2024), the skill test is conducted under very different conditions than those which the “with breaks” group practiced the skill under (short bursts of practiced alternating with equally short breaks). On the other hand, the “no breaks” group is tested (50 seconds of continuous practice) under quite similar conditions to their training schedule (70 seconds of continuous practice). Thus, it is possible that this dissimilarity between training and test could lead to reduced performance in the “with breaks” group.

      We made the following manuscript revisions related to these important issues: 

      Introduction (Lines 26-56)

      “Practicing a new motor skill elicits rapid performance improvements (early learning) [1] that precede skill performance plateaus [5]. Skill gains during early learning accumulate over rest periods (micro-offline) interspersed with practice [1, 6-10], and are up to four times larger than offline performance improvements reported following overnight sleep [1]. During this initial interval of prominent learning, retroactive interference immediately following each practice interval reduces learning rates relative to interference after passage of time, consistent with stabilization of the motor memory [11]. Micro-offline gains observed during early learning are reproducible [7, 10-13] and are similar in magnitude even when practice periods are reduced by half to 5 seconds in length, thereby confirming that they are not merely a result of recovery from performance fatigue [11]. Additionally, they are unaffected by the random termination of practice periods, which eliminates the possibility of predictive motor slowing as a contributing factor [11]. Collectively, these behavioral findings point towards the interpretation that micro offline gains during early learning represent a form of memory consolidation [1]. 

      This interpretation has been further supported by brain imaging and electrophysiological studies linking known memory-related networks and consolidation mechanisms to rapid offline performance improvements. In humans, the rate of hippocampo-neocortical neural replay predicts micro-offline gains [6]. Consistent with these findings, Chen et al. [12] and Sjøgård et al. [13] furnished direct evidence from intracranial human EEG studies, demonstrating a connection between the density of hippocampal sharp-wave ripples (80-120 Hz)—recognized markers of neural replay—and micro-offline gains during early learning. Further, Griffin et al. reported that neural replay of task-related ensembles in the motor cortex of macaques during brief rest periods— akin to those observed in humans [1, 6-8, 14]—are not merely correlated with, but are causal drivers of micro-offline learning [15]. Specifically, the same reach directions that were replayed the most during rest breaks showed the greatest reduction in path length (i.e. – more efficient movement path between two locations in the reach sequence) during subsequent trials, while stimulation applied during rest intervals preceding performance plateau reduced reactivation rates and virtually abolished micro-offline gains [15]. Thus, converging evidence in humans and non-human primates across indirect non-invasive and direct invasive recording techniques link hippocampal activity, neural replay dynamics and offline skill gains in early motor learning that precede performance plateau.”

      Next, in the Methods, we articulate important constrains formulated by Pan and Rickard and Bonstrup et al for meaningful measurements:

      Methods (Lines 493-499)

      “The study design followed specific recommendations by Pan and Rickard (2015): 1) utilizing 10-second practice trials and 2) constraining analysis of micro-offline gains to early learning trials (where performance monotonically increases and 95% of overall performance gains occur) that precede the emergence of “scalloped” performance dynamics strongly linked to reactive inhibition effects ( [29, 72]). This is precisely the portion of the learning curve Pan and Rickard referred to when they stated “…rapid learning during that period masks any reactive inhibition effect” [29].”

      We finally discuss the implications of neglecting some or all of these recommendations:

      Discussion (Lines 444-452):

      “Finally, caution should be exercised when extrapolating findings during early skill learning, a period of steep performance improvements, to findings reported after insufficient practice [67], post-plateau performance periods [68], or non-learning situations (e.g. performance of non-repeating keypress sequences in  [67]) when reactive inhibition or contextual interference effects are prominent. Ultimately, it will be important to develop new paradigms allowing one to independently estimate the different coincident or antagonistic features (e.g. - memory consolidation, planning, working memory and reactive inhibition) contributing to micro-online and micro-offline gains during and after early skill learning within a unifying framework.”

      Along these lines, the authors' claim, based on Bönstrup et al. 2020, that "retroactive interference immediately following practice periods reduces micro-offline learning", is not supported by that very reference. Citing Bönstrup et al. (2020), "Regarding early learning dynamics (trials 1-5), we found no differences in microscale learning parameters (micro online/offline) or total early learning between both interference groups." That is, contrary to Dash et al.'s current claim, Bönstrup et al. (2020) did not find any retroactive interference effect on the specific behavioral readout (micro-offline gains) that the authors assume to reflect consolidation. 

      Please, note that the Bönstrup et al. 2020 paper abstract states: 

      “Third, retroactive interference immediately after each practice period reduced the learning rate relative to interference after passage of time (N = 373), indicating stabilization of the motor memory at a microscale of several seconds.”

      which is further supported by this statement in the Results: 

      “The model comprised three parameters representing the initial performance, maximum performance and learning rate (see Eq. 1, “Methods”, “Data Analysis” section). We then statistically compared the model parameters between the interference groups (Fig. 2d). The late interference group showed a higher learning rate compared with the early interference group (late: 0.26 ± 0.23, early: 2.15 ± 0.20, P=0.04). The effect size of the group difference was small to medium (Cohen’s d 0.15)[29]. Similar differences with a stronger rise in the learning curve of a late interference groups vs. an early interference group were found in a smaller sample collected in the lab environment (Supplementary Fig. 3).”

      We have modified the statement in the revised manuscript to specify that the difference observed was between learning rates: Introduction (Lines 30-32)

      “During this initial interval of prominent learning, retroactive interference immediately following each practice interval reduces learning rates relative to interference after passage of time, consistent with stabilization of the motor memory [11].”

      The authors conclude that performance improves, and representation manifolds differentiate, "during" rest periods (see, e.g., abstract). However, micro-offline gains (as well as offline contextualization) are computed from data obtained during practice, not rest, and may, thus, just as well reflect a change that occurs "online", e.g., at the very onset of practice (like pre-planning) or throughout practice (like fatigue, or reactive inhibition).  

      The Reviewer raises again the issue of a potential confound of “pre-planning” on our contextualization measures as in the comment above: 

      “Furthermore, initiating a new sequence involves pre-planning, while ongoing practice relies on online planning (Ariani et al., eNeuro 2021), i.e., two mental operations that are dissociable at the level of neural representation (Ariani et al., bioRxiv 2023).”

      The cited studies by Ariani et al. indicate that effects of pre-planning are likely to impact the first 3 keypresses of the initial sequence iteration in each trial. As stated in the response to this comment above, we conducted a control analysis of contextualization that ignores the first sequence iteration in each trial to partial out any potential preplanning effect. This control analyses yielded comparable results, indicating that preplanning is not a major driver of our reported contextualization effects. We now report this in the revised manuscript:

      We also state in the Figure 1 legend (Lines 99-103) in the revised manuscript that preplanning has no effect on the behavioral measures of micro-offline and micro-online gains in our dataset:

      The Reviewer also raises the issue of possible effects stemming from “fatigue” and “reactive inhibition” which inhibit performance and are indeed relevant to skill learning studies. We designed our task to specifically mitigate these effects. We now more clearly articulate this rationale in the description of the task design as well as the measurement constraints essential for minimizing their impact.

      We also discuss the implications of fatigue and reactive inhibition effects in experimental designs that neglect to follow these recommendations formulated by Pan and Rickard in the Discussion section and propose how this issue can be better addressed in future investigations.

      To summarize, the results of our study indicate that: (a) offline contextualization effects are not explained by pre-planning of the first action sequence iteration in each practice trial; and (b) the task design implemented in this study purposefully minimize any possible effects of reactive inhibition or fatigue.  Circling back to the Reviewer’s proposal that “contextualization…may just as well reflect a change that occurs "online"”, we show in this paper direct empirical evidence that contextualization develops to a greater extent across rest periods rather than across practice trials, contrary to the Reviewer’s proposal.  

      That is, the definition of micro-offline gains (as well as offline contextualization) conflates online and "offline" processes. This becomes strikingly clear in the recent Nature paper by Griffin et al. (2025), who computed micro-offline gains as the difference in average performance across the first five sequences in a practice period (a block, in their terminology) and the last five sequences in the previous practice period. Averaging across sequences in this way minimises the chance to detect online performance changes and inflates changes in performance "offline". The problem that "online" gains (or contextualization) is actually computed from data entirely generated online, and therefore subject to processes that occur online, is inherent in the very definition of micro-online gains, whether, or not, they computed from averaged performance.

      We would like to make it clear that the issue raised by the Reviewer with respect to averaging across sequences done in the Griffin et al. (2025) study does not impact our study in any way. The primary skill measure used in all analyses reported in our paper is not temporally averaged. We estimated instantaneous correct sequence speed over the entire trial. Once the first sequence iteration within a trial is completed, the speed estimate is then updated at the resolution of individual keypresses. All micro-online and -offline behavioral changes are measured as the difference in instantaneous speed at the beginning and end of individual practice trials.

      Methods (lines 528-530):

      “The instantaneous correct sequence speed was calculated as the inverse of the average KTT across a single correct sequence iteration and was updated for each correct keypress.”

      The instantaneous speed measure used in our analyses, in fact, maximizes the likelihood of detecting changes in online performance, as the Reviewer indicates.  Despite this optimally sensitive measurement of online changes, our findings remained robust, consistently converging on the same outcome across our original analyses and the multiple controls recommended by the reviewers. Notably, online contextualization changes are significantly weaker than offline contextualization in all comparisons with different measurement approaches.

      Results (lines 302-309)

      “The Euclidian distance between neural representations of Index<sub>OP1</sub> (i.e. - index finger keypress at ordinal position 1 of the sequence) and Index<sub>OP5</sub> (i.e. - index finger keypress at ordinal position 5 of the sequence) increased progressively during early learning (Figure 5A)—predominantly during rest intervals (offline contextualization) rather than during practice (online) (t = 4.84, p < 0.001, df = 25, Cohen's d = 1.2; Figure 5B; Figure 5 – figure supplement 1A). An alternative online contextualization determination equalling the time interval between online and offline comparisons (Trial-based; 10 seconds between Index<sub>OP1</sub> and Index<sub>OP5</sub> observations in both cases) rendered a similar result (Figure 5 – figure supplement 2B).

      Results (lines 316-318)

      “Conversely, online contextualization (using either measurement approach) did not explain early online learning gains (i.e. – Figure 5 – figure supplement 3).”

      Results (lines 318-328)

      “Within-subject correlations were consistent with these group-level findings. The average correlation between offline contextualization and micro-offline gains within individuals was significantly greater than zero (Figure 5 – figure supplement 4, left; t = 3.87, p = 0.00035, df = 25, Cohen's d = 0.76) and stronger than correlations between online contextualization and either micro-online (Figure 5 – figure supplement 4, middle; t = 3.28, p = 0.0015, df = 25, Cohen's d = 1.2) or microoffline gains (Figure 5 – figure supplement 4, right; t = 3.7021, p = 5.3013e-04, df = 25, Cohen's d = 0.69). These findings were not explained by behavioral changes of typing rhythm (t = -0.03, p = 0.976; Figure 5 – figure supplement 5), adjacent keypress transition times (R<sup>2</sup> = 0.00507, F[1,3202] = 16.3; Figure 5 – figure supplement 6), or overall typing speed (between-subject; R<sup>2</sup> = 0.028, p \= 0.41; Figure 5 – figure supplement 7).”

      We disagree with the Reviewer’s statement that “the definition of micro-offline gains (as well as offline contextualization) conflates online and "offline" processes”.  From a strictly behavioral point of view, it is obviously true that one can only measure skill (rather than the absence of it during rest) to determine how it changes over time.  While skill changes surrounding rest are used to infer offline learning processes, recovery of skill decay following intense practice is used to infer “unmeasurable” recovery from fatigue or reactive inhibition. In other words, the alternative processes proposed by the Reviewer also rely on the same inferential reasoning. 

      Importantly, inferences can be validated through the identification of mechanisms. Our experiment constrained the study to evaluation of changes in neural representations of the same action in different contexts, while minimized the impact of mechanisms related to fatigue/reactive inhibition [13, 14]. In this way, we observed that behavioral gains and neural contextualization occurs to a greater extent over rest breaks rather than during practice trials and that offline contextualization changes strongly correlate with the offline behavioral gains, while online contextualization does not. This result was supported by the results of all control analyses recommended by the Reviewers. Specifically:

      Methods (Lines 493-499)

      “The study design followed specific recommendations by Pan and Rickard (2015): 1) utilizing 10-second practice trials and 2) constraining analysis of micro-offline gains to early learning trials (where performance monotonically increases and 95% of overall performance gains occur) that precede the emergence of “scalloped” performance dynamics strongly linked to reactive inhibition effects ( [29, 72]). This is precisely the portion of the learning curve Pan and Rickard referred to when they stated “…rapid learning during that period masks any reactive inhibition effect” [29].”

      And Discussion (Lines 444-448):

      “Finally, caution should be exercised when extrapolating findings during early skill learning, a period of steep performance improvements, to findings reported after insufficient practice [67], post-plateau performance periods [68], or non-learning situations (e.g. performance of non-repeating keypress sequences in  [67]) when reactive inhibition or contextual interference effects are prominent.”

      Next, we show that offline contextualization is greater than online contextualization and predicts offline behavioral gains across all measurement approaches, including all controls suggested by the Reviewer’s comments and recommendations. 

      Results (lines 302-318):

      “The Euclidian distance between neural representations of Index<sub>OP1</sub> (i.e. - index finger keypress at ordinal position 1 of the sequence) and Index<sub>OP5</sub> (i.e. - index finger keypress at ordinal position 5 of the sequence) increased progressively during early learning (Figure 5A)—predominantly during rest intervals (offline contextualization) rather than during practice (online) (t = 4.84, p < 0.001, df = 25, Cohen's d = 1.2; Figure 5B; Figure 5 – figure supplement 1A). An alternative online contextualization determination equalling the time interval between online and offline comparisons (Trial-based; 10 seconds between Index<sub>OP1</sub> and Index<sub>OP5</sub> observations in both cases) rendered a similar result (Figure 5 – figure supplement 2B).

      Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C). The offline contextualization between the final sequence of each trial and the second sequence of the subsequent trial (excluding the first sequence) yielded comparable results. This indicates that pre-planning at the start of each practice trial did not directly influence the offline contextualization measure [30] (Figure 5 – figure supplement 2A, 1st vs. 2nd Sequence approaches). Conversely, online contextualization (using either measurement approach) did not explain early online learning gains (i.e. – Figure 5 – figure supplement 3).”

      Results (lines 318-324)

      “Within-subject correlations were consistent with these group-level findings. The average correlation between offline contextualization and micro-offline gains within individuals was significantly greater than zero (Figure 5 – figure supplement 4, left; t = 3.87, p = 0.00035, df = 25, Cohen's d = 0.76) and stronger than correlations between online contextualization and either micro-online (Figure 5 – figure supplement 4, middle; t = 3.28, p = 0.0015, df = 25, Cohen's d = 1.2) or microoffline gains (Figure 5 – figure supplement 4, right; t = 3.7021, p = 5.3013e-04, df = 25, Cohen's d = 0.69).”

      Discussion (lines 408-416):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1). This result remained unchanged when measuring offline contextualization between the last and second sequence of consecutive trials, inconsistent with a possible confounding effect of pre-planning [30] (Figure 5 – figure supplement 2A). On the other hand, online contextualization did not predict learning (Figure 5 – figure supplement 3). Consistent with these results the average within-subject correlation between offline contextualization and micro-offline gains was significantly stronger than within subject correlations between online contextualization and either micro-online or micro-offline gains (Figure 5 – figure supplement 4).”

      We then show that offline contextualization is not explained by pre-planning of the first action sequence:

      Results (lines 310-316):

      “Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R<sup>2</sup> = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C). The offline contextualization between the final sequence of each trial and the second sequence of the subsequent trial (excluding the first sequence) yielded comparable results. This indicates that pre-planning at the start of each practice trial did not directly influence the offline contextualization measure [30] (Figure 5 – figure supplement 2A, 1st vs. 2nd Sequence approaches).”

      Discussion (lines 409-412):

      “This result remained unchanged when measuring offline contextualization between the last and second sequence of consecutive trials, inconsistent with a possible confounding effect of pre-planning [30] (Figure 5 – figure supplement 2A).”

      In summary, none of the presented evidence in this paper—including results of the multiple control analyses carried out in response to the Reviewers’ recommendations— supports the Reviewer’s position. 

      Please note that the micro-offline learning "inference" has extensive mechanistic support across species and neural recording techniques (see Introduction, lines 26-56). In contrast, the reactive inhibition "inference," which is the Reviewer's alternative interpretation, has no such support yet [15].

      Introduction (Lines 26-56)

      “Practicing a new motor skill elicits rapid performance improvements (early learning) [1] that precede skill performance plateaus [5]. Skill gains during early learning accumulate over rest periods (micro-offline) interspersed with practice [1, 6-10], and are up to four times larger than offline performance improvements reported following overnight sleep [1]. During this initial interval of prominent learning, retroactive interference immediately following each practice interval reduces learning rates relative to interference after passage of time, consistent with stabilization of the motor memory [11]. Micro-offline gains observed during early learning are reproducible [7, 10-13] and are similar in magnitude even when practice periods are reduced by half to 5 seconds in length, thereby confirming that they are not merely a result of recovery from performance fatigue [11]. Additionally, they are unaffected by the random termination of practice periods, which eliminates the possibility of predictive motor slowing as a contributing factor [11]. Collectively, these behavioral findings point towards the interpretation that microoffline gains during early learning represent a form of memory consolidation [1]. 

      This interpretation has been further supported by brain imaging and electrophysiological studies linking known memory-related networks and consolidation mechanisms to rapid offline performance improvements. In humans, the rate of hippocampo-neocortical neural replay predicts micro-offline gains [6].

      Consistent with these findings, Chen et al. [12] and Sjøgård et al. [13] furnished direct evidence from intracranial human EEG studies, demonstrating a connection between the density of hippocampal sharp-wave ripples (80-120 Hz)—recognized markers of neural replay—and micro-offline gains during early learning. Further, Griffin et al. reported that neural replay of task-related ensembles in the motor cortex of macaques during brief rest periods— akin to those observed in humans [1, 6-8, 14]—are not merely correlated with, but are causal drivers of micro-offline learning [15]. Specifically, the same reach directions that were replayed the most during rest breaks showed the greatest reduction in path length (i.e. – more efficient movement path between two locations in the reach sequence) during subsequent trials, while stimulation applied during rest intervals preceding performance plateau reduced reactivation rates and virtually abolished micro-offline gains [15]. Thus, converging evidence in humans and non-human primates across indirect non-invasive and direct invasive recording techniques link hippocampal activity, neural replay dynamics and offline skill gains in early motor learning that precede performance plateau.”

      That said, absence of evidence, is not evidence of absence and for that reason we also state in the Discussion (lines 448-452):

      A simple control analysis based on shuffled class labels could lend further support to the authors' complex decoding approach. As a control analysis that completely rules out any source of overfitting, the authors could test the decoder after shuffling class labels. Following such shuffling, decoding accuracies should drop to chance-level for all decoding approaches, including the optimized decoder. This would also provide an estimate of actual chance-level performance (which is informative over and beyond the theoretical chance level). During the review process, the authors reported this analysis to the reviewers. Given that readers may consider following the presented decoding approach in their own work, it would have been important to include that control analysis in the manuscript to convince readers of its validity. 

      As requested, the label-shuffling analysis was carried out for both 4- and 5-class decoders and is now reported in the revised manuscript.

      Results (lines 204-207):

      “Testing the keypress state (4-class) hybrid decoder performance on Day 1 after randomly shuffling keypress labels for held-out test data resulted in a performance drop approaching expected chance levels (22.12%± SD 9.1%; Figure 3 – figure supplement 3C).”

      Results (lines 261-264):

      “As expected, the 5-class hybrid-space decoder performance approached chance levels when tested with randomly shuffled keypress labels (18.41%± SD 7.4% for Day 1 data; Figure 4 – figure supplement 3C).”

      Furthermore, the authors' approach to cortical parcellation raises questions regarding the information carried by varying dipole orientations within a parcel (which currently seems to be ignored?) and the implementation of the mean-flipping method (given that there are two dimensions - space and time - it is unclear what the authors refer to when they talk about the sign of the "average source", line 477). 

      The revised manuscript now provides a more detailed explanation of the parcellation, and sign-flipping procedures implemented:

      Methods (lines 604-611):

      “Source-space parcellation was carried out by averaging all voxel time-series located within distinct anatomical regions defined in the Desikan-Killiany Atlas [31]. Since source time-series estimated with beamforming approaches are inherently sign-ambiguous, a custom Matlab-based implementation of the mne.extract_label_time_course with “mean_flip” sign-flipping procedure in MNEPython [78] was applied prior to averaging to prevent within-parcel signal cancellation. All voxel time-series within each parcel were extracted and the timeseries sign was flipped at locations where the orientation difference was greater than 90° from the parcel mode. A mean time-series was then computed across all voxels within the parcel after sign-flipping.”

      Recommendations for the authors: 

      Reviewer #1 (Recommendations for the authors): 

      Comments on the revision: 

      The authors have made large efforts to address all concerns raised. A couple of suggestions remain: 

      - formally show if and how movement artefacts may contribute to the signal and analysis; it seems that the authors have data to allow for such an analysis  

      We have implemented the requested control analyses addressing this issue. They are reported in: Results (lines 207-211 and 261-268), Discussion (Lines 362-368):

      - formally show that the signals from the intra- and inter parcel spaces are orthogonal. 

      Please note that, despite the Reviewer’s statement above, we never claim in the manuscript that the parcel-space and regional voxel-space features show “complete independence”. 

      Furthermore, the machine learning-based decoding methods used in the present study do not require input feature orthogonality, but instead non-redundancy [7], which is a requirement satisfied by our data (see below and the new Figure 2 – figure supplement 2 in the revised manuscript). Finally, our results already show that the hybrid space decoder outperformed all other methods even after input features were fully orthogonalized with LDA or PCA dimensionality reduction procedures prior to the classification step (Figure 3 – figure supplement 2).

      We also highlight several additional results that are informative regarding this issue. For example, if spatially overlapping parcel- and voxel-space time-series only provided redundant information, inclusion of both as input features should increase model overfitting to the training dataset and decrease overall cross-validated test accuracy [8]. In the present study however, we see the opposite effect on decoder performance. First, Figure 3 – figure supplements 1 & 2 clearly show that decoders constructed from hybrid-space features outperform the other input feature (sensor-, whole-brain parcel- and whole-brain voxel-) spaces in every case (e.g. – wideband, all narrowband frequency ranges, and even after the input space is fully orthogonalized through dimensionality reduction procedures prior to the decoding step). Furthermore, Figure 3 – figure supplement 6 shows that hybridspace decoder performance supers when parcel-time series that spatially overlap with the included regional voxel-spaces are removed from the input feature set.  We state in the Discussion (lines 353-356)

      “The observation of increased cross-validated test accuracy (as shown in Figure 3 – Figure Supplement 6) indicates that the spatially overlapping information in parcel- and voxel-space time-series in the hybrid decoder was complementary, rather than redundant [41].”

      To gain insight into the complimentary information contributed by the two spatial scales to the hybrid-space decoder, we first independently computed the matrix rank for whole-brain parcel- and voxel-space input features for each participant (shown in Author response image 1). The results indicate that whole-brain parcel-space input features are full rank (rank = 148) for all participants (i.e. - MEG activity is orthogonal between all parcels). The matrix rank of voxelspace input features (rank = 267± 17 SD), exceeded the parcel-space rank for all participants and approached the number of useable MEG sensor channels (n = 272). Thus, voxel-space features provide both additional and complimentary information to representations at the parcel-space scale.  

      Figure 2—figure Supplement 2 in the revised manuscript now shows that the degree of dependence between the two spatial scales varies over the regional voxel-space. That is, some voxels within a given parcel correlate strongly with the time-series of the parcel they belong to, while others do not. This finding is consistent with a documented increase in correlational structure of neural activity across spatial scales that does not reflect perfect dependency or orthogonality [9]. Notably, the regional voxel-spaces included in the hybridspace decoder are significantly less correlated with the averaged parcel-space time-series than excluded voxels. We now point readers to this new figure in the results.

      Taken together, these results indicate that the multi-scale information in the hybrid feature set is complimentary rather than orthogonal.  This is consistent with the idea that hybridspace features better represent multi-scale temporospatial dynamics reported to be a fundamental characteristic of how the brain stores and adapts memories, and generates behavior across species [9].

      Reviewer #2 (Recommendations for the authors):  

      I appreciate the authors' efforts in addressing the concerns I raised. The responses generally made sense to me. However, I had some trouble finding several corrections/additions that the authors claim they made in the revised manuscript: 

      "We addressed this question by conducting a new multivariate regression analysis to directly assess whether the neural representation distance score could be predicted by the 4-1, 2-4, and 4-4 keypress transition times observed for each complete correct sequence (both predictor and response variables were z-score normalized within-subject). The results of this analysis also affirmed that the possible alternative explanation that contextualization effects are simple reflections of increased mixing is not supported by the data (Adjusted R<sup>2</sup> = 0.00431; F = 5.62).  We now include this new negative control analysis in the revised manuscript."  

      This approach is now reported in the manuscript in the Results (Lines 324-328 and Figure 5-Figure Supplement 6 legend.

      "We strongly agree with the Reviewer that the issue of generalizability is extremely important and have added a new paragraph to the Discussion in the revised manuscript highlighting the strengths and weaknesses of our study with respect to this issue." 

      Discussion (Lines 436-441)

      “One limitation of this study is that contextualization was investigated for only one finger movement (index finger or digit 4) embedded within a relatively short 5-item skill sequence. Determining if representational contextualization is exhibited across multiple finger movements embedded within for example longer sequences (e.g. – two index finger and two little finger keypresses performed within a short piece of piano music) will be an important extension to the present results.”

      "We strongly agree with the Reviewer that any intended clinical application must carefully consider the specific input feature constraints dictated by the clinical cohort, and in turn impose appropriate and complimentary constraints on classifier parameters that may differ from the ones used in the present study. We now highlight this issue in the Discussion of the revised manuscript and relate our present findings to published clinical BCI work within this context."  

      Discussion (Lines 441-444)

      “While a supervised manifold learning approach (LDA) was used here because it optimized hybrid-space decoder performance, unsupervised strategies (e.g. - PCA and MDS, which also substantially improved decoding accuracy in the present study; Figure 3 – figure supplement 2) are likely more suitable for real-time BCI applications.”

      and 

      "The Reviewer makes a good point. We have now implemented the suggested normalization procedure in the analysis provided in the revised manuscript." 

      Results (lines 275-282)

      “We used a Euclidian distance measure to evaluate the differentiation of the neural representation manifold of the same action (i.e. - an index-finger keypress) executed within different local sequence contexts (i.e. - ordinal position 1 vs. ordinal position 5; Figure 5). To make these distance measures comparable across participants, a new set of classifiers was then trained with group-optimal parameters (i.e. – broadband hybrid-space MEG data with subsequent manifold extraction (Figure 3 – figure supplements 2) and LDA classifiers (Figure 3 – figure supplements 7) trained on 200ms duration windows aligned to the KeyDown event (see Methods, Figure 3 – figure supplements 5). “

      Where are they in the manuscript? Did I read the wrong version? It would be more helpful to specify with page/line numbers. Please also add the detailed procedure of the control/additional analyses in the Method. 

      As requested, we now refer to all manuscript revisions with specific line numbers. We have also included all detailed procedures related to any additional analyses requested by reviewers.

      I also have a few other comments back to the authors' following responses: 

      "Thus, increased overlap between the "4" and "1" keypresses (at the start of the sequence) and "2" and "4" keypresses (at the end of the sequence) could artefactually increase contextualization distances even if the underlying neural representations for the individual keypresses remain unchanged. One must also keep in mind that since participants repeat the sequence multiple times within the same trial, a majority of the index finger keypresses are performed adjacent to one another (i.e. - the "4-4" transition marking the end of one sequence and the beginning of the next). Thus, increased overlap between consecutive index finger keypresses as typing speed increased should increase their similarity and mask contextualization- related changes to the underlying neural representations."  "We also re-examined our previously reported classification results with respect to this issue. 

      We reasoned that if mixing effects reflecting the ordinal sequence structure is an important driver of the contextualization finding, these effects should be observable in the distribution of decoder misclassifications. For example, "4" keypresses would be more likely to be misclassified as "1" or "2" keypresses (or vice versa) than as "3" keypresses. The confusion matrices presented in Figures 3C and 4B and Figure 3-figure supplement 3A display a distribution of misclassifications that is inconsistent with an alternative mixing effect explanation of contextualization." 

      "Based upon the increased overlap between adjacent index finger keypresses (i.e. - "4-4" transition), we also reasoned that the decoder tasked with separating individual index finger keypresses into two distinct classes based upon sequence position, should show decreased performance as typing speed increases. However, Figure 4C in our manuscript shows that this is not the case. The 2-class hybrid classifier actually displays improved classification performance over early practice trials despite greater temporal overlap. Again, this is inconsistent with the idea that the contextualization effect simply reflects increased mixing of individual keypress features."  

      As the time window for MEG feature is defined after the onset of each press, it is more likely that the feature overlap is the current and the future presses, rather than the current and the past presses (of course the three will overlap at very fast typing speed). Therefore, for sequence 41324, if we note the planning-related processes by a Roman numeral, the overlapping features would be '4i', '1iii', '3ii', '2iv', and '4iv'. Assuming execution-related process (e.g., 1) and planning-related process (e.g., i) are not necessarily similar, especially in finer temporal resolution, the patterns for '4i' and '4iv' are well separated in terms of process 'i' and 'iv,' and this advantage will be larger in faster typing speed. This also applies to the other presses. Thus, the author's arguments about the masking of contextualization and misclassification due to pattern overlap seem odd. The most direct and probably easiest way to resolve this would be to use a shorter time window for the MEG feature. Some decrease in decoding accuracy in this case is totally acceptable for the science purpose.  

      The revised manuscript now includes analyses carried out with decoding time windows ranging from 50 to 250ms in duration. These additional results are now reported in:

      Results (lines 258-268):

      “The improved decoding accuracy is supported by greater differentiation in neural representations of the index finger keypresses performed at positions 1 and 5 of the sequence (Figure 4A), and by the trial-by-trial increase in 2-class decoding accuracy over early learning (Figure 4C) across different decoder window durations (Figure 4 – figure supplement 2). As expected, the 5-class hybrid-space decoder performance approached chance levels when tested with randomly shuffled keypress labels (18.41%± SD 7.4% for Day 1 data; Figure 4 – figure supplement 3C). Task-related eye movements did not explain these results since an alternate 5-class hybrid decoder constructed from three eye movement features (gaze position at the KeyDown event, gaze position 200ms later, and peak eye movement velocity within this window; Figure 4 – figure supplement 3A) performed at chance levels (crossvalidated test accuracy = 0.2181; Figure 4 – figure supplement 3B, C).”

      Results (lines 310-316):

      “Offline contextualization strongly correlated with cumulative micro-offline gains (r = 0.903, R² = 0.816, p < 0.001; Figure 5 – figure supplement 1A, inset) across decoder window durations ranging from 50 to 250ms (Figure 5 – figure supplement 1B, C). The offline contextualization between the final sequence of each trial and the second sequence of the subsequent trial (excluding the first sequence) yielded comparable results. This indicates that pre-planning at the start of each practice trial did not directly influence the offline contextualization measure [30] (Figure 5 – figure supplement 2A, 1st vs. 2nd Sequence approaches). “

      Discussion (lines 380-385):

      “The first hint of representational differentiation was the highest false-negative and lowest false-positive misclassification rates for index finger keypresses performed at different locations in the sequence compared with all other digits (Figure 3C). This was further supported by the progressive differentiation of neural representations of the index finger keypress (Figure 4A) and by the robust trial-by-trial increase in 2class decoding accuracy across time windows ranging between 50 and 250ms (Figure 4C; Figure 4 – figure supplement 2).”

      Discussion (lines 408-9):

      “Offline contextualization consistently correlated with early learning gains across a range of decoding windows (50–250ms; Figure 5 – figure supplement 1).”

      "We addressed this question by conducting a new multivariate regression analysis to directly assess whether the neural representation distance score could be predicted by the 4-1, 2-4 and 4-4 keypress transition times observed for each complete correct sequence" 

      For regression analysis, I recommend to use total keypress time per a sequence (or sum of 4-1 and 4-4) instead of specific transition intervals, because there likely exist specific correlational structure across the transition intervals. Using correlated regressors may distort the result.  

      This approach is now reported in the manuscript:

      Results (Lines 324-328) and Figure  5-Figure Supplement 6 legend.

      "We do agree with the Reviewer that the naturalistic, generative, self-paced task employed in the present study results in overlapping brain processes related to planning, execution, evaluation and memory of the action sequence. We also agree that there are several tradeoffs to consider in the construction of the classifiers depending on the study aim. Given our aim of optimizing keypress decoder accuracy in the present study, the set of tradeoffs resulted in representations reflecting more the latter three processes, and less so the planning component. Whether separate decoders can be constructed to tease apart the representations or networks supporting these overlapping processes is an important future direction of research in this area. For example, work presently underway in our lab constrains the selection of windowing parameters in a manner that allows individual classifiers to be temporally linked to specific planning, execution, evaluation or memoryrelated processes to discern which brain networks are involved and how they adaptively reorganize with learning. Results from the present study (Figure 4-figure supplement 2) showing hybrid-space decoder prediction accuracies exceeding 74% for temporal windows spanning as little as 25ms and located up to 100ms prior to the KeyDown event strongly support the feasibility of such an approach." 

      I recommend that the authors add this paragraph or a paragraph like this to the Discussion. This perspective is very important and still missing in the revised manuscript. 

      We now included in the manuscript the following sections addressing this point:

      Discussion (lines 334-338)

      “The main findings of this study during which subjects engaged in a naturalistic, self-paced task were that individual sequence action representations differentiate during early skill learning in a manner reflecting the local sequence context in which they were performed, and that the degree of representational differentiation— particularly prominent over rest intervals—correlated with skill gains. “

      Discussion (lines 428-434)

      “In this study, classifiers were trained on MEG activity recorded during or immediately after each keypress, emphasizing neural representations related to action execution, memory consolidation and recall over those related to planning. An important direction for future research is determining whether separate decoders can be developed to distinguish the representations or networks separately supporting these processes. Ongoing work in our lab is addressing this question. The present accuracy results across varied decoding window durations and alignment with each keypress action support the feasibility of this approach (Figure 3—figure supplement 5).”

      "The rapid initial skill gains that characterize early learning are followed by micro-scale fluctuations around skill plateau levels (i.e. following trial 11 in Figure 1B)"  Is this a mention of Figure 1 Supplement 1 A?  

      The sentence was replaced with the following: Results (lines 108-110)

      “Participants reached 95% of maximal skill (i.e. - Early Learning) within the initial 11 practice trials (Figure 1B), with improvements developing over inter-practice rest periods (micro-offline gains) accounting for almost all total learning across participants (Figure 1B, inset) [1].”

      The citation below seems to have been selected by mistake; 

      "9. Chen, S. & Epps, J. Using task-induced pupil diameter and blink rate to infer cognitive load. Hum Comput Interact 29, 390-413 (2014)." 

      We thank the Reviewer for bringing this mistake to our attention. This citation has now been corrected.

      Reviewer #3 (Recommendations for the authors):  

      The authors write in their response that "We now provide additional details in the Methods of the revised manuscript pertaining to the parcellation procedure and how the sign ambiguity problem was addressed in our analysis." I could not find anything along these lines in the (redlined) version of the manuscript and therefore did not change the corresponding comment in the public review.  

      The revised manuscript now provides a more detailed explanation of the parcellation, and sign-flipping procedure implemented:

      Methods (lines 604-611):

      “Source-space parcellation was carried out by averaging all voxel time-series located within distinct anatomical regions defined in the Desikan-Killiany Atlas [31]. Since source time-series estimated with beamforming approaches are inherently sign-ambiguous, a custom Matlab-based implementation of the mne.extract_label_time_course with “mean_flip” sign-flipping procedure in MNEPython [78] was applied prior to averaging to prevent within-parcel signal cancellation. All voxel time-series within each parcel were extracted and the timeseries sign was flipped at locations where the orientation difference was greater than 90° from the parcel mode. A mean time-series was then computed across all voxels within the parcel after sign-flipping.”

      The control analysis based on a multivariate regression that assessed whether the neural representation distance score could be predicted by the 4-1, 2-4 and 4-4 keypress transition times, as briefly mentioned in the authors' responses to Reviewer 2 and myself, was not included in the manuscript and could not be sufficiently evaluated. 

      This approach is now reported in the manuscript: Results (Lines 324-328) and Figure  5-Figure Supplement 6 legend.

      The authors argue that differences in the design between Das et al. (2024) on the one hand (Experiments 1 and 2), and the study by Bönstrup et al. (2019) on the other hand, may have prevented Das et al. (2024) from finding the assumed learning benefit by micro-offline consolidation. However, the Supplementary Material of Das et al. (2024) includes an experiment (Experiment S1) whose design closely follows a large proportion of the early learning phase of Bönstrup et al. (2019), and which, nevertheless, demonstrates that there is no lasting benefit of taking breaks with respect to the acquired skill level, despite the presence of micro-offline gains.  

      We thank the Reviewer for alerting us to this new data added to the revised supplementary materials of Das et al. (2024) posted to bioRxiv. However, despite the Reviewer’s claim to the contrary, a careful comparison between the Das et al and Bönstrup et al studies reveal more substantive differences than similarities and does not “closely follows a large proportion of the early learning phase of Bönstrup et al. (2019)” as stated. 

      In the Das et al. Experiment S1, sixty-two participants were randomly assigned to “with breaks” or “no breaks” skill training groups. The “with breaks” group alternated 10 seconds of skill sequence practice with 10 seconds of rest over seven trials (2 min and 2 sec total training duration). This amounts to 66.7% of the early learning period defined by Bönstrup et al. (2019) (i.e. - eleven 10-second long practice periods interleaved with ten 10-second long rest breaks; 3 min 30 sec total training duration). Also, please note that while no performance feedback nor reward was given in the Bönstrup et al. (2019) study, participants in the Das et al. study received explicit performance-based monetary rewards, a potentially crucial driver of differentiated behavior between the two studies:

      “Participants were incentivized with bonus money based on the total number of correct sequences completed throughout the experiment.”

      The “no breaks” group in the Das et al. study practiced the skill sequence for 70 continuous seconds. Both groups (despite one being labeled “no breaks”) follow training with a long 3-minute break (also note that since the “with breaks” group ends with 10 seconds of rest their break is actually longer), before finishing with a skill “test” over a continuous 50-second-long block. During the 70 seconds of training, the “with breaks” group shows more learning than the “no breaks” group. Interestingly, following the long 3minute break the “with breaks” group display a performance drop (relative to their performance at the end of training) that is stable over the full 50-second test, while the “no breaks” group shows an immediate performance improvement following the long break that continues to increase over the 50-second test.  

      Separately, there are important issues regarding the Das et al study that should be considered through the lens of recent findings not referred to in the preprint. A major element of their experimental design is that both groups—“with breaks” and “no breaks”— actually receive quite a long 3-minute break just before the skill test. This long break is more than 2.5x the cumulative interleaved rest experienced by the “with breaks” group. Thus, although the design is intended to contrast the presence or absence of rest “breaks”, that difference between groups is no longer maintained at the point of the skill test. 

      The Das et al results are most consistent with an alternative interpretation of the data— that the “no breaks” group experiences offline learning during their long 3-minute break. This is supported by the recent work of Griffin et al. (2025) where micro-array recordings from primary and premotor cortex were obtained from macaque monkeys while they performed blocks of ten continuous reaching sequences up to 81.4 seconds in duration (see source data for Extended Data Figure 1h) with 90 seconds of interleaved rest. Griffin et al. observed offline improvement in skill immediately following the rest break that was causally related to neural reactivations (i.e. – neural replay) that occurred during the rest break. Importantly, the highest density of reactivations was present in the very first 90second break between Blocks 1 and 2 (see Fig. 2f in Griffin et al., 2025). This supports the interpretation that both the “with breaks” and “no breaks” group express offline learning gains, with these gains being delayed in the “no breaks” group due to the practice schedule.

      On the other hand, if offline learning can occur during this longer break, then why would the “with breaks” group show no benefit? Again, it could be that most of the offline gains for this group were front-loaded during the seven shorter 10-second rest breaks. Another possible, though not mutually exclusive, explanation is that the observed drop in performance in the “with breaks” group is driven by contextual interference. Specifically, similar to Experiments 1 and 2 in Das et al. (2024), the skill test is conducted under very different conditions than those which the “with breaks” group practiced the skill under (short bursts of practiced alternating with equally short breaks). On the other hand, the “no breaks” group is tested (50 seconds of continuous practice) under quite similar conditions to their training schedule (70 seconds of continuous practice). Thus, it is possible that this dissimilarity between training and test could lead to reduced performance in the “with breaks” group.

      We made the following manuscript revisions related to these important issues: 

      Introduction (Lines 26-56)

      “Practicing a new motor skill elicits rapid performance improvements (early learning) [1] that precede skill performance plateaus [5]. Skill gains during early learning accumulate over rest periods (micro-offline) interspersed with practice [1, 6-10], and are up to four times larger than offline performance improvements reported following overnight sleep [1]. During this initial interval of prominent learning, retroactive interference immediately following each practice interval reduces learning rates relative to interference after passage of time, consistent with stabilization of the motor memory [11]. Micro-offline gains observed during early learning are reproducible [7, 10-13] and are similar in magnitude even when practice periods are reduced by half to 5 seconds in length, thereby confirming that they are not merely a result of recovery from performance fatigue [11]. Additionally, they are unaffected by the random termination of practice periods, which eliminates the possibility of predictive motor slowing as a contributing factor [11]. Collectively, these behavioral findings point towards the interpretation that microoffline gains during early learning represent a form of memory consolidation [1]. 

      This interpretation has been further supported by brain imaging and electrophysiological studies linking known memory-related networks and consolidation mechanisms to rapid offline performance improvements. In humans, the rate of hippocampo-neocortical neural replay predicts micro-offline gains [6]. Consistent with these findings, Chen et al. [12] and Sjøgård et al. [13] furnished direct evidence from intracranial human EEG studies, demonstrating a connection between the density of hippocampal sharp-wave ripples (80-120 Hz)—recognized markers of neural replay—and micro-offline gains during early learning. Further, Griffin et al. reported that neural replay of task-related ensembles in the motor cortex of macaques during brief rest periods— akin to those observed in humans [1, 6-8, 14]—are not merely correlated with, but are causal drivers of micro-offline learning [15]. Specifically, the same reach directions that were replayed the most during rest breaks showed the greatest reduction in path length (i.e. – more efficient movement path between two locations in the reach sequence) during subsequent trials, while stimulation applied during rest intervals preceding performance plateau reduced reactivation rates and virtually abolished micro-offline gains [15]. Thus, converging evidence in humans and non-human primates across indirect non-invasive and direct invasive recording techniques link hippocampal activity, neural replay dynamics and offline skill gains in early motor learning that precede performance plateau.”

      Next, in the Methods, we articulate important constraints formulated by Pan and Rickard (2015) and Bönstrup et al. (2019) for meaningful measurements:

      Methods (Lines 493-499)

      “The study design followed specific recommendations by Pan and Rickard (2015): 1) utilizing 10-second practice trials and 2) constraining analysis of micro-offline gains to early learning trials (where performance monotonically increases and 95% of overall performance gains occur) that precede the emergence of “scalloped” performance dynamics strongly linked to reactive inhibition effects ([29, 72]). This is precisely the portion of the learning curve Pan and Rickard referred to when they stated “…rapid learning during that period masks any reactive inhibition effect” [29].”

      We finally discuss the implications of neglecting some or all of these recommendations:

      Discussion (Lines 444-452):

      “Finally, caution should be exercised when extrapolating findings during early skill learning, a period of steep performance improvements, to findings reported after insufficient practice [67], post-plateau performance periods [68], or non-learning situations (e.g. performance of non-repeating keypress sequences in  [67]) when reactive inhibition or contextual interference effects are prominent. Ultimately, it will be important to develop new paradigms allowing one to independently estimate the different coincident or antagonistic features (e.g. - memory consolidation, planning, working memory and reactive inhibition) contributing to micro-online and micro-offline gains during and after early skill learning within a unifying framework.”

      Personally, given that the idea of (micro-offline) consolidation seems to attract a lot of interest (and therefore cause a lot of future effort/cost public money) in the scientific community, I would find it extremely important to be cautious in interpreting results in this field. For me, this would include abstaining from the claim that processes occur "during" a rest period (see abstract, for example), given that micro-offline gains (as well as offline contextualization) are computed from data obtained during practice, not rest, and may, thus, just as well reflect a change that occurs "online", e.g., at the very onset of practice (like pre-planning) or throughout practice (like fatigue, or reactive inhibition). In addition, I would suggest to discuss in more depth the actual evidence not only in favour, but also against, the assumption of micro-offline gains as a phenomenon of learning.  

      We agree with the reviewer that caution is warranted. Based upon these suggestions, we have now expanded the manuscript to very clearly define the experimental constraints under which different groups have successfully studied micro-offline learning and its mechanisms, the impact of fatigue/reactive inhibition on micro-offline performance changes unrelated to learning, as well as the interpretation problems that emerge when those recommendations are not followed. 

      We clearly articulate the crucial constrains recommended by Pan and Rickard (2015) and Bönstrup et al. (2019) for meaningful measurements and interpretation of offline gains in the revised manuscript. 

      Methods (Lines 493-499)

      “The study design followed specific recommendations by Pan and Rickard (2015): 1) utilizing 10-second practice trials and 2) constraining analysis of micro-offline gains to early learning trials (where performance monotonically increases and 95% of overall performance gains occur) that precede the emergence of “scalloped” performance dynamics strongly linked to reactive inhibition effects ( [29, 72]). This is precisely the portion of the learning curve Pan and Rickard referred to when they stated “…rapid learning during that period masks any reactive inhibition effect” [29].”

      In the Introduction, we review the extensive evidence emerging from LFP and microelectrode recordings in humans and monkeys (including causality of neural replay with respect to micro-offline gains and early learning in the Griffin et al. Nature 2025 publication):

      Introduction (Lines 26-56)

      “Practicing a new motor skill elicits rapid performance improvements (early learning) [1] that precede skill performance plateaus [5]. Skill gains during early learning accumulate over rest periods (micro-offline) interspersed with practice [1, 6-10], and are up to four times larger than offline performance improvements reported following overnight sleep [1]. During this initial interval of prominent learning, retroactive interference immediately following each practice interval reduces learning rates relative to interference after passage of time, consistent with stabilization of the motor memory [11]. Micro-offline gains observed during early learning are reproducible [7, 10-13] and are similar in magnitude even when practice periods are reduced by half to 5 seconds in length, thereby confirming that they are not merely a result of recovery from performance fatigue [11]. Additionally, they are unaffected by the random termination of practice periods, which eliminates the possibility of predictive motor slowing as a contributing factor [11]. Collectively, these behavioral findings point towards the interpretation that microoffline gains during early learning represent a form of memory consolidation [1]. 

      This interpretation has been further supported by brain imaging and electrophysiological studies linking known memory-related networks and consolidation mechanisms to rapid offline performance improvements. In humans, the rate of hippocampo-neocortical neural replay predicts micro-offline gains [6]. Consistent with these findings, Chen et al. [12] and Sjøgård et al. [13] furnished direct evidence from intracranial human EEG studies, demonstrating a connection between the density of hippocampal sharp-wave ripples (80-120 Hz)—recognized markers of neural replay—and micro-offline gains during early learning. Further, Griffin et al. reported that neural replay of task-related ensembles in the motor cortex of macaques during brief rest periods— akin to those observed in humans [1, 6-8, 14]—are not merely correlated with, but are causal drivers of micro-offline learning [15]. Specifically, the same reach directions that were replayed the most during rest breaks showed the greatest reduction in path length (i.e. – more efficient movement path between two locations in the reach sequence) during subsequent trials, while stimulation applied during rest intervals preceding performance plateau reduced reactivation rates and virtually abolished micro-offline gains [15]. Thus, converging evidence in humans and non-human primates across indirect non-invasive and direct invasive recording techniques link hippocampal activity, neural replay dynamics and offline skill gains in early motor learning that precede performance plateau.”

      Following the reviewer’s advice, we have expanded our discussion in the revised manuscript of alternative hypotheses put forward in the literature and call for caution when extrapolating results across studies with fundamental differences in design (e.g. – different practice and rest durations, or presence/absence of extrinsic reward, etc). 

      Discussion (Lines 444-452):

      “Finally, caution should be exercised when extrapolating findings during early skill learning, a period of steep performance improvements, to findings reported after insufficient practice [67], post-plateau performance periods [68], or non-learning situations (e.g. performance of non-repeating keypress sequences in  [67]) when reactive inhibition or contextual interference effects are prominent. Ultimately, it will be important to develop new paradigms allowing one to independently estimate the different coincident or antagonistic features (e.g. - memory consolidation, planning, working memory and reactive inhibition) contributing to micro-online and micro-offline gains during and after early skill learning within a unifying framework.”

      References

      (1) Zimerman, M., et al., Disrupting the Ipsilateral Motor Cortex Interferes with Training of a Complex Motor Task in Older Adults. Cereb Cortex, 2012.

      (2) Waters, S., T. Wiestler, and J. Diedrichsen, Cooperation Not Competition: Bihemispheric tDCS and fMRI Show Role for Ipsilateral Hemisphere in Motor Learning. J Neurosci, 2017. 37(31): p. 7500-7512.

      (3) Sawamura, D., et al., Acquisition of chopstick-operation skills with the nondominant hand and concomitant changes in brain activity. Sci Rep, 2019. 9(1): p. 20397.

      (4) Lee, S.H., S.H. Jin, and J. An, The dieerence in cortical activation pattern for complex motor skills: A functional near- infrared spectroscopy study. Sci Rep, 2019. 9(1): p. 14066.

      (5) Grafton, S.T., E. Hazeltine, and R.B. Ivry, Motor sequence learning with the nondominant left hand. A PET functional imaging study. Exp Brain Res, 2002. 146(3): p. 369-78.

      (6) Buch, E.R., et al., Consolidation of human skill linked to waking hippocamponeocortical replay. Cell Rep, 2021. 35(10): p. 109193.

      (7) Wang, L. and S. Jiang, A feature selection method via analysis of relevance, redundancy, and interaction, in Expert Systems with Applications, Elsevier, Editor. 2021.

      (8) Yu, L. and H. Liu, Eeicient feature selection via analysis of relevance and redundancy. Journal of Machine Learning Research, 2004. 5: p. 1205-1224.

      (9) Munn, B.R., et al., Multiscale organization of neuronal activity unifies scaledependent theories of brain function. Cell, 2024.

      (10) Borragan, G., et al., Sleep and memory consolidation: motor performance and proactive interference eeects in sequence learning. Brain Cogn, 2015. 95: p. 54-61.

      (11) Landry, S., C. Anderson, and R. Conduit, The eeects of sleep, wake activity and timeon-task on oeline motor sequence learning. Neurobiol Learn Mem, 2016. 127: p. 5663.

      (12) Gabitov, E., et al., Susceptibility of consolidated procedural memory to interference is independent of its active task-based retrieval. PLoS One, 2019. 14(1): p. e0210876.

      (13) Pan, S.C. and T.C. Rickard, Sleep and motor learning: Is there room for consolidation? Psychol Bull, 2015. 141(4): p. 812-34.

      (14) , M., et al., A Rapid Form of Oeline Consolidation in Skill Learning. Curr Biol, 2019. 29(8): p. 1346-1351 e4.

      (15) Gupta, M.W. and T.C. Rickard, Comparison of online, oeline, and hybrid hypotheses of motor sequence learning using a quantitative model that incorporate reactive inhibition. Sci Rep, 2024. 14(1): p. 4661.

    1. Author response:

      The following is the authors’ response to the previous reviews

      Reviewer #1 (Public Review):

      Summary:

      This paper explores how diverse forms of inhibition impact firing rates in models for cortical circuits. In particular, the paper studies how the network operating point affects the balance of direct inhibition from SOM inhibitory neurons to pyramidal cells, and disinhibition from SOM inhibitory input to PV inhibitory neurons. This is an important issue as these two inhibitory pathways have largely been studies in isolation. Support for the main conclusions is generally solid, but could be strengthened by additional analyses.

      Strengths

      The paper has improved in revision, and the new intuitive summary statements added to the end of each results section are quite helpful. Weaknesses

      The concern about whether the results hold outside of the range in which neural responses are linear remains. This is particularly true given the discontinuity observed in the stability measure. I appreciate the concern (provided in the response to the first round of reviews) that studying nonlinear networks requires a lot of work. A more limited undertaking would be to test the behavior of a spiking network at a few key points identified by your linearization approach. Such tests could use relatively simple (and perhaps imperfect) measures of gain and stability. This could substantially enhance the paper, regardless of the outcome.

      We appreciate the reviewer’s concern and in our resubmission we explore if networks dynamics that operate outside of the case where linearization is possible would continue to show our main result on the (dis)entanglement of stability and gain; the short answer is yes. To this end we have added a new section and Figure to our main text.

      “Gain and stability in stochastically forced E – PV – SOM circuits

      To confirm that our results do not depend on our approach of a linearization around a fixed point, we numerically simulate similar networks as shown above (Figure 2) in which the E and PV population receive slow varying, large amplitude noise (Figure 6A). This leads to noisy rate dynamics sampling a large subspace of the full firing rate grid (r<sub>E</sub>,r<sub>P</sub>) and thus any linearization would fail to describe the network response. In this stochastically forced network we explore how adding an SOM modulation or a stimulus affects this subspace (Figure 6B). To quantify stability without linearization, we assume that a network is more stable the lower the mean and variance of E rates. This is because very stable networks can better quench input fluctuations [Kanashiro et al., 2017; Hennequin et al., 2018]. To quantify gain, we calculate the change in E rates when adding the stimulus, yet having identical noise realizations for stimulated and non-stimulated networks (Methods).

      For the disinhibitory network without feedback a positive SOM modulation decreases stability due to increases of the mean and variance of E rates (Figure 6Ci) while the network gain increases (Figure 6Cii). As seen before (Figure 2A,B), stability and gain change in opposite directions in a disinhibitory circuit without feedback. Adding feedback PV → SOM and applying a negative SOM modulation increases both, stability and gain and therefore disentangles the inverse relation also in a noisy circuit (Figure 6D-F). This gives numerical support that our results do not depend on the assumption of linearization.

      “Methods: Noisy input and numerical measurement of stability and gain

      We consider a temporally smoothed input process ξ<sub>X</sub> with white noise ζ (zero mean, standard deviation one): for populations X ∈{E,P} with timescale τ<sub>ξ</sub> = 50ms, σ<sub>X</sub> \= 6 and fixed mean input IX. To quantify the stability of the network without linearization, we assume that a network is more stable if the mean and variance of excitatory rates are low. To quantify network gain, we freeze the white noise process ζ for the case of with and without stimulus presentation and calculate the difference of E rates at each time point, leading to a distribution of network gains (Figure 6Cii,Fii). Total simulation time is 1000 seconds.”

      We decided against using a spiking network because sufficiently asynchronous spiking network dynamics can still obey a linearized mean field theory (if the fluctuations in population firing rates are small). In our new analysis the firing rate deviations from the time averaged firing rate are sizable, making a linearization ineffective.

      In summary, based on our additional analysis of recurrent circuits with noisy inputs we conclude that our results also hold in fluctuating networks, without the need of assuming realization aroud a stable fixed point.

      Reviewer #2 (Public Review):

      Summary:

      Bos and colleagues address the important question of how two major inhibitory interneuron classes in the neocortex differentially affect cortical dynamics. They address this question by studying Wilson-Cowan-type mathematical models. Using a linearized fixed point approach, they provide convincing evidence that the existence of multiple interneuron classes can explain the counterintuitive finding that inhibitory modulation can increase the gain of the excitatory cell population while also increasing the stability of the circuit’s state to minor perturbations. This effect depends on the connection strengths within their circuit model, providing valuable guidance as to when and why it arises.

      Overall, I find this study to have substantial merit. I have some suggestions on how to improve the clarity and completeness of the paper.

      Strengths:

      (1) The thorough investigation of how changes in the connectivity structure affect the gain-stability relationship is a major strength of this work. It provides an opportunity to understand when and why gain and stability will or will not both increase together. It also provides a nice bridge to the experimental literature, where different gain-stability relationships are reported from different studies.

      (2) The simplified and abstracted mathematical model has the benefit of facilitating our understanding of this puzzling phenomenon. (I have some suggestions for how the authors could push this understanding further.) It is not easy to find the right balance between biologically-detailed models vs simple but mathematically tractable ones, and I think the authors struck an excellent balance in this study.

      We thank the reviewer for their support of our work.

      Weaknesses:

      (1) The fixed-point analysis has potentially substantial limitations for understanding cortical computations away from the steady-state. I think the authors should have emphasized this limitation more strongly and possibly included some additional analyses to show that their conclusions extend to the chaotic dynamical regimes in which cortical circuits often live.

      In the response to reviewer 1 we have included model analyses that addresses the limitations of linearization. Rather than use a chaotic model, which would require significant effort, we opted for a stochastically forced network, where the sizable fluctuations in rate dynamics preclude linearization.

      (2) The authors could have discussed – even somewhat speculatively – how VIP interneurons fit into this picture. Their absence from this modelling framework stands out as a missed opportunity.

      We agree that including VIP neurons into the framework would be an obvious and potentially interesting next step. At this point we only include them as potential modulators of SOM neurons. Modeling their dynamics without them receiving inputs from E, PV, or SOM neurons would be uninteresting. However, including them properly into the circuit would be outside the scope of the paper.

      (3) The analysis is limited to paths within this simple E, PV, SOM circuit. This misses more extended paths (like thalamocortical loops) that involve interactions between multiple brain areas. Including those paths in the expansion in Eqs. 11-14 (Fig. 1C) may be an important consideration.

      We agree that our pathway expansion can be used to study more than just the E – PV – SOM circuit. However, properly investigating full thalamocortcial loops should be done in a subsequent study.

      Comments on revisions:

      I think the authors have done a reasonable job of responding to my critiques, and the paper is in pretty good shape. (Also, thanks for correctly inferring that I meant VIP interneurons when I had written SST in my review! I have updated the public review accordingly.)

      I still think this line of research would benefit substantially from considering dynamic regimes including chaotic ones. I strongly encourage the authors to consider such an extension in future work.

      Please see our response above to Reviewer 1.

      Reviewer #3 (Public Review):

      Summary:

      Bos et al study a computational model of cortical circuits with excitatory (E) and two subtypes of inhibition parvalbumin (PV) and somatostatin (SOM) expressing interneurons. They perform stability and gain analysis of simplified models with nonlinear transfer functions when SOM neurons are perturbed. Their analysis suggests that in a specific setup of connectivity, instability and gain can be untangled, such that SOM modulation leads to both increases in stability and gain, in contrast to the typical direction in neuronal networks where increased gain results in decreased stability.

      Strengths:

      - Analysis of the canonical circuit in response to SOM perturbations. Through numerical simulations and mathematical analysis, the authors have provided a rather comprehensive picture of how SOM modulation may affect response changes.

      - Shedding light on two opposing circuit motifs involved in the canonical E-PV-SOM circuitry - namely, direct inhibition (SOM -¿ E) vs disinhibition (SOM -¿ PV -¿ E). These two pathways can lead to opposing effects, and it is often difficult to predict which one results from modulating SOM neurons. In simplified circuits, the authors show how these two motifs can emerge and depend on parameters like connection weights.

      - Suggesting potentially interesting consequences for cortical computation. The authors suggest that certain regimes of connectivity may lead to untangling of stability and gain, such that increases in network gain are not compromised by decreasing stability. They also link SOM modulation in different connectivity regimes to versatile computations in visual processing in simple models.

      We thank the reviewer for their support of our work.

      Weaknesses

      Computationally, the analysis is solid, but it’s very similar to previous studies (del Molino et al, 2017). Many studies in the past few years have done the perturbation analysis of a similar circuitry with or without nonlinear transfer functions (some of them listed in the references). This study applies the same framework to SOM perturbations, which is a useful computational analysis, in view of the complexity of the high-dimensional parameter space.

      Link to biology: the most interesting result of the paper with regard to biology is the suggestion of a regime in which gain and stability can be modulated in an unconventional way - however, it is difficult to link the results to biological networks:

      - A general weakness of the paper is a lack of direct comparison to biological parameters or experiments. How different experiments can be reconciled by the results obtained here, and what new circuit mechanisms can be revealed? In its current form, the paper reads as a general suggestion that different combinations of gain modulation and stability can be achieved in a circuit model equipped with many parameters (12 parameters). This is potentially interesting but not surprising, given the high dimensional space of possible dynamical properties. A more interesting result would have been to relate this to biology, by providing reasoning why it might be relevant to certain circuits (and not others), or to provide some predictions or postdictions, which are currently missing in the manuscript.

      - For instance, a nice motivation for the paper at the beginning of the Results section is the different results of SOM modulation in different experiments - especially between L23 (inhibition) and L4 (disinhibition). But no further explanation is provided for why such a difference should exist, in view of their results and the insights obtained from their suggested circuit mechanisms. How the parameters identified for the two regimes correspond to different properties of different layers?

      Please see our answer to the previous round of revision.

      - One of the key assumptions of the model is nonlinear transfer functions for all neuron types. In terms of modelling and computational analysis, a thorough analysis of how and when this is necessary is missing (an analysis similar to what has been attempted in Figure 6 for synaptic weights, but for cellular gains). A discussion of this, along with the former analysis to know which nonlinearities would be necessary for the results, is needed, but currently missing from the study. The nonlinearity is assumed for all subtypes because it seems to be needed to obtain the results, but it’s not clear how the model would behave in the presence or absence of them, and whether they are relevant to biological networks with inhibitory transfer functions.

      Please see our answer to the previous round of revision.

      - Tuning curves are simulated for an individual orientation (same for all), not considering the heterogeneity of neuronal networks with multiple orientation selectivity (and other visual features) - making the model too simplistic.

      Please see our answer to the previous round of revision.

      Reviewer #1 (Recommendations For The Authors):

      Introduction, first paragraph, last sentence: suggest ”sense,” -¿ ”sense” (no comma)

      Introduction, second paragraph, first sentence: suggest ”is been” -¿ ”has been”

      Introduction, very end of next to last paragraph: clarify ”modulate the circuit”

      Figure 1 legend: can you make the ”Change ...” in the legend for 1D clearer - e.g. ”strenghen SOM → E connections and eliminate SOM → P connections”.

      Paragraph immediately below Figure 1: In sentence starting ”Specifically ...” can you relate the cases described here back to the equation in Figure 1C?

      Sentence right below equation 2: This sentence does not separate the network gain from the cellular gain as clearly as it could.

      Page 7, second full paragraph: sentence starting ”Therefore, with ...” could be split into two or otherwise made clearer.

      Sentence starting ”Furthermore” right below Figure 5 has an extra comma

      We thank the reviewer for their additional comments, we made the respective changes in the manuscript.

      Reviewer #3 (Recommendations For The Authors):

      There is a long part in the reply letter discussing the link to biology - but the revised manuscript doesn’t seem to reflect that.

      The information in the reply letter discussing the link to biology has been added at multiple points in the discussion. In the section ‘decision of labor between PV and SOM neurons’ we mention Ferguson and Carding 2020, in the section ‘impact of SOM neuron modulation on tuning curves’ we discuss Phillups and Hasenstaub 2016, and in the section ‘limitations and future directions’ we mention Tobin et al., 2023.

      The writing can be improved - for example, see below instances:

      P. 7: Intuitively, the inverse relationship follows for inhibitory and disinhibitory pathways (and their mixture) because the firing rate grid (heatmap) does not depend on how the SOM neurons inhibit the E - PV circuit.

      P.8: We first remark that by adding feedback E connections onto SOM neurons, changes in SOM rates can now affect the underlying heatmaps in the (rE, rP) grid.

      Not clear how ”rates can affect the heatmaps”. It’s too colloquial and not scientifically rigorous or sound.

      We added further explanations at the respective places in the manuscript to improve the writing.

    1. Author Response

      The following is the authors’ response to the previous reviews.

      We appreciate the constructive comments made by the editor and the reviewers. We have corrected errors and provided additional experimental data and analysis to address the latest criticisms raised by the reviewers and provided point-by-point response to the reviewers as below.

      Reviewer #1 (Recommendations For The Authors):

      I do acknowledge the work the authors put into this manuscript and I can accept the fact that the authors decided on a minimum of additional experiments. However, I would recommend the authors to be more concise by adding more information in the method and result sections about how they performed their experiments such as which Nav and AMPAR DNA constructs they used, the age of the mice, how long time they exposed the patches to quinidine, information on how many times they repeated their pull downs etc.

      Answer: We thank the reviewer’s comments. we have incorporated the suggested modifications into our revised manuscript. Specifically, we have included detailed information on the NaV and AMPAR constructs in the Methods section. The age of the homozygous NaV1.6 knockout mice and the wild-type littermate controls is postnatal (P0-P1) (see in Results and Methods section). Prior to the application of step pulses, cells were subjected to the bath solution containing quinidine for approximately one minute (see in Methods section). Additionally, the co-immunoprecipitation assays for Slack and NaV1.6 were repeated three times (see in Methods section).

      Minor detail in line 263: "...KCNT1 (Slack) have been identified to related to seizure..." I guess this should have been "...KCNT1 (Slack) have been identified and related to seizure..."?

      Answer: We thank the reviewer for raising this point. We have corrected it in the revised manuscript.

      Also, and again minor detail, I had a comment about the color coding in Fig 4 and by mistake, I added 4B, but I meant the use of colors in the entire figure, and mainly the use of colors in 4C, G and I.

      Answer: We apologize for the confusion. We have changed the color coding of Figure 4 in the revised manuscript.

      Reviewer #2 (Recommendations For The Authors):

      While the paper is improved, several concerns do not seem to have been addressed. Some may have been missed because there is no response at all, but others may have been unclear because the response does not address the concern, but a related issue. Details are below.

      Answer: We thank the reviewer for the criticisms. We have made changes of our manuscript to address the concerns.

      Original issue:

      3) Remove the term in vivo.

      Answer: We thank the reviewer for raising this point. In our experiments, although we did not conduct experiments directly in living organisms, our results demonstrated the coimmunoprecipitation of NaV1.6 with Slack in homogenates from mouse cortical and hippocampal tissues (Fig. 3C). This result may support that the interaction between Slack and NaV1.6 occurs in vivo.

      New comment from reviewer:

      The argument to use the term in vivo is not well supported by what the authors have said. Just because tissues are used from an animal does not mean experiments were conducted in vivo. As the authors say, they did not conduct experiments in living organisms. Therefore the term in vivo should be avoided. This is a minor point.

      Answer: We thank the reviewer for pointing this out. We have removed the term “in vivo” in the revised manuscript.

      Original:

      4) Figure 1C Why does Nav1.2 have a small inward current before the large inward current in the inset?

      Answer: We apologize for the confusion. We would like to clarify that the small inward current can be attributed to the current of membrane capacitance (slow capacitance or C-slow). The larger inward current is mediated by NaV1.2.

      New comment:

      This is not well argued. Please note why the authors know the current is due to capacitance. Also, how do they know the larger current is due to NaV1.2? Please add that to the paper so readers know too.

      Answer: We thank the reviewer’s comment. To provide a clearer representation of NaV1.2mediated currents in Fig. 1C, we have replaced the original example trace with a new one in which only one inward current is observed.

      Original:

      The slope of the rising phase of the larger sodium current seems greater than Nav1.6 or Nav1.5. Was this examined?

      Answer: Additionally, we did not compare the slope of the rising phase of NaV subtypes sodium currents but primarily focused on the current amplitudes.

      New comment:

      This is not a strong answer. There seems to be an effect that the authors do not mention and evidently did not quantify that argues against their conclusion, which weakens the presentation.

      Answer: We thank the reviewer’s comment. To assess the slope of the rising phase of NaV subtype currents, we compared the activation time constants of NaV1.2, NaV1.5, and NaV1.6 peak currents in HEK293 cells co-expressing NaV channel subtypes with Slack. The results have shown no significant differences (Author response image 1). We have included this analysis (see Fig. S9A) and the corresponding fitting equation (see in Methods section) in the revised manuscript.

      Author response image 1.

      The activation time constants of peak sodium currents in HEK293 cells co-expressing NaV1.2 (n=6), NaV1.5 (n=5), and NaV1.6 (n=5) with Slack, respectively. ns, p > 0.05, one-way ANOVA followed by Bonferroni’s post hoc test.

      Original:

      2D-E For Nav1.5 the sodium current is very large compared to Nav1.6. Is it possible the greater effect of quinidine for Nav1.6 is due to the lesser sodium current of Nav1.6?

      Answer: We thank the reviewer for raising this point. We would like to clarify that our results indicate that transient sodium currents contribute to the sensitization of Slack to quinidine blockade (Fig. 2C,E). Therefore, it is unlikely that the greater effect observed for NaV1.6 in sensitizing Slack is due to its lower sodium currents.

      New comment:

      I am not sure the question I was asking was clear. How can the authors discount the possibility that quinidine is more effective on NaV1.6 because the NaV1.6 current is relatively weak?

      Answer: We thank the reviewer for raising this point. We have examined the sodium current amplitudes of NaV1.5, NaV1.5/1.6 chimeras, and NaV1.6 upon co-expression of NaV with Slack. Our analysis revealed that there are no significant differences between NaV1.5 and NaV1.5/6N, with both exhibiting much larger current amplitudes compared to NaV1.6 (Author response image 2), but only NaV1.5/6N replicates the effect of NaV1.6 in sensitizing Slack to quinidine blockade (Fig. 4H-I), suggesting the observed differences between NaV1.5 and NaV1.6 in sensitizing Slack are unlikely to be attributed to NaV1.6's lower sodium currents but may instead involve NaV1.6's Nterminus-induced physical interaction. We have included this analysis in the revised manuscript (see Fig. S9B).

      Author response image 2.

      Comparison of peak sodium current amplitudes of NaV1.5 (n=9), NaV1.5/6NC (n=13), NaV1.5/6N (n=10), and NaV1.6 (n=8) upon co-expressed with Slack in HEK293 cells. ns, p > 0.05, * p < 0.05, ** p < 0.01, *** p < 0.001, **** p < 0.0001; one-way ANOVA followed by Bonferroni’s post hoc test.

      Original:

      The differences between WT and KO in G -H are hard to appreciate. Could quantification be shown? The text uses words like "block" but this is not clear from the figure. It seems that the replacement of Na+ with Li+ did not block the outward current or effect of quinidine.

      Answer: We apologize for the confusion. We would like to clarify the methods used in this experiment. The lithium ion (Li+) is a much weaker activator of sodium-activated potassium channel Slack than sodium ion (Na+)1,2.

      1. Zhang Z, Rosenhouse-Dantsker A, Tang QY, Noskov S, Logothetis DE. The RCK2 domain uses a coordination site present in Kir channels to confer sodium sensitivity to Slo2.2 channels. J Neurosci. Jun 2 2010;30(22):7554-62. doi:10.1523/JNEUROSCI.0525-10.2010

      2. Kaczmarek LK. Slack, Slick and Sodium-Activated Potassium Channels. ISRN Neurosci. Apr 18 2013;2013(2013)doi:10.1155/2013/354262 Therefore, we replaced Na+ with Li+ in the bath solution to measure the current amplitudes of sodium-activated potassium currents (IKNa)3.

      3. Budelli G, Hage TA, Wei A, et al. Na+-activated K+ channels express a large delayed outward current in neurons during normal physiology. Nat Neurosci. Jun 2009;12(6):745-50. doi:10.1038/nn.2313

      The following equation was used for quantification:

      Furthermore, the remaining IKNa after application of 3 μM quinidine in the bath solution was measured as the following:

      The quantification results were presented in Fig. 1K. The term "block" used in the text referred to the inhibitory effect of quinidine on IKNa.

      New comment:

      The fact remains that the term "block" is too strong for an effect that is incomplete. Also, the authors should add to the paper that Li+ is a weaker activator, so the reader knows some of the caveats to the approach.

      Answer: We thank the reviewer for raising this point. We have added related citations and replaced the term “block” with “inhibit” in the revised manuscript.

      Original:

      1. In K, for the WT, why is the effect of quinidine only striking for the largest currents?

      Answer: We thank the reviewer for raising this point. After conducting an analysis, we found no correlation between the inhibitory effect of quinidine and the amplitudes of baseline IKNa in WT neurons (p = 0.6294) (Author response image 3). Therefore, the effect of quinidine is not solely limited to targeting the larger currents.

      Author response image 3.

      The correlation between the inhibitory effect of quinidine and the amplitudes of baseline IKNa in WT neurons (data from manuscript Fig. 1K). r = 0.1555, p=0.6294, Pearson correlation analysis.

      New comment:

      Please add this to the paper and the figure as Supplemental.

      Answer: We thank the reviewer for raising this point. We have added this figure as Fig.S3B in the revised manuscript.

      Original:

      5) Figure 2 A. The argument could be better made if the same concentration of quinidine were used for Slack and Slack + Nav1.6. It is recognized a greater sensitivity to quinidine is to be shown but as presented the figure is a bit confusing."

      Answer: We apologize for the confusion. We would like to clarify that the presented concentrations of quinidine were chosen to be near the IC50 values for Slack and Slack+NaV1.6.

      New comment:

      Please add this to the paper.

      Answer: We thank the reviewer for raising this point. We have added the clarification about the presented concentrations in the revised manuscript.

      Original:

      2C. Can the authors add the effect of quinidine to the condition where the prepulse potential was 90?"

      Answer: We apologize for the confusion. We would like to clarify that the condition of prepulse potential at -90 mV is the same as the condition in Fig. 1. We only changed one experiment condition where the prepulse potential was changed to -40 mV from -90 mV.

      New comment:

      There was no confusion. The authors should consider adding the condition where the prepulse potential was -90.

      Answer: We thank the reviewer for raising this point. We have added the clarification about the voltage condition in the revised manuscript (see in Fig. 2A caption).

      Original:

      2A. Clarify these 6 panels."

      Answer: We thank the reviewer for raising this point. We have clarified the captions of Fig. 3A in the revised manuscript.

      New comment: Clarification is needed. What is the blue? DAPI? What area of hippocamps? Please label cell layers. What area of cortex? Please label layers.

      Answer: We thank the reviewer for raising this point. We have included the clarification in the Figure caption.

      Original:

      Figure 7. The images need more clarity. They are very hard to see. Text is also hard to see."

      Answer: We apologize for the lack of clarity in the images and text. we would like to provide a concise summary of the key findings shown in this figure.

      Figure 7 illustrates an innovative intervention for treating SlackG269S-induced seizures in mice by disrupting the Slack-NaV1.6 interaction. Our results showed that blocking NaV1.6-mediated sodium influx significantly reduced Slack current amplitudes (Fig. 2D,G), suggesting that the Slack-NaV1.6 interaction contributes to the current amplitudes of epilepsy-related Slack mutant variants, aggravating the gain-of-function phenotype. Additionally, Slack’s C-terminus is involved in the Slack-NaV1.6 interaction (Fig. 5D). We assumed that overexpressing Slack’s C-terminus can disrupt the Slack-NaV1.6 interaction (compete with Slack) and thereby encounter the current amplitudes of epilepsy-related Slack mutant variants.

      In HEK293 cells, overexpression of Slack’s C-terminus indeed significantly reduced the current amplitudes of epilepsy-related SlackG288S and SlackR398Q upon co-expression with NaV1.5/6NC (Fig. 7A,B). Subsequently, we evaluated this intervention in an in vivo epilepsy model by introducing the Slack G269S variant into C57BL/6N mice using AAV injection, mimicking the human Slack mutation G288S that we previously identified (Fig. 7C-G).

      New comment:

      The images do not appear to have changed. Consider moving labels above the images so they can be distinguished better. Please label cell layers. Consider adding arrows to the point in the figure the authors want the reader to notice. The study design and timeline are unclear. What is (1) + (3), (2), etc.?

      Answer: We thank the reviewer for pointing this out. We have modified Figure 7 in the revised manuscript and included the cell layer information in the Figure caption.

      Original:

      It is not clear how data were obtained because injection of kainic acid does not lead to a convulsive seizure every 10 min for several hours, which is what appears to be shown. Individual seizures are just at the beginning and then they merge at the start of status epilepticus. After the onset of status epilepticus the animals twitch, have varied movements, sometime rear and fall, but there is not a return to normal behavior. Therefore one can not call them individual seizures. In some strains of mice, however, individual convulsive seizures do occur (even if the EEG shows status epilepticus is occurring) but there are rarely more than 5 over several hours and the graph has many more. Please explain."

      Answer: We apologize for the confusion. Regarding the data acquisition in relation to kainic acid injection, we initiated the timing following intraperitoneal injection of kainic acid and recorded the seizure scores of per mouse at ten-minute intervals, following the methodology described in previous studies4.

      1. Huang Z, Walker MC, Shah MM. Loss of dendritic HCN1 subunits enhances cortical excitability and epileptogenesis. J Neurosci. Sep 2 2009;29(35):10979-88. doi:10.1523/JNEUROSCI.1531-09.2009

      The seizure scores were determined using a modified Racine, Pinal, and Rovner scale5,6: (1) Facial movements; (2) head nodding; (3) forelimb clonus; (4) dorsal extension (rearing); (5) Loss of balance and falling; (6) Repeated rearing and failing; (7) Violent jumping and running; (8) Stage 7 with periods of tonus; (9) Dead.

      1. Pinel JP, Rovner LI. Electrode placement and kindling-induced experimental epilepsy. Exp Neurol. Jan 15 1978;58(2):335-46. doi:10.1016/0014-4886(78)90145-0

      2. Racine RJ. Modification of seizure activity by electrical stimulation. II. Motor seizure. Electroencephalogr Clin Neurophysiol. Mar 1972;32(3):281-94. doi:10.1016/00134694(72)90177-0

      New comment:

      This was clear. Perhaps my question was not clear. The question is how one can count individual seizures if animals have continuous seizures. It seems like the authors did not consider or observe status epilepticus but individual seizures. If that is true the data are hard to believe because too many seizures were counted. Animals do not have nearly this many seizures after kainic acid.

      Answer: We appreciate the reviewer’s clarification. Our methodology involved assessing the maximum seizure scale during 10-minute intervals per mouse as previously described7, rather than counting individual seizures. For instance, a mouse exhibited the loss of balance and falling multiple times within 30-40 minute interval, we recorded the seizure scale as 5 for that time interval.

      1. Kim EC, Zhang J, Tang AY, et al. Spontaneous seizure and memory loss in mice expressing an epileptic encephalopathy variant in the calmodulin-binding domain of Kv7.2. Proc Natl Acad Sci U S A. Dec 21 2021;118(51)doi:10.1073/pnas.2021265118

      Reviewer #3 (Recommendations For The Authors):

      While the authors have improved the manuscript, several outstanding issues still need to be addressed. Some may have been missed because there is no response at all, but others may have been unclear.

      Answer: We thank the reviewer for the criticisms. We have added additional experimental data and analysis to address the concerns.

      Original issue from Public Review:

      1. Immunolabeling of the hippocampus CA1 suggests sodium channels as well as Slack colocalization with AnkG (Fig 3A). Proximity ligation assay for NaV1.6 and Slack or a super-resolution microscopy approach would be needed to increase confidence in the presented colocalization results. Furthermore, coimmunoprecipitation studies on the membrane fraction would bolster the functional relevance of NaV1.6-Slack interaction on the cell surface.

      Answer: We thank the reviewer for good suggestions. We acknowledge that employing proximity ligation assay and high-resolution techniques would significantly enhance our understanding of the localization of the Slack-NaV1.6 coupling.

      At present, the technical capabilities available in our laboratory and institution do not support highresolution testing. However, we are enthusiastic about exploring potential collaborations to address these questions in the future. Furthermore, we fully recognize the importance of conducting coimmunoprecipitation (Co-IP) assays from membrane fractions. While we have already completed Co-IP assays for total protein and quantified the FRET efficiency values between Slack and NaV1.6 in the membrane region, the Co-IP assays on membrane fractions will be conducted in our future investigations.

      New comment from reviewer: so far, the authors have not demonstrated that Nav1.6 and Slack interact on the cell surface.

      Answer: We thank the reviewer for pointing this out. We acknowledgement that our data did not directly demonstrate interaction between NaV1.6 and Slack on the cell surface and we have removed related terminology in the revised manuscript. Notably, our patch-clamp experiments in Fig. 2D,G and Fig. S10B showed a Na+-mediated membrane current coupling of Slack and NaV1.6. Additionally, the FRET efficiency values between Slack and NaV1.6 were quantified in the membrane region. These findings suggest that membrane-near Slack interacts with NaV1.6.

      1. Although hippocampal slices from Scn8a+/- were used for studies in Fig. S8, it is not clear whether Scn8a-/- or Scn8a+/- tissue was used in other studies (Fig 1J & 1K). It will be important to clarify whether genetic manipulation of NaV1.6 expression (Fig. 1K) has an impact on sodiumactivated potassium current, level of surface Slack expression, or that of NaV1.6 near Slack.

      Answer: We thank the reviewer for pointing this out. In Fig. 1G,J,K, primary cortical neurons from homozygous NaV1.6 knockout (Scn8a-/-) mice were used. We will clarify this information in the revised manuscript. In terms of the effects of genetic manipulation of NaV1.6 expression on IKNa and surface Slack expression, we compared the amplitudes of IKNa measured from homozygous NaV1.6 knockout (NaV1.6-KO) neurons and wild-type (WT) neurons. The results showed that homozygous knockout of NaV1.6 does not alter the amplitudes of IKNa (Author response image 4). The level of surface Slack expression will be tested further.

      Author response image 4.

      The amplitudes of IKNa in WT and NaV1.6-KO neurons (data from manuscript Fig. 1K). ns, p > 0.05, unpaired two-tailed Student’s t test.

      New comment from reviewer: The current version of the manuscrip>t does not contain these pertinent details and needs to be updated to include the information pertaining homozygous NaV1.6 knockouts. What age were these homozygous NaV1.6 knockout mice? These details need to be clearly stated in the manuscript.

      Answer: We thank the reviewer for pointing this out. We have included this analysis in the revised manuscript (see Fig. S3A). The age of homozygous NaV1.6 knockout mice are P0-P1 and we have added this detail in the revised manuscript.

      1. Did the epilepsy-related Slack mutations have an impact on NaV1.6-mediated sodium current?

      Answer: We thank the reviewer’s question. We examined the amplitudes of NaV1.6 sodium current upon expression alone or co-expression of NaV1.6 with epilepsy-related Slack mutations (K629N, R950Q, K985N). The results showed that the tested epilepsy-related Slack mutations do not alter the amplitudes of NaV1.6 sodium current (Author response image 5).

      Author response image 5.

      The amplitudes of NaV1.6 sodium currents upon co-expression of NaV1.6 with epilepsy-related Slack mutant variants (SlackK629N, SlackR950Q, and SlackK985N). ns, p>0.05, oneway ANOVA followed by Bonferroni’s post hoc test.

      New comment from reviewer: Figure with the functional effect of co-expression of NaV1.6 with epilepsy-related Slack mutations should be included in the revised manuscript

      Answer: We thank the reviewer for pointing this out. We have included this analysis in the revised manuscript (see Fig. S10A).

      Original issue from Recommendations For The Authors:

      1. A reference to homozygous knockout is made in the abstract; however, only heterozygous mice are mentioned in the methods section. The genotype of the mice needs to be made clear in the manuscript. Furthermore, at what age were these mice used in the study. Since homozygous knockout of NaV1.6 is lethal at a very young age (<4 wks), it would be important to clarify that point as well.

      Answer: We thank the reviewer for pointing this out. In the revised manuscript, we have included information about the source of the primary cortical neurons used in our study. These neurons were obtained from postnatal homozygous NaV1.6 knockout C3HeB/FeJ mice and their wild-type littermate controls.

      New comment from reviewer: The answer that postnatal homozygous NaV1.6 knockout C3HeB/FeJ mice were used is insufficient. What age were these mice? This needs to be clearly stated in the manuscript.

      Answer: We thank the reviewer for pointing this out. The postnatal homozygous NaV1.6 knockout C3HeB/FeJ mice and their wild-type littermate controls are in P0-P1. We have included this information in the revised manuscript.

      1. How long were the cells exposed to quinidine before the functional measurement were performed?

      Answer: We thank the reviewer for pointing this out. The cells were exposed to the bath solution with quinidine for about one minute before applying step pulses.

      New comment from reviewer: This needs to be clearly stated in the manuscript.

      Answer: We thank the reviewer for pointing this out. We have included this information in the revised manuscript (see in Methods section).

      1. In Fig. 6B-D, it is not clear to what extent co-expression of Slack mutants and NaV1.6 increases sodium-activated potassium current.

      Answer: We thank the reviewer for pointing this out. We notice that the current amplitudes of Slack mutants exhibit a considerable degree of variation, ranging from less than 1 nA to over 20 nA (n =58). To accurately measure the effects of NaV1.6 on increasing current amplitudes of Slack mutants, we plan to apply tetrodotoxin in the bath solution to block NaV1.6 sodium currents upon coexpression of Slack mutants with NaV1.6.

      New comment from reviewer: Were these experiments with TTX completed? If so, they should be added to the revised manuscript.

      Answer: We thank the reviewer for pointing this out. We compared the current amplitudes of epilepsy-related Slack mutant (SlackR950Q) before and after bath-application of 100 nM TTX upon co-expression with NaV1.6 in HEK293 cells. The results showed that bath-application of TTX significantly reduced the current amplitudes of SlackR950Q at +100 mV by nearly 40% (Author response image 6), suggesting NaV1.6 contributes to the current amplitudes of SlackR950Q. We have included this data in the revised manuscript (see Fig. S10B).

      Author response image 6.

      The current amplitudes of SlackR950Q before and after bath-application of 100 nM TTX upon co-expression with NaV1.6 in HEK293 cells (n=5). ***p < 0.001, Two-way repeated measures ANOVA followed by Bonferroni’s post hoc test.

      Additionally, we have corrected some errors in the methods and figure captions section:

      1. Line 513, bath solution “5 glucose” should be “10 glucose.”

      2. Figure 3A caption, the description “hippocampus CA1 (left) and neocortex (right)” was flipped and we have corrected it.

      References

      1. Zhang Z, Rosenhouse-Dantsker A, Tang QY, Noskov S, Logothetis DE. The RCK2 domain uses a coordination site present in Kir channels to confer sodium sensitivity to Slo2.2 channels. J Neurosci. Jun 2 2010;30(22):7554-62. doi:10.1523/JNEUROSCI.0525-10.2010

      2. Kaczmarek LK. Slack, Slick and Sodium-Activated Potassium Channels. ISRN Neurosci. Apr 18 2013;2013(2013)doi:10.1155/2013/354262

      3. Budelli G, Hage TA, Wei A, et al. Na+-activated K+ channels express a large delayed outward current in neurons during normal physiology. Nat Neurosci. Jun 2009;12(6):745-50. doi:10.1038/nn.2313

      4. Huang Z, Walker MC, Shah MM. Loss of dendritic HCN1 subunits enhances cortical excitability and epileptogenesis. J Neurosci. Sep 2 2009;29(35):10979-88. doi:10.1523/JNEUROSCI.1531-09.2009

      5. Pinel JP, Rovner LI. Electrode placement and kindling-induced experimental epilepsy. Exp Neurol. Jan 15 1978;58(2):335-46. doi:10.1016/0014-4886(78)90145-0

      6. Racine RJ. Modification of seizure activity by electrical stimulation. II. Motor seizure. Electroencephalogr Clin Neurophysiol. Mar 1972;32(3):281-94. doi:10.1016/0013-4694(72)90177-0

      7. Kim EC, Zhang J, Tang AY, et al. Spontaneous seizure and memory loss in mice expressing an epileptic encephalopathy variant in the calmodulin-binding domain of Kv7.2. Proc Natl Acad Sci U S A. Dec 21 2021;118(51)doi:10.1073/pnas.2021265118

    1. Author response:

      The following is the authors’ response to the previous reviews.

      eLife assessment

      In this important study, the authors report a novel measurement of the Escherichia coli chemotactic response and demonstrate that these bacteria display an attractant response to potassium, which is connected to intracellular pH level. Whilst the experiments are mostly convincing, there are some confounders regards pH changes and fluorescent proteins that remain to be addressed.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      This paper shows that E. coli exhibits a chemotactic response to potassium by measuring both the motor response (using a bead assay) and the intracellular signaling response (CheY phosporylation level via FRET) to step changes in potassium concentration. They find increase in potassium concentration induces a considerable attractant response, with amplitude comparable to aspartate, and cells can quickly adapt (and generally over-adapt). The authors propose that the mechanism for potassium response is through modifying intracellular pH; they find both that potassium modifies pH and other pH modifiers induce similar attractant responses. It is also shown, using Tar- and Tsr-only mutants, that these two chemoreceptors respond to potassium differently. Tsr has a standard attractant response, while Tar has a biphasic response (repellent-like then attractant-like). Finally, the authors use computer simulations to study the swimming response of cells to a periodic potassium signal secreted from a biofilm and find a phase delay that depends on the period of oscillation.

      Strengths:

      The finding that E. coli can sense and adapt to potassium signals and the connection to intracellular pH is quite interesting and this work should stimulate future experimental and theoretical studies regarding the microscopic mechanisms governing this response. The evidence (from both the bead assay and FRET) that potassium induces an attractant response is convincing, as is the proposed mechanism involving modification of intracellular pH. The updated manuscript controls for the impact of pH on the fluorescent protein brightness that can bias the measured FRET signal. After correction the response amplitude and sharpness (hill coefficient) are comparable to conventional chemoattractants (e.g. aspartate), indicating the general mechanisms underlying the response may be similar. The authors suggest that the biphasic response of Tar mutants may be due to pH influencing the activity of other enzymes (CheA, CheR or CheB), which will be an interesting direction for future study.

      Weaknesses:

      The measured response may be biased by adaptation, especially for weak potassium signals. For other attractant stimuli, the response typically shows a low plateau before it recovers (adapts). In the case of potassium, the FRET signal does not have an obvious plateau following the stimuli of small potassium concentrations, perhaps due to the faster adaptation compared to other chemoattractants. It is possible cells have already partially adapted when the response reaches its minimum, so the measured response may be a slight underestimate of the true response. Mutants without adaptation enzymes appear to be sensitive to potassium only at much larger concentrations, where the pH significantly disrupts the FRET signal; more accurate measurements would require development of new mutants and/or measurement techniques.

      We acknowledge and appreciate the reviewer's concerns regarding the potential impact of adaptation on the measured response magnitude. We have estimated the effect of adaptation on the measured response magnitude. The half-time of adaptation at 30 mM KCl was measured to be approximately 80 s, corresponding to a time constant of t = 80/ln(2) = 115.4 s, which is significantly longer than the time required for medium exchange in the flow chamber (less than 10 s). Consequently, the relative effect of adaptation on the measured response magnitude should be less than 1-exp(-10/t) = 8.3%. Even for the fastest adaptation (at the lowest KCl concentration) we measured, the effect should be less than 20%, which is within experimental uncertainties. Nevertheless, we agree that developing new techniques to measure the dose-response curve more precisely would be beneficial.

      Reviewer #2 (Public Review):

      Zhang et al investigated the biophysical mechanism of potassium-mediated chemotactic behavior in E coli. Previously, it was reported by Humphries et al that the potassium waves from oscillating B subtilis biofilm attract P aeruginosa through chemotactic behavior of motile P aeruginosa cells. It was proposed that K+ waves alter PMF of P aeruginosa. However, the mechanism was this behaviour was not elusive. In this study, Zhang et al demonstrated that motile E coli cells accumulate in regions of high potassium levels. They found that this behavior is likely resulting from the chemotaxis signalling pathway, mediated by an elevation of intracellular pH. Overall, a solid body of evidence is provided to support the claims. However, the impacts of pH on the fluorescence proteins need to be better evaluated. In its current form, the evidence is insufficient to say that the fluoresce intensity ratio results from FRET. It may well be an artefact of pH change.

      The authors now carefully evaluated the impact of pH on their FRET sensor by examining the YFP and CFP fluorescence with no-receptor mutant. The authors used this data to correct the impact of pH on their FRET sensor. This is an improvement, but the mathematical operation of this correction needs clarification. This is particularly important because, looking at the data, it is not fully convincing if the correction was done properly. For instance, 3mM KCl gives 0.98 FRET signal both in Fig3 and FigS4, but there is almost no difference between blue and red lines in Fig 3. FigS4 is very informative, but it does not address the concern raised by both reviewers that FRET reporter may not be a reliable tool here due to pH change.

      We apologize for not making the correction process clear. We corrected the impact of pH on the original signals for both CFP and YFP channels by

      where and represent the pH-corrected and original PMT signal (CFP or YFP channel) from the moment of addition of L mM KCl to the moment of its removal, respectively, and  is the correction factor, which is the ratio of PMT signal post- to pre-KCl addition for the no-receptor mutant at L mM KCl, for CFP or YFP channel as shown Fig. S5. The pH-corrected FRET response is then calculated as the ratio of the pH-corrected YFP to the pH-corrected CFP signals, normalized by the pre-stimulus ratio.

      As shown in Author response image1, which represents the same data as Fig. 3A and Fig. S5A, the original normalized FRET responses to 3 mM KCl are 0.967 for the wild-type strain (Fig. 3) and 0.981 for the no-receptor strain (Fig. S5). The standard deviation of the FRET values under steady-state conditions is 0.003. Thus, the difference in responses between the wild-type and no-receptor strains is significant and clearly exceeds the standard deviation. The pH correction factors CpH at 3 mM KCl are 1.004 for the YFP signal and 1.016 for the CFP signal. Consequently, the pH-corrected FRET responses are 0.967´1.016/1.004=0.979 for the wild-type and 0.981´1.016/1.004=0.993 for the no-receptor strain. The reason the pH-corrected FRET response for the no-receptor strain is 0.993 instead of the expected 1.000 is that this value represents the lowest observed response rather than the average value for the FRET response.

      The detailed mathematical operation for correcting the pH impact has now been included in the “FRET assay” section of Materials and Methods.

      Author response image 1.

      Chemotactic response of the wild-type strain (A, HCB1288-pVS88) and the no-receptor strain (B, HCB1414-pVS88) to stepwise addition and removal of KCl. The blue solid line denotes the original normalized signal. Downward and upward arrows indicate the time points of addition and removal of 3 mM KCl, respectively. The horizontal red dashed line denotes the original normalized FRET response value to 3 mM KCl.

      The authors show the FRET data with both KCl and K2SO4, concluding that the chemotactic response mainly resulted from potassium ions. However, this was only measured by FRET. It would be more convincing if the motility assay in Fig1 is also performed with K2SO4. The authors did not address this point. In light of complications associated with the use of the FRET sensor, this experiment is more important.

      We thank the reviewer for the suggestion. We agree that additional confirmation with a motility assay is important. To address this, we have now measured the response of the motor rotational signal to 15 mM K2SO4 using the bead assay and compared it with the response to 30 mM KCl. The results are shown in Fig. S2. The response of motor CW bias to 15 mM K2SO4 exhibited an attractant response, characterized by a decreased CW bias upon the addition of K2SO4, followed by an over-adaptation that is qualitatively similar to the response to 30 mM KCl. However, there were notable differences in the adaptation time and the presence of an overshoot. Specifically, the adaptation time to K2SO4 was shorter compared to that for KCl, and there was a notable overshoot in the CW bias during the adaptation phase. These differences may have resulted from the weaker response to K2SO4 (Fig. S1B) and additional modifications due to CysZ-mediated cellular uptake of sulfate (Zhang et al., Biochimica et Biophysica Acta 1838,1809–1816 (2014)). The faster adaptation and overshoot complicated the chemotactic drift in the microfluidic assay as in Fig. 1, such that we were unable to observe a noticeable drift in a K2SO4 gradient under the same experimental conditions used for the KCl gradient.

      The response of motor rotational signal to 15 mM K2SO4 has been added to Fig. S2.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) The response curve and adaptation level/time in the main text (Fig. 4) should be replaced by the corrected counterparts (currently in Fig. S5). The current version is especially confusing because Fig. 6 shows the corrected response, but the difference from Fig. 4 is not mentioned.

      We thank the reviewer for the suggestion. We have now merged the results of the original Fig. S5 into Fig. 4.

      a. The discussion of the uncorrected response with small hill coefficient and potentially negative cooperativity was left in the text (lines 223-234), but the new measurements show this is not true for the actual response. This should be removed or significantly rephrased.

      We thank the reviewer for the suggestion. We have now removed the statement about potentially negative cooperativity and added the corrected results for the actual response.

      (2) It may be helpful to restate the definition of f_m in the methods (near Eq. 3-4).

      Thank you for the suggestion. We have now restated the definition of fm and fL below Eq. 3-4: “In the denominator on the right-hand side of Eq. 3, the two terms within the parentheses of exponential expression represent the methylation-dependent (fm) and ligand-dependent (fL) free energy, respectively.”

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #2:

      (1) The use of two m<sup>5</sup>C reader proteins is likely a reason for the high number of edits introduced by the DRAM-Seq method. Both ALYREF and YBX1 are ubiquitous proteins with multiple roles in RNA metabolism including splicing and mRNA export. It is reasonable to assume that both ALYREF and YBX1 bind to many mRNAs that do not contain m<sup>5</sup>C.

      To substantiate the author's claim that ALYREF or YBX1 binds m<sup>5</sup>C-modified RNAs to an extent that would allow distinguishing its binding to non-modified RNAs from binding to m<sup>5</sup>C-modified RNAs, it would be recommended to provide data on the affinity of these, supposedly proven, m<sup>5</sup>C readers to non-modified versus m<sup>5</sup>C-modified RNAs. To do so, this reviewer suggests performing experiments as described in Slama et al., 2020 (doi: 10.1016/j.ymeth.2018.10.020). However, using dot blots like in so many published studies to show modification of a specific antibody or protein binding, is insufficient as an argument because no antibody, nor protein, encounters nanograms to micrograms of a specific RNA identity in a cell. This issue remains a major caveat in all studies using so-called RNA modification reader proteins as bait for detecting RNA modifications in epitranscriptomics research. It becomes a pertinent problem if used as a platform for base editing similar to the work presented in this manuscript.

      The authors have tried to address the point made by this reviewer. However, rather than performing an experiment with recombinant ALYREF-fusions and m<sup>5</sup>C-modified to unmodified RNA oligos for testing the enrichment factor of ALYREF in vitro, the authors resorted to citing two manuscripts. One manuscript is cited by everybody when it comes to ALYREF as m<sup>5</sup>C reader, however none of the experiments have been repeated by another laboratory. The other manuscript is reporting on YBX1 binding to m<sup>5</sup>C-containing RNA and mentions PAR-CLiP experiments with ALYREF, the details of which are nowhere to be found in doi: 10.1038/s41556-019-0361-y.<br /> Furthermore, the authors have added RNA pull-down assays that should substitute for the requested experiments. Interestingly, Figure S1E shows that ALYREF binds equally well to unmodified and m<sup>5</sup>C-modified RNA oligos, which contradicts doi:10.1038/cr.2017.55, and supports the conclusion that wild-type ALYREF is not specific m<sup>5</sup>C binder. The necessity of including always an overexpression of ALYREF-mut in parallel DRAM experiments, makes the developed method better controlled but not easy to handle (expression differences of the plasmid-driven proteins etc.)

      Thank you for pointing this out. First, we would like to correct our previous response: the binding ability of ALYREF to m<sup>5</sup>C-modified RNA was initially reported in doi: 10.1038/cr.2017.55, (and not in doi: 10.1038/s41556-019-0361-y), where it was observed through PAR-CLIP analysis that the K171 mutation weakens its binding affinity to m<sup>5</sup>C -modified RNA.

      Our previous experimental approach was not optimal: the protein concentration in the INPUT group was too high, leading to overexposure in the experimental group. Additionally, we did not conduct a quantitative analysis of the results at that time. In response to your suggestion, we performed RNA pull-down experiments with YBX1 and ALYREF, rather than with the pan-DRAM protein, to better validate and reproduce the previously reported findings. Our quantitative analysis revealed that both ALYREF and YBX1 exhibit a stronger affinity for m<sup>5</sup>C -modified RNAs. Furthermore, mutating the key amino acids involved in m<sup>5</sup>C recognition significantly reduced the binding affinity of both readers. These results align with previous studies (doi: 10.1038/cr.2017.55 and doi: 10.1038/s41556-019-0361-y), confirming that ALYREF and YBX1 are specific readers of m<sup>5</sup>C -modified RNAs. However, our detection system has certain limitations. Despite mutating the critical amino acids, both readers retained a weak binding affinity for m<sup>5</sup>C, suggesting that while the mutation helps reduce false positives, it is still challenging to precisely map the distribution of m<sup>5</sup>C modifications. To address this, we plan to further investigate the protein structure and function to obtain a more accurate m<sup>5</sup>C sequencing of the transcriptome in future studies. Accordingly, we have updated our results and conclusions in lines 294-299 and discuss these limitations in lines 109-114.

      In addition, while the m<sup>5</sup>C assay can be performed using only the DRAM system alone, comparing it with the DRAM<sup>mut</sup>C control enhances the accuracy of m<sup>5</sup>C region detection. To minimize the variations in transfection efficiency across experimental groups, it is recommended to use the same batch of transfections. This approach not only ensures more consistent results but also improve the standardization of the DRAM assay, as discussed in the section added on line 308-312.

      (2) Using sodium arsenite treatment of cells as a means to change the m<sup>5</sup>C status of transcripts through the downregulation of the two major m<sup>5</sup>C writer proteins NSUN2 and NSUN6 is problematic and the conclusions from these experiments are not warranted. Sodium arsenite is a chemical that poisons every protein containing thiol groups. Not only do NSUN proteins contain cysteines but also the base editor fusion proteins. Arsenite will inactivate these proteins, hence the editing frequency will drop, as observed in the experiments shown in Figure 5, which the authors explain with fewer m<sup>5</sup>C sites to be detected by the fusion proteins.

      The authors have not addressed the point made by this reviewer. Instead the authors state that they have not addressed that possibility. They claim that they have revised the results section, but this reviewer can only see the point raised in the conclusions. An experiment would have been to purify base editors via the HA tag and then perform some kind of binding/editing assay in vitro before and after arsenite treatment of cells.

      We appreciate the reviewer’s insightful comment. We fully agree with the concern raised. In the original manuscript, our intention was to use sodium arsenite treatment to downregulate NSUN mediated m<sup>5</sup>C levels and subsequently decrease DRAM editing efficiency, with the aim of monitoring m<sup>5</sup>C dynamics through the DRAM system. However, as the reviewer pointed out, sodium arsenite may inactivate both NSUN proteins and the base editor fusion proteins, and any such inactivation would likely result in a reduced DRAM editing. This confounds the interpretation of our experimental data.

      As demonstrated in Appendix A, western blot analysis confirmed that sodium arsenite indeed decreased the expression of fusion proteins. In addition, we attempted in vitro fusion protein purification using multiple fusion tags (HIS, GST, HA, MBP) for DRAM fusion protein expression, but unfortunately, we were unable to obtain purified proteins. However, using the Promega TNT T7 Rapid Coupled In Vitro Transcription/Translation Kit, we successfully purified the DRAM protein (Appendix B). Despite this success, subsequent in vitro deamination experiments did not yield the expected mutation results (Appendix C), indicating that further optimization is required. This issue is further discussed in line 314-315.

      Taken together, the above evidence supports that the experiment of sodium arsenite treatment was confusing and we determined to remove the corresponding results from the main text of the revised manuscript.

      Author response image 1.

      (3) The authors should move high-confidence editing site data contained in Supplementary Tables 2 and 3 into one of the main Figures to substantiate what is discussed in Figure 4A. However, the data needs to be visualized in another way then excel format. Furthermore, Supplementary Table 2 does not contain a description of the columns, while Supplementary Table 3 contains a single row with letters and numbers.

      The authors have not addressed the point made by this reviewer. Figure 3F shows the screening process for DRAM-seq assays and principles for screening high-confidence genes rather than the data contained in Supplementary Tables 2 and 3 of the former version of this manuscript.

      Thank you for your valuable suggestion. We have visualized the data from Supplementary Tables 2 and 3 in Figure 4A as a circlize diagram (described in lines 213-216), illustrating the distribution of mutation sites detected by the DRAM system across each chromosome. Additionally, to improve the presentation and clarity of the data, we have revised Supplementary Tables 2 and 3 by adding column descriptions, merging the DRAM-ABE and DRAM-CBE sites, and including overlapping m<sup>5</sup>C genes from previous datasets.

    1. Author response:

      The following is the authors’ response to the previous reviews

      Reviewer #1 (Public review):

      Summary:

      Liver cancer shows a high incidence in males than females with incompletely understood causes. This study utilized a mouse model that lacks the bile acid feedback mechanisms (FXR/SHP DKO mice) to study how dysregulation of bile acid homeostasis and a high circulating bile acid may underlie the gender-dependent prevalence and prognosis of HCC. By transcriptomics analysis comparing male and female mice, unique sets of gene signatures were identified and correlated with HCC outcomes in human patients. The study showed that ovariectomy procedure increased HCC incidence in female FXR/SHP DKO mice that were otherwise resistant to agedependent HCC development, and that removing bile acids by blocking intestine bile acid absorption reduced HCC progression in FXR/SHP DKO mice. Based on these findings, the authors suggest that gender-dependent bile acid metabolism may play a role in the male-dominant HCC incidence, and that reducing bile acid level and signaling may be beneficial in HCC treatment. 

      strengths:

      (1) Chronic liver diseases often proceed the development of liver and bile duct cancer. Advanced chronic liver diseases are often associated with dysregulation of bile acid homeostasis and cholestasis. This study takes advantage of a unique FXR/SHP DKO model that develop high organ bile acid exposure and spontaneous age-dependent HCC development in males but not females to identify unique HCC-associated gene signatures. The study showed that the unique gene signature in female DKO mice that had lower HCC incidence also correlated with lower grade HCC and better survival in human HCC patients. 2. The study also suggests that differentially regulated bile acid signaling or gender-dependent response to altered bile acids may contribute to gender-dependent susceptibility to HCC development and/or progression. 3. The sex-dependent differences in bile acidmediated pathology clearly exist but are still not fully understood at the mechanistic level. Female mice have been shown to be more sensitive to bile acid toxicity in a few cholestasis models, while this study showed a male dominance of bile acid promotion of HCC. This study used ovariectomy to demonstrate that female hormones are possible underlying factors. Future studies are needed to understand the interaction of sex hormones, bile acids, and chronic liver diseases and cancer. 

      We thank Reviewer 1 for their positive and thorough assessment of our manuscript

      Weaknesses:

      (1) HCC shows heterogeneity, and it is unclear what tissues (tumor or normal) were used from the DKO mice and human HCC gene expression dataset to obtain the gene signature, and how the authors reconcile these gene signatures with HCC prognosis.

      Mice studies: Aged DKO mice develop aggressive tumors (major and minor nodules, See Figure 1), and the entire liver is burdened with multiple tumor nodules. It is technically challenging to demarcate the tumor boundaries as most of the surrounding tissues do not display normal tissue architecture. Therefore, livers from age- and sexmatched wild-type C57/BL6 mice were used as control tissue. All the mice were inbred in our facility. Spatial transcriptomics and longitudinal studies are ongoing to collect tumors at earlier time points wherein we can differentiate tumor and non-tumor tissue. 

      Human Studies: We mined five separate clinical data sets. The human HCC gene expression comprised of samples from the (i) National Cancer Institute (NCI) cohort (GEO accession numbers, GSE1898 and GSE4024) and (ii) Korea, (iii) Samsung, (iv) Modena, and (v) Fudan cohorts as previously described (GEO accession numbers, GSE14520, GSE16757, GSE43619, GSE36376, and GSE54236). We have added a new supplemental table 4, giving details of these datasets. Depending on the cohort, they are primarily HCC samples- surgical resections of HCC, control samples, with some tumors and paired non-tumor tissues.

      (2) The authors identified a unique set of gene expression signatures that are linked to HCC patient outcomes, but analysis of these gene sets to understand the causes of cancer promotion is still lacking. The studies of urea cycle metabolism and estrogen signaling were preliminary and inconclusive. These mechanistic aspects may be followed up in revision or future studies.

      We agree. Experiments to elicit HCC causality and promotion are complex, given the heterogeneous nature of liver cancer. Moreover, the length of time (12 months) needed to spontaneously develop cancer in this DKO mouse model makes it challenging. As mentioned by the reviewer, mechanistic studies are ongoing, and longitudinal time course experiments are actively being pursued to delineate causality. Having said that, we mined the TCGA LIHC (The Cancer Genome Atlas Liver Hepatocellular Carcinoma) database to examine the expression of the individual urea cycle genes and found them suppressed in liver tumorigenesis (new Supplementary Figure 4). We also evaluated if estrogen receptor  (Er) targets altered in DKO females (DKO_Estrogen) correlate with overall survival in HCC (new Supplementary Figure 6). We note that Er expression per se is reduced in males and females upon liver tumorigenesis. Also, DKO_Estrogen signature positively corroborated with better overall survival (new Supplementary Figure 6). These findings further bolster the relevance of urea cycle metabolism and estrogen signaling during HCC. 

      (3) While high levels of bile acids are convincingly shown to promote HCC progression, their role in HCC initiation is not established. The DKO model may be limited to conditions of extremely high levels of organ bile acid exposure. The DKO mice do not model the human population of HCC patients with various etiology and shared liver pathology (i.e. cirrhosis). Therefore, high circulating bile acids may not fully explain the male prevalence of HCC incidence.

      We agree with this comment that our studies do not show bile acids can initiate HCC and may act as one of the many factors that contribute to the high male prevalence of HCC. This is exactly the reason why throughout the manuscript we do not write about HCC initiation. To clarify further, in the revised discussion of the manuscript, we have added a sentence to highlight this aspect, “while this study demonstrates bile acids promote HCC progression it does not investigate or provide evidence if excess bile acids are sufficient for HCC initiation.”

      (4) The authors showed lower circulating bile acids and increased fecal bile acid excretion in female mice and hypothesized that this may be a mechanism underlying the lower bile acid exposure that contributed to lower HCC incidence in female DKO mice. Additional analysis of organ bile acids within the enterohepatic circulation may be performed because a more accurate interpretation of the circulating bile acids and fecal bile acids can be made in reference to organ bile acids and total bile acid pool changes in these mice.

      As shown in this manuscript- we provide BA compositional analyses from the liver, serum, urine, and feces (Figures 5 and 6, new Supplementary Figure 8, Supplementary Tables 4 and 5). Unfortunately, we did not collect the intestinal tissue or gallbladders for BA analysis in this study. Separate cohorts of mice are being aged for future BA analyses from different organs within the enterohepatic loop. We thank you for this suggestion. Nevertheless, we have previously measured and reported BA values to be elevated in the intestines and the gall bladder of young DKO mice (PMC3007143).

      Reviewer #2 (Public review):

      Weaknesses:

      (1) The translational value to human HCC is not so strong yet. Authors show that there is a correlation between the female-selective gene signature and low-grade tumors and better survival in HCC patients overall. However, these data do not show whether this signature is more highly correlated with female tumor burden and survival. In other words, whether the mechanisms of female protection may be similar between humans and mice. In that respect, it would also be good to elaborate on whether women have higher fecal BA excretion and lower serum BA concentration.

      The reviewer poses an interesting question to test if the DKO female-specific signatures are altered differently in male vs. female HCC samples. As we found the urea cycle and estrogen signaling to be protective and enriched in our mouse model, we tested their expression pattern using the TCGA-LIHC RNA-seq data. We found urea cycle genes and Er transcripts broadly reduced in tumor samples irrespective of the sex (new Supplementary Figure 4 and Supplementary Figure 6), indicating that these pathways are compromised upon tumorigenesis even in the female livers. 

      While prior studies have shown (i) a smaller BA pool w synthesis in men than women (PMID: 22003820), we did not find a study that systematically investigated BA excretion between the sexes in HCC context. The reviewer is spot on in suggesting BA analysis from HCC and unaffected human fecal samples from both sexes. Designing and performing such studies in the future will provide concrete proof of whether BA excretion protects female livers from developing liver cancer. We thank you for these suggestions.

      (2) The authors should perform a thorough spelling and grammar check.

      We apologize for the typos, which have been fixed, and as suggested by the reviewer, we have performed a grammar check.

      (3) There are quite some errors and inaccuracies in the result section, figures, and legends. The authors should correct this.

      We apologize for the inadvertent errors in the manuscript, and we have clarified these inaccuracies in the revised version. Thank you.

      Reviewer#1 (Recommendations for the authors).

      (1) Figures 1A-F, This statement of altered liver steatosis needs to be further supported by measurement of liver triglycerides. Lower magnification images of Sirius red stain should be shown for better evaluation of liver fibrosis.

      Unfortunately, we did not measure liver triglycerides and sirius red stained samples have faded, and lower magnification is unavailable at this juncture. We have modified our results accordingly.  

      We did not take the gross picture of WT female and DKO female livers in the same frame as shown below. Since the manuscript is focused on male and female differences in liver cancer incidence, we provided DKO male and female liver images as Figure 1D in the paper.

      Author response image 1.

      Gross liver images of a year-old WT and DKO mice which show prominent hepatocarcinogenesis in DKO male mice

      (2) Can the authors clarify if the gene transcriptomics was performed with normal or tumor tissues of DKO mice?

      Gene transcriptomics were performed with the tumor tissue of DKO mice. We have previously published data from younger non tumor bearing DKO male mice (PMCID: PMC3007143). 

      (3) Supplementary Figure 3C. Could the authors confirm if this is F vs M or just DKO female since it does not seem to match the result description in the main text? It is better practice to indicate the sub-panels of the Supplementary Figures in the main text while describing the results.

      As the reviewer correctly points out Supplementary Figure 3C is DKO F vs M signature not DKO_female signature and this has been clarified in the text. We have also included DKO_F data now to reduce the confusion.

      (4) Figure 3. Legend, the data presented are not well explained in the Legend, especially the labeling and what is being presented and compared.

      As suggested by the reviewer, we have modified the legend accordingly.

      (5) Supplementary Table 4 does not contain total serum bile acid as described in the main text.

      We agree with the reviewer. We provided primary and secondary BA concentrations, Supplementary Table 4 (currently Supplementary Table 5 in the revised version): Rows 20 and 21. but not their added total. We have modified the text accordingly.

      (6) Method section: many experiments lack descriptions of details.

      We have added details to the animal experimental design, ER ChIP-PCR, schematics of experiments are included within the main and supplemental figures, metabolomics and BA analysis have been expanded. 

      Reviewer #2 (Recommendations For The Authors):

      General:

      (1) The authors are advised to do a thorough grammar and spelling check.

      We have performed spelling and grammar check as suggested using an online platform Grammarly. Thank You.

      Results:

      (1) Figure 1 o The authors should show in Figure 1D female WT and female DKO liver.

      See Figure 1 added in our responses to point 1 of reviewer 1’s comment.

      In the Figure legend, (A-E) should be replaced by (A+D). 

      Thank you. We have modified it accordingly.

      The authors do not refer to 1J in the text, please add this reference.

      Thank you for pointing it. We have referenced 1J in the text.

      The description of 1H does not elaborate on the sex differences in ALT/AST levels, as this is the focus of the manuscript.

      We have added a sentence to show that the injury markers are higher in DKO males, which is consistent with an advanced disease. Thanks.

      The authors should use the correct nomenclature in Figure 1I/1J (gene vs protein and capitals vs non-capitals).

      The Figure 1I and 1J show gene expression of Fxr and Shp and hence we used the non-capital italicized nomenclature. Thanks.

      (2) Figure 2:

      The x-axis length is different in Figures 2A and 2B. Please correct to visualize the differences between males and females better.

      The x axis length has been fixed as suggested. Thanks

      (3) Figure 3:

      The authors should elaborate on how the patients were assigned to each gene signature. This is not fully clear.

      The gene set obtained from the WT and DKO mice were used. The process used is shown as a schematic in Supplemental Fig 2C and the gene list is included  in an excel sheet as Supplemental table 1. 

      We are curious how these data (F3A-C) would look when separating male and female human patients.

      We performed an overall survival analysis with a subgroup of patients and provide it. We segregated the HCC cohort data on sex and age (>55 yr, since we assumed 55 as an age for menopause) and evaluated the DKO gene signature. Similar to the original figure 3, we find that irrespective of sex, and age, DKO FvsM gene signature corresponds with better overall survival in men and in women. These findings align with the combined analysis in overall survival shown in original Figure 3 of the manuscript, and therefore we did not modify it. If deemed necessary, we are happy to include the figure below to reviewers in the main manuscript.

      Author response image 2.

      Correlation of gene signatures obtained from WT and DKO mouse model with the survival data of HCC patients segregated by age and sex. The Kaplan Meier Survival graphs were generated based on WT and DKO transcriptome changes using five HCC clinical cohorts. Analysis of OS (Overall Survival) in patients ((A) Men and (B) Women) using the gene signatures representative of either male WT or male DKO, female WT or female DKO, and unique changes observed in female DKO mice but not in male DKO mice.

      What was used as the control signature in Figure 3C? Please specify this.

      For Figure 3C we compared the DKO_M signature to that of DKOF vs M signature. These genes are listed as an Excel Sheet (Supplementary Table 1).

      The authors claim that DKO female mice display chronic cholestasis, similar to their male counterparts. Please refer to previous work or show the data.

      Serum BA levels are elevated in DKO females are reported in supplementary table 5 and we find comparable hepatic BA composition in Figure 5 F.

      (4) Figure 4: Labels for the x-axis are missing in Figure 4C. Please add legends or labels to the bars.

      The x axis label is included in the top Serum BAs in (M)

      In Figure 4I, the percentage of input is quite low. An IgG control would show whether recruitment of ERalpha to the shown loci is significant above background levels. Also, ChIP on the OVX liver could serve as a negative control.

      We did use IgG as control pull down and the signals above this background were considered. We have not performed this in OVX, which would be an excellent negative control for future studies. Thank You.

      The results and legends refer to ChIP-qPCR, while methods only mention ChIP-seq.Please adapt.

      We sincerely apologize for the mistake. We used published ChIP-seq to identify putative binding site and then performed ChIP PCR to validate it. We have clarified and rectified this error. Thank You.

      Significance indications in the figure legend do not correspond with significance indications in the figure. Please explain the used significance symbols in the figure in the legend.

      Thank You. The legends and their significance have been matched.

      (5) Figure 5:

      Authors claim lowered total serum BA in females compared to males, and reference to Supplementary Table 4. However, these data are not provided, only percentages and ratios are displayed.

      In the revised version, this has become Table 5. See response to the same concern noted by Reviewer 1, Point 5 above.

      Figure 5D: Are sulphated BA also elevated in WT females? Please provide these data.

      There is no significant urinary excretion of BAs in WT control animals. We have previously measured and found none. But under cholestatic conditions BAs are observed in urine. Therefore, sulphated BA levels were found only in the DKO mice. 

      Figure 5H: Is the fecal BA excretion in WT females also proportionally higher than in males? Please provide these data.

      We were unable to perform the untargeted metabolomics profiling of WT fecal samples. When we measured for BAs in the feces, as expected very low conc were present irrespective of the sex (~0.01 M) and we did not find any sex difference.  Also, prior studies in 129SVJ strain exhibited comparable fecal excretion (PMC150802). We did not find any clinical studies that measured fecal BA between the sexes.

      (6) Figure 6:

      References in the text of the result section to Figure 6 are wrong. The authors should change this.

      Thank You. This has been rectified.

      Significance indications in the legend do not correspond with significance indications in the figure. Please explain the used significance symbols in the figure in the legend.

      Thank You. The legends and their significance have been matched.

      (7) Supplemental Figure 3:

      Please adapt the title of this figure; the sentence is incorrect. The description of this figure is very poor.

      We have modified the legend and the title of the Supplemental Figure 3 to make it more appropriate. Thanks

      Please explain what the blue and red dots represent.

      Each dot in blue and yellow indicate the Bayesian probability generated from our BCCP model.

      What are the bold horizontal lines representing? Why are there no dots in some box plots? Please elaborate.

      The box represents the interquartile range (IQR), encompassing the middle 50% of the data. The bottom and top edges correspond to the 25th and 75th percentiles, respectively, while the bold horizontal line indicates the median value.

      The absence of visible dots in certain categories—particularly in higher CLIP and TNM stages—is due to the small number of patients, all of whom had similar Bayesian prediction probabilities. As these values cluster tightly around the median, the individual dots may be overlapped and hidden behind the median line.

      The figure is not visually easy to understand, please reconsider the representation.  

      We hope the modified figure legends with the explanation of the lines and the points in the graphs increases the clarity and makes them acceptable.

      Please add the DKO_female signature plot.

      We have added these graph to Supplemental figure 3

      (8) Supplemental 4A:

      Fold change at Z-score is missing. This should be added.

      Thank you we have added this information

      (9) Supplemental 5:

      The scale bar is missing. This should be included.

      The figure is now supplemental figure 8 and the scale bar has been added.

      Methods:

      (1) Did the authors use ChIP-sequencing or ChIP-qPCR? Please describe the correct method.

      We apologize for the error. We have used ChIP-PCR and rectified it in our methods and in our response to a figure 4 query.

      (2) It is unclear how the mouse model was generated. Please refer to earlier publications.

      The mice were generated in house at UIUC, and we have added this sentence to the Methods section. The original reference has been cited in the text (PMCID: PMC3007143).

      Discussion:

      (1) The authors claim in the discussion: 'consistently higher recruitment of ER to the classical BA synthetic genes ...' This is not shown in Figure 4I, only ER recruitment to Cyp7a1 is significantly higher in females. Please rephrase.

      We agree and we have modified the sentence Cyp7A1 accounts for ~75% of BA synthesis and is a rate-limiting gene in the classical BA synthesis pathway. 

      (2) The authors could make their statements stronger if they could elaborate on whether women have more fecal BA excretion, and if there are differences in serum BA concentration in HCC between male and female patients. 

      Unfortunately, we were unable to find clinical studies with appropriate controls which examined and reported serum BA in HCC in a sex specific manner.

      In addition, to understand whether the female-specific protections in humans are similar to mice, it would be nice to show correlations of the female-specific mouse signature with male and female liver signatures.

      At this time, we do not have large n numbers of control or precancerous early-stage patient datasets from both sexes to make such comparisons. Nevertheless, there is translational relevance of these sex-specific signature. Figure 2 included in the reviewer response shows that DKO male signature correlates with poor overall survival in males, whereas neither DKO male nor DKO female signature predict outcome in females. In contrast, DKO female-specific gene signature (DKOFvsM) correlates with better overall survival in both men and in women. 

      (3) The authors state in the discussion: 'Currently we do not know how to reconcile this data other than indicating a potential ER independent mechanism.' We do not understand the reasoning behind this statement. Please clarify.

      We find that increased Erα expression in DKO coincides with CA-mediated suppression of BA synthesis genes in the absence of Fxr and Shp. But we also noticed that in OVX DKO mice, Erα expression is blunted, and so is basal BA synthesis gene expression. Putting together these data, it is intriguing that Erα expression correlates both positively and negatively with BA synthesis genes. To reconcile these contrasting results, we have written the following sentence in the discussion.

      “These findings suggest Erα expression is linked to both positive and negative regulation of BA synthesis genes. But we do not know how ER elicits these differential effects on BA synthesis.”

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Response to Reviewer 1

      Thank you for your recognition of our revised work.

      Response to Reviewer 2

      It would be useful to have a demonstration of where this model outperforms SaProt systematically, and a discussion about what the success of this model teaches us given there is a similar, previously successful model, SaProt.

      As two concurrent works, ProtSSN and SaProt employ different methods to incorporate the structure information of proteins. Generally speaking, for two deep learning models that are developed during a close period, it is challenging to conclude that one model is systematically superior to another. Nonetheless, on DTm and DDG (the two low-throughput datasets that we constructed), ProtSSN demonstrates better empirical performance than SaProt.  

      Moreover, ProtSSN is more efficient in both training and inference compared to SaProt. In terms of training cost, SaProt uses 40 million protein structures for pretraining (requiring 64 A100 GPUs for three months), whereas ProtSSN requires only about 30,000 crystal structures from the CATH database (trained on a single 3090 GPU for two days). Despite SaProt’s significantly higher training cost, its pretrained version does not exhibit superior performance on low-throughput datasets such as DTm, DDG, and Clinvar. Furthermore, the high training cost limits many users from retraining or fine-tuning the model for specific needs or datasets.

      Regarding the inference cost, ProtSSN requires only one embedding computation for a wild-type protein, regardless of the number of mutants (n). In contrast, SaProt computes a separate embedding and score for each mutant. For instance, when evaluating the scoring performance on ProteinGym, ProtSSN only needs 217 inferences, while SaProt needs more than 2M inferences. This inference speed is important in practice, such as high-throughput design and screening.

      Please remove the reference to previous methods as "few shot". This typically refers to their being trained on experimental data, not their using MSAs. A "few shot" model would be ProteinNPT.

      The definition of "few-shot" we used here is following ESM1v [1]. This concept originates from providing a certain number of examples as input to GPT-3 [2]. In the context of protein deep learning models, MSA serves as the wild-type protein examples.

      Also, Reviewer 1 uses the concept in the same way. 

      “Readers should note that methods labelled as "few-shot" in comparisons do not make use of experimental labels, but rather use sequences inferred as homologous; these sequences are also often available even if the protein has never been experimentally tested.”

      In the main text, we also included this definition as well as the reference of ESM-1v in lines 457-458.

      “We extend the evaluation on ProteinGym v0 to include a comparison of our zero-shot ProtSSN with few-shot learning methods that leverage MSA information of proteins (Meier et al., 2021).”

      (1) Meier J, Rao R, Verkuil R, et al. Language models enable zero-shot prediction of the effects of mutations on protein function. Advances in Neural Information Processing Systems, 2021.

      (2) Brown T, Mann B, Ryder N, et al. Language models are few-shot learners. Advances in Neural Information Processing Systems, 2020.

      Furthermore, I don't think it is fair to state that your method is not comparable to these models -- one can run an MSA just as one can predict a structure. A fairer comparison would be to highlight particular assays for which getting an MSA could be challenging -- Transcription did this by showing that they outperform EVE when MSAs are shallow.

      We recognize that there are often differences in the definitions and classifications of various methodologies. Here, we follow the definitions provided by ProteinGym. As the most comprehensive and large scale open benchmark in the community, we believe this classification scheme should be widely accepted. All classifications are available on the official website of ProteinGym (https://proteingym.org/benchmarks), which categorizes methods into PLMs, Structure-based models, and Alignment-based models. For example, GEMME is classified as an alignment-based model, and MSA Transformer is considered a hybrid model combining alignment and PLM features.

      We believe that methodologies with different inputs and architectures can lead to inherent unfairness. Also, it is generally believed that models including evolutionary relationships tend to outperform end-to-end models due to the extra information and efforts involved during the training phase. Some empirical evidence and discussions are in the ablation studies of retrieval factors in Tranception [3]. Moreover, the choice of MSA search parameters can introduce uncertainty, which could have positive or negative impacts. 

      We showcase the impact of MSA depth on model performance with an additional analysis below. Author response image 1 visualizes the Spearman’s correlation between the scores of each model and the number of MSAs on 217 ProteinGym assays, where each point represents one of 217 assays. The summary correlation of each model with respect to all assays are reported in Author response table 1. These results demonstrate no clear correlation between MSA depth and model performance even for MSA-based models.

      Author response image 1.

      Scatter plots of the number of MSA sequences and spearman’s correlation.

      Author response table 1.

      Spearmar’s score of the number of MSA sequences and the model’s performance.

      (3) Notin P, Dias M, Frazer J, et al. Tranception: protein fitness prediction with autoregressive transformers and inference-time retrieval. International Conference on Machine Learning, 2022.

      The authors state that DTm and DDG are conceptually appealing because they come from low-throughput assays with lower experimental noise and are also mutations that are particularly chosen to represent the most interesting regions of the protein. I agree with the conceptual appeal but I don't think these claims have been demonstrated in practice. The cited comparison with Frazer as a particularly noisy source of data I think is particularly unconvincing: ClinVar labels are not only rigorously determined from multiple sources of evidence, Frazer et al demonstrates that these labels are actually more reliable than experiment in some cases. They also state that ProteinGym data doesn't come with environmental conditions, but these can be retrieved from the papers the assays came from. The paper would be strengthened by a demonstration of the conceptual benefit of these new datasets, say a comparison of mutations and signal for a protein that may be in one of these datasets vs ProteinGym.

      In the work by Frazer et al. [4], they mentioned that

      "However, these technologies do not easily scale to thousands of proteins, especially not to combinations of variants, and depend critically on the availability of assays that are relevant to or at least associated with human disease phenotypes." 

      It points out that the results of high-throughput experiments are usually based on the design of specific genes (such as BRCA1 and TP53.) and cannot be easily extended to thousands of other genes. At the same time, due to the complexity of the experiment, there may be problems with reproducibility or deviations from clinical relevance.

      This statement aligns with our perspective that high-throughput experiments inherently involve a significant amount of noise and error. It is important to clarify that the noise we discuss here arises from the limitations of high-throughput experiments themselves, instead of from the reliability of the data sources, such as systematic errors in experimental measurements. This latter issue is a complex problem common to all wetlab experiments and falls outside the scope of our study.

      Under this premise, low-throughput datasets like DTm and DDG can be considered to have less noise than high-throughput datasets, as they have undergone manual curation. As for your suggestion, while valuable, unfortunately, we were unable to identify datasets in DTM and DDG that align with those in ProteinGym after a careful search. Thus, we are unable to conduct this comparative experiment at this stage.

      (4) Frazer J, Notin P, Dias M, et al. Disease variant prediction with deep generative models of evolutionary data. Nature, 2021.

    1. Author Response

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #2 (Public Review):

      I would like to express my appreciation for the authors' dedication to revising the manuscript. It is evident that they have thoughtfully addressed numerous concerns I previously raised, significantly contributing to the overall improvement of the manuscript.

      Response: We appreciate the reviewers’ recognition of our efforts in revising the manuscript.

      My primary concern regarding the authors' framing of their findings within the realm of habitual and goal-directed action control persists. I will try explain my point of view and perhaps clarify my concerns. While acknowledging the historical tendency to equate procedural learning with habits, I believe a consensus has gradually emerged among scientists, recognizing a meaningful distinction between habits and skills or procedural learning. I think this distinction is crucial for a comprehensive understanding of human action control. While these constructs share similarities, they should not be used interchangeably. Procedural learning and motor skills can manifest either through intentional and planned actions (i.e., goal-directed) or autonomously and involuntarily (habitual responses).

      Response: We would like to clarify that, contrary to the reviewer’s assertion of a scientific consensus on this matter, the discussion surrounding the similarities and differences between habits and skills remains an ongoing and unresolved topic of interest among scientists (Balleine and Dezfouli, 2019; Du and Haith, 2023; Graybiel and Grafton, 2015; Haith and Krakauer, 2018; Hardwick et al., 2019; Kruglanski and Szumowska, 2020; Robbins and Costa, 2017). We absolutely agree with the reviewer that “Procedural learning and motor skills can manifest either through intentional and planned actions (i.e., goal-directed) or autonomously and involuntarily (habitual responses)”. But so do habits. Some researchers also highlight the intentional/goal-directed nature of habits (e.g., Du and Haith, 2023, “Habits are not automatic” (preprint) or Kruglanski and Szumowska, 2020, “Habitual behavior is goal-driven”: “definitions of habits that include goal independence as a foundational attribute of habits are begging the question; they effectively define away, and hence dispose of, the issue of whether habits are goal-driven (p 1258).” Therefore, there is no clear consensus concerning the concept of habit.

      While we acknowledge the meaningful distinctions between habits and skills, we also recognize a substantial body of literature supporting the overlap between these concepts (cited in our manuscript), particularly at the neural level. The literature clearly indicates that both habits and skills are mediated by subcortical circuits, with a progressive disengagement of cognitive control hubs in frontal and cingulate cortices as repetition evolves. We do not use these concepts interchangeably. Instead, we simply present evidence supporting the assertion that our trained app sequences meet several criteria for their habitual nature.

      Our choice of Balleine and Dezfouli (2018)'s criteria stemmed from the comprehensive nature of their definitions, which effectively synthesized insights from various researchers (Mazar and Wood, 2018; Verplanken et al., 1998; Wood, 2017, etc). Importantly, their list highlights the positive features of habits that were previously overlooked. However, these authors still included a controversial criterion ("habits as insensitive to changes in their relationship to their individual consequences and the value of those consequences"), even though they acknowledged the problems of using outcome devaluation methods and of relying on a null-effect. According to Kruglanski and Szumowska (2020), this criterion is highly problematic as “If, by definition, habits are goalindependent, then any behavior found to be goal-dependent could not be a habit on sheer logical grounds” (p. 1257). In their definition, “habitual behavior is sensitive to the value of the reward (i.e., the goal) it is expected to mediate and is sensitive to the expectancy of goal attainment (i.e., obtainment of the reward via the behavior, p.1265). In fact, some recent analyses of habitual behavior are not using devaluation or revaluation as a criterion (Du and Haith, 2023). This article, for example, ascertains habits using different criteria and provides supporting evidence for trained action sequences being understood as skills, with both goal-directed and habitual components.

      In the discussion of our manuscript, we explicitly acknowledge that the app sequences can be considered habitual or goal-directed in nature and that this terminology does not alter the fact that our overtrained sequences exhibit clear habitual features.

      Watson et al. (2022) aptly detailed my concerns in the following statements: "Defining habits as fluid and quickly deployed movement sequences overlaps with definitions of skills and procedural learning, which are seen by associative learning theorists as different behaviors and fields of research, distinct from habits."

      "...the risk of calling any fluid behavioral repertoire 'habit' is that clarity on what exactly is under investigation and what associative structure underpins the behavior may be lost." I strongly encourage the authors, at the very least, to consider Watson et al.'s (2022) suggestion: "Clearer terminology as to the type of habit under investigation may be required by researchers to ensure that others can assess at a glance what exactly is under investigation (e.g., devaluationinsensitive habits vs. procedural habits)", and to refine their terminology accordingly (to make this distinction clear). I believe adopting clearer terminology in these respects would enhance the positioning of this work within the relevant knowledge landscape and facilitate future investigations in the field.

      Response: We would like to highlight that we have indeed followed Watson et al (2022)’s recommendations on focusing on other features/criteria of habits at the expense of the outcome devaluation/contingency degradation paradigm, which has been more controversial in the human literature. Our manuscript clearly aligns with Watson et al. (2022) ‘s recommendations: “there are many other features of habits that are not captured by the key metrics from outcome devaluation/contingency degradation paradigms such as the speed at which actions are performed and the refined and invariant characteristics of movement sequences (Balleine and Dezfouli, 2019). Attempts are being made to develop novel behavioral tasks that tap into these positive features of habits, and this should be encouraged as should be tasks that are not designed to assess whether that behavior is sensitive to outcome devaluation, but capture the definition of habits through other measures”.

      Regarding the authors' use of Balleine and Dezfouli's (2018) criteria to frame recorded behavior as habitual, as well as to acknowledgment the study's limitations, it's important to highlight that while the authors labelled the fourth criterion (which they were not fulfilling) as "resistance to devaluation," Balleine and Dezfouli (2018) define it as "insensitive to changes in their relationship to their individual consequences and the value of those consequences." In my understanding, this definition is potentially aligned with the authors' re-evaluation test, namely, it is conceptually adequate for evaluating the fourth criterion (which is the most accepted in the field and probably the one that differentiate habits from skills). Notably, during this test, participants exhibited goaldirected behavior.

      The authors characterized this test as possibly assessing arbitration between goal-directed and habitual behavior, stating that participants in both groups "demonstrated the ability to arbitrate between prior automatic actions and new goal-directed ones." In my perspective, there is no justification for calling it a test of arbitration. Notably, the authors inferred that participants were habitual before the test based on some criteria, but then transitioned to goal-directed behavior based on a different criterion. While I agree with the authors' comment that: "Whether the initiation of the trained motor sequences in experiment 3 (arbitration) is underpinned by an action-outcome association (or not) has no bearing on whether those sequences were under stimulus-response control after training (experiment 1)." they implicitly assert a shift from habit to goal-directed behavior without providing evidence that relies on the same probed mechanism. Therefore, I think it would be more cautious to refer to this test as solely an outcome revaluation test. Again, the results of this test, if anything, provide evidence that the fourth criterion was tested but not met, suggesting participants have not become habitual (or at least undermines this option).

      Response: In our previously revised manuscript, we duly acknowledged that the conventional (perhaps nowadays considered outdated) goal devaluation criterion was not met, primarily due to constraints in designing the second part of the study. We did cite evidence from another similar study that had used devaluation app-trained action sequences to demonstrate habitual qualities (but the reviewer ignored this).

      The reviewer points out that we did use a manipulation of goal revaluation in one of the follow-up tests conducted (although this was not a conventional goal revaluation test inasmuch that it was conducted in a novel context). In this test, please note that we used 2 manipulations: monetary and physical effort. Although we did show that subjects, including OCD patients, were apparently goaldirected in the monetary reward manipulation, this was not so clear when goal re-evaluation involved the physical effort expended. In this effort manipulation, participants were less goaloriented and OCD patients preferred to perform the longer, familiar, to the shorter, novel sequence, thus exhibiting significantly greater habitual tendencies, as compared to controls. Hence, we cannot decisively conclude that the action sequence is goal-directed as the reviewer is arguing. In fact, the evidence is equivocal and may reflect both habitual and goal-directed qualities in the performance of this sequence, consistent with recent interpretations of skilled/habitual sequences (Du and Haith, 2023). Relying solely on this partially met criterion to conclude that the app-trained sequences are goal-directed, and therefore not habitual, would be an inaccurate assessment for several reasons: 1) the action sequences did satisfy all other criteria for being habitual; 2) this approach would rest on a problematic foundation for defining habits, as emphasized by Kruglanski & Szumowska (2020); and 3) it would succumb to the pitfall of subscribing to a zero-sum game perspective, as cautioned by various researchers, including the review by Watson et al. (2022) cited by the referee, thus oversimplifying the nuanced nature of human behavior.

      While we have previously complied with the reviewer’s suggestion on relabelling our follow-up test as a “revaluation test” instead of an “arbitration test”, we have now explicitly removed all mentions of the term “arbitration” (which seems to raise concerns) throughout the manuscript. As the reviewer has suggested, we now use a more refined terminology by explicitly referring to the measured behavior as "procedural habits", as he/she suggested. We have also extensively revised the discussion section of our manuscript to incorporate the reviewer’s viewpoint. We hope that these adjustments enhance the clarity and accuracy of our manuscript, addressing the concerns raised during this review process.

      In essence, this is an ontological and semantic matter, that does not alter our findings in any way. Whether the sequences are consider habitual or goal directed, does not change our findings that 1) Both groups displayed equivalent procedural learning and automaticity attainment; 2) OCD patients exhibit greater subjective habitual tendencies via self-reported questionnaires; 3) Patients who had elevated compulsivity and habitual self-reported tendencies engaged significantly more with the motor habit-training app, practiced more and reported symptom relief at the end of the study; 4) these particular patients also show an augmented inclination to attribute higher intrinsic value to familiar actions, a possible mechanism underlying compulsions.

      Reviewer #2 (Recommendations For The Authors):

      A few more small comments (with reference to the point numbers indicated in the rebuttal):

      (14) I am not entirely sure why the suggested analysis is deemed impractical (i.e., why it cannot be performed by "pretending" participants received the points they should have received according to their performance). This can further support (or undermine) the idea of effect of reward on performance rather than just performance on performance.

      Response: We have now conducted this analysis, generating scores for each trial of practices after day 20, when participants no longer gained points for their performance. This analysis assesses whether participants trial-wise behavioral changes exhibit a similar pattern following simulated relative increases or decrease in scores, as if they had been receiving points at this stage. Note that this analysis has fewer trials available, around 50% less on average.

      Before presenting our results, we wish to emphasize the importance of distinguishing between the effects of performance on performance and the effects of reward on performance. In response to a reviewer's suggestion, we assessed the former in the first revision of our manuscript. We normalized the movement time variable and evaluated how normalized behavioral changes responded to score increments and decrements. The results from the original analyses were consistent with those from the normalized data.

      Regarding the phase where participants no longer received scores, we believe this phase primarily helps us understand the impact of 'predicted' or 'learned' rewards on performance. Once participants have learned the simple association between faster performance and larger scores, they can be expected to continue exhibiting the reward sensitivity effects described in our main analysis. We consider it is not feasible to assess the effects of performance on performance during the reward removal phase, which occurs after 20 days. Therefore, the following results pertain to how the learned associations between faster movement times and scores persist in influencing behavior, even when explicit scores are no longer displayed on the screen.

      Results: The main results of the effect of reward on behavioral changes persist, supporting that relative increases or decreases in scores (real or imagined/inferred) modulate behavioral adaptations trial-by-trial in a consistent manner across both cohorts. The direction of the effects of reward is the same as in the main analyses presented in the manuscript: larger mean behavioral changes (smaller std) following ∆R- . First, concerning changes in “normalized” movement time (MT) trial-by-trial, we conducted a 2 x 2 factorial analysis of the centroid of the Gaussian distributions with the same factors Reward, Group and Bin. This analysis demonstrated a significant main effect of Reward (P = 2e-16), but not of Group (P = 0.974) or Bin (P = 0.281). There were no significant interactions between factors. The main Reward effect can be observed in the top panel of the figure below. The same analysis applied to the spread (std) of the Gaussian distributions revealed a significant main effect of Reward (P = 0.000213), with no additional main effects or interactions.

      Author response image 1.

      Next, conducting the same 2 x 2 factorial analyses on the centroid and spread of the Gaussian distributions fitted to the Consistency data, we also obtained a robust significant main effect of Reward. For the centroid variable, we obtained a significant main effect of Reward (P = 0.0109) and Group (P = 0.0294), while Bin and the factor interactions were non-significant. See the top panel of the figure below.

      On the other hand, Reward also modulated significantly the spread of the Gaussian distributions fitted to the Consistency data, P = 0.00498. There were no additional significant main effects or interactions. See the bottom panel in the figure below.

      Note that here the factorial analysis was performed on the logarithmic transformation of the std.

      Author response image 2.

      (16) I find this result interesting and I think it might be worthwhile to include it in the paper.

      Response: We have now included this result in our revised manuscript (page 28)

      (18) I referred to this sentence: "The app preferred sequence was their preferred putative habitual sequence while the 'any 6' or 'any 3'-move sequences were the goal-seeking sequences." In my understanding, this implies one choice is habitual and another indicates goal-directedness.

      One last small comment:
In the Discussion it is stated: "Moreover, when faced with a choice between the familiar and a new, less effort-demanding sequence, the OCD group leaned toward the former, likely due to its inherent value. These insights align with the theory of goal-direction/habit imbalance in OCD (Gillan et al., 2016), underscoring the dominance of habits in particular settings where they might hold intrinsic value."

      This could equally be interpreted as goal-directed behavior, so I do not think there is conclusive support for this claim.

      Response: The choice of the familiar/trained sequence, as opposed to the 'any 6' or 'any 3'-move sequences cannot be explicitly considered goal-directed: firstly, because the app familiar sequences were associated with less monetary reward (in the any-6 condition), and secondly, because participants would clearly need more effort and time to perform them. Even though these were automatic, it would still be much easier and faster to simply tap one finger sequentially 6 times (any6) or 3 times (any-3). Therefore, the choice for the app-sequence would not be optimal/goaldirected. In this sense, that choice aligns with the current theory of goal-direction/habit imbalance of OCD. We found that OCD patients prefer to perform the trained app sequences in the physical effort manipulation (any-3 condition). While this, on one hand cannot be explicitly considered a goal-directed choice, we agree that there is another possible goal involved here, which links to the intrinsic value associated to the familiar sequence. In this sense the action could potentially be considered goal-directed. This highlights the difficulty of this concept of value and agrees with: 1) Hommel and Wiers (2017): “Human behavior is commonly not driven by one but by many overlapping motives . . . and actions are commonly embedded into larger-scale activities with multiple goals defined at different levels. As a consequence, even successful satiation of one goal or motive is unlikely to also eliminate all the others(p. 942) and 2) Kruglanski & Szumowska (2020)’s account that “habits that may be unwanted from the perspective of an outsider and hence “irrational” or purposeless, may be highly wanted from the perspective of the individual for whom a habit is functional in achieving some goal” (p. 1262) and therefore habits are goal-driven.

      References:

      Balleine BW, Dezfouli A. 2019. Hierarchical Action Control: Adaptive Collaboration Between Actions and Habits. Front Psychol 10:2735. doi:10.3389/fpsyg.2019.02735

      Du Y, Haith A. 2023. Habits are not automatic. doi:10.31234/osf.io/gncsf Graybiel AM, Grafton ST. 2015. The Striatum: Where Skills and Habits Meet. Cold Spring Harb Perspect Biol 7:a021691. doi:10.1101/cshperspect.a021691

      Haith AM, Krakauer JW. 2018. The multiple effects of practice: skill, habit and reduced cognitive load. Current Opinion in Behavioral Sciences 20:196–201. doi:10.1016/j.cobeha.2018.01.015

      Hardwick RM, Forrence AD, Krakauer JW, Haith AM. 2019. Time-dependent competition between goal-directed and habitual response preparation. Nat Hum Behav 1–11. doi:10.1038/s41562019-0725-0

      Hommel B, Wiers RW. 2017. Towards a Unitary Approach to Human Action Control. Trends Cogn Sci 21:940–949. doi:10.1016/j.tics.2017.09.009

      Kruglanski AW, Szumowska E. 2020. Habitual Behavior Is Goal-Driven. Perspect Psychol Sci 15:1256– 1271. doi:10.1177/1745691620917676

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    1. Author response:

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #2 (Public Review):

      Summary:

      The manuscript by Kelbert et al. presents results on the involvement of the yeast transcription factor Sfp1 in the stabilisation of transcripts whose synthesis it stimulates. Sfp1 is known to affect the synthesis of a number of important cellular transcripts, such as many of those that code for ribosomal proteins. The hypothesis that a transcription factor can remain bound to the nascent transcript and affect its cytoplasmic half-life is attractive. However, the association of Sfp1 with cytoplasmic transcripts remains to be validated, as explained in the following comments:

      A two-hybrid based assay for protein-protein interactions identified Sfp1, a transcription factor known for its effects on ribosomal protein gene expression, as interacting with Rpb4, a subunit of RNA polymerase II. Classical two-hybrid experiments depend on the presence of the tested proteins in the nucleus of yeast cells, suggesting that the observed interaction occurs in the nucleus. Unfortunately, the two-hybrid method cannot determine whether the interaction is direct or mediated by nucleic acids. The revised version of the manuscript now states that the observed interaction could be indirect.

      To understand to which RNA Sfp1 might bind, the authors used an N-terminally tagged fusion protein in a cross-linking and purification experiment. This method identified 264 transcripts for which the CRAC signal was considered positive and which mostly correspond to abundant mRNAs, including 74 ribosomal protein mRNAs or metabolic enzyme-abundant mRNAs such as PGK1. The authors did not provide evidence for the specificity of the observed CRAC signal, in particular what would be the background of a similar experiment performed without UV cross-linking. This is crucial, as Figure S2G shows very localized and sharp peaks for the CRAC signal, often associated with over-amplification of weak signal during sequencing library preparation.

      (1) To rule out possible PCR artifacts, we used a UMI (Unique Molecular Identifier) scan. UMIs are short, random sequences added to each molecule by the 5’ adapter to uniquely tag them. After PCR amplification and alignment to the reference genome, groups of reads with identical UMIs represent only one unique original molecule. Thus, UMIs allow distinguishing between original molecules and PCR duplicates, effectively eliminating the duplicates.

      (2) Looking closely at the peaks using the IGV browser, we noticed that the reads are by no means identical. Each carrying a mutation [probably due to the cross-linking] in a different position and having different length. Note that the reads are highly reproducible in two replicate.

      (3) CRAC+ genes do not all fall into the category of highly transcribed genes.  On the contrary, as depicted in Figure 6A (green dots), it is evident that CRAC+ genes exhibit a diverse range of Rpb3 ChIP and GRO signals. Furthermore, as illustrated in Figure 7A, when comparing CRAC+ to Q1 (the most highly transcribed genes), it becomes evident that the Rpb4/Rpb3 profile of CRAC+ genes is not a result of high transcription levels.

      (4) Only a portion of the RiBi mRNAs binds Sfp1, despite similar expression of all RiBi.

      (5) The CRAC+ genes represent a distinct group with many unique features. Moreover, many CRAC+ genes do not fall into the category of highly transcribed genes.

      (6) The biological significance of the 262 CRAC+ mRNAs was demonstrated by various experiments; all are inconsistent with technical flaws. Some examples are:

      a) Fig. 2a and B show that most reads of CRAC+ mRNA were mapped to specific location – close the pA sites.

      b) Fig. 2C shows that most reads of CRAC+ mRNA were mapped to specific RNA motif.

      c) Most RiBi CRAC+ promoter contain Rap1 binding sites (p= 1.9x10-22), whereas the vast majority of RiBi CRAC- promoters do not contain Rap1 binding site. (Fig. 3C).

      d) Fig. 4A shows that RiBi CRAC+ mRNAs become destabilized due to Sfp1 deletion, whereas RiBi CRAC- mRNAs do not. Fig. 4B shows similar results due to

      e) Fig. 6B shows that the impact of Sfp1 on backtracking is substantially higher for CRAC+ than for CRAC- genes. This is most clearly visible in RiBi genes.

      f) Fig. 7A shows that the Sfp1-dependent changes along the transcription units is substantially more rigorous for CRAC+ than for CRAC-.

      g) Fig. S4B Shows that chromatin binding profile of Sfp1 is different for CRAC+ and CRAC- genes

      In a validation experiment, the presence of several mRNAs in a purified SFP1 fraction was measured at levels that reflect the relative levels of RNA in a total RNA extract. Negative controls showing that abundant mRNAs not found in the CRAC experiment were clearly depleted from the purified fraction with Sfp1 would be crucial to assess the specificity of the observed protein-RNA interactions (to complement Fig. 2D).

      GPP1, a highly expressed genes, is not to be pulled down by Sfp1 (Fig. 2D). GPP1 (alias RHR2) was included in our Table S2 as one of the 264 CRAC+ genes, having a low CRAC value. However, when we inspected GPP1 results using the IGV browser, we realized that the few reads mapped to GPP1 are actually anti-sense to GPP1 (perhaps they belong to the neighboring RPL34B genes, which is convergently transcribed to GPP1) (see Fig. 1 at the bottom of the document). Thus, GPP1 is not a CRAC+ gene and would now serve as a control. See  We changed the text accordingly (see page 11 blue sentences). In light of this observation, we checked other CRAC genes and found that, except for ALG2, they all contain sense reads (some contain both sense and anti-sense reads). ALG2 and GPP1 were removed leaving 262 CRAC+ genes.

      The CRAC-selected mRNAs were enriched for genes whose expression was previously shown to be upregulated upon Sfp1 overexpression (Albert et al., 2019). The presence of unspliced RPL30 pre-mRNA in the Sfp1 purification was interpreted as a sign of co-transcriptional assembly of Sfp1 into mRNA, but in the absence of valid negative controls, this hypothesis would require further experimental validation. Also, whether the fraction of mRNA bound by Sfp1 is nuclear or cytoplasmic is unclear.

      Further experimental validation was provided in some of our figures (e.g., Fig. 5C, Fig. 3B).

      We argue that Sfp1 binds RNA co-transcriptionally and accompanies the mRNA till its demise in the cytoplasm: Co-transcriptional binding is shown in: (I) a drop in the Sfp1 ChIP-exo signal that coincides with the position of Sfp1 binding site in the RNA (Fig. 5C), demonstrating a movement of Sfp1 from chromatin to the transcript, (II) the dependence of Sfp1 RNA-binding on the promoter (Fig. 3B) and binding of intron-containing RNA. Taken together these 3 different experiments demonstrate that Sfp1 binds Pol II transcript co-transcriptionally.  Association of Sfp1 with cytoplasmic mRNAs is shown in the following experiments: (I) Figure 2D shows that Sfp1 pulled down full length RNA, strongly suggesting that these RNA are mature cytoplasmic mRNAs. (II) mRNA encoding ribosomal proteins, which belong to the CRAC+ mRNAs group are degraded by Xrn1 in the cytoplasm (Bresson et al., Mol Cell 2020). The capacity of Sfp1 to regulates this process (Fig. 4A-D) is therefore consistent with cytoplasmic activity of Sfp1. (III) The effect of Sfp1 on deadenylation (Fig. 4D), a cytoplasmic process, is also consistent with cytoplasmic activity of Sfp1. 

      To address the important question of whether co-transcriptional assembly of Spf1 with transcripts could alter their stability, the authors first used a reporter system in which the RPL30 transcription unit is transferred to vectors under different transcriptional contexts, as previously described by the Choder laboratory (Bregman et al. 2011). While RPL30 expressed under an ACT1 promoter was barely detectable, the highest levels of RNA were observed in the context of the native upstream RPL30 sequence when Rap1 binding sites were also present. Sfp1 showed better association with reporter mRNAs containing Rap1 binding sites in the promoter region. Removal of the Rap1 binding sites from the reporter vector also led to a drastic decrease in reporter mRNA levels. Co-purification of reporter RNA with Sfp1 was only observed when Rap1 binding sites were included in the reporter. Negative controls for all the purification experiments might be useful.

      In the swapping experiment, the plasmid lacking RapBS serves as the control for the one with RapBS and vice versa (see Bregman et al., 2011). Remember, that all these contracts give rise to identical RNA. Indeed, RabBS affects both mRNA synthesis and decay, therefore the controls are not ideal. However, see next section.

      More importantly, in Fig. 3B “Input” panel, one can see that the RNA level of “construct F” was higher than the level of “construct E”. Despite this difference, only the RNA encoded by construct E was detected in the IP panel. This clearly shows that the detection of the RNA was not merely a result of its expression level.

      To complement the biochemical data presented in the first part of the manuscript, the authors turned to the deletion or rapid depletion of SFP1 and used labelling experiments to assess changes in the rate of synthesis, abundance and decay of mRNAs under these conditions. An important observation was that in the absence of Sfp1, mRNAs encoding ribosomal protein genes not only had a reduced synthesis rate, but also an increased degradation rate. This important observation needs careful validation,

      Indeed, we do provide validations in Fig. 4C Fig. 4D Fig. S3A and during the revision we included an  additional validation as Fig. S3B. Of note, we strongly suspect that GRO is among the most reliable approaches to determine half-lives (see our response in the first revision letter).

      As genomic run-on experiments were used to measure half-lives, and this particular method was found to give results that correlated poorly with other measures of half-life in yeast (e.g. Chappelboim et al., 2022 for a comparison). As an additional validation, a temperature shift to 42{degree sign}C was used to show that , for specific ribosomal protein mRNA, the degradation was faster, assuming that transcription stops at that temperature. It would be important to cite and discuss the work from the Tollervey laboratory showing that a temperature shift to 42{degree sign}C leads to a strong and specific decrease in ribosomal protein mRNA levels, probably through an accelerated RNA degradation (Bresson et al., Mol Cell 2020, e.g. Fig 5E).

      This was cited. Thank you. 

      Finally, the conclusion that mRNA deadenylation rate is altered in the absence of Sfp1, is difficult to assess from the presented results (Fig. 3D).

      This type of experiment was popular in the past. The results in the literature are similar to ours (in fact, ours are nicer). Please check the papers cited in our MS and a number of papers by Roy Parker.

      The effects of SFP1 on transcription were investigated by chromatin purification with Rpb3, a subunit of RNA polymerase, and the results were compared with synthesis rates determined by genomic run-on experiments. The decrease in polII presence on transcripts in the absence of SFP1 was not accompanied by a marked decrease in transcript output, suggesting an effect of Sfp1 in ensuring robust transcription and avoiding RNA polymerase backtracking. To further investigate the phenotypes associated with the depletion or absence of Sfp1, the authors examined the presence of Rpb4 along transcription units compared to Rpb3. An effect of spf1 deficiency was that this ratio, which decreased from the start of transcription towards the end of transcripts, increased slightly. To what extent this result is important for the main message of the manuscript is unclear.

      Suggestions: a) please clearly indicate in the figures when they correspond to reanalyses of published results.

      This was done.

      b) In table S2, it would be important to mention what the results represent and what statistics were used for the selection of "positive" hits. 

      This was discussed in the text.

      Strengths:

      - Diversity of experimental approaches used.

      - Validation of large-scale results with appropriate reporters.

      Weaknesses:

      - Lack of controls for the CRAC results and lack of negative controls for the co-purification experiments that were used to validate specific mRNA targets potentially bound by Sfp1.

      - Several conclusions are derived from complex correlative analyses that fully depend on the validity of the aforementioned Sfp1-mRNA interactions.

      We hope that our responses to Reviewer 2's thoughtful comments have rulled out concerns regarding the lack of controls.

      Recommendations for the authors:

      Reviewer #2 (Recommendations For The Authors):

      Please review the text for spelling errors. While not mandatory, wig or begraph files for the CRAC results would be very useful for the readers.

      Author response image 1.

      A snapshot of IGV GPP1 locus showing that all the reads are anti-sense (pointing at the opposite direction of the gene (the gene arrows [white arrows over blue, at the bottom] are pointing to the right whereas the reads’ orientations are pointing to the left).

    1. Author Response

      The following is the authors’ response to the previous reviews.

      We appreciate the reviewers for their insightful feedback, which has substantially improved our manuscript. Following the suggestions of the reviewers, we have undertaken the following major revisions:

      a. Concerning data transformation, we have adjusted the methodology in Figures 2 and 3. Instead of normalizing c-Fos density to the whole brain c-Fos density as initially described, we now normalize to the c-Fos density of the corresponding brain region in the control group. b. We have substituted the PCA approach with hierarchical clustering in Figures 2 and 3.

      c. In the discussion section, we added a subsection on study limitations, focusing on the variations in drug administration routes and anesthesia depth.

      Enclosed are our detailed responses to each of the reviewer's comments.

      Reviewer #1:

      1a. The addition of the EEG/EMG is useful, however, this information is not discussed. For instance, there are differences in EEG/EMG between the two groups (only Ket significantly increased delta/theta power, and only ISO decreased EMG power). These results should be discussed as well as the limitation of not having physiological measures of anesthesia to control for the anesthesia depth.

      1b. The possibility that the differences in fos observed may be due to the doses used should be discussed.

      1c. The possibility that the differences in fos observed may be due kinetic of anesthetic used should be discussed.

      Thank you for your suggestions. We have now discussed EEG/EMG result, limitation of not having physiological measures of anesthesia to control for the anesthesia depth, The possibility that the differences in fos observed may be due to the doses, The possibility that the differences in Fos observed may be due kinetic of anesthetic in the revised manuscript (Lines 308-331, also shown below).

      Lines 308-331: "...Our findings indicate that c-Fos expression in the KET group is significantly elevated compared to the ISO group, and the saline group exhibits notably higher c-Fos expression than the home cage group, as seen in Supplementary Figures 2 and 3. Intraperitoneal saline injections in the saline group, despite pre-experiment acclimation with handling and injections for four days, may still evoke pain and stress responses in mice. Subtle yet measurable variations in brain states between the home cage and saline groups were observed, characterized by changes in normalized EEG delta/theta power (home cage: 0.05±0.09; saline: -0.03±0.11) and EMG power (home cage: -0.37±0.34; saline: 0.04±0.13), as shown in Supplementary Figure 1. These changes suggest a relative increase in overall brain activity in the saline group compared to the home cage group, potentially contributing to the higher c-Fos expression. Although the difference in EEG power between the ISO group and the home cage control was not significant, the increase in EEG power observed in the ISO group was similar to that of KET (0.47 ± 0.07 vs 0.59 ± 0.10), suggesting that both agents may induce loss of consciousness in mice. Regarding EMG power, ISO showed a significant decrease in EMG power compared to its control group. In contrast, the KET group showed a lesser reduction in EMG power (ISO: -1.815± 0.10; KET: -0.96 ± 0.21), which may partly explain the higher overall c-Fos expression levels in the KET group. This is consistent with previous studies where ketamine doses up to 150 mg/kg increase delta power while eliciting a wakefulness-like pattern of c-Fos expression across the brain [1]. Furthermore, the observed differences in c-Fos expression may arise in part from the dosages, routes of administration, and their distinct pharmacokinetic profiles. This variation is compounded by the lack of detailed physiological monitoring, such as blood pressure, heart rate, and respiration, affecting our ability to precisely assess anesthesia depth. Future studies incorporating comprehensive physiological monitoring and controlled dosing regimens are essential to further elucidate these relationships and refine our understanding of the effects of anesthetics on brain activity"

      1. Lu J, Nelson LE, Franks N, Maze M, Chamberlin NL, Saper CB: Role of endogenous sleep-wake and analgesic systems in anesthesia. J Comp Neurol 2008, 508(4):648-662.

      2b. I am confused because Fig 2C seems to show significant decrease in %fos in the hypothalamus, midbrain and cerebellum after KET, while the author responded that " in our analysis, we did not detect regions with significant downregulation when comparing anesthetized mice with controls." Moreover the new figure in the rebuttal in response to reviewer 2 suggests that Ket increases Fos in almost every single region (green vs blue) which is not the conclusion of the paper.

      Your concern regarding the apparent discrepancy is well-founded. The inconsistency arose due to an inappropriate data transformation, which affected the interpretation. We have now rectified this by adjusting the data transformation in Figures 2 and 3. Specifically, we have recalculated the log relative c-Fos density values relative to the control group for each brain region. This revision has resolved the issue, confirming that our analysis did not detect any regions with significant downregulation in the anesthetized mice compared to controls. We have also updated the results, discussion, and methods sections of Figures 2 and 3 to accurately reflect these changes and ensure consistency with our findings.

      Author response image 1.

      Figure 2. Whole-brain distributions of c-Fos+ cells induced by ISO and KET. (A) Hierarchical clustering was performed on the log relative c-Fos density data for ISO and KET using the complete linkage method based on the Euclidean distance matrix, with clusters identified by a dendrogram cut-off ratio of 0.5. Numerical labels correspond to distinct clusters within the dendrogram. (B) Silhouette values plotted against the ratio of tree height for ISO and KET, indicating relatively higher Silhouette values at 0.5 (dashed line), which is associated with optimal clustering. (C) The number of clusters identified in each treatment condition at different ratios of the dendrogram tree height, with a cut-off level of 0.5 corresponding to 4 clusters for both ISO and KET (indicated by the dashed line). (D) The bar graph depicts Z scores for clusters in ISO and KET conditions, represented with mean values and standard errors. One-way ANOVA with Tukey's post hoc multiple comparisons. ns: no significance; ***P < 0.001. (E) Z-scored log relative density of c-Fos expression in the clustered brain regions. The order and abbreviations of the brain regions and the numerical labels correspond to those in Figure 2A. The red box denotes the cluster with the highest mean Z score in comparison to other clusters. CTX: cortex; TH: thalamus; HY: hypothalamus; MB: midbrain; HB: hindbrain.

      Author response image 2.

      Figure 3. Similarities and differences in ISO and KET activated c-Fos brain areas. (A) Hierarchical clustering was performed on the log-transformed relative c-Fos density data for ISO and KET using the complete linkage method based on the Euclidean distance matrix, with clusters identified by a dendrogram cut-off ratio of 0.5. (B) Silhouette values are plotted against the ratio of tree height from the hierarchical clustered dendrogram in Figure 3A. (C) The relationship between the number of clusters and the tree height ratio of the dendrogram for ISO and KET, with a cut-off ratio of 0.5 resulting in 3 clusters for ISO and 5 for KET (indicated by the dashed line). (D) The bar graph depicts Z scores for clusters in ISO and KET conditions, represented with mean values and standard errors. One-way ANOVA with Tukey's post hoc multiple comparisons. ns: no significance; ***P < 0.001. (E) Z-scored log relative density of c-Fos expression within the identified brain region clusters. The arrangement, abbreviations of the brain regions, and the numerical labels are in accordance with Figure 3A. The red boxes highlight brain regions that rank within the top 10 percent of Z score values. The white boxes denote brain regions with an Z score less than -2.

      1. There are still critical misinterpretations of the PCA analysis. For instance, it is mentioned that " KET is associated with the activation of cortical regions (as evidenced by positive PC1 coefficients in MOB, AON, MO, ACA, and ORB) and the inhibition of subcortical areas (indicated by negative coefficients) " as well as " KET displays cortical activation and subcortical inhibition, whereas ISO shows a contrasting preference, activating the cerebral nucleus (CNU) and the hypothalamus while inhibiting cortical areas. To reduce inter-individual variability." These interpretations are in complete contradiction with the answer 2b above that there was no region that had decreased Fos by either anesthetic.

      Thank you for bringing this to our attention. In response to your concerns, we have made significant revisions to our data analysis. We have updated our input data to incorporate log-transformed relative c-Fos density values, normalized against the control group for each brain region, as illustrated in Figures 2 and 3. Instead of PCA, we have applied this updated data to hierarchical clustering analysis. The results of these analyses are consistent with our original observation that neither anesthetic led to a decrease in Fos expression in any region.

      1. I still do not understand the rationale for the use of that metric. The use of a % of total Fos makes the data for each region dependent on the data of the other regions which wrongly leads to the conclusion that some regions are inhibited while they are not when looking at the raw data. Moreover, the interdependence of the variable (relative density) may affect the covariance structure which the PCA relies upon. Why not using the PCA on the logarithm of the raw data or on a relative density compared to the control group on a region-per-region basis instead of the whole brain?

      Thank you for your insightful suggestion. Following your advice, we have revised our approach and now utilize the logarithm of the relative density compared to the control group on a region-by-region basis. We attempted PCA analyses using the logarithm of the raw data, the logarithm of the Z-score, and the logarithm of the relative density compared to control, but none yielded distinct clusters.

      Author response image 3.

      As a result, we employed hierarchical cluster analysis. We then examined the Z-scores of the log-transformed relative c-Fos densities (Figures 2E and 3E) to assess expression levels across clusters. Our analysis revealed that neither ISO nor KET treatments led to a significant suppression of c-Fos expression in the 53 brain regions examined. In the ISO group alone, there were 10 regions that demonstrated relative suppression (Z-score < -2, indicated by white boxes) as shown in Figure 3.

      Fig. 2B: it's unclear to me why the regions are connected by a line. Such representation is normally used for time series/within-subject series. What is the rationale for the order of the regions and the use of the line? The line connecting randomly organized regions is meaningless and confusing.

      Thank you for your suggestion. We have discontinued the use of PCA calculations and have removed this figure.

      Fig 6A. The correlation matrices are difficult to interpret because of the low resolution and arbitrary order of brain regions. I recommend using hierarchical clustering and/or a combination of hierarchical clustering and anatomical organization (e.g. PMID: 31937658). While it is difficult to add the name of the regions on the graph I recommend providing supplementary figures with large high-resolution figures with the name of each brain region so the reader can actually identify the correlation between specific brain regions and the whole brain, Rationale for Metric Choice: Note that I do not dispute the choice of the log which is appropriate, it is the choice of using the relative density that I am questioning.

      Thank you for your constructive feedback. In line with your suggestion, we have implemented hierarchical clustering combined with anatomical organization as per the referenced literature. Additionally, we have updated the vector diagrams in Figure 6A to present them with greater clarity.

      Furthermore, we have revised our network modular division method based on cited literature recommendations. We used hierarchical clustering with correlation coefficients to segment the network into modules, illustrated in Figure 6—figure supplement 1. Due to the singular module structure of the KET network and the sparsity of intermodular connections in the home cage and saline networks, the assessment of network hub nodes did not employ within-module degree Z-score and participation coefficients, as these measures predominantly underscore the importance of connections within and between modules. Instead, we used degree, betweenness centrality, and eigenvector centrality to detect the hub nodes, as detailed in Figure 6—figure supplement 2. With this new approach, the hub node for the KET condition changed from SS to TeA. Corresponding updates have been made to the results section for Figure 6, as well as to the related discussions and the abstract of our paper.

      Author response image 4.

      Figure 6. Generation of anesthetics-induced networks and identification of hub regions. (A) Heatmaps display the correlations of log c-Fos densities within brain regions (CTX, CNU, TH, HY, MB, and HB) for various states (home cage, ISO, saline, KET). Correlations are color-coded according to Pearson's coefficients. The brain regions within each anatomical category are organized by hierarchical clustering of their correlation coefficients. (B) Network diagrams illustrate significant positive correlations (P < 0.05) between regions, with Pearson’s r exceeding 0.82. Edge thickness indicates correlation magnitude, and node size reflects the number of connections (degree). Node color denotes betweenness centrality, with a spectrum ranging from dark blue (lowest) to dark red (highest). The networks are organized into modules consistent with the clustering depicted in Supplementary Figure 8. Figure 6—figure supplement 1

      Author response image 5.

      Figure 6—figure supplement 1. Hierarchical clustering of brain regions under various conditions: home cage, ISO, saline, and KET. (A) Heatmaps show the relative distances among brain regions assessed in naive mice. Modules were identified by sectioning each dendrogram at a 0.7 threshold. (B) Silhouette scores plotted against the dendrogram tree height ratio for each condition, with optimal cluster definition indicated by a dashed line at a 0.7 ratio. (C) The number of clusters formed at different cutoff levels. At a ratio of 0.7, ISO and saline treatments result in three clusters, whereas home cage and KET conditions yield two clusters. (D) The mean Pearson's correlation coefficient (r) was computed from interregional correlations displayed in Figure 6A. Data were analyzed using one-way ANOVA with Tukey’s post hoc test, ***P < 0.001.

      Author response image 6.

      Figure 6—figure supplement 2. Hub region characterization across different conditions: home cage (A), ISO (B), saline (C), and KET (D) treatments. Brain regions are sorted by degree, betweenness centrality, and eigenvector centrality, with each metric presented in separate bar graphs. Bars to the left of the dashed line indicate the top 20% of regions by rank, highlighting the most central nodes within the network. Red bars signify regions that consistently appear within the top rankings for both degree and betweenness centrality across the metrics.

      1. I am still having difficulties understanding Fig. 3.

      Panel A: The lack of identification for the dots in panel A makes it impossible to understand which regions are relevant.

      Panel B: what is the metric that the up/down arrow summarizes? Fos density? Relative density? PC1/2?

      Panel C: it's unclear to me why the regions are connected by a line. Such representation is normally used for time series/within-subject series. What is the rationale for the order of the regions?

      Thank you for your patience and for reiterating your concerns regarding Figure 3.

      a. In Panel A, we have substituted the original content with a display of hierarchical clustering results, which now clearly marks each brain region. This change aids readers in identifying regions with similar expression patterns and facilitates a more intuitive understanding of the data.

      a. Acknowledging that our analysis did not reveal any significantly inhibited brain regions, we have decided to remove the previous version of Panel B from the figure.

      b. We have discontinued the use of PCA calculations and have removed this figure to avoid any confusion it may have caused. Our revised analysis focuses on hierarchical clustering, which are presented in the updated figures.

      Reviewer #2:

      1. Aside from issues with their data transformation (see below), (a) I think they have some interesting Fos counts data in Figures 4B and 5B that indicate shared and distinct activation patterns after KET vs. ISO based anesthesia. These data are far closer to the raw data than PC analyses and need to be described and analyzed in the first figures long before figures with the more abstracted PC analyses. In other words, you need to show the concrete raw data before describing the highly transformed and abstracted PC analyses. (b) This gets to the main point that when selecting brain areas for follow up analyses, these should be chosen based on the concrete Fos counts data, not the highly transformed and abstracted PC analyses.

      Thank you for your suggestions.

      a. We have added the original c-Fos cell density distribution maps for Figures 2, 3, 4, and 5 in Supplementary Figures 2 and 3 (also shown below). To maintain consistency across the document, we have updated both the y-axis label and the corresponding data in Figures 4B and 5B from 'c-Fos cell count' to 'c-Fos density'.

      b. The analyses in Figures 2 and 3 include all brain regions. Figures 4 and 5 present the brain regions with significant differences as shown in Figure 3—figure supplement 1.

      Author response image 7.

      Figure 2—figure supplement 1. The c-Fos density in 53 brain areas for different conditions. (home cage, n = 6; ISO, n = 6 mice; saline, n = 8; KET, n = 6). Each point represents the c-Fos density in a specific brain region, denoted on the y-axis with both abbreviations and full names. Data are shown as mean ± SEM. Brain regions are categorized into 12 brain structures, as indicated on the right side of the graph.

      Author response image 8.

      Figure 3—figure supplement 1. c-Fos density visualization across 201 distinct brain regions under various conditions. The graph depicts the c-Fos density levels for each condition, with data presented as mean and standard error. Brain regions with statistically significant differences are featured in Figures 4 and 5. Brain regions are organized into major anatomical subdivisions, as indicated on the left side of the graph.

      1. Now, the choice of data transformation for Fos counts is the most significant problem. First, the authors show in the response letter that not using this transformation (region density/brain density) leads to no clustering. However, they also showed the region-densities without transformation (which we appreciate) and it looks like overall Fos levels in the control group Home (ISO) are a magnitude (~10-fold) higher than those in the control group Saline (KET) across all regions shown. This large difference seems unlikely to be due to a biologically driven effect and seems more likely to be due to a technical issue, such as differences in staining or imaging between experiments. Was the Homecage-ISO experiment or at least the Fos labeling and imaging performed at the same time as for the Saline-Ketamine experiment? Please state the answer to this question in the Results section one way or the other.

      a. “Home (ISO) are a magnitude (~10-fold) higher than those in the control group saline (KET) across all regions shown.” We believe you might be indicating that compared to the home cage group (gray), the saline group (blue) shows a 10-fold higher expression (Supplementary Figure 2/3). Indeed, we observed that the total number of c-Fos cells in the home cage group is significantly lower than in the saline group. This difference may be due to reduced sleep during the light-on period (ZT 6- ZT 7.5) in the saline mice or the pain and stress response caused by intraperitoneal injection of saline. We have explained this discrepancy in the discussion section.Line 308-317(also see below)

      “…Our findings indicate that c-Fos expression in the KET group is significantly elevated compared to the ISO group, and the saline group exhibits notably higher c-Fos expression than the home cage group, as seen in Supplementary Figures 2 and 3. Intraperitoneal saline injections in the saline group, despite pre-experiment acclimation with handling and injections for four days, may still evoke pain and stress responses in mice. Subtle yet measurable variations in brain states between the home cage and saline groups were observed, characterized by changes in normalized EEG delta/theta power (home cage: 0.05±0.09; saline: -0.03±0.11) and EMG power (home cage: -0.37±0.34; saline: 0.04±0.13), as shown in Figure 1—figure supplement 1. These changes suggest a relative increase in overall brain activity in the saline group compared to the home cage group, potentially contributing to the higher c-Fos expression…”

      b. Drug administration and tissue collection for both Homecage-ISO and Saline-Ketamine groups were consistently scheduled at 13:00 and 14:30, respectively. Four mice were administered drugs and had tissues collected each day, with two from the experimental group and two from the control group, to ensure consistent sampling. The 4% PFA fixation time, sucrose dehydration time, primary and secondary antibody concentrations and incubation times, staining, and imaging parameters and equipment (exposure time for VS120 imaging was fixed at 100ms) were all conducted according to a unified protocol.

      We have included the following statement in the results section: Line 81-83, “Sample collection for all mice was uniformly conducted at 14:30 (ZT7.5), and the c-Fos labeling and imaging were performed using consistent parameters throughout all experiments. ”

      1. Second, they need to deal with this large difference in overall staining or imaging for these two (Home/ISO and Saline/KET) experiments more directly; their current normalization choice does not really account for the large overall differences in mean values and variability in Fos counts (e.g. due to labeling and imaging differences).

      3a. I think one option (not perfect but I think better than the current normalization choice) could be z-scoring each treatment to its respective control. They can analyze these z-scored data first, and then in later figures show PC analyses of these data and assess whether the two treatments separate on PC1/2. And if they don't separate, then they don't separate, and you have to go with these results.

      3b. Alternatively, they need to figure out the overall intensity distributions from the different runs (if that the main reason of markedly different counts) and adjust their thresholds for Fos-positive cell detection based on this. I would expect that the saline and HC groups should have similar levels of activation, so they could use these as the 'control' group to determine a Fos-positive intensity threshold that gets applied to the corresponding 'treatment' group.

      3c. If neither 3a nor 3b is an option then they need to show the outcomes of their analysis when using the untransformed data in the main figures (the untransformed data plots in their responses to reviewer are currently not in the main or supplementary figs) and discuss these as well.

      a. Thank you very much for your valuable suggestion. We conducted PCA analysis on the ISO and KET data after Z-scoring them with their respective control groups and did not find any significant separation.

      Author response image 9.

      As mentioned in our response to reviewer #1, we have reprocessed the raw data. Firstly, we divided the ISO and KET data by their respective control brain regions and then performed a logarithmic transformation to obtain the log relative c-Fos density. The purpose of this is to eliminate the impact of baseline differences and reduce variability. We then performed hierarchical clustering, and finally, we Z-scored the log relative c-Fos density data. The aim is to facilitate comparison of ISO and KET on the same data dimension (Figure 2 and 3).

      b. We appreciate your concerns regarding the detection thresholds for Fos-positive cells. The enclosed images, extracted from supplementary figures for Figures 4 and 5, demonstrate notable differences in c-Fos expression between saline and home cage groups in specific brain regions. These regions exhibit a discernible difference in staining intensity, with the saline group showing enhanced c-Fos expression in the PVH and PVT regions compared to the home cage group. An examination of supplementary figures for Figures 4 and 5 shows that c-Fos expression in the home cage group is consistently lower than in the saline group. This comparative analysis confirms that the discrepancies in c-Fos levels are not due to varying detection thresholds.

      Author response image 10.

      b. We have added the corresponding original data graphs to Supplementary Figures 2 and 3, and discussed the potential reasons for the significant differences between these groups in the discussion section (also shown below).

      Lines 308-317: "...Our findings indicate that c-Fos expression in the KET group is significantly elevated compared to the ISO group, and the saline group exhibits notably higher c-Fos expression than the home cage group, as seen in Supplementary Figures 2 and 3. Intraperitoneal saline injections in the saline group, despite pre-experiment acclimation with handling and injections for four days, may still evoke pain and stress responses in mice. Subtle yet measurable variations in brain states between the home cage and saline groups were observed, characterized by changes in normalized EEG delta/theta power (home cage: 0.05±0.09; saline: -0.03±0.11) and EMG power (home cage: -0.37±0.34; saline: 0.04±0.13), as shown in Figure 3—figure supplement 1. These changes suggest a relative increase in overall brain activity in the saline group compared to the home cage group, potentially contributing to the higher c-Fos expression.…”

    2. Author Response

      The following is the authors’ response to the original reviews.

      We sincerely thank the editor and reviewers for their constructive feedback on our manuscript. Based on their recommendations, we've conducted additional experiments, made revisions to the text and figures, and provide a point-by-point response below.

      Reviewer #1 (Recommendations for the authors):

      1) The lack of behavioral/physiological measures of the depth of anesthesia (ventilation, heart rate, blood pressure, temperature, O2, pain reflexes, etc...) combined with the lack of dose-response and the use of different routes of administration makes the data difficult to interpret. Sure, there is a clear difference in network activation between KET and ISO, but are those effects due to the depth of the anesthesia, the route of administration, and the dose used? The lack of behavioral/physiological measures prevents the identification of brain regions responsible for some of the physiological effects and different effects of anesthetics.

      We greatly appreciate the insightful feedback you have provided.

      In response to the concerns about anesthesia depth:

      a. We recorded EEG and EMG data both before and after drug administration. Supplementary Figure 1 showcases the changes in EEG and EMG power observed 30 minutes post-drug administration, normalized to a 5-minute baseline taken prior to the drug's administration. Notably, no significant differences were detected in the normalized EEG and EMG power between the ISO and KET groups. Given the marked statistical differences observed between the EEG power in the KET and saline groups, and the EMG power in the home cage and ISO groups, we infer that both anesthetics effectively induced a loss of consciousness.

      b. We used standard methods and doses for inducing c-Fos expression with anesthetics, as documented in prior studies (Hua, T, et al., Nat Neurosci, 2020; 23(7): 854-868; Jiang-Xie, L F, et al., Neuron, 2019; 102(5): 1053-1065.e4; Lu, J, et al., J Comp Neurol, 2008; 508(4): 648-62). In future research, it might be more optimal to adopt continuous intraperitoneal or intravenous administration of ketamine.

      c. Within the scope of our study, while disparities in anesthesia duration might potentially influence the direct statistical comparison of ISO and KET, such disparities wouldn't compromise the identification of brain regions activated by KET or ISO when assessed as distinct stimuli (ISO vs. home cage; KET vs. saline) or in relation to their individual functional network hub node results.

      We hope these additions and clarifications adequately address your concerns and enhance the comprehensibility of our data.

      2) Under anesthesia there should be an overall reduction of activity, is that the case? There is no mention of significantly downregulated regions. The authors use multiple transformations of the data to interpret the results (%, PC1 values, logarithm) without much explanation or showing the full raw data in Fig 1. It would be helpful to interpret the data to compare the average fos+ neurons in each region between treatment and control for each drug.

      Absence of Significantly Downregulated Regions Under Anesthesia: There are two primary reasons for this observation:

      a. Our study's sampling time for the home cage, ISO, saline, and KET groups was during Zeitgeber Time (ZT) 6-7.5. During this period, mice in both the home cage and saline groups typically showed reduced spontaneous activity or were in a sleep state. Our Supplementary Figure 1 EEG and EMG data corroborate this, revealing no significant statistical variations in EEG power between the home cage and ISO groups, nor in EMG power between the saline and KET groups.

      b. Our immunohistochemical data showed that the total number of c-Fos positive cells in the two control groups was notably lower than in the experimental groups (Saline group vs KET group: 11808±2386 versus 308705±106131, P = 0.006; Home cage vs ISO group: 3371±840 vs 12326±1879, P = 0.001). This is in line with previous studies, like the one by Cirelli C and team, which found minimal c-Fos expression throughout the mouse brain during physiological sleep (Cirelli, C, and G Tononi, Sleep, 2000; 23(4): 453-69). Thus, in our analysis, we did not detect regions with significant downregulation when comparing anesthetized mice with controls.

      Interpreting Raw Data from Figure 1: Regarding the average Fos+ neurons:

      In Figures 4 and 5, we utilized raw data (c-Fos cell count) to assess cell expression differences across 201 brain regions within each group. Only brain regions that had significant statistical differences after multiple comparison corrections are shown in the figures.

      3) I do not understand their interpretation of the PCA analyses. For instance, in Fig 2 they claim that KET is associated with PC1 while ISO is associated with PC2. Looking at the distribution of points it's clear that the KET animals are all grouped at around +2.5 on PC1 and -2.0 on PC2, this means that KET is associated with both PC1 and PC2 to a similar degree (2 to 2.5). Moreover, I'm confused about why they use PCA to represent the animals/group. PCA is a powerful technique to reduce dimensionality and identify groups of variables that may represent the same underlying construct; however, it is not the best way to identify clusters of individuals or groups.

      Clarification on PCA Analyses in Figure 2: Thank you for pointing out the ambiguities in our initial presentation of the PCA analyses. We are grateful for the opportunity to address these concerns.

      KET and ISO Associations with PC1 and PC2: You rightly observed that KET samples manifest both a positive value on PC1 (around +2.5) and a negative one on PC2 (around -2.0), suggesting that KET has a substantial influence on both principal components. In PCA, a positive score implies a positive association with that component, whereas a negative score suggests a negative association. Contrarily, ISO samples predominantly exhibit values around +2.5 on PC2, with nearly neutral values for PC1, underlining its stronger association with PC2 and lack of significant correlation with PC1. To ensure transparency and clarity, we've adjusted the corresponding descriptions in our manuscript, which can be found on Line 100.

      Rationale Behind Using PCA to Represent Animals/Groups: Our initial step was to conduct PCA clustering analysis on the 201 brain regions within both the ISO and KET groups. In the accompanying chart, varying colors denote different brain regions, while distinct shapes represent separate clusters. There wasn't a pronounced distribution pattern within the ISO and KET groups, which led us to adopt the current computational method presented in the paper. This approach was chosen to directly contrast the relative differential expressions between ISO and KET.

      We deeply value your feedback, which has steered us toward a clearer and more accurate presentation of our data. We genuinely appreciate your meticulous review.

      Author response image 1.

      4) The actual metric used for the first PCA is unclear, is it the FOS density in each of the regions (some of those regions are large and consist of many subregions, how does that affect the analysis) is it the %-fos, or normalized cells? The wording describing this is variable causing some confusion. How would looking at these different metrics influence the analysis?

      Thank you for raising concerns about the metrics used in our PCA analysis. We recognize the need for clearer exposition and appreciate the opportunity to clarify.

      PCA Metrics: The metric for our PCA is calculated by obtaining the ratio of the Fos density within a specific brain region to the global Fos density across the brain. Briefly, this entails dividing the number of Fos-positive cells in a given region by its volume, and then comparing this to the Fos density of the whole brain. The logarithm of this ratio provides our PCA metric. We've elaborated on this in the Materials and Methods section (Lines 401) and enhanced clarity in our revised manuscript, particularly at Line 96.

      In Figure 2A, we employed 53 larger, mutually exclusive brain regions based on the reference from the study by Do et al. (eLife, 2016;5:e13214). However, in Figure 3A, we used a more detailed segmentation, incorporating 201 distinct brain areas that are more granular than those in Figure 2A. Notably, the PCA results from both representations were consistent. The rationale behind selecting either the 53 or 201 brain regions can be found in our response to Question 10.

      Rationale for Metric Choice: The log ratio of regional c-Fos densities relative to the global brain density was chosen due to:

      a. Notable disparities in c-Fos cell expression across the groups.

      b. A significant non-normal distribution of density values across animals within the group. Employing the log ratio effectively mitigates the impact of extreme values and outliers, achieving a more standardized data distribution.

      We've added PCA plots based on c-Fos densities, depicted in Author response image 2. However, the data dispersion has resulted in a significantly spread-out horizontal scale for these visuals.

      Author response image 2.

      5) Based on Fig 3 the authors concludes that ISO activates the hypothalamic regions and inhibits the cortex, however, Fig 1 shows neither an activation of the hypothalamus in the ISO nor an inhibition of the cortex when compared to home cage control. If anything it suggests the opposite.

      Thank you for your insightful observations regarding the discrepancies between Figures 2 and 3. We believe that when you refer to Figure 1, you are actually referencing Figure 2C.

      ISO activation in Hypothalamus: In Figure 2C, we regret the oversight where we inadvertently interchanged the positions of ISO and Saline. When accurately represented, Figure 2C indeed shows that ISO notably activates the periventricular zone (PVZ) and the lateral zone (LZ) of the hypothalamus compared to the home cage group. Moreover, there's a discernible difference in the hypothalamic response between ISO and KET.

      ISO's Effect on the Cortex: The main aim of Figure 3 was to highlight the differing responses between ISO and KET in the cortex. Notably, KET demonstrates a positive correlation with PC1 (+7 on PC1), whereas ISO shows a negative association (-3 on PC1). Given that the coefficient of PC1 for the cortical region is positive, it suggests that the cortical areas activated by KET are inhibited by ISO (with KET's distribution around 0 on PC2). However, the divergence between ISO and the home cage is most apparent in PC2, with ISO clusters at +4 and the home cage approximately at -2, suggesting that ISO activates a different set of cortical nuclei. In alignment with this, Figure 2C also illustrates that ISO activates specific cortical areas, such as ILA and PIR, in contrast to the home cage.

      Thus, Figure 3 primarily employs PCA to delineate the contrasts between ISO and KET, whereas Figure 2C emphasizes the comparison of each against their respective controls.

      6) Control for isoflurane should be air in the induction chamber rather than home cage. It is possible that Fos activation reflects handling/stress pre-anesthesia in the animals, which would increase Fos expression in the stress-related regions such as the BST, striatum (CeA), hypothalamus (PVH) and potentially the LC.

      Thank you for emphasizing the importance of an appropriate control for Isoflurane.

      In our efforts to minimize the potential impact of stress-induced c-Fos expression, we implemented several precautionary measures. Prior to the experiment, both groups of mice were subjected to handling and acclimatization within the induction chamber over four days. By the day of the experiment, for the mice in the experimental group, we ensured they were comfortable and exhibited no signs of distress or fear—such as cowering or evading. With care, we slowly relocated them to the nearby anesthesia induction chamber. Using 5% ISO, anesthesia was induced promptly, following a meticulously devised protocol to reduce stress impacts on c-Fos expression.

      Moreover, existing studies have shown Isoflurane's activation of BST/CeA (Hua, T, et al., Nat Neurosci, 2020, 23: 854-868), PVH (Xu, Z, et al., British Journal of Anaesthesia, 2023, 130: 446-458), and LC (Lu, J, et al., J Comp Neurol, 2008, 508: 648-62), even when using oxygen controls. Such literature supports our findings, indicating that the activation we observed was indeed due to Isoflurane and not purely stress-related.

      7) In the Ket network there are a few anticorrelated regions, most of which are amongst the list of the most activated regions, does this mean that the strong correlation results from an overall decreased activation? And if so, is it possible that the ketamine anesthesia was stronger than the isoflurane, causing a more general reduction in activity?

      The pronounced correlations observed within the ketamine (KET) network do not signify a generalized decrease in activation. Instead, these correlations reflect significantly enhanced activity in specific regions under KET anesthesia. This amplified correlation is an indication of a more widespread increase in activity, rather than a decrease. These findings are consistent with previous research, which showed that anesthetic doses of ketamine produce patterns of Fos expression in the CNS similar to wakefulness (Lu, J, et al., J Comp Neurol, 2008; 508(4): 648-62).

      Regarding the comparative strength of KET versus ISO anesthesia, our electroencephalographic evidence confirms that both agents induce a loss of consciousness. No significant differences were observed in EEG and EMG readings within the first 30 minutes post-administration. In future research, a continuous intravenous or intraperitoneal administration of KET might be a preferable method.

      8) Since they have established networks it would be easy and useful to look at how the different regions identified (sleep, pain, neuroendocrine, motor-related, ...) work together to maintain analgesia, are they within the same module? Do they become functionally connected and is this core network of functional connections similar for KET and ISO?

      Thank you for your suggestion. In response to your inquiry, we undertook analysis of the core functional networks for KET and ISO, using a set threshold at r>0.82 and P<0.05. For evaluating the modularity of each network, we utilized Newman's spectral community detection algorithm.

      (A) The ISO’s core functional network (56 nodes, 372 edges) predominantly divides into two modules with a modularity quotient of 0.345. ISO-active regions include arousal-associated regions (PL, ILA, PVT), analgesia-related (CeA, LC, PB), neuroendocrine function nuclei (TU, PVi, ARH, PVH, SON) as detailed in Figure 5. Notably, ARH and SON weren't incorporated into the core network. Analgesia-associated regions, such as CeA, LC, and PB, reside within module 1, while neuroendocrine nuclei are spread between modules 1 and 2.

      (B) In contrast, KET's core functional network (61 nodes, 1820 edges) splits into three distinct modules, but its low modularity quotient (0.06) indicates a lack of clear functional modularization, suggesting denser interconnections among brain regions. Furthermore, functionally-related regions such as arousal (PL, ILA, PVT, DR), analgesia-related (ACA, APN, PAG, LC), and neuroendocrine regulation (PVH, SON),etc., as seen in Figure 4, are distributed across different modules. This distribution may implies that functions like analgesia and neuroendocrine regulation are not governed by simple, linear processes, but arise from complex, overlapping pathways spanning various modules and functional zones.

      In summary, the core functional networks of ISO and KET differ, with functionally-related regions spanning multiple modules, reflecting their diverse roles in varied physiological regulations.

      Author response image 3.

      9) The naming of the function of some of the regions is very much debatable. For instance, PL/ILA are named "sleep-wakefulness regulation" regions in the paper. I can think of many more important functions of the PL/IL including executive functions, behavioral flexibility, and emotional control. It is unclear how the functions of all the regions were attributed. I am not sure that this biased labeling of structure-function is useful to the reports, it may instead suggest wrong conclusions.

      Thank you for your thoughtful feedback regarding our classification of the functions of the PL/ILA regions in our manuscript.

      We recognize the challenge in accurately defining the functions of brain regions. While there is evidence highlighting the role of PL/ILA in arousal pathways, we also acknowledge their documented roles in executive functions, behavioral flexibility, and emotional control. In response to your comments, we have refined our description, changing "sleep-wakefulness regulation" to "wake-promoting pathways" (see Line: 159, 164).

      It's worth noting that many brain regions, including the PL/ILA, have multiple functions. We agree that a single label might not capture the entirety of their roles. To provide a broader perspective, we will add a section in our manuscript that sheds light on the varied functions of these regions (Line: 181).

      10) A point of concern and confusion is the number of brain regions analyzed. In the introduction, it is mentioned that 987 brain regions are considered, but this is reduced to 53 selected brain regions in Figure 2, then 201 brain regions in Figure 3, and reduced again to 63 for the network analysis. The rationale for selecting different brain regions is not clear.

      For the 987 brain regions: Using the standard mouse atlas available at http://atlas.brain-map.org/, the mouse brain is organized into nine levels. The broadest category is the grey matter, which then progresses to more specific subdivisions, totaling 987 unique regions.

      For the 53 brain regions: To effectively understand the activation patterns of ISO and KET, we started with a broad approach, looking at larger brain areas like the thalamus and hypothalamus. This broad view, presented in Figure 2, focuses on the 5th-level brain regions, encompassing 53 primary areas. This methodology is also employed in the study by Do et al. (Elife, 2016; 5: e13214). We have added the rationale for selecting these brain regions in the main text (Line: 92).

      Regarding the 201 brain regions in Figures 3, 4, and 5: We delved deeper, examining the 6th-level brain regions, a common granularity in neuroscience research. This detailed view allowed us to highlight specific areas, like the CeA and PVH (Line:129).

      Finally, for Figures 6 and 7, we selected 63 regions that were activated by both ISO and KET, as well as regions previously reported to be related to the mechanism of general anesthesia(Leung, L, et al., Progress in neurobiology, 2014; 122: 24-44) (Line: 220). Using these regions, we analyzed the correlation of c-Fos expression, aiming to construct a functional brain network with strong positive connections.

      We hope this clarifies our approach and the rationale behind our region selection at each stage of the study. Thank you for your attention to this detail.

      11) The statistical analysis does not seem appropriate considering the high number of comparisons. They use simple t-tests without correction for multiple comparisons.

      Thank you for pointing out the concern regarding our statistical analysis. In the revised manuscript, we addressed the issue of multiple comparisons correction in our t-tests. We adopted the statistical methods detailed in the papers by Renier, N, et al., Cell, 2016; and Benjamini, Y, and Y Hochberg, 1995. P-values were adjusted for multiple comparisons using the two-stage linear step-up procedure of Benjamini, Krieger, and Yekutieli, with a false discovery rate (FDR) threshold (Q) of 0.05. This approach is now explained in the Materials and Methods section (Line: 434). After this adjustment, the brain regions we initially identified remained statistically significant. Furthermore, we revisited the original immunohistochemical images to confirm the differences in c-Fos cell expression between the experimental and control groups, reinforcing our conclusions.

      12) There is no statistical analysis in Fig 2C。

      Thank you for bringing to our attention the lack of statistical analysis in Fig 2C. We have now added the relevant statistical data in Supplementary Table 1 and provided annotations in Fig 2C to reflect this.

      Reviewer #2

      1) The authors report 987 brain regions in the introduction, but I cannot find any analysis that incorporates these or even which regions they are. Very little rationale is provided for the regions included in any of the analyses and numbers range from 53 in Figure 1, to 201 in Figure 3, to 63 in Figure 6. It would help if the authors could first survey Fos+ counts across all regions to identify a subset that is of interest (significantly changed by either condition compared to control) for follow up analysis.

      Thank you for your insightful comments on the number of brain regions analyzed in our study.

      987 Brain Regions: The reference to 987 brain regions from the standard mouse atlas (http://atlas.brain-map.org/) represents the entire categorization of the mouse brain across nine levels. We recognize that a comprehensive analysis of all these regions would be valuable, but to ensure clarity and depth, we took a focused approach.

      Region Selection Rationale:

      Figure 2: Concentrated on 5th-level brain regions (53 areas), inspired by methods from Do et al. (eLife, 2016;5:e13214). This provided a broad overview of c-Fos expression differences. Figures 4 and 5: Delved into 6th-level brain regions (201 areas), a common practice in neuroscience for more detailed study. Figure 6: We focused on 63 regions, which encompass not only the regions activated by both ISO and KET but also those previously reported to be associated with the mechanisms of general anesthesia. Methodological Approach: Our region selection was rooted in identifying areas with significant changes under anesthetic conditions compared to controls. This staged approach allowed a targeted analysis of the most affected regions, ensuring robust conclusions.

      Enhancements: We've incorporated comparative analyses of activated brain regions at different hierarchical levels in Figures 4 and 5. For clearer comprehension, we’ve added clarifications in the manuscript at Lines: 92, 130, and 220.

      2) Different data transformations are used for each analysis. One that is especially confusing is the 'normalization' of brain regions by % of total brain activation for each animal prior to PCA analysis in Figures 2 and 3. This would obscure any global differences in activation and make it unlikely to observe decreases in activation (which I think is likely here) that could be identified using the Fos+ counts after normalizing for region size (ie. Fos+ count / mm3) which is standard practice in such Fos-based activity mapping studies. While PCA can be powerful approach to identify global patterns, the purpose of the analysis in its current form is unclear. It would be more meaningful to show that regional activation patterns (measured as counts/mm3) are on separate PCs by group.

      Thank you for your thoughtful comments. We regret any confusion caused by our initial presentation. For the PCA analysis in Figures 2A and 3A, we calculated the ratio of cell density in each brain region to the overall brain density, and then applied a logarithmic transformation to this ratio. Our approach in Figure 2C was to use the proportion of c-Fos cell counts in individual brain regions to the total cell counts throughout the brain. This methodology considers variations in overall c-Fos cell counts across animals, effectively mitigating potential biases due to differential global activation levels across subjects.

      Furthermore, our direct comparison of differences in c-Fos cell counts between ISO, KET, and their respective control groups in Figures 4 and 5 addresses your concerns about potential decreases in activation. Notably, we did not identify any brain regions with significant suppression in these figures, which is consistent with the trends observed post-normalization in Figure 2C.

      Given your feedback, we conducted another PCA using cell densities for each region (counts/mm3). However, we found significant variability and non-normal distribution of c-Fos density across the groups, leading to extensive data dispersion. Consequently, normalizing the cell counts across regions and then applying a logarithmic transformation before PCA might be more appropriate.

      Author response image 4.

      Additionally, our exploration of regional activation patterns using PCA analysis for ISO and KET separately, based on the logarithm ratio of the c-Fos density, revealed that there was no distinct clustering feature among the different brain regions (as illustrated in Author response image 5: colors represented distinct brain regions, while the shapes were indicative of different clusters). This observation further suggests that our original statistical approach might be more suitable.

      Author response image 5.

      3) Critical problem: The authors include a control group for each anesthetic (ketamine vs. saline, isofluorane vs. homecage) but most analyses do not make use of the control groups or directly compare Fos+ counts across the groups. Strictly speaking, they should have compared relative levels of induction by ketamine versus induction by isoflurane using ANOVAs. Instead, each type of induction was separate from the other. This does not account for increased variability in the ketamine versus isoflurane groups. There is no mention in the Statistics section or in Results section that any multiple comparison corrections were used. It appears that the authors only used Students t-test for each region and did not perform any corrections.

      We appreciate the reviewer's insights and have addressed your concerns:

      Given the pronounced difference in c-Fos cell count expression between the KET and ISO groups, a direct comparison of Fos+ counts may not effectively capture their inherent disparities. To better highlight these distinctions, we used the logarithm ratio of c-Fos density in our PCA analysis (Figure 3), mitigating potential disparities in overall cell counts between samples and emphasizing relative variations. However, in response to your feedback, we've included additional analyses. Author response image 6 depicts the c-Fos density (cells/mm^3) across different brain regions for the home cage, ISO, saline, and KET groups, with regions like the cerebral cortex, cerebral nuclei, thalamus, and others differentiated by shaded backgrounds. Data are represented as mean ± SEM. We performed a one-way ANOVA followed by Tukey’s post hoc test, marking significant differences between ISO and KET with asterisks: P < 0.001, P < 0.01, P < 0.05.

      Regarding multiple comparison corrections, we've conducted thorough analyses on the data in Figure 2C and Figures 4, 5, and 6, implementing multiple comparison corrections. The detailed methodology is provided in the “Statistical analysis” section.

      Author response image 6.

      4) Figures 4 and 5 show brain regions 'significantly activated' following KET or ISO respectively, but again a subset of regions are shown and the stats seem to be t-tests with no multiple comparisons correction. It would help to show these two figures side by side, include the same regions, and keep the y axis ranges similar so the reader can easily compare the 'activation patterns' across the two treatments. Indeed, it looks like KET/Saline induced activation is an order or magnitude or two higher than ISO/Homecage. I would also recommend that this be the first data figure before any other analyses and maybe further analysis could be restricted to regions that are significantly changed in following KET or ISO here.

      Thank you for your constructive feedback regarding Figures 4 and 5.

      Comparison and Presentation of Figures 4 and 5: We acknowledge your suggestion to present these figures side by side for easier comparison. In the supplementary figure provided in the previous question, we've placed Figures 4 and 5 adjacent to each other, with consistent y-axis ranges, ensuring that readers can make direct comparisons between the activation patterns elicited by KET and ISO.

      Statistical Concerns and Region Selection: As mentioned in our previous response, we have conducted multiple comparison corrections on the data presented in Figures 4 and 5. Detailed procedures are elaborated in the “Statistical analysis” section. We believe this approach addresses your concerns regarding the use of t-tests without corrections for multiple comparisons.

      Difference in Activation Levels: We observed that the c-Fos activation due to KET is significantly higher than that from ISO. When presented side-by-side using the same scale, ISO activations appear less prominent, potentially mask subtle differences in the activation patterns of ISO, particularly if both KET and ISO showed changes in the same direction in certain brain regions but differed in magnitude. To address this, we used the proportion of c-Fos cell counts in Figure 2C, the logarithm ratio of c-Fos density in Figure 2A and Figure 3. This method emphasizes the relative changes, rather than absolute values, giving a more balanced view of the effects of each treatment.

      5) Analyses in Figure 6 and 7 are interesting but again the choice of regions to include is unclear and makes interpreting the results impossible. For example, in Figure 7 it is unclear why the list of regions in bar graphs showing Degree and Betweenness Centrality are not the same even within a single row?

      Thank you for your pertinent observation. The choice of brain regions in Figures 6 and 7 was carefully determined based on two main criteria: regions that were significantly activated by ISO or KET within the scope of our study, and those previously reported to be associated with anesthesia mechanisms and sleep-wake regulation.

      Regarding your second concern on Figure 7, the discrepancies observed in the x-axes of the bar graphs arise from our methodological approach. We prioritized presenting the top 20% of regions based on their Degree or Betweenness Centrality values. By separately ranking these regions from highest to lowest, the regions presented for each metric inherently differ. This approach was taken to elucidate nodes that consistently emerge as significant across both metrics, thereby highlighting core nodes in the functional network. Were we to use a consistent x-axis without this ranking, it would not only necessitate a more extensive presentation but might also dilute the emphasis on key information. To clarify this methodology and its rationale for our readers, we have expanded upon this in the manuscript at Line 243.

      We hope these clarifications address your concerns and facilitate a clearer understanding of our findings.

      Reviewer #1 (Recommendations For The Authors):

      Minor points

      1) In Table 1: the separation of which substructures belong to which brain structure is not clear

      2) Line 132 on page 3 seems to repeat the sentence earlier in the paragraph "KET predominantly affects brain regions within the cerebral cortex (CTX), while significantly inhibiting the hypothalamus, midbrain, and hindbrain."

      3) Typos

      a) Line 99/100 and 130 Central nucleus (CNU) should be cerebral nucleus

      b) Comma on line 166

      c) Fig. 4D: KET instead of Keta

      d) Line 263 "ep"

      e) Line 332: 35" "ml (add space)

      4) Will data and code be made available?

      Thank you for your detailed feedback.

      1. We have revised Table 1 to clarify which substructures belong to which brain structures.

      2. We acknowledge the redundancy and have now edited line 139 on page 3 to remove the repeated sentence regarding the effects of KET on brain regions.

      3. We have addressed the typos you pointed out:

      a. The terms "Central nucleus (CNU)" have been corrected to "cerebral nucleus."

      b. The comma issue on line 166 has been rectified.

      c. In Fig. 4D, we have corrected "Keta" to "KET."

      d. We have corrected the typo "ep" on line 263.

      e. A space has been added between "35" and "ml" on line 332 as you indicated.

      1. Regarding the availability of data and code, we are currently conducting additional analyses related to this study. Once these analyses are completed, we will be more than happy to make the data and code available.

      Thank you for assisting us in improving our manuscript.

      Reviewer #2 (Recommendations For The Authors):

      Minor comments:

      6) The term 'whole-brain mapping' in the title suggests that the mapping was performed on 'intact brains' where in fact serial sections were used here. Maybe the authors could change to 'brain-wide mapping' to align better with the study.

      Thank you for your insightful comments.

      We have revised the title as suggested, changing "whole-brain mapping" to "brain-wide mapping".

      7) It is unclear if the mice were kept under anesthesia for the 90-min duration and how the authors monitored the level of sedation. Additionally, if the KET mice were already sedated why were they further sedated with ISO before perfusions and tissue extraction? The methods should be clarified and any potential confounds discussed.

      To maintain consistency in the experimental protocol and to reduce stress reactions in the mice, ISO was used before perfusion in all cases. However, this does not affect c-Fos expression as the expression of c-Fos protein starts 20-30 minutes after stimulation (Lara Aparicio, S Y, et al., NeuroSci, 2022; 3(4): 687-702).

      We appreciate your guidance in enhancing the clarity of our manuscript.

      Reviewer #3 (Recommendations For The Authors):

      Recommendation: Minor corrections.

      1) The authors should delve deeper into the molecular mechanisms underlying the observed effects, particularly the changes associated with NMDA and GABA receptors. Exploring these mechanisms would provide a more comprehensive understanding of how Ketamine and Isoflurane modulate neural activity and induce anesthesia.

      2) The clinical relevance of these findings has not been sufficiently addressed. It would be valuable to elaborate on how the current research outcomes could potentially lead to changes in current anesthesia practices. For instance, identifying the distinct pathways of action for Ketamine and Isoflurane could aid anesthesiologists in selecting the most appropriate anesthetic based on the specific needs of individual patients or surgical procedures.

      3) Both Ketamine and Isoflurane have been associated with neurotoxicity. It is important to discuss how the c-Fos activation induced by these anesthetics could contribute, at least partially, to anesthesia-related neurotoxicity. Examining the potential neurotoxic effects would provide a more comprehensive understanding of the risks associated with these anesthetics and aid in the development of safer anesthesia protocols.

      Thank you for your valuable suggestions.

      Regarding the three points (1, 2, and 3) you've raised, we fully recognize their significance. In the current study, our primary focus was on the differential impacts of Isoflurane and Ketamine on widespread c-Fos expression in the brain. However, we indeed acknowledge the importance of delving deeper into these mechanisms and their clinical relevance. Therefore, we intend to explore these critical issues in greater detail in our future research endeavors.

      We appreciate your feedback, which provides constructive guidance for our subsequent research directions.

    1. Author Response

      The following is the authors’ response to the previous reviews.

      Thank you and the reviewers for further providing constructive comments and suggestions on our manuscript. On behalf of all the co-authors, I have enclosed a revised version of the above referenced paper. Below, I have merged similar public reviews and recommendations (if applicable) from each reviewer and provided point-by-point responses.

      Reviewer #1:

      People can perform a wide variety of different tasks, and a long-standing question in cognitive neuroscience is how the properties of different tasks are represented in the brain. The authors develop an interesting task that mixes two different sources of difficulty, and find that the brain appears to represent this mixture on a continuum, in the prefrontal areas involved in resolving task difficulty. While these results are interesting and in several ways compelling, they overlap with previous findings and rely on novel statistical analyses that may require further validation.

      Strengths

      1. The authors present an interesting and novel task for combining the contributions of stimulus-stimulus and stimulus-response conflict. While this mixture has been measured in the multi-source interference task (MSIT), this task provides a more graded mixture between these two sources of difficulty.

      2. The authors do a good job triangulating regions that encoding conflict similarity, looking for the conjunction across several different measures of conflict encoding. These conflict measures use several best-practice approaches towards estimating representational similarity.

      3. The authors quantify several salient alternative hypothesis and systematically distinguish their core results from these alternatives.

      4. The question that the authors tackle is important to cognitive control, and they make a solid contribution.

      The authors have addressed several of my concerns. I appreciate the authors implementing best practices in their neuroimaging stats.

      I think that the concerns that remain in my public review reflect the inherent limitations of the current work. The authors have done a good job working with the dataset they've collected.

      Response: We would like to thank the reviewer for the positive evaluation of our manuscript and the constructive comments and suggestions. In response to your suggestions and concerns, we have removed the Stroop/Simon-only and the Stroop+Simon models, revised our conclusion and modified the misleading phrases.

      We have provided detailed responses to your comments below.

      1. The evidence from this previous work for mixtures between different conflict sources makes the framing of 'infinite possible types of conflict' feel like a strawman. The authors cite classic work (e.g., Kornblum et al., 1990) that develops a typology for conflict which is far from infinite. I think few people would argue that every possible source and level of difficulty will have to be learned separately. This work provides confirmatory evidence that task difficulty is represented parametrically (e.g., consistent with the n-back, MOT, and random dot motion literature).

      notes for my public concerns.

      In their response, the authors say:

      'If each combination of the Stroop-Simon combination is regarded as a conflict condition, there would be infinite combinations, and it is our major goal to investigate how these infinite conflict conditions are represented effectively in a space with finite dimensions.'

      I do think that this is a strawman. The paper doesn't make a strong case that this position ('infinite combinations') is widely held in the field. There is previous work (e.g., n-back, multiple object tracking, MSIT, dot motion) that has already shown parametric encoding of task difficulty. This paper provides confirmatory evidence, using an interesting new task, that demand are parametric, but does not provide a major theoretical advance.

      Response: We agree that the previous expression may have seemed somewhat exaggerative. While it is not “infinite”, recent research indeed suggests that the cognitive control shows domain-specificity across various “domains”, including conflict types (Egner, 2008), sensory modalities (Yang et al., 2017), task-irrelevant stimuli (Spape et al., 2008), and task sets (Hazeltine et al., 2011), to name a few.

      These findings collectively support the notion that cognitive control is contextspecific (Bream et al., 2014). That is, cognitive control can be tuned and associated with different (and potentially large numbers of) contexts. Recently, Kikumoto and Mayr (2020) demonstrated that combinations of stimulus, rule and response in the same task formed separatable, conjunctive representations. They further showed that these conjunctive representations facilitate performance. This is in line with the idea that each stimulus-location combination in the present task may be represented separately in a domain-specific manner. Moreover, domain-general task representation can also become domain-specific with learning, which further increases the number of domain-specific conjunctive representations (Mill et al., 2023). In line with the domain-specific account of cognitive control, we referred to the “infinite combinations” in our previous response to emphasize the extreme case of domainspecificity. However, recognizing that the term “infinite” may lead to ambiguity, we have replaced it with phrases such as “a large number of”, “hugely varied”, in our revised manuscript.

      We appreciate the reviewer for highlighting the potential connection of our work to existing literature that showed the parametric encoding of task difficulty (e.g., Dagher et al., 1999; Ritz & Shenhav, 2023). For instance, in Ritz et al.’s (2023) study, they parametrically manipulated target difficulty based on consistent ratios of dot color, and found that the difficulty was encoded in the caudal part of dorsal anterior cingulate cortex. Analogically, in our study, the “difficulty” pertains to the behavioral congruency effect that we modulated within the spatial Stroop and Simon dimensions. Notably, we did identify univariate effects in the right dmPFC and IPS associated with the difficulty in the Simon dimension. This parametric effect may lend support to our cognitive space hypothesis, although we exercised caution in interpreting their significance due to the absence of a clear brain-behavioral relevance in these regions. We have added the connection of our work to prior literature in the discussion. The parametric encoding of conflict also mirrors prior research showing the parametric encoding of task demands (Dagher et al., 1999; Ritz & Shenhav, 2023).

      However, our analyses extend beyond solely testing the parametric encoding of difficulty. Instead, we focused on the multivariate representation of different conflict types, which we believe is independent from the univariate parametric encoding. Unlike the univariate encoding that relies on the strength within one dimension, the multivariate representation of conflict types incorporates both the spatial Stroop and Simon dimensions. Furthermore, we found that similar difficulty levels did not yield similar conflict representation, as indicated by the low similarity between the spatial Stroop and Simon conditions, despite both showing a similar level of congruency effect (Fig. S1). Additionally, we also observed an interaction between conflict similarity and difficulty (i.e., congruency, Fig. 4B/D), such that the conflict similarity effect was more pronounced when conflict was present. Therefore, we believe that our findings make contribution to the literature beyond the difficulty effect.

      Reference:

      Egner, T. (2008). Multiple conflict-driven control mechanisms in the human brain. Trends in Cognitive Sciences, 12(10), 374-380. https://doi.org/10.1016/j.tics.2008.07.001

      Yang, G., Nan, W., Zheng, Y., Wu, H., Li, Q., & Liu, X. (2017). Distinct cognitive control mechanisms as revealed by modality-specific conflict adaptation effects. Journal of Experimental Psychology: Human Perception and Performance, 43(4), 807-818. https://doi.org/10.1037/xhp0000351

      Spapé MM, Hommel B (2008). He said, she said: episodic retrieval induces conflict adaptation in an auditory Stroop task. Psychonomic Bulletin Review,15(6):1117-21. https://doi.org/10.3758/PBR.15.6.1117

      Hazeltine E, Lightman E, Schwarb H, Schumacher EH (2011). The boundaries of sequential modulations: evidence for set-level control. Journal of Experimental Psychology: Human Perception & Performance. 2011 Dec;37(6):1898-914. https://doi.org/10.1037/a0024662

      Braem, S., Abrahamse, E. L., Duthoo, W., & Notebaert, W. (2014). What determines the specificity of conflict adaptation? A review, critical analysis, and proposed synthesis. Frontiers in Psychology, 5, 1134. https://doi.org/10.3389/fpsyg.2014.01134

      Kikumoto A, Mayr U. (2020). Conjunctive representations that integrate stimuli, responses, and rules are critical for action selection. Proceedings of the National Academy of Sciences, 117(19):10603-10608. https://doi.org/10.1073/pnas.1922166117.

      Mill, R. D., & Cole, M. W. (2023). Neural representation dynamics reveal computational principles of cognitive task learning. bioRxiv. https://doi.org/10.1101/2023.06.27.546751

      Dagher, A., Owen, A. M., Boecker, H., & Brooks, D. J. (1999). Mapping the network for planning: a correlational PET activation study with the Tower of London task. Brain, 122 ( Pt 10), 1973-1987. https://doi.org/10.1093/brain/122.10.1973

      Ritz, H., & Shenhav, A. (2023). Orthogonal neural encoding of targets and distractors supports multivariate cognitive control. https://doi.org/10.1101/2022.12.01.518771

      1. (Public Reviews) The degree of Stroop vs Simon conflict is perfectly negatively correlated across conditions. This limits their interpretation of an integrated cognitive space, as they cannot separately measure Stroop and Simon effects. The author's control analyses have limited ability to overcome this task limitation. While these results are consistent with parametric encoding, they cannot adjudicate between combined vs separated representations.

      (Recommendations) I think that it is still an issue that the task's two features (stroop and simon conflict) are perfectly correlated. This fundamentally limits their ability to measure the similarity in these features. The authors provide several control analyses, but I think these are limited.

      Response: We need to acknowledge that the spatial Stroop and Simon components in the five conflict conditions were not “perfectly” correlated, with r = –0.89. This leaves some room for the preliminary model comparison to adjudicate between these models. However, it’s essential to note that conclusions based on these results must be tempered. In line with the reviewer’s observation, we agree that the high correlation between the two conflict sources posed a potential limitation on our ability to independently investigate the contribution of spatial Stroop and Simon conflicts. Therefore, in addition to the limitation we have previously acknowledged, we have now further revised our conclusion and adjusted our expressions accordingly.

      Specifically, we now regard the parametric encoding of cognitive control not as direct evidence of the cognitive space view but as preliminary evidence that led us to propose this hypothesis, which requires further testing. Notably, we have also modified the title from “Conflicts are represented in a cognitive space to reconcile domain-general and domain-specific cognitive control” to “Conflicts are parametrically encoded: initial evidence for a cognitive space view to reconcile the debate of domain-general and domain-specific cognitive control”. Also, we revised the conclusion as: In sum, we showed that the cognitive control can be parametrically encoded in the right dlPFC and guides cognitive control to adjust goal-directed behavior. This finding suggests that different cognitive control states may be encoded in an abstract cognitive space, which reconciles the long-standing debate between the domain-general and domain-specific views of cognitive control and provides a parsimonious and more broadly applicable framework for understanding how our brains efficiently and flexibly represents multiple task settings.

      From Recommendations The authors perform control analyses that test stroop-only and simon-only models. However, these analyses use a totally different similarity metric, that's based on set intersection rather than geometry. This metric had limited justification or explanation, and it's not clear whether these models fit worse because of the similarity metric. Even here, Simon-only model fit better than Stroop+Simon model. The dimensionality analyses may reflect the 1d manipulation by the authors (i.e. perfectly corrected stroop and simon effects).

      Response: The Jaccard measure is the most suitable method we can conceive of for assessing the similarity between two conflicts when establishing the Stroop-only and Simon-only models, achieved by projecting them onto the vertical or horizontal axes, respectively (Author response image 1A). This approach offers two advantages. First, the Jaccard similarity combines both similarity (as reflected by the numerator) and distance (reflected by the difference between denominator and numerator) without bias towards either. Second, the Jaccard similarity in our design is equivalent to the cosine similarity because the denominator in the cosine similarity is identical to the denominator in the Jaccard similarity (both are the radius of the circle, Author response image 1B).

      Author response image 1.

      Definition of Jaccard similarity. A) Two conflicts (1 and 2) are projected onto the spatial Stroop/Simon axis in the Stroop/Simon-only model, respectively. The Jaccard similarity for Stroop-only and Simon-only model are and respectively. Letters a-d are the projected vectors from the two conflicts to the two axes. Blue and red colors indicate the conflict conditions. Shorter vectors are the intersection and longer vectors are the union. B) According to the cosine similarity model, the similarity is defined as , where e is the projected vector from conflict 1 to conflict 2, and g is the vector of conflict 1. The Jaccard similarity for this case is defined by , where f is the projector vector from conflict 2 to itself. Because f = g in our design, the Jaccard similarity is equivalent to the cosine similarity.

      Therefore, we believe that the model comparisons between cosine similarity model and the Stroop/Simon-Only models were equitable. However, we acknowledge the reviewer’s and other reviewers’ concerns about the correlation between spatial Stroop and Simon conflicts, which reduces the space to one dimension (1d) and limits our ability to distinguish between the Stroop-only and Simon-only models, as well as between Stroop+Simon and cosine similarity models. While these distinctions are undoubtedly important for understanding the geometry of the cognitive space, we recognize that they go beyond the major objective of this study, that is, to differentiate the cosine similarity model from domain-general/specific models. Therefore, we have chosen to exclude the Stroop-only, Simon-only and Stroop+Simon models in our revised manuscript.

      Something that raised additional concerns are the RSMs in the key region of interest (Fig S5). The pure stroop task appears to be represented very differently from all of the conditions that include simon conflict.

      Together, I think these limitations reflect the structure of the task and research goals, not the statistical approach (which has been meaningfully improved).

      Response: We appreciate the reviewer for pointing this out. It is essential to clarify that our conclusions were based on the significant similarity modulation effect identified in our statistical analysis using the cosine similarity model, where we did not distinguish between the within-Stroop condition and the other four within-conflict conditions (Fig. 7A, now Fig. 8A). This means that the representation of conflict type was not biased by the seemingly disparities in the values shown here. Moreover, to specifically test the differences between the within-Stroop condition and the other within-conflict conditions, we conducted a mixed-effect model analysis only including trial pairs from the same conflict type. In this analysis, the primary predictor was the cross-condition difference (0 for within-Stroop condition and 1 for other within-conflict conditions). The results showed no significant cross-condition difference in either the incongruent (t = 1.22, p = .23) or the congruent (t = 1.06, p = .29) trials. Thus, we believe the evidence for different similarities is inconclusive in our data and decided not to interpret this numerical difference. We have added this note in the revised figure caption for Figure S5.

      Author response image 2.

      Fig. S5. The stronger conflict type similarity effect in incongruent versus congruent conditions. (A) Summary representational similarity matrices for the right 8C region in incongruent (left) and congruent (right) conditions, respectively. Each cell represents the averaged Pearson correlation of cells with the same conflict type and congruency in the 1400×1400 matrix. Note that the seemingly disparities in the values of Stroop and other within-conflict cells (i.e., the diagonal) did not reach significance for either incongruent (t = 1.22, p = .23) or congruent (t = 1.06, p = .29) trials. (2) Scatter plot showing the averaged neural similarity (Pearson correlation) as a function of conflict type similarity in both conditions. The values in both A and B are calculated from raw Pearson correlation values, in contrast to the z-scored values in Fig. 4D.

      Minor:

      • In the analysis of similarity_orientation, the df is very large (~14000). Here, and throughout, the df should be reflective of the population of subjects (ie be less than the sample size).

      Response: The large degrees of freedom (df) in our analysis stem from the fact that we utilized a mixed-effect linear model, incorporating all data points (a total of 400×35=14000). In mixed-effect models, the df is determined by subtracting the number of fixed effects (in our case, 7) from the total number of observations. Notably, we are in line with the literature that have reported the df in this manner (e.g., Iravani et al., 2021; Schmidt & Weissman, 2015; Natraj et al., 2022).

      Reference:

      Iravani B, Schaefer M, Wilson DA, Arshamian A, Lundström JN. The human olfactory bulb processes odor valence representation and cues motor avoidance behavior. Proc Natl Acad Sci U S A. 2021 Oct 19;118(42):e2101209118. https://doi.org/10.1073/pnas.2101209118.

      Schmidt, J.R., Weissman, D.H. Congruency sequence effects and previous response times: conflict adaptation or temporal learning?. Psychological Research 80, 590–607 (2016). https://doi.org/10.1007/s00426-015-0681-x.

      Natraj, N., Silversmith, D. B., Chang, E. F., & Ganguly, K. (2022). Compartmentalized dynamics within a common multi-area mesoscale manifold represent a repertoire of human hand movements. Neuron, 110(1), 154-174. https://doi.org/10.1016/j.neuron.2021.10.002.

      • it would improve the readability if there was more didactic justification for why analyses are done a certain way (eg justifying the jaccard metric). This will help less technically-savvy readers.

      Response: We appreciate the reviewer’s suggestion. However, considering the Stroop/Simon-only models in our design may not be a valid approach for distinguishing the contributions of the Stroop/Simon components, we have decided not to include the Jaccard metrics in our revised manuscript.

      Besides, to improve the readability, we have moved Figure S4 to the main text (labeled as Figure 7), and added the domain-general/domain-specific schematics in Figure 8.

      Author response image 3.

      Figure 8. Schematic of key RSMs. (A) and (B) show the orthogonality between conflict similarity and orientation RSMs. The within-subject RSMs (e.g., Group1-Group1) for conflict similarity and orientation are all the same, but the cross-group correlations (e.g., Group2-Group1) are different. Therefore, we can separate the contribution of these two effects when including them as different regressors in the same linear regression model. (C) and (D) show the two alternative models. Like the cosine model (A), within-group trial pairs resemble between-group trial pairs in these two models. The domain-specific model is an identity matrix. The domain-general model is estimated from the absolute difference of behavioral congruency effect, but scaled to 0(lowest similarity)-1(highest similarity) to aid comparison. The plotted matrices here include only one subject each from Group 1 and Group 2. Numbers 1-5 indicate the conflict type conditions, for spatial Stroop, StHSmL, StMSmM, StLSmH, and Simon, respectively. The thin lines separate four different sub-conditions, i.e., target arrow (up, down) × congruency (incongruent, congruent), within each conflict type.

      Reviewer #2:

      This study examines the construct of "cognitive spaces" as they relate to neural coding schemes present in response conflict tasks. The authors use a novel experimental design in which different types of response conflict (spatial Stroop, Simon) are parametrically manipulated. These conflict types are hypothesized to be encoded jointly, within an abstract "cognitive space", in which distances between task conditions depend only on the similarity of conflict types (i.e., where conditions with similar relative proportions of spatial-Stroop versus Simon conflicts are represented with similar activity patterns). Authors contrast such a representational scheme for conflict with several other conceptually distinct schemes, including a domain-general, domain-specific, and two task-specific schemes. The authors conduct a behavioral and fMRI study to test which of these coding schemes is used by prefrontal cortex. Replicating the authors' prior work, this study demonstrates that sequential behavioral adjustments (the congruency sequence effect) are modulated as a function of the similarity between conflict types. In fMRI data, univariate analyses identified activation in left prefrontal and dorsomedial frontal cortex that was modulated by the amount of Stroop or Simon conflict present, and representational similarity analyses (RSA) that identified coding of conflict similarity, as predicted under the cognitive space model, in right lateral prefrontal cortex.

      This study tackles an important question regarding how distinct types of conflict might be encoded in the brain within a computationally efficient representational format. The ideas postulated by the authors are interesting ones and the statistical methods are generally rigorous.

      Response: We would like to express our sincere appreciation for the reviewer’s positive evaluation of our manuscript and the constructive comments and suggestions. In response to your suggestions and concerns, we excluded the StroopOnly, SimonOnly and Stroop+Simon models, and added the schematic of domain-general/specific model RSMs. We have provided detailed responses to your comments below.

      The evidence supporting the authors claims, however, is limited by confounds in the experimental design and by lack of clarity in reporting the testing of alternative hypotheses within the method and results.

      1. Model comparison

      The authors commendably performed a model comparison within their study, in which they formalized alternative hypotheses to their cognitive space hypothesis. We greatly appreciate the motivation for this idea and think that it strengthened the manuscript. Nevertheless, some details of this model comparison were difficult for us to understand, which in turn has limited our understanding of the strength of the findings.

      The text indicates the domain-general model was computed by taking the difference in congruency effects per conflict condition. Does this refer to the "absolute difference" between congruency effects? In the rest of this review, we assume that the absolute difference was indeed used, as using a signed difference would not make sense in this setting. Nevertheless, it may help readers to add this information to the text.

      Response: We apologize for any confusion. The “difference” here indeed refers to the “absolute difference” between congruency effects. We have now clarified this by adding the word “absolute” accordingly.

      "Therefore, we defined the domain-general matrix as the absolute difference in their congruency effects indexed by the group-averaged RT in Experiment 2."

      Regarding the Stroop-Only and Simon-Only models, the motivation for using the Jaccard metric was unclear. From our reading, it seems that all of the other models --- the cognitive space model, the domain-general model, and the domain-specific model --- effectively use a Euclidean distance metric. (Although the cognitive space model is parameterized with cosine similarities, these similarity values are proportional to Euclidean distances because the points all lie on a circle. And, although the domain-general model is parameterized with absolute differences, the absolute difference is equivalent to Euclidean distance in 1D.) Given these considerations, the use of Jaccard seems to differ from the other models, in terms of parameterization, and thus potentially also in terms of underlying assumptions. Could authors help us understand why this distance metric was used instead of Euclidean distance? Additionally, if Jaccard must be used because this metric seems to be non-standard in the use of RSA, it would likely be helpful for many readers to give a little more explanation about how it was calculated.

      Response: We believe that the Jaccard similarity measure is consistent with the Cosine similarity measure. The Jaccard similarity is calculated as the intersection divided by the union. To define the similarity of two conflicts in the Stroop-only and Simon-only models, we first project them onto the vertical or horizontal axes, respectively (as shown in Author response image 1A). The Jaccard similarity in our design is equivalent to the cosine similarity because the denominator in the Jaccard similarity is identical to the denominator in the cosine similarity (both are the radius of the circle, Author response image 1B).

      However, it is important to note that a cosine similarity cannot be defined when conflicts are projected onto spatial Stroop or Simon axis simultaneously. Therefore, we used the Jaccard similarity in the previous version of our manuscript.

      Author response image 4.

      Definition of Jaccard similarity. A) Two conflicts (1 and 2) are projected onto the spatial Stroop/Simon axis in the Stroop/Simon-only model, respectively. The Jaccard similarity for Stroop-only and Simon-only model are and respectively. Letters a-d are the projected vectors from the two conflicts to the two axes. Blue and red colors indicate the conflict conditions. Shorter vectors are the intersection and longer vectors are the union. B) According to the cosine similarity model, the similarity is defined as , where e is the projected vector from conflict 1 to conflict 2, and g is the vector of conflict 1. The Jaccard similarity for this case is defined by , where f is the projector vector from conflict 2 to itself. Because f = g in our design, the Jaccard similarity is equivalent to the cosine similarity.

      However, we agree with the reviewer’s and other reviewers’ concern that the correlation between spatial Stroop and Simon conflicts makes it less likely to distinguish the Stroop+Simon from cosine similarity models. While distinguishing them is essential to understand the detailed geometry of the cognitive space, it is beyond our major purpose, that is, to distinguish the cosine similarity model with the domain-general/specific models. Therefore, we have chosen to exclude the Stroop-only, Simon-only and Stroop+Simon models from our revised manuscript.

      When considering parameterizing the Stroop-Only and Simon-Only models with Euclidean distances, one concern we had is that the joint inclusion of these models might render the cognitive space model unidentifiable due to collinearity (i.e., the sum of the Stroop-Only and Simon-Only models could be collinear with the cognitive space model). Could the authors determine whether this is the case? This issue seems to be important, as the presence of such collinearity would suggest to us that the design is incapable of discriminating those hypotheses as parameterized.

      Response: We acknowledge that our design does not allow for a complete differentiation between the parallel encoding (StroopOnly+SimonOnly) model and the cognitive space model, given their high correlation (r = 0.85). However, it is important to note that the StroopOnly+SimonOnly model introduces more free parameters, making the model fitting poorer than the cognitive space model.

      Additionally, the cognitive space model also shows high correlations with the StroopOnly and SimonOnly models (both rs = 0.66). It is crucial to emphasize that our study’s primary goal does not involve testing the parallel encoding hypothesis (through the StroopOnly+SimonOnly model). As a result, we have chosen to remove the model comparison results with the StroopOnly, SimonOnly and StroopOnly+SimonOnly models. Instead, the cognitive space model shows lower correlation with the purely domain-general (r = −0.16) and domain-specific (r = 0.46) models.

      1. Issue of uniquely identifying conflict coding

      We certainly appreciate the efforts that authors have taken to address potential confounders for encoding of conflict in their original submission. We broach this question not because we wish authors to conduct additional control analyses, but because this issue seems to be central to the thesis of the manuscript and we would value reading the authors' thoughts on this issue in the discussion.

      To summarize our concerns, conflict seems to be a difficult variable to isolate within aggregate neural activity, at least relative to other variables typically studied in cognitive control, such as task-set or rule coding. This is because it seems reasonable to expect that many more nuisance factors covary with conflict -- such as univariate activation, level of cortical recruitment, performance measures, arousal --- than in comparison with, for example, a well-designed rule manipulation. Controlling for some of these factors post-hoc through regression is commendable (as authors have done here), but such a method will likely be incomplete and can provide no guarantees on the false positive rate.

      Relatedly, the neural correlates of conflict coding in fMRI and other aggregate measures of neural activity are likely of heterogeneous provenance, potentially including rate coding (Fu et al., 2022), temporal coding (Smith et al., 2019), modulation of coding of other more concrete variables (Ebitz et al., 2020, 10.1101/2020.03.14.991745; see also discussion and reviews of Tang et al., 2016, 10.7554/eLife.12352), or neuromodulatory effects (e.g., Aston-Jones & Cohen, 2005). Some of these origins would seem to be consistent with "explicit" coding of conflict (conflict as a representation), but others would seem to be more consistent with epiphenomenal coding of conflict (i.e., conflict as an emergent process). Again, these concerns could apply to many variables as measured via fMRI, but at the same time, they seem to be more pernicious in the case of conflict. So, if authors consider these issues to be germane, perhaps they could explicitly state in the discussion whether adopting their cognitive space perspective implies a particular stance on these issues, how they interpret their results with respect to these issues, and if relevant, qualify their conclusions with uncertainty on these issues.

      Response: We appreciate the reviewer’s insightful comments regarding the representation and process of conflict.

      First, we agree that the conflict is not simply a pure feature like a stimulus but often arises from the interaction (e.g., dimension overlap) between two or more aspects. For example, in the manual Stroop, conflict emerges from the inconsistent semantic information between color naming and word reading. Similarly, other higher-order cognitive processes such as task-set also underlie the relationship between concrete aspects. For instance, in a face/house categorization task, the taskset is the association between face/house and the responses. When studying these higher-order processes, it is often impossible to completely isolate them from bottomup features. Therefore, methods like the representational similarity analysis and regression models are among the limited tools available to attempt to dissociate these concrete factors from conflict representation. While not perfect, this approach has been suggested and utilized in practice (Freund et al., 2021).

      Second, we agree that conflict can be both a representation and an emerging process. These two perspectives are not necessarily contradictory. According to David Marr’s influential three-level theory (Marr, 1982), representation is the algorithm of the process to achieve a goal based on the input. Therefore, a representation can refer to not only a static stimulus (e.g., the visual representation of an image), but also a dynamic process. Building on this perspective, we posit that the representation of cognitive control consists of an array of dynamic representations embedded within the overall process. A similar idea has been proposed that the abstract task profiles can be progressively constructed as a representation in our brain (Kikumoto & Mayr, 2020).

      We have incorporated this discussion into the manuscript:

      "Recently an interesting debate has arisen concerning whether cognitive control should be considered as a process or a representation (Freund, Etzel, et al., 2021). Traditionally, cognitive control has been predominantly viewed as a process. However, the study of its representation has gained more and more attention. While it may not be as straightforward as the visual representation (e.g., creating a mental image from a real image in the visual area), cognitive control can have its own form of representation. An influential theory, Marr’s (1982) three-level model proposed that representation serves as the algorithm of the process to achieve a goal based on the input. In other words, representation can encompass a dynamic process rather than being limited to static stimuli. Building on this perspective, we posit that the representation of cognitive control consists of an array of dynamic representations embedded within the overall process. A similar idea has been proposed that the representation of task profiles can be progressively constructed with time in the brain (Kikumoto & Mayr, 2020)."

      Reference:

      Freund, M. C., Etzel, J. A., & Braver, T. S. (2021). Neural Coding of Cognitive Control: The Representational Similarity Analysis Approach. Trends in Cognitive Sciences, 25(7), 622-638. https://doi.org/10.1016/j.tics.2021.03.011

      Marr, D. C. (1982). Vision: A computational investigation into human representation and information processing. New York: W.H. Freeman.

      Kikumoto A, Mayr U. (2020). Conjunctive representations that integrate stimuli, responses, and rules are critical for action selection. Proceedings of the National Academy of Sciences, 117(19):10603-10608. https://doi.org/10.1073/pnas.1922166117.

      1. Interpretation of measured geometry in 8C

      We appreciate the inclusion of the measured similarity matrices of area 8C, the key area the results focus on, to the supplemental, as this allows for a relatively model-agnostic look at a portion of the data. Interestingly, the measured similarity matrix seems to mismatch the cognitive space model in a potentially substantive way. Although the model predicts that the "pure" Stroop and Simon conditions will have maximal self-similarity (i.e., the Stroop-Stroop and Simon-Simon cells on the diagonal), these correlations actually seem to be the lowest, by what appears to be a substantial margin (particularly the Stroop-Stroop similarities). What should readers make of this apparent mismatch? Perhaps authors could offer their interpretation on how this mismatch could fit with their conclusions.

      Response: We appreciate the reviewer for bringing this to our attention. It is essential to clarify that our conclusions were based on the significant similarity modulation effect observed in our statistical analysis using the cosine similarity model, where we did not distinguish between the within-Stroop condition and the other four withinconflict conditions (Fig. 7A). This means that the representation of conflict type was not biased by the seemingly disparities in the values shown here. Moreover, to specifically address the potential differences between the within-Stroop condition and the other within-conflict conditions, we conducted a mixed-effect model. In this analysis, the primary predictor was the cross-condition difference (0 for within-Stroop condition and 1 for other within-conflict conditions). The results showed no significant cross-condition difference in either the incongruent trials (t = 1.22, p = .23) or the congruent (t = 1.06, p = .29) trials. Thus, we believe the evidence for different similarities is inconclusive in our data and decided not to interpret this numerical difference.

      We have added this note in the revised figure caption for Figure S5.

      Author response image 5.

      Fig. S5. The stronger conflict type similarity effect in incongruent versus congruent conditions. (A) Summary representational similarity matrices for the right 8C region in incongruent (left) and congruent (right) conditions, respectively. Each cell represents the averaged Pearson correlation of cells with the same conflict type and congruency in the 1400×1400 matrix. Note that the seemingly disparities in the values of Stroop and other within-conflict cells (i.e., the diagonal) did not reach significance for either incongruent (t = 1.22, p = .23) or congruent (t = 1.06, p = .29) trials. (2) Scatter plot showing the averaged neural similarity (Pearson correlation) as a function of conflict type similarity in both conditions. The values in both A and B are calculated from raw Pearson correlation values, in contrast to the z-scored values in Fig. 4D.

      1. It would likely improve clarity if all of the competing models were displayed as summarized RSA matrices in a single figure, similar to (or perhaps combined with) Figure 7.

      Response: We appreciate the reviewer’s suggestion. We now have incorporated the domain-general and domain-specific models into the Figure 7 (now Figure 8).

      Author response image 6.

      Figure 8. Schematic of key RSMs. (A) and (B) show the orthogonality between conflict similarity and orientation RSMs. The within-subject RSMs (e.g., Group1-Group1) for conflict similarity and orientation are all the same, but the cross-group correlations (e.g., Group2-Group1) are different. Therefore, we can separate the contribution of these two effects when including them as different regressors in the same linear regression model. (C) and (D) show the two alternative models. Like the cosine model (A), within-group trial pairs resemble between-group trial pairs in these two models. The domain-specific model is an identity matrix. The domain-general model is estimated from the absolute difference of behavioral congruency effect, but scaled to 0(lowest similarity)-1(highest similarity) to aid comparison. The plotted matrices here include only one subject each from Group 1 and Group 2. Numbers 1-5 indicate the conflict type conditions, for spatial Stroop, StHSmL, StMSmM, StLSmH, and Simon, respectively. The thin lines separate four different sub-conditions, i.e., target arrow (up, down) × congruency (incongruent, congruent), within each conflict type.

      1. Because this model comparison is key to the main inferences in the study, it might also be helpful for most readers to move all of these RSA model matrices to the main text, instead of in the supplemental.

      Response: We thank the reviewer for this suggestion. We have moved the Fig. S4 to the main text, labeled as the new Figure 7.

      1. It may be worthwhile to check how robust the observed brain-behavior association (Fig 4C) is to the exclusion of the two datapoints with the lowest neural representation strength measure, as these points look like they have high leverage.

      Response: We calculated the Pearson correlation after excluding the two points and found it does not affect the results too much, with the r = 0.50, p = .003 (compared to the original r = 0.52, p = .001).

      Additionally, we found the two axes were mistakenly shifted in Fig 4C. Therefore, we corrected this error in the revised manuscript. The correlation results would not be influenced.

      Author response image 7.

      Fig. 4. The conflict type effect. (A) Brain regions surviving the Bonferroni correction (p < 0.0001) across the regions (criterion 1). Labeled regions are those meeting the criterion 2. (B) Different encoding of conflict type in the incongruent with congruent conditions. * Bonferroni corrected p < .05. (C) The brain-behavior correlation of the right 8C (criterion 3). The x-axis shows the beta coefficient of the conflict type effect from the RSA, and the y-axis shows the beta coefficient obtained from the behavioral linear model using the conflict similarity to predict the CSE in Experiment 2. (D) Illustration of the different encoding strength of conflict type similarity in incongruent versus congruent conditions of right 8C. The y-axis is derived from the z-scored Pearson correlation coefficient, consistent with the RSA methodology. See Fig. S4B for a plot with the raw Pearson correlation measurement. l = left; r = right.

      Reviewer #3:

      Yang and colleagues investigated whether information on two task-irrelevant features that induce response conflict is represented in a common cognitive space. To test this, the authors used a task that combines the spatial Stroop conflict and the Simon effect. This task reliably produces a beautiful graded congruency sequence effect (CSE), where the cost of congruency is reduced after incongruent trials. The authors measured fMRI to identify brain regions that represent the graded similarity of conflict types, the congruency of responses, and the visual features that induce conflicts. They applied univariate, multivariate, and connectivity analyses to fMRI data to identify brain regions that represent the graded similarity of conflict types, the congruency of responses, and the visual features that induce conflicts. They further directly assessed the dimensionality of represented conflict space.

      The authors identified the right dlPFC (right 8C), which shows 1) stronger encoding of graded similarity of conflicts in incongruent trials and 2) a positive correlation between the strength of conflict similarity type and the CSE on behavior. The dlPFC has been shown to be important for cognitive control tasks. As the dlPFC did not show a univariate parametric modulation based on the higher or lower component of one type of conflict (e.g., having more spatial Stroop conflict or less Simon conflict), it implies that dissimilarity of conflicts is represented by a linear increase or decrease of neural responses. Therefore, the similarity of conflict is represented in multivariate neural responses that combine two sources of conflict.

      The strength of the current approach lies in the clear effect of parametric modulation of conflict similarity across different conflict types. The authors employed a clever cross-subject RSA that counterbalanced and isolated the targeted effect of conflict similarity, decorrelating orientation similarity of stimulus positions that would otherwise be correlated with conflict similarity. A pattern of neural response seems to exist that maps different types of conflict, where each type is defined by the parametric gradation of the yoked spatial Stroop conflict and the Simon conflict on a similarity scale. The similarity of patterns increases in incongruent trials and is correlated with CSE modulation of behavior.

      The main significance of the paper lies in the evidence supporting the use of an organized "cognitive space" to represent conflict information as a general control strategy. The authors thoroughly test this idea using multiple approaches and provide convincing support for their findings. However, the universality of this cognitive strategy remains an open question.

      (Public Reviews) Taken together, this study presents an exciting possibility that information requiring high levels of cognitive control could be flexibly mapped into cognitive map-like representations that both benefit and bias our behavior. Further characterization of the representational geometry and generalization of the current results look promising ways to understand representations for cognitive control.

      Response: We would like to thank the reviewer for the positive evaluation of our manuscript and for providing constructive comments. In response to your suggestions, we have acknowledged the potential limitation of the design and the cross-subject RSA approach, and incorporated the open questions to the discussions. Please find our detailed responses below.

      The task presented in the study involved two sources of conflict information through a single salient visual input, which might have encouraged the utilization of a common space.

      Response: We agree that the unified visual input in our design may have facilitated the utilization of a common space. However, we believe the stimuli are not necessarily unified in the construction of the common space. To further test the potential interaction between the concrete stimulus setting and the cognitive space representation, it is necessary to use varied stimuli in future research. We have left this as an open question in the discussion:

      Can we effectively map any sources of conflict with completely different stimuli into a single space?

      The similarity space was analyzed at the level of between-individuals (i.e., crosssubject RSA) to mitigate potential confounds in the design, such as congruency and the orientation of stimulus positions. This approach makes it challenging to establish a direct link between the quality of conflict space representation and the patterns of behavioral adaptations within individuals.

      Response: By setting the variables as random effects at the subject level, we have extracted the individual effects that incorporate both the group-level fixed effects and individual-level random effects. We believe this approach yields results that are as reliable, if not more, than effects calculated from individual data only. First, the mixed effect linear (LME) model has included all the individual data, forming the basis for establishing random effects. Therefore, the individual effects derived from this approach inherently reflect the individual-specific effects. To support this notion, we have included a simulation script (accessible in the online file “simulation_LME.mlx” at https://osf.io/rcq8w) to demonstrate the strong consistency between the two approaches (see Author response image 8). In this simulation, we generated random data (Y) for 35 subjects, each containing 20 repeated measurements across 5 conditions. To streamline the simulation, we only included one predictor (X), which was treated as both fixed and random effects at the subject level. We applied two methods to calculate the individual beta coefficient. The first involved extracting individual beta coefficients from the LME model by summing the fixed effect with the subject-specific random effect. The second method was entailed conducting a regression analysis using data from each subject to obtain the slope. We tested their consistency by calculating the Pearson correlation between the derived beta coefficients. This simulation was repeated 100 times.

      Author response image 8.

      The consistent individual beta coefficients between the mixed effect model and the individual regression analysis. A) The distribution of Pearson correlation between the two methods for 100 times. B) An example from the simulation showing the highly correlated results from the two methods. Each data point indicates a subject (n=35).

      Second, the potential difference between the two methods lies in that the LME model have also taken the group-level variance into account, such as the dissociable variances of the conflict similarity and orientation across subject groups. This enabled us to extract relatively cleaner conflict similarity effects for each subject, which we believe can be better linked to the individual behavioral adaptations. Moreover, we have extracted the behavioral adaptations scores (i.e., the similarity modulation effect on CSE) using a similar LME approach. Conducting behavioral analysis solely using individual data would have been less reliable, given the limited sample size of individual data (~32 points per subject). This also motivated us to maintain consistency by extracting individual neural effects using LME models.

      Furthermore, it remains unclear at which cognitive stages during response selection such a unified space is recruited. Can we effectively map any sources of conflict into a single scale? Is this unified space adaptively adjusted within the same brain region? Additionally, does the amount of conflict solely define the dimensions of this unified space across many conflict-inducing tasks? These questions remain open for future studies to address.

      Response: We appreciate the reviewer’s constructive open questions. We respond to each of them based on our current understanding.

      1) It remains unclear at which cognitive stages during response selection such a unified space is recruited.

      We anticipate that the cognitive space is recruited to guide the transference of behavioral CSE at two critical stages. The first stage involves the evaluation of control demands, where the representational distance/similarity between previous and current trials influences the adjustment of cognitive control. The second stage pertains to is control execution, where the switch from one control state to another follows a path within the cognitive space. It is worth noting that future studies aiming to address this question may benefit from methodologies with higher temporal resolutions, such as EEG and MEG, to provide more precise insights into the temporal dynamics of the process of cognitive space recruitment.

      2) Can we effectively map any sources of conflict into a single scale?

      It is possible that various sources of conflict can be mapped onto the same space based on their similarity, even if finding such an operational defined similarity may be challenging. However, our results may offer an approach to infer the similarity between two conflicts. One way is to examine their congruency sequence effect (CSE), with a stronger CSE suggesting greater similarity. The other way is to test their representational similarity within the dorsolateral prefrontal cortex.

      3) Is this unified space adaptively adjusted within the same brain region? We do not have an answer to this question. We showed that the cognitive space does not change with time (Note. S3). What have adjusted is the control demand to resolve the quickly changing conflict conditions from trial to trial. Though, it is an interesting question whether the cognitive space may be altered, for example, when the mental state changes significantly. And if yes, we can further test whether the change of cognitive space is also within the right dlPFC.

      4) Additionally, does the amount of conflict solely define the dimensions of this unified space across many conflict-inducing tasks?

      Our understanding of this comment is that the amount of conflict refers to the number of conflict sources. Based on our current finding, the dimensions of the space are indeed defined by how many different conflict sources are included. However, this would require the different conflict sources are orthogonal. If some sources share some aspects, the cognitive space may collapse to a lower dimension. We have incorporated the first question into the discussion:

      Moreover, we anticipate that the representation of cognitive space is most prominently involved at two critical stages to guide the transference of behavioral CSE. The first stage involves the evaluation of control demands, where the representational distance/similarity between previous and current trials influences the adjustment of cognitive control. The second stage pertains to control execution, where the switch from one control state to another follows a path within the cognitive space. However, we were unable to fully distinguish between these two stages due to the low temporal resolution of fMRI signals in our study. Future research seeking to delve deeper into this question may benefit from methodologies with higher temporal resolutions, such as EEG and MEG.

      We have included the other questions into the manuscript as open questions, calling for future research.

      Several interesting questions remains to be answered. For example, is the dimension of the unified space across conflict-inducing tasks solely determined by the number of conflict sources? Can we effectively map any sources of conflict with completely different stimuli into a single space? Is the cognitive space geometry modulated by the mental state? If yes, what brain regions mediate the change of cognitive space?

      Minor comments:

      • The original comment about out-of-sample predictions to examine the continuity of the space was a suggestion for testing neural representations, not behavior (I apologize for the lack of clarity). Given the low dimensionality of the conflict space shown by the participation ratio, we expect that linear separability exists only among specific combinations of conditions. For example, the pair of conflicts 1 and 5 together is not linearly separable from conflicts 2 and 3. But combined with other results, this is already implied.

      Response: We apologize for the misunderstanding. In fact, performing a prediction analysis using the extensive RSM in our study does presents certain challenges, primarily due to its substantial size (1400x1400) and the intricate nature of the mixed-effect linear model. In our efforts to simplify the prediction process by excluding random effects, we did observe a correlation between the predicted and original values, albeit a relatively small Pearson correlation coefficient of r = 0.024, p < .001. This small correlation can be attributed to two key factors. First, the exclusion of data points impacts not only the conflict similarity regressor but also other regressors within the model, thereby diminishing the predictive power. Secondly, the large amount of data points in the model heightens the risk of overfitting, subsequently reducing the model’s capacity for generalization and increasing the likelihood of unreliable predictions. Given these potential problems, we have opted not to include this prediction in the revised manuscript.

    1. Author Response

      The following is the authors’ response to the current reviews.

      We confirm that that “count-down” parameter, mentioned by reviewer 1, is indeed counted from the first lockdown day and increases continuously, even when we do not have any data – and that this is clearly written in the manuscript.


      The following is the authors’ response to the original reviews.

      Reviewer 1:

      (Note, while these authors do reference Derryberry et al., I thought that there could have been much more direct comparison between the results of the two approaches).

      We added some more discussion of the differences between the papers.

      One important drawback of the approach, which potentially calls into question the authors' conclusions, is that the acoustic sampling only occurred during the pandemic: for several lockdown periods and then for a period of 10 days immediately after the end of the final lockdown period in May of 2020. Several relevant things changed from March to May of 2020, most notably the shift from spring to summer, and the accompanying shift into and through the breeding season (differing for each of the three focal species). Although the statistical methods included an attempt to address this, neither the inclusion of the "count down" variable nor the temperature variable could account for any non-linear effects of breeding phenology on vocal activity. I found the reliance on temperature particularly troubling, because despite the authors' claims that it was "a good proxy of seasonality", an examination of the temperature data revealed a considerable non-linear pattern across much of the study duration. In addition, using a period immediately after the lockdowns as a "no-lockdown" control meant that any lingering or delayed effects of human activity changes in the preceding two months could still have been relevant (not to mention the fact that despite the end of an official lockdown, the pandemic still had dramatic effects on human activity during late May 2020).

      In general, the reviewer is correct, and we reformulated some of the text to more carefully address these points. However, we would like to note two things: (1) Changes occurred rapidly with birds rapidly changing their behavior – this is one of the main conclusions of our study, i.e., that urban dwelling animals are highly plastic in behavior. So that lingering effects were unlikely. (2) Changes occurred in both directions, and thus seasonality (which is expected to have a uni-directional effect) cannot explain everything we observed. We are not sure what the reviewer means by ‘considerable non-linear patterns’ when referring to the temperature. Except for ~5 days with temperatures that exceeded the expected average by 3-4 degrees, the temperature increased approximately linearly during the period as expected from seasonality (see Author response image 1). Following the reviewer’s comment, we tested whether exclusion of data from these days changes the results and found no change.

      We would like to note that in terms of breeding, all birds were within the same state during both the lockdown and the non-lockdown periods. Parakeets and crows have a long breeding season Feb-end of June with one cycle. They will stay around the nest throughout this season and especially in the peak of the season March-May. Prinias start slightly later at the beginning of March with 2-3 cycles till end of June.

      Regarding the comment about human activity, as we now also note in the manuscript, reality in Israel was actually the opposite of the reviewer’s suggestion with people returning to normal behavior towards the end of the lockdown (even before its official removal). We believe that this added noise to our results, and that the effect of the lockdown was probably higher than we observed.

      Author response image 1.

      Another weakness of the current version of the manuscript is the use of a supposed "contradiction" in the existing literature to create the context for the present study. Although the various studies cited do have many differences in their results, those other papers lay out many nuanced hypotheses for those differences. Almost none of the studies cited in this manuscript actually reported blanket increases or decreases in urban birds, as suggested here, and each of those papers includes examples of species that showed different responses. To suggest that they are on opposite sides of a supposed dichotomy is a misrepresentation. Many of those other studies also included a larger number of different species, whereas this study focused on three. Finally, this study was completed at a much finer spatial scale than most others and was examining micro-habitat differences rather than patterns apparent across landscapes. I believe that highlighting differences in scale to explain nuanced differences among studies is a much better approach that more accurately adds to the body of literature.

      We thank the reviewer for this good feedback and revised the manuscript, accordingly, placing more emphasis on the micro-scale of this study.

      Finally a note on L244-247: I would recommend against discounting the possibility that lockdowns resulted in changes to the birds' vocal acoustics, as Derryberry et al. 2020 found, especially while suggesting that their results were the effects of signal processing artifacts. Audio analysis is not my area of expertise, but isn't it possible that the birds did increase call intensity, but were simply not willing (or able) to increase it to the same degree as the additional ambient noise?

      This is an important question. The fact is that when ambient noise increases (at the relevant frequency channels), then the measured vocalizations will also increase. There is no way to separate the two effects. Thus, as scientists, when we cannot measure an effect, it is safer not to suggest an effect. Unfortunately, most studies that claim an increase in vocalizations’ intensity in noise, do not account for this potential artifact (and most of them do not estimate noise at a species-specific level as we have done). This has created a lot of “noise” in the field. We do not want to criticize the Derryberry results without analyzing the data, but from reading their methods it does not seem like they took the noise into account in their acoustic measurements. But if you look at their figure 4A you will see a lot of variability in measuring the minimum frequency – which could be strongly affected by ambient noise.

      In light of the above, we thus prefer to be careful and not to state changes that are probably false. We added some of this information to the manuscript. We also added the linear equations to the graph (in the caption of figure 3) where it can be seen that the slope is always <=1.

      Reviewer 2:

      The explanation of methods can be improved. For example, it is not clear if data were low-pass filtered before resampling to avoid aliasing.

      We edited the methods and hopefully they are clearer now. Regarding the specific question – yes, an LPF was applied to prevent aliasing before the resampling. This information was added to the manuscript.

      It is quite possible that birds move into the trees and further from the recorders with human activity. Since sound level decreases by the square of the distance of the source from the recorders, this could significantly affect the data. As indicated in the Discussion, this is a significant parameter that could not be controlled.

      The reviewer is correct, and we addressed this point. Such biases could arise with any type of surveying including manual transects (except for perhaps, placing tags on the animals). We note that we only analyzed high SNR signals and that the species we selected somewhat overcome this bias – both crows and parakeets are not shy and Prinias are anyway shy and prefer to not be out in the open. We would also expect to see a stronger effect for human speech if this was a central phenomenon, and we did not see this, but of course this might have affected our results.

      In interpreting the data, the authors mention the effect of human activity on bird vocalizations in the context of inter-species predator-prey interactions; however, the presence of humans could also modify intraspecies interactions by acting as triggers for communication of warning and alarm, and/or food calls (as may sometimes be the case) to conspecifics. Along the same lines, it is important to have a better understanding of the behavioral significance of the syllables used to monitor animal activity in the present study.

      We agree with this point and added more discussion of both this potential bias and the type of syllables that were analyzed.

      Another potential effect that may influence the results but is difficult to study, relates to the examination of vocalizations near to the ambient noise level. This is the bandwidth of sound levels where most significant changes may occur, for example, due to the Lombard effect demonstrated in bird and bat species. However, as indicated, these are also more difficult to track and quantify. Moreover, human generated noise, other than speech, may be a more relevant factor in influencing acoustic activity of different bird species. Speech, per se, similar to the vocalizations of many other species, may simply enrich the acoustic environment so that the effects observed in the present study may be transient without significant long-term consequences.

      We note that we already included a noise parameter (in addition to human speech) in the original manuscript. Following the reviewer’s comment, we examined another factor, namely we replaced the previous ambient noise parameter with an estimate of ambient noise under 1kHz which should reflect most anthropogenic noise (not restricted to human speech). This model gave very similar results to the previous one (which is not very surprising as noise is usually correlated). We added this information to the revised manuscript, and we now also added examples of anthropogenic noise to the supplementary materials (Fig. S8). In general, we accept the comments made by the reviewer, but would like to emphasize that we only analyze high SNR vocalization (and not vocalizations that were close to the noise level). This strategy should have overcome biases that resulted from slight changes in ambient noise.

      In general, the authors achieved their aim of illustrating the complexity of the effect of human activity on animal behavior. At the same time, their study also made it clear that estimating such effects is not simple given the dynamics of animal behavior. For example, seasonality, temperature changes, animal migration and movement, as well as interspecies interactions, such as related to predator-prey behavior, and inter/intra-species competition in other respects can all play into site-specific changes in the vocal activity of a particular species.

      We completely agree and tried to further emphasize this in the revised manuscript. This is one of the main conclusions of this study – we should be careful when reaching conclusions.

      Although the methods used in the present study are statistically rigorous, a multivariate approach and visualization techniques afforded by principal components analysis and multidimensional scaling methods may be more effective in communicating the overall results.

      Following this comment, we ran a discriminant function analysis with the parameters of the best model (site category, ambient noise, human activity, temperature and lockdown state) with the task of classifying the level of bird activity. The DFA analysis managed to classify activity significantly above chance and the weights of the parameters revealed some insight about their relative importance. We added this information to the revised manuscript

      Suggestions for improvement:

      In Figure 2, the labeling of the Y-axis in the right panel should be moved to the left, similar to A and C. This will provide clear separation between the two side-to-side panels.

      Revised

      In Figure 3, it will be good to see the regression lines (as dashed lines) separately for the lockdown and no-lockdown conditions in addition to the overall effect.

      Revised

      Editor:

      Limitations

      Scale: The study's limited spatial and temporal scale was not addressed by the authors, which contrasts with the broader scope of other cited studies. To enhance the significance of the study, acknowledging and clearly highlighting this limitation, along with its potential caveats, modifications in the language used throughout the text would be beneficial. Furthermore, although the authors examined slight variations in habitat, it is important to note that all sites were primarily located within an urban landscape.

      We revised the manuscript accordingly.

      Control period: The control period is significantly shorter than the lockdown treatment period and occurs at a different time of year, potentially impacting the vocalization patterns of birds due to different annual cycle stages. It is crucial to consider that the control period falls within the pandemic timeframe despite being shortly after the lockdowns ended.

      Revised – we included a control comparison to periods of equal length within the lockdown. People gradually stopped obeying the lockdown regulations before its removal so in fact, the official removal date is probably an overestimate for the effect of the lockdown. We now explain this.

      Recommendations

      Human-generated noise, beyond speech, might have a greater influence on the acoustic activity of various bird species, but previous studies lacked detailed human activity data. Instead of solely noting the number of human talkers, the authors could quantify other aspects of human activity such as vehicles or overall anthropogenic noise volume. Exploring the relationships between these factors and bird activity at a fine scale, while disentangling them from bird detection, would be compelling. It is important to consider the potential difficulty in resolving other anthropogenic sounds within a specific bandwidth, which could be demonstrated to readers through spectrograms and potential post-pandemic changes. Such information, including daily coefficient of variation/fluctuation rather than absolute frequency spectra, could provide valuable insights.

      We note that we have already included an ambient noise factor (in addition to human speech) in the previous version. Following the reviewers’ comments, we examined another factor, namely we replaced the current ambient noise parameter with the ambient noise under 1kHz which should reflect most of anthropogenic noise (not restricted to human speech). This model gave very similar results to the previous one (which is not surprising as noise is usually correlated). We also added several spectrograms in the Supplementary material that show examples of different types of noise.

      Authors should limit their data interpretation to the impact of lockdown on behavioral responses within small-scale variations in habitat. A key critique is the assumption that activity changes solely resulted from the lockdown, disregarding other environmental factors and phenology.

      Following the editor comment we realized that our conclusion\assertations were not clear. We never claimed that activity changes solely resulted from the lockdown. While revsing the mansucirpt we ensurred that we show a significant effect of temperature, ambient noise and human activity – all of which are not dependent on lockdown. We made an effort to emphasize the complexity of the system. We show that the lockdown seemed to have an additional impact, but we never claimed it was the only factor.

      To address this, the authors could compare acoustic monitoring data within a shorter timeframe before and after the lockdown (20 days), while also controlling for temperature effects, to strengthen the validity of their claims. They would need to explain in their discussion, however, that such a comparison may still be confounded by any carry-over effects from the 10 days of treatment.

      This analysis would be difficult because although the lockdown was officially removed at a specific date, it was gradually less respected by the citizens and thus the last period of the lockdown was somewhere between lockdown and no-lockdown. This is why we chose the approach of taking 10 days randomly from within the lockdown period and comparing them with the 10 post-lockdown days. We now clarify the reason better.

      An option is that authors could frame their analysis as a study of the behavior of wildlife coming out of a lockdown, to draw a distinction from other studies that compared pre-pandemic data to pandemic data.

      Good idea – revised.

    1. Author Response

      The following is the authors’ response to the previous reviews.

      Point to point response for the editors

      We are deeply grateful for the time you have devoted to reviewing this manuscript, and we sincerely thank you. Your insightful feedback has been instrumental in enhancing the quality of our work.

      In the revised version of the manuscript, we have carefully addressed each of the concerns you raised. Below, you will find a detailed summary of how your feedback has been incorporated to improve the overall content and clarity of the document.

      1. P2RX7 effects: In Figure 2, the vehicle treated P2RX7 knockout (panel M) shows an Ashcroft score of about 1.5 after BLM. Comparing this to the Ashcroft score of 3 after BLM in the wildtype (panel C) suggests that P2RX7 deletion is an effective way to reduce fibrosis by half!.

      The argument that HEI3090 also reduces fibrosis by activating P2RX7 is of course very difficult to convey and it seems contradictory that P2RX7 deletion and P2RX7 activation can be both anti-fibrotic. This is an unusual claim and confuses the reviewers as well as the future readers.

      This has many important health implications because activating an inflammatory pathway via P2RX7 and IL-18 could be risky in terms of a fibrosis treatment as inflammatory activation can also worsen fibrosis. The authors' own P2RX7 KO data (untreated vehicle groups) indeed confirms that P2RX7 can be pro-fibrotic.

      We thank the editors for their comment highlighting the lack of clarity in our message. Indeed, we verified whether the antifibrotic action of HEI3090 depends on the expression of P2RX7 by inducing lung fibrosis in P2RX7 KO mice. In doing so, we initially observed that P2RX7 plays a role in the development of BLM-induced lung fibrosis. This is illustrated by a decrease of 50% in the Ashcroft score, as shown in Figure 2M and Supplemental Figure 2C of the revised manuscript.

      To increase the clarity of your message, we added in the text the following paragraph:

      "We further verified whether the antifibrotic action of HEI3090 depends on the expression of P2RX7 by inducing lung fibrosis in p2rx7 knockout (KO) mice. In doing so, we initially observed that P2RX7 plays a role in the development of BLM-induced lung fibrosis. This is illustrated by a decrease of 50% in the Ashcroft score, with a mean value of 1.7 in P2RX7 knockout mice compared to 3 in wild-type mice (Figure 2M and Supplemental Figure 2C). It is important to note that p2rx7 -/- mice still exhibit signs of lung fibrosis, such as thickening of the alveolar wall and a reduction in free air space, in comparison to naïve mice that received PBS instead of BLM (see Supplemental Figure 2A). This result confirms a previous report indicating that BLM-induced lung fibrosis partially depends on the activation of the P2RX7/pannexin-1 axis, leading to the production of IL-1β in the lung. Additionally, in contrast to the observations in WT mice, HEI3090 failed to attenuate the remaining lung fibrosis in p2rx7 -/- mice, as measured by the Ashcroft score (Figure 2M), the percentage of lung tissue with fibrotic lesions, or the intensity of collagen fibers (Supplemental Figure 2D). These results show that P2RX7 alone participates in fibrosis and that HEI3090 exerts a specific antifibrotic effect through this receptor (see Supplemental Figure 2C)."

      Since we used the HEI3090 compound in this study and to be closer to the results, we have replaced the title of 2 chapters in the results section as followed:

      “HEI3090 inhibits the onset of pulmonary fibrosis in the bleomycin mouse model” instead of P2RX7 activation inhibits the onset of pulmonary fibrosis in the bleomycin mouse model and “HEI3090 shapes immune cell infiltration in the lungs" instead of P2RX7 activation shapes immune cell infiltration in the lungs

      We concur that the observation of both anti-fibrotic effects following P2RX7 deletion and P2RX7 activation appears contradictory. This specific aspect has been thoroughly addressed and extensively discussed in the revised manuscript.

      “A major unmet need in the field of IPF is new treatment to fight this uncurable disease. In this preclinical study, we demonstrate the ability of immune cells to limit lung fibrosis progression. Based on the hypothesis that a local activation of a T cell immune response and upregulation of IFN-γ production has antifibrotic proprieties, we used the HEI3090 positive modulator of the purinergic receptor P2RX7, previously developed in our laboratory (Douguet et al., 2021), to demonstrate that activation of the P2RX7/IL-18 pathway attenuates lung fibrosis in the bleomycin mouse model. We have demonstrated that lung fibrosis progression is inhibited by HEI3090 in the fibrotic phase but also in the acute phase of the BLM fibrosis mouse model, i.e. during the period of inflammation. This lung fibrosis mouse model commonly employed in preclinical investigations, has recently been recognized as the optimal model for studying IPF (Jenkins et al., 2017). In this model, the intrapulmonary administration of BLM induces DNA damage in alveolar epithelial type 1 cells, triggering cellular demise and the release of ATP. The extracellular release of ATP from injured cells activates the P2RX7/pannexin 1 axis, initiating the maturation of IL1β and subsequent induction of inflammation and fibrosis. In line with this, mice lacking P2RX7 exhibited reduced neutrophil counts in their bronchoalveolar fluids and decreased levels of IL1β in their lungs compared to WT mice (Riteau et al., 2010). Based on these findings, Riteau and colleagues postulated that the inhibition of P2RX7 activity may offer a potential strategy for the therapeutic control of fibrosis in lung injury. In the present study we provided strong evidence showing that selective activation of P2RX7 on immune cells, through the use of HEI3090, can dampen inflammation and fibrosis by releasing IL-18. The efficacy of HEI3090 to inhibit lung fibrosis was evaluated histologically on the whole lung’s surface by evaluating the severity of fibrosis using three independent approaches applied to the whole lung, the Ashcroft score, quantification of fibroblasts/myofibroblasts (CD140a) and polarized-light microscopy of Sirius Red staining to quantify collagen fibers. All these methods of fibrosis assessment revealed that HEI3090 exerts an inhibitory effect on lung fibrosis, underscoring the necessity for a thorough pre-clinical assessment of HEI3090's mode of action. Notably, HEI3090 functions as an activator, rather than an inhibitor, of P2RX7, further emphasizing the importance of elucidating its intricate mechanisms.”

      We trust that the detailed explanation provided therein will adequately persuade both the reviewers and future readers.

      1. The statistical concerns are based on the phrasing of "the experiment was stopped when significantly statistical results were observed". This is different from the power analysis approach that the authors describe in their latest rebuttal. However, it raises the question why the power analysis was performed using "on a one-way ANOVA analysis comparing in each experiment the vehicle and the treated group". The analyses in the manuscript use the Mann-Whitney test for several comparisons which ahs the assumption that the samples do NOT have a normal distribution. An ANOVA and t-tests have the assumption that samples are normally distributed. If the power analysis and "statistical forecasting" assumed a normal distribution and used an ANOVA, then shouldn't all the analyses also use a statistical test appropriate for normally distributed samples such as ANOVA and t-tests?

      Several of the data points in the figures seem to be normally distributed and therefore t-test for two group comparisons would be more appropriate. The most rigorous approach would be to check for normal distribution before choosing the correct statistical test and using the t-test/ANOVA in normally distributed data as well as Mann-Whitney for non-normally distributed data.

      We described in the Material and Method section of the revised manuscript our approach to determine the size of experimental group.

      “The determination of experimental group sizes involved conducting a pilot experiment with four mice in each group. Subsequently, a power analysis, based on the pilot experiment's findings (which revealed a 40% difference with a standard error of 0.9, α risk of 0.05, and power of 0.8), was performed to ascertain the appropriate group size for studying the effects of HEI3090 on BLM-induced lung fibrosis. The results of the pilot experiment and power analysis indicated that a group size of four mice was sufficient to characterize the observed effects. For each full-scale experiment, we initiated the study with 6 to 8 mice per group, ensuring a minimum of 5 mice in each group for robust statistical analysis. Additionally, we systematically employed the ROULT method to identify and subsequently exclude any outliers present in each experiment before conducting statistical analyses”.

      We now described in the Material and Method section how we carried out the statistical analyses.

      “Quantitative data were described and presented graphically as medians and interquartiles or means and standard deviations. The distribution normality was tested with the Shapiro's test and homoscedasticity with a Bartlett's test. For two categories, statistical comparisons were performed using the Student's t-test or the Mann–Whitney's test. For three and more categories, analysis of variance (ANOVA) or non-parametric data with Kruskal–Wallis was performed to test variables expressed as categories versus continuous variables. If this test was significant, we used the Tukey's test to compare these categories and the Bonferroni’s test to adjust the significant threshold. For the Gene Set Enrichment Analyses (GSEA), bilateral Kolmogorov–Smirnov test, and false discovery rate (FDR) were used. All statistical analyses were performed by biostatistician using Prism8 program from GraphPad software. Tests of significance was two-tailed and considered significant with an alpha level of P < 0.05. (graphically: * for P < 0.05, ** for P < 0.01, *** for P < 0.001).”

      We also added in the legend of each figure, the statistical analysis used to determine each p-values.

      1. Adoptive transfer: The concerns of the reviewers include an unclear analysis of the effects of adoptive transfer itself and the approaches used to analyze the data independent of the HEI3090 effect. For example, in Figure 4, the adoptive transfer IL18-/- cells (vehicle group) leads to an Ashcroft score of about 1 and among the lowest of the BLM exposed mice. Does that mean that IL18 is pro-fibrotic and that its absence is beneficial? If yes, it would go against the core premise of the study that IL18 is beneficial. Statistical comparisons of the all the vehicle conditions in the adoptive transfer would help clarify whether adoptive transfer of NLRP3-/-, IL18-/- in wild-type and P2RX7-/- mice reduces or increases fibrosis. Such multiple comparisons are necessary to fully understand the adoptive transfer studies and would also require the appropriate statistical test with corrections for multiple comparisons such as Kruskal-Wallis for data without normal distribution and ANOVA with post hoc correction for normal distribution.

      We added a new paragraph in the revised version of the manuscript to explain the adoptive transfer approach.

      “We wanted to further investigate the mechanism of action of HEI3090 by identifying the cellular compartment and signaling pathway required for its activity. Since the expression of P2RX7 and the P2RX7-dependent release of IL-18 are mostly associated with immune cells (Ferrari et al., 2006), and since HEI3090 shapes the lung immune landscape (Figure 3), we investigated whether immune cells were required for the antifibrotic effect of HEI3090. To do so, we conducted adoptive transfer experiments wherein immune cells from a donor mouse were intravenously injected one day before BLM administration into an acceptor mouse. The intravenous injection route was chosen as it is a standard method for targeting the lungs, as previously documented (Wei and Zhao, 2014). This approach was previously used with success in our laboratory (Douguet et al., 2021). It is noteworthy that this adoptive transfer approach did not influence the response to HEI3090. This was observed consistently in both p2rx7 -/- mice and p2rx7 -/- mice that received splenocytes of the same genetic background. In both cases, HEI3090 failed to mitigate lung fibrosis, as depicted in Figure 2M and Supplemental Figures 2D and 6A and B.”

      We added the Supplemental Figure 7 showing that the genetic background does not impact lung fibrosis at steady step levels where p-values were analyzed by one-way ANOVA, with Kruskal-Wallis test for multiple comparisons.

      Author response image 1.

      Supplemental Figure 7 : The genetic background does not impact lung fibrosis at steady step levels. p2rx7-/- mice were given 3.106 WT, nlrp3-/ , i118-/ or illb -l- splenocytes i_v_ one day prior to BLM delivery (i_n_ 2.5 LJ/kg) p2rx7-/- mice or p2rx7-/- mice adoptively transferred with splenocytes from indicated genetic background were treated daily i.p with mg/kg HE13090 or vehicle for 14 days. Fibrosis score assessed by the Ashcroft method. P-values were analyzed on all treated and non treated groups by one-way ANOVA, with Kruskal-Wallis test for multiple comparisons. The violin plot illustrates the distribution of Ashcroft scores across indicated experimental groups. The width of the violin at each point represents the density of data, and the central line indicates the median expression level. Each point represents one biological replicate. ns, not significant

    1. Author response:

      The following is the authors’ response to the previous reviews

      Public Reviews:

      Reviewer #1 (Public review):

      In this study, Marocco and colleages perform a deep characterization of the complex molecular mechanism guiding the recognition of a particular CELLmotif previously identified in hepatocytes in another publication. Having miR-155-3p with or without this CELLmotif as initial focus, authors identify 21 proteins differentially binding to these two miRNA versions. From these, they decided to focus on PCBP2. They elegantly demonstrate PCBP2 binding to miR-155-3p WT version but not to CELLmotif-mutated version. miR-155-3p contains a hEXOmotif identified in a different report, whose recognition is largely mediated by another RNA-binding protein called SYNCRIP. Interestingly, mutation of the hEXOmotif contained in miR-155-3p did not only blunt SYNCRIP binding, but also PCBP2 binding despite the maintenance of the CELLmotif. This indicates that somehow SYNCRIP binding is a pre-requisite for PCBP2 binding. EMSA assay confirms that SYNCRIP is necessary for PCBP2 binding to miR-155-3p, while PCBP2 is not needed for SYNCRIP binding. Then authors aim to extend these finding to other miRNAs containing both motifs. For that, they perform a small-RNA-Seq of EVs released from cells knockdown for PCBP2 versus control cells, identifying a subset of miRNAs whose expression either increases or decreases. The assumption is that those miRNAs containing PCBP2-binding CELLmotif should now be less retained in the cell and go more to extracellular vesicles, thus reflecting a higher EV expression. The specific subset of miRNAs having both the CELLmotif and hEXOmotif (9 miRNAs) whose expressions increase in EVs due to PCBP2 reduction is also affected by knocking-down SYNCRIP in the sense that reduction of SYNCRIP leads to lower EV sorting. Further experiments confirm that PCBP2 and SYNCRIP bind to these 9 miRNAs and that knocking down SYNCRIP impairs their EV sorting.

      In the revised manuscript, the authors have addressed most of my concerns and questions. I believe the new experiments provide stronger support for their claims. My only remaining concern is the lack of clarity in the replicates for the EMSA experiment. The one shown in the manuscript is clear; however, the other three replicates hardly show that knocking down SYNCRIP has an effect on PCBP2 binding. Even worse is the fact that these replicates do not support at all that PCBP2 silencing has no effect on SYNCRIP binding, as the bands for those types of samples are, in most of the cases, not visible. I think the authors should work on repeating a couple of times EMSA experiment.

      We thank this Reviewer for having appreciated the novelty and the robustness of our data. In accordance with the Reviewer’s concern, we repeated the EMSA assay, specifically to address the PCBP2-independent SYNCRIP binding. In Author response image 1, we report the new EMSA replicates (top), the quantification of each signal (bottom) and the mean of EMSA signals relative to the three independent experiments (right). We hope that the new evidence will meet the required standards.

      Author response image 1.

      Reviewer #2 (Public review):

      Summary:

      The author of this manuscript aimed to uncover the mechanisms behind miRNA retention within cells. They identified PCBP2 as a crucial factor in this process, revealing a novel role for RNAbinding proteins. Additionally, the study discovered that SYNCRIP is essential for PCBP2's function, demonstrating the cooperative interaction between these two proteins. This research not only sheds light on the intricate dynamics of miRNA retention but also emphasizes the importance of protein interactions in regulating miRNA behavior within cells.

      Strengths:

      This paper makes important progress in understanding how miRNAs are kept inside cells. It identifies PCBP2 as a key player in this process, showing a new role for proteins that bind RNA. The study also finds that SYNCRIP is needed for PCBP2 to work, highlighting how these proteins work together. These discoveries not only improve our knowledge of miRNA behavior but also suggest new ways to develop treatments by controlling miRNA locations to influence cell communication in diseases. The use of liver cell models and thorough experiments ensures the results are reliable and show their potential for RNA-based therapies

      Weaknesses:

      The manuscript is well-structured and presents compelling data, but I noticed a few minor corrections that could further enhance its clarity:

      Figure References: In the response to Reviewer 1, the comment states, "It's not Panel C, it's Panel A of Figure 1"-this should be cross-checked for consistency.

      Supplementary Figure 2 is labeled as "Panel A"-please verify if additional panels (B, C, etc.) are intended.

      Western Blot Quality: The Alix WB shows some background noise. A repeat with optimized conditions (or inclusion of a cleaner replicate) would strengthen the data. Adding statistical analysis for all WBs would also reinforce robustness.

      These are relatively small refinements, and the manuscript is already in excellent shape. With these adjustments, it will be even stronger.

      We deeply thank this Reviewer for having considered this new version of the manuscript and for having described its shape as excellent. In order to address the Reviewer’s concerns, we crosschecked the consistency of the described figures’ panels described in the text accordingly. Regarding the qualitative analysis of EV markers, we repeated the western blot analysis with optimized conditions as suggested and included the new panel (Author response image 2) in the supplementary figure 2, allowing to appreciate the signal relative to ALIX expression.

      Author response image 2.

       

      Recommendations for the authors:

      Reviewer #2 (Recommendations for the authors):

      Careful reading is required to rectify typo errors.

      We thank the Reviewer for this suggestion. We amended the text to rectify typo errors.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #1 (Public Review): 

      The reviewer retained most of their comments from the previous reviewing round. In order to meet these comments and to further examine the dynamic nature of threat omission-related fMRI responses, we now re-analyzed our fMRI results using the single trial estimates. The results of these additional analyses are added below in our response to the recommendations for the authors of reviewer 1. However, we do want to reiterate that there was a factually incorrect statement concerning our design in the reviewer’s initial comments. Specifically, the reviewer wrote that “25% of shocks are omitted, regardless of whether subjects are told that the probability is 100%, 75%, 50%, 25%, or 0%.” We want to repeat that this is not what we did. 100% trials were always reinforced (100% reinforcement rate); 0% trials were never reinforced (0% reinforcement rate). For all other instructed probability levels (25%, 50%, 75%), the stimulation was delivered in 25% of the trials (25% reinforcement rate). We have elaborated on this misconception in our previous letter and have added this information more explicitly in the previous revision of the manuscript (e.g., lines 125-129; 223-224; 486-492).   

      Reviewer #1 (Recommendations For The Authors): 

      I do not have any further recommendations, although I believe an analysis of learning-related changes is still possible with the trial-wise estimates from unreinforced trials. The authors' response does not clarify whether they tested for interactions with run, and thus the fact that there are main effects does not preclude learning. I kept my original comments regarding limitations, with the exception of the suggestion to modify the title. 

      We thank the reviewer for this recommendation. In line with their suggestion, we have now reanalyzed our main ROI results using the trial-by-trial estimates we obtained from the firstlevel omission>baseline contrasts. Specifically, we extracted beta-estimates from each ROI and entered them into the same Probability x Intensity x Run LMM we used for the relief and SCR analyses. Results from these analyses (in the full sample) were similar to our main results. For the VTA/SN model, we found main effects of Probability (F = 3.12, p = .04), and Intensity (F = 7.15, p < .001) (in the model where influential outliers were rescored to 2SD from mean). There was no main effect of Run (F = 0.92, p = .43) and no Probability x Run interaction (F = 1.24, p = .28). If the experienced contingency would have interfered with the instructions, there should have been a Probability x Run interaction (with the effect of Probability only being present in the first runs). Since we did not observe such an interaction, our results indicate that even though some learning might still have taken place, the main effect of Probability remained present throughout the task.  

      There is an important side note regarding these analyses: For the first level GLM estimation, we concatenated the functional runs and accounted for baseline differences between runs by adding run-specific intercepts as regressors of no-interest. Hence, any potential main effect of run was likely modeled out at first level. This might explain why, in contrast to the rating and SCR results (see Supplemental Figure 5), we found no main effect of Run. Nevertheless, interaction effects should not be affected by including these run-specific intercepts.

      Note that when we ran the single-trial analysis for the ventral putamen ROI, the effect of intensity became significant (F = 3.89, p = .02). Results neither changed for the NAc, nor the vmPFC ROIs.  

      Reviewer #2 (Public Review): 

      Comments on revised version: 

      I want to thank the authors for their thorough and comprehensive work in revising this manuscript. I agree with the authors that learning paradigms might not be a necessity when it comes to study the PE signals, but I don't particularly agree with some of the responses in the rebuttal letter ("Furthermore, conditioning paradigms generally only include one level of aversive outcome: the electrical stimulation is either delivered or omitted."). This is of course correct description for the conditioning paradigm, but the same can be said for an instructed design: the aversive outcome was either delivered or not. That being said, adopting the instructed design itself is legitimate in my opinion. 

      We thank the reviewer for this comment. We have now modified the phrasing of this argument to clarify our reasoning (see lines 102-104: “First, these only included one level of aversive outcome: the electrical stimulation was either delivered at a fixed intensity, or omitted; but the intensity of the stimulation was never experimentally manipulated within the same task.”).  

      The reason why we mentioned that “the aversive outcome is either delivered or omitted” is because in most contemporary conditioning paradigms only one level of aversive US is used. In these cases, it is therefore not possible to investigate the effect of US Intensity. In our paradigm, we included multiple levels of aversive US, allowing us to assess how the level of aversiveness influences threat omission responding. It is indeed true that each level was delivered or not. However, our data clearly (and robustly across experiments, see Willems & Vervliet, 2021) demonstrate that the effects of the instructed and perceived unpleasantness of the US (as operationalized by the mean reported US unpleasantness during the task) on the reported relief and the omission fMRI responses are stronger than the effect of instructed probability.  

      My main concern, which the authors spent quite some length in the rebuttal letter to address, still remains about the validity for different instructed probabilities. Although subjects were told that the trials were independent, the big difference between 75% and 25% would more than likely confuse the subjects, especially given that most of us would fall prey to the Gambler's fallacy (or the law of small numbers) to some degree. When the instruction and subjective experience collides, some form of inference or learning must have occurred, making the otherwise straightforward analysis more complex. Therefore, I believe that a more rigorous/quantitative learning modeling work can dramatically improve the validity of the results. Of course, I also realize how much extra work is needed to append the computational part but without it there is always a theoretical loophole in the current experimental design. 

      We agree with the reviewer that some learning may have occurred in our task. However, we believe the most important question in relation to our study is: to what extent did this learning influence our manipulations of interest?  

      In our reply to reviewer 1, we already showed that a re-analysis of the fMRI results using the trial-by-trial estimates of the omission contrasts revealed no Probability x Run interaction, suggesting that – overall – the probability effect remained stable over the course of the experiment. However, inspired by the alternative explanation that was proposed by this reviewer, we now also assessed the role of the Gambler’s fallacy in a separate set of analyses. Indeed, it is possible that participants start to expect a stimulation more after more time has passed since the last stimulation was experienced. To test this alternative hypothesis, we specified two new regressors that calculated for each trial of each participant how many trials had passed since the last stimulation (or since the beginning of the experiment) either overall (across all trials of all probability types; hence called the overall-lag regressor) or per probability level (across trials of each probability type separately; hence called the lag-per-probability regressor). For both regressors a value of 0 indicates that the previous trial was either a stimulation trial or the start of experiment, a value of 1 means that the last stimulation trial was 2 trials ago, etc.  

      The results of these additional analyses are added in a supplemental note (see supplemental note 6), and referred to in the main text (see lines 231-236: “Likewise, a post-hoc trial-by-trial analysis of the omission-related fMRI activations confirmed that the Probability effect for the VTA/SN activations was stable over the course of the experiment (no Probability x Run interaction) and remained present when accounting for the Gambler’s fallacy (i.e., the possibility that participants start to expect a stimulation more when more time has passed since the last stimulation was experienced) (see supplemental note 6). Overall, these post-hoc analyses further confirm the PE-profile of omission-related VTA/SN responses”.  

      Addition to supplemental material (pages 16-18)

      Supplemental Note 6: The effect of Run and the Gambler’s Fallacy 

      A question that was raised by the reviewers was whether omission-related responses could be influenced by dynamical learning or the Gambler’s Fallacy, which might have affected the effectiveness of the Probability manipulation.  

      Inspired by this question, we exploratorily assessed the role of the Gambler’s Fallacy and the effects of Run in a separate set of analyses. Indeed, it is possible that participants start to expect a stimulation more when more time has passed since the last stimulation was experienced. To test this alternative hypothesis, we specified two new regressors that calculated for each trial of each participant how many trials had passed since the last stimulation (or since the beginning of the experiment) either overall (across all trials of all probability types; hence called the overall-lag regressor) or per probability level (across trials of each probability type separately; hence called the lag-per-probability regressor). For both regressors a value of 0 indicates that the previous trial was either a stimulation trial or the start of experiment, a value of 1 means that the last stimulation trial was 2 trials ago, etc.  

      The new models including these regressors for each omission response type (i.e., omission-related activations for each ROI, relief, and omission-SCR) were specified as follows:   

      (1) For the overall lag:

      Omission response ~ Probability * Intensity * Run + US-unpleasantness + Overall-lag + (1|Subject).  

      (2) For the lag per probability level:

      Omission response ~ Probability * Intensity * Run + US-unpleasantness + Lag-perprobability : Probability + (1|Subject).  

      Where US-unpleasantness scores were mean-centered across participants; “*” represents main effects and interactions, and “:” represents an interaction (without main effect). Note that we only included an interaction for the lag-per-probability model to estimate separate lag-parameters for each probability level.  

      The results of these analyses are presented in the tables below. Overall, we found that adding these lag-regressors to the model did not alter our main results. That is: for the VTA/SN, relief and omission-SCR, the main effects of Probability and Intensity remained. Interestingly, the overall-lag-effect itself was significant for VTA/SN activations and omission SCR, indicating that VTA/SN activations were larger when more time had passed since the last stimulation (beta = 0.19), whereas SCR were smaller when more time had passed (beta = -0.03). This pattern is reminiscent of the Perruchet effect, namely that the explicit expectancy of a US increases over a run of non-reinforced trials (in line with the gambler’s fallacy effect) whereas the conditioned physiological response to the conditional stimulus declines (in line with an extinction effect, Perruchet, 1985; McAndrew, Jones, McLaren, & McLaren, 2012). Thus, the observed dissociation between the VTA/SN activations and omission SCR might similarly point to two distinctive processes where VTA/SN activations are more dependent on a consciously controlled process that is subjected to the gambler’s fallacy, whereas the strength of the omission SCR responses is more dependent on an automatic associative process that is subjected to extinction. Importantly, however, even though the temporal distance to the last stimulation had these opposing effects on VTA/SN activations and omission SCRs, the main effects of the probability manipulation remained significant for both outcome variables. This means that the core results of our study still hold.   

      Next to the overall-lag effect, the lag-per-probability regressor was only significant for the vmPFC. A follow-up of the beta estimates of the lag-per-probability regressors for each probability level revealed that vmPFC activations increased with increasing temporal distance from the stimulation, but only for the 50% trials (beta = 0.47, t = 2.75, p < .01), and not the 25% (beta = 0.25, t = 1.49, p = .14) or the 75% trials (beta = 0.28, t = 1.62, p = .10).

      Author response table 1.

      F-statistics and corresponding p-values from the overall lag model. (*) F-test and p-values were based on the model where outliers were rescored to 2SD from the mean. Note that when retaining the influential outliers for this model, the p-value of the probability effect was p = .06. For all other outcome variables, rescoring the outliers did not change the results. Significant effects are indicated in bold.

      Author response table 2.

      F-statistics and corresponding p-values from the lag per probability level model. (*) F-test and p-values were based on the model where outliers were rescored to 2SD from the mean. Note that when retaining the influential outliers for this model, the p-value of the Intensity x Run interaction was p = .05. For all other outcome variables, rescoring the outliers did not change the results. Significant effects are indicated in bold.

      As the authors mentioned in the rebuttal letter, "selecting participants only if their anticipatory SCR monotonically increased with each increase in instructed probability 0% < 25% < 50% < 75% < 100%, N = 11 participants", only ~1/3 of the subjects actually showed strong evidence for the validity of the instructions. This further raises the question of whether the instructed design, due to the interference of false instruction and the dynamic learning among trials, is solid enough to test the hypothesis .  

      We agree with the reviewer that a monotonic increase in anticipatory SCR with increasing probability instructions would provide the strongest evidence that the manipulation worked. However, it is well known that SCR is a noisy measure, and so the chances to see this monotonic increase are rather small, even if the underlying threat anticipation increases monotonically. Furthermore, between-subject variation is substantial in physiological measures, and it is not uncommon to observe, e.g., differential fear conditioning in one measure, but not in another (Lonsdorf & Merz, 2017). It is therefore not so surprising that ‘only’ 1/3 of our participants showed the perfect pattern of monotonically increasing SCR with increasing probability instructions. That being said, it is also important to note that not all participants were considered for these follow-up analyses because valid SCR data was not always available.

      Specifically, N = 4 participants were identified as anticipation non-responders (i.e. participant with smaller average SCR to the clock on 100% than on 0% trials; pre-registered criterium) and were excluded from the SCR-related analyses, and N = 1 participant had missing data due to technical difficulties. This means that only 26 (and not 31) participants were considered for the post hoc analyses. Taking this information into account, this means that 21 out of 26 participants (approximately 80%) showed stronger anticipatory SCR following 75% instructions compared to 25% instructions and that  11 out of 26 participants (approximately 40%) even showed the monotonical increase in their anticipatory SCR (see supplemental figure 4). Furthermore, although anticipatory SCR gradually decreased over the course of the experiment, there was no Run x Probability interaction, indicating that the instructions remained stable throughout the task (see supplemental figure 3).  

      Reviewer #2 (Recommendations For The Authors):

      A more operational approach might be to break the trials into different sections along the timeline and examine how much the results might have been affected across time. I expect the manipulation checks would hold for the first one or two runs and the authors then would have good reasons to focus on the behavioral and imaging results for those runs. 

      This recommendation resembles the recommendation by reviewer 1. In our reply to reviewer 1, we showed the results of a re-analysis of the fMRI data using the trial-by-trial estimates of the omission contrasts, which revealed no Probability x Run interaction, suggesting that – overall - the probability effect remained (more or less) stable over the course of the experiment.  For a more in depth discussion of the results of this additional analysis, we refer to our answer to reviewer 1.  

      Reviewer #3 (Public Review): 

      Comments on revised version: 

      The authors were extremely responsive to the comments and provided a comprehensive rebuttal letter with a lot of detail to address the comments. The authors clarified their methodology, and rationale for their task design, which required some more explanation (at least for me) to understand. Some of the design elements were not clear to me in the original paper. 

      The initial framing for their study is still in the domain of learning. The paper starts off with a description of extinction as the prime example of when threat is omitted. This could lead a reader to think the paper would speak to the role of prediction errors in extinction learning processes. But this is not their goal, as they emphasize repeatedly in their rebuttal letter. The revision also now details how using a conditioning/extinction framework doesn't suit their experimental needs. 

      We thank the reviewer for pointing out this potential cause of confusion. We have now rewritten the starting paragraph of the introduction to more closely focus on prediction errors, and only discuss fear extinction as a potential paradigm that has been used to study the role of threat omission PE for fear extinction learning (see lines 40-55). We hope that these adaptations are sufficient to prevent any false expectations. However, as we have mentioned in our previous response letter, not talking about fear extinction at all would also not make sense in our opinion, since most of the knowledge we have gained about threat omission prediction errors to date is based on studies that employed these paradigms.  

      Adaptation in the revised manuscript (lines 40-55):  

      “We experience pleasurable relief when an expected threat stays away1. This relief indicates that the outcome we experienced (“nothing”) was better than we expected it to be (“threat”). Such a mismatch between expectation and outcome is generally regarded as the trigger for new learning, and is typically formalized as the prediction error (PE) that determines how much there can be learned in any given situation2. Over the last two decades, the PE elicited by the absence of expected threat (threat omission PE) has received increasing scientific interest, because it is thought to play a central role in learning of safety. Impaired safety learning is one of the core features of clinical anxiety4. A better understanding of how the threat omission PE is processed in the brain may therefore be key to optimizing therapeutic efforts to boost safety learning. Yet, despite its theoretical and clinical importance, research on how the threat omission PE is computed in the brain is only emerging.  

      To date, the threat omission PE has mainly been studied using fear extinction paradigms that mimic safety learning by repeatedly confronting a human or animal with a threat predicting cue (conditional stimulus, CS; e.g. a tone) in the absence of a previously associated aversive event (unconditional stimulus, US; e.g., an electrical stimulation). These (primarily non-human) studies have revealed that there are striking similarities between the PE elicited by unexpected threat omission and the PE elicited by unexpected reward.”

      It is reasonable to develop a new task to answer their experimental questions. By no means is there a requirement to use a conditioning/extinction paradigm to address their questions. As they say, "it is not necessary to adopt a learning paradigm to study omission responses", which I agree with.  But the authors seem to want to have it both ways: they frame their paper around how important prediction errors are to extinction processes, but then go out of their way to say how they can't test their hypotheses with a learning paradigm.

      Part of their argument that they needed to develop their own task "outside of a learning context" goes as follows: 

      (1) "...conditioning paradigms generally only include one level of aversive outcome: the electrical stimulation is either delivered or omitted. As a result, the magnitude-related axiom cannot be tested." 

      (2) "....in conditioning tasks people generally learn fast, rendering relatively few trials on which the prediction is violated. As a result, there is generally little intra-individual variability in the PE responses" 

      (3) "...because of the relatively low signal to noise ratio in fMRI measures, fear extinction studies often pool across trials to compare omission-related activity between early and late extinction, which further reduces the necessary variability to properly evaluate the probability axiom" 

      These points seem to hinge on how tasks are "generally" constructed. However, there are many adaptations to learning tasks:

      (1) There is no rule that conditioning can't include different levels of aversive outcomes following different cues. In fact, their own design uses multiple cues that signal different intensities and probabilities. Saying that conditioning "generally only include one level of aversive outcome" is not an explanation for why "these paradigms are not tailored" for their research purposes. There are also several conditioning studies that have used different cues to signal different outcome probabilities. This is not uncommon, and in fact is what they use in their study, only with an instruction rather than through learning through experience, per se.

      (2) Conditioning/extinction doesn't have to occur fast. Just because people "generally learn fast" doesn't mean this has to be the case. Experiments can be designed to make learning more challenging or take longer (e.g., partial reinforcement). And there can be intra-individual differences in conditioning and extinction, especially if some cues have a lower probability of predicting the US than others. Again, because most conditioning tasks are usually constructed in a fairly simplistic manner doesn't negate the utility of learning paradigms to address PEaxioms.

      (3) Many studies have tracked trial-by-trial BOLD signal in learning studies (e.g., using parametric modulation). Again, just because other studies "often pool across trials" is not an explanation for these paradigms being ill-suited to study prediction errors. Indeed, most computational models used in fMRI are predicated on analyzing data at the trial level. 

      We thank the reviewer for these remarks. The “fear conditioning and extinction paradigms” that we were referring to in this paragraph were the ones that have been used to study threat omission PE responses in previous research (e.g., Raczka et al., 2011; Thiele et al. 2021; Lange et al. 2020; Esser et al., 2021; Papalini et al., 2021; Vervliet et al. 2017). These studies have mainly used differential/multiple-cue protocols where either one (or two) CS+  and one CS- are trained in an acquisition phase and extinguished in the next phase. Thus, in these paradigms: (1) only one level of aversive US is used; and (2) as safety learning develops over the course of extinction, there are relatively few omission trials during which “large” threat omission PEs can be observed (e.g. from the 24 CS+ trials that were used during extinction in Esser et al., the steepest decreases in expectancy – and thus the largest PE – were found in first 6 trials); and (3) there was never absolute certainty that the stimulation will no longer follow. Some of these studies have indeed estimated the threat omission PE during the extinction phase based on learning models, and have entered these estimates as parametric modulators to CS-offset regressors. This is very informative. However, the exact model that was used differed per study (e.g. Rescorla-Wagner in Raczka et al. and Thiele et al.; or a Rescorla- Wagner–Pearce- Hall hybrid model in Esser et al.). We wanted to analyze threat omission-responses without commitment to a particular learning model. Thus, in order to examine how threat omissionresponses vary as a function of probability-related expectations, a paradigm that has multiple probability levels is recommended (e.g. Rutledge et al., 2010; Ojala et al., 2022)

      The reviewer rightfully pointed out that conditioning paradigms (more generally) can be tailored to fit our purposes as well. Still, when doing so, the same adaptations as we outlined above need to be considered: i.e. include different levels of US intensity; different levels of probability; and conditions with full certainty about the US (non)occurrence. In our attempt to keep the experimental design as simple and straightforward as possible, we decided to rely on instructions for this purpose, rather than to train 3 (US levels) x 5 (reinforcement levels) = 15 different CSs. It is certainly possible to train multiple CSs of varying reinforcement rates (e.g. Grings et al. 1971, Ojala et al., 2022). However, given that US-expectation on each trial would primarily depend on the individual learning processes of the participants, using a conditioning task would make it more difficult to maintain experimental control over the level of USexpectation elicited by each CS. As a result, this would likely require more extensive training, and thus prolong the study procedure considerably. Furthermore, even though previous studies have trained different CSs for different reinforcement rates, most of these studies have only used one level of US. Thus, in order to not complexify our task to much, we decided to rely on instructions rather than to train CSs for multiple US levels (in addition to multiple reinforcement rates).

      We have tried to clarify our reasoning in the revised version of the manuscript (see introduction, lines 100-113):  

      “The previously discussed fear conditioning and extinction studies have been invaluable for clarifying the role of the threat omission PE within a learning context. However, these studies were not tailored to create the varying intensity and probability-related conditions that are required to systematically evaluate the threat omission PE in the light of the PE axioms. First, these only included one level of aversive outcome: the electrical stimulation was either delivered or omitted; but the intensity of the stimulation was never experimentally manipulated within the same task. As a result, the magnitude-related axiom could not be tested. Second, as safety learning progressively developed over the course of extinction learning, the most informative trials to evaluate the probability axiom (i.e. the trials with the largest PE) were restricted to the first few CS+ offsets of the extinction phase, and the exact number of these informative trials likely differed across participants as a result of individually varying learning rates. This limited the experimental control and necessary variability to systematically evaluate the probability axiom. Third, because CS-US contingencies changed over the course of the task (e.g. from acquisition to extinction), there was never complete certainty about whether the US would (not) follow. This precluded a direct comparison of fully predicted outcomes. Finally, within a learning context, it remains unclear whether brain responses to the threat omission are in fact responses to the violation of expectancy itself, or whether they are the result of subsequent expectancy updating.”

      Again, the authors are free to develop their own task design that they think is best suited to address their experimental questions. For instance, if they truly believe that omission-related responses should be studied independent of updating. The question I'm still left puzzling is why the paper is so strongly framed around extinction (the word appears several times in the main body of the paper), which is a learning process, and yet the authors go out of their way to say that they can only test their hypotheses outside of a learning paradigm. 

      As we have mentioned before, the reason why we refer to extinction studies is because most evidence on threat omission PE to date comes from fear extinction paradigms.  

      The authors did address other areas of concern, to varying extents. Some of these issues were somewhat glossed over in the rebuttal letter by noting them as limitations. For example, the issue with comparing 100% stimulation to 0% stimulation, when the shock contaminates the fMRI signal. This was noted as a limitation that should be addressed in future studies, bypassing the critical point. 

      It is unclear to us what the reviewer means with “bypassing the critical point”. We argued in the manuscript that the contrast we initially specified and preregistered to study axiom 3 (fully predicted outcomes elicit equivalent activation) could not be used for this purpose, as it was confounded by the delivery of the stimulation. Because 100% trials aways included the stimulation and 0% trials never included stimulation, there was no way to disentangle activations related to full predictability from activations related to the stimulation as such.   

      Reviewer #3 (Recommendations For The Authors): 

      I'm not sure the new paragraph explaining why they can't use a learning task to test their hypotheses is very convincing, as I noted in my review. Again, it is not a problem to develop a new task to address their questions. They can justify why they want to use their task without describing (incorrectly in my opinion) that other tasks "generally" are constructed in a way that doesn't suit their needs. 

      For an overview of the changes we made in response to this recommendation, we refer to our reply to the public review.   

      We look forward to your reply and are happy to provide answers to any further questions or comments you may have.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #3:

      Comments on current version:

      As mentioned in my first review, this work is significantly underpowered for the following reasons: 1) n=4 for each treatment group.; 2) no randomization of the surgical sites receiving treatments; 3) implants surgically inserted without precision/guided surgery. The authors have not addressed these concerns.

      On a minor note: not sure why the authors present a methodology to evaluate the dynamic bone formation (line 272) but do not present results (i.e. by means of histomorphometrical analyses) utilizing this methodology.

      We sincerely appreciate your thorough review and valuable feedback. We have carefully considered your comments and would like to address them as follows:

      As mentioned in my first review, this work is significantly underpowered for the following reasons:

      (1) n=4 for each treatment group.;

      We acknowledge your concern regarding the limited sample size (n=4 per group). While we understand this may affect statistical power, our choice was influenced by ethical considerations in animal experimentation and resource constraints. Increasing the sample size would undoubtedly strengthen the statistical power of our study. However, the logistical and ethical constraints associated with using a larger number of animals in such invasive procedures were significant limiting factors. Specifically, increasing the number of medium to large experimental animals could raise ethical issues, so we used the minimum number possible. Additionally, our study design was reviewed and approved by the animal IRB, which dictated the minimum number of animals we could use. Nevertheless, we conducted power analysis to ensure that our sample size, although limited, was sufficient to detect significant differences given the high variability typically observed in biological responses. The results obtained from our n=4 samples showed consistent trends and significant differences between groups, indicating the robustness of our findings. I will include this point in the limitations section of the discussion. Thank you.

      (2) no randomization of the surgical sites receiving treatments;

      Thank you for pointing out this issue. We agree that randomization is essential when considering individual differences and the anatomical variations of the jawbone, such as those found in humans. However, this study is an animal experiment where other conditions were controlled, and the interventions were applied after complete bone healing following tooth extraction. Therefore, the impact of randomization of surgical sites was likely minimal, and it is challenging to determine whether it significantly influenced the experimental results. Of course, twelve female OVX beagles were randomly designated into three groups. (Methods section, line 298) However regarding your concern, we would like to present the robustness of histological results from different surgical sites as shown below. Also we will include this point in the limitations section of the discussion.

      Histologic analysis of the different surgical sites showed significant differences in bone formation and osseointegration among the three treatment groups: vehicle control, rhPTH(1-34), and dimeric Cys25PTH(1-34). Goldner trichrome staining (Figure A-C) showed enhanced bone formation in both the rhPTH(1-34) and dimeric Cys25PTH(1-34) groups compared to the vehicle control group. The rhPTH(1-34) group showed the most pronounced bone mass gain around the implant. Both treatment groups showed improved bone-to-implant contact compared to the control group, as indicated by the red arrows.

      Masson trichrome staining (Figure D-F) further confirmed these results, showing an increase in bone matrix (blue staining) in the rhPTH(1-34) and dimeric Cys25PTH(1-34) groups, with the dimeric rhPTH(1-34) group showing the most extensive and dense bone formation.

      TRAP staining (Figure G-I and G'-I') was used to assess osteoclast activity. Interestingly, both the rhPTH(1-34) and dimeric Cys25PTH(1-34) groups showed an increase in TRAP-positive cells compared to the vehicle control, suggesting enhanced bone remodeling activity. The highest number of TRAP-positive cells was observed in the rhPTH(1-34) group and the highest trabecular number, indicating the most active bone remodeling.

      To summarize the results, histological analyses revealed that both rhPTH(1-34) and dimeric Cys25PTH(1-34) treatments significantly enhanced osseointegration and bone formation around titanium implants in a postmenopausal osteoporosis model compared to the control. The rhPTH(1-34) group demonstrated superior outcomes, exhibiting the most substantial increase in bone volume, bone-to-implant contact, and osteoclastic activity, indicating its greater efficacy in promoting bone regeneration and implant integration in this experimental context.

      Author response image 1.

      Histological analysis using Goldner trichrome, Masson trichrome, and TRAP staining

      (3) implants surgically inserted without precision/guided surgery. The authors have not addressed these concerns.

      The primary purpose of precision guides is to prevent damage to various anatomical structures and to ensure perfect placement at the desired location. Even disregarding the potential inaccuracies of precision guides in actual clinical settings, the primary goal of this animal experiment was not to achieve perfect placement or prevent damage to anatomical structures. Instead, the objective was to histologically measure the integrity of the bone surrounding titanium fixture's platform after pharmacological intervention, ensuring it was fully seated in the alveolar bone. To this end, we secured sufficient visibility through periosteal dissection to confirm the perfect placement of the implant and adhered to the principle of maintaining sufficient mesiodistal distance between each fixture. Using such precision guides in this animal experiment, which is not an evaluation of 'implant precision guides,' could potentially introduce inaccuracies and contradict the experimental objectives. Furthermore, since this experiment was conducted on an edentulous ridge where all teeth had been extracted, achieving the same placement as in the presurgical simulation would be impossible, even with the use of precision guides. Thank you once again for your constructive feedback. We will include this point in the limitations section of the discussion.

      On a minor note: not sure why the authors present a methodology to evaluate the dynamic bone formation (line 272) but do not present results (i.e. by means of histomorphometrical analyses) utilizing this methodology.

      As the reviewer mentioned, we confirmed that the sentence was included in the Methods section despite the analysis not actually being performed. We sincerely apologize for this oversight and will make the necessary corrections immediately. Thank you very much for your keen observation.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #1 (Public Review):

      Summary:

      Tian et al. describe how TIPE regulates melanoma progression, stemness, and glycolysis. The authors link high TIPE expression to increased melanoma cell proliferation and tumor growth. TIPE causes dimerization of PKM2, as well as translocation of PKM2 to the nucleus, thereby activating HIF-1alpha. TIPE promotes the phosphorylation of S37 on PKM2 in an ERK-dependent manner. TIPE is shown to increase stem-like phenotype markers. The expression of TIPE is positively correlated with the levels of PKM2 Ser37 phosphorylation in murine and clinical tissue samples. Taken together, the authors demonstrate how TIPE impacts melanoma progression, stemness, and glycolysis through dimeric PKM2 and HIF-1alpha crosstalk.

      Strengths:

      The authors manipulated TIPE expression using both shRNA and overexpression approaches throughout the manuscript. Using these models, they provide strong evidence of the involvement of TIPE in mediating PKM2 Ser37 phosphorylation and dimerization. The authors also used mutants of PKM2 at S37A to block its interaction with TIPE and HIF-1alpha. In addition, an ERK inhibitor (U0126) was used to block the phosphorylation of Ser37 on PKM2. The authors show how dimerization of PKM2 by TIPE causes nuclear import of PKM2 and activation of HIF-1alpha and target genes. Pyridoxine was used to induce PKM2 dimer formation, while TEPP-46 was used to suppress PKM2 dimer formation. TIPE maintains stem cell phenotypes by increasing the expression of stem-like markers. Furthermore, the relationship between TIPE and Ser37 PKM2 was demonstrated in murine and clinical tissue samples.

      Weaknesses:

      The evaluation of how TIPE causes metabolic reprogramming can be better assessed using isotope tracing experiments and improved bioenergetic analysis.

      Thank you immensely for your invaluable suggestions. Regrettably, we encountered a significant obstacle in completing the isotope tracing experiments due to an unfortunate shortage of necessary instruments. Furthermore, despite our efforts to consult with several companies, we were unable to secure their assistance, which unfortunately hindered the completion of these experiments. We deeply apologize for this imperfection in our experimental design and have thoroughly discussed this limitation in our manuscript.

      Additionally, we acknowledge our oversight in the previous versions of our manuscripts, where only three metabolites were presented. To rectify this and provide a more comprehensive understanding of the metabolic reprogramming induced by TIPE, we have conducted routine untargeted metabolomics analysis. We are pleased to announce that we have incorporated the detailed results of this analysis into our work as a new supplementary figure, designated as Figure S3. This figure specifically highlights the notable decrease in the glycolysis pathway, particularly in pyruvate and lactic acid levels, following TIPE interference.

      Reviewer #2 (Public Review):

      In this article, Tian et al present a convincing analysis of the molecular mechanisms underpinning TIPE-mediated regulation of glycolysis and tumor growth in melanoma. The authors begin by confirming TIPE expression in melanoma cell lines and identify "high" and "low" expressing models for functional analysis. They show that TIPE depletion slows tumour growth in vivo, and using both knockdown and over-expression approaches, show that this is associated with changes in glycolysis in vitro. Compelling data using multiple independent approaches is presented to support an interaction between TIPE and the glycolysis regulator PKM2, and the over-expression of TIPE-promoted nuclear translocation of PKM2 dimers. Mechanistically, the authors also demonstrate that PKM2 is required for TIPE-mediated activation of HIF1a transcriptional activity, as assessed using an HRE-promoter reporter assay, and that TIPE-mediated PKM2 dimerization is p-ERK dependent. Finally, the dependence of TIPE activity on PKM2 dimerization was demonstrated on tumor growth in vivo and in the regulation of glycolysis in vitro, and ectopic expression of HIF1a could rescue the inhibition of PKM2 dimerization in TIPE overexpressing cells and reduced induction of general cancer stem cell markers, showing a clear role for HIF1a in this pathway. The main conclusions of this paper are well supported by data, but some aspects of the experiments need clarification and some data panels are difficult to read and interpret as currently presented.

      The detailed mechanistic analysis of TIPE-mediated regulation of PKM2 to control aerobic glycolysis and tumor growth is a major strength of the study and provides new insights into the molecular mechanisms that underpin the Warburg effect in cancer cells. However, despite these strengths, some weaknesses were noted, which if addressed will further strengthen the study.

      (1) The analysis of patient samples should be expanded to more directly measure the relationship between TIPE levels and melanoma patient outcome and progression (primary vs metastasis), to build on the association between TIPE levels and proliferation (Ki67) and hypoxia gene sets that are currently shown.

      Thanks for your suggestions. We have expanded the analysis to include the relationship between TIPE levels and melanoma progression, specifically distinguishing between non-lymph node metastasis and lymph node metastasis. In addition, we added the association between TIPE and Ki67 or LDH levels as your advised, as shown in Figure 7.

      However, the relationship between TIPE levels and melanoma patient outcome is not presented in this article. One reason is that the tissue microarray lack of the survival data. Interestingly, the TCGA dataset showed that the higher TIPE expression has a favorable prognosis for melanoma. We are also very curious about this. Our following study indicated that TIPE might serve as a positive regulator of PD-L1. Therefore, the higher expression of TIPE presents more sensitive tendency to immunotherapy, resulting in a favorable prognosis in melanoma. The detailed mechanisms will be discussed in our following article, and we hope that it might as a continuous research topic for TIPE in melanoma.

      We just only disclose a little information that TIPE shares similar survival and immune signature to PD-L1 and PD-1 in melanoma as following:

      Author response image 1.

      (2) The duration of the in vivo experiments was not clearly defined in the figures, however, it was clear from the tumor volume measurements that they ended well before standard ethical endpoints in some of the experiments. A rationale for this should be provided because longer-duration experiments might significantly change the interpretation of the data. For example, does TIPE depletion transiently reduce or lead to sustained reductions in tumor growth?

      Thanks for your suggestions. Actually, we have performed a pre-experiment before the formal experiments, and all the time points were referred to this. Furthermore, we have added the detailed time points into the figure legends as you suggested.

      (3) The analysis of general cancer stem cell markers is solid and interesting, however inclusion of neural crest stem cell markers that are more relevant to melanoma biology would greatly strengthen this aspect of the study.

      Thanks for your advices. We have selected two neural crest stem cell markers including Nestin and Sox10 to test their expression after overexpression of TIPE in G361 cells or interference of TIPE in A375 cells.

      (4) The authors should take care that all data panels are clearly readable in the figures to facilitate appropriate interpretation by the reader.

      Thanks for your suggestions. We have amended the data panels according to you advises to ensure it is clear and professionally presented.

      Reviewer #1 (Recommendations for the authors):

      It would be suggested to improve the image quality of certain panels (please refer to Fig.1A and Fig.S3B-D).

      Thank you for your expert advice. We have optimized the quality of certain panels according to your suggestions.

      Reviewer #2 (Recommendations for the authors):

      Major comments:

      - TCGA survival/patient outcome data relative to TIPE levels should be provided in the supplementary figures, together with TIPE correlation with PKM2.

      - Suggest revising how this point is described in the discussion.

      We have added the results of TIPE expression and prognosis of melanoma patients from the TCGA database as required by the expert, and discussed it appropriately in the article. In addition, the correlation between TIPE and PKM2 expression has already been described in Supplementary Figure 6.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      We would like to first thank the Editor as well as the three reviewers for their enthusiasm and conducting another careful evaluation of our manuscript. We appreciate their thoughtful and constructive comments and suggestions. Some concerns regarding experimental design, data analysis, and over-interpretation of our findings still remains unresolved after the initial revision. Here we endeavored to address these remaining concerns through further refinement of our writing, and inclusion of these concerns in the discussion session. We hope our response can better explain the rationale of our experimental design and data interpretation. In addition, we also acknowledge the limitations of our present study, so that it will benefit future investigations into this topic. Our detail responses are provided below.

      Reviewer #1 (Public Review):

      This study examines whether the human brain uses a hexagonal grid-like representation to navigate in a non-spatial space constructed by competence and trustworthiness. To test this, the authors asked human participants to learn the levels of competence and trustworthiness for six faces by associating them with specific lengths of bar graphs that indicate their levels in each trait. After learning, participants were asked to extrapolate the location from the partially observed morphing bar graphs. Using fMRI, the authors identified brain areas where activity is modulated by the angles of morphing trajectories in six-fold symmetry. The strength of this paper lies in the question it attempts to address. Specifically, the question of whether and how the human brain uses grid-like representations not only for spatial navigation but also for navigating abstract concepts, such as social space, and guiding everyday decision-making. This question is of emerging importance.

      I acknowledge the authors' efforts to address the comments received. However, my concerns persist:

      Thanks very much again for the re-evaluation and comments. Please find our revision plans to each comment below.

      (1) The authors contend that shorter reaction times correlated with increased distances between individuals in social space imply that participants construct and utilize two-dimensional representations. This method is adapted from a previous study by Park et al. Yet, there is a fundamental distinction between the two studies. In the prior work, participants learned relationships between adjacent individuals, receiving feedback on their decisions, akin to learning spatial locations during navigation. This setup leads to two different predictions: If participants rely on memory to infer relationships, recalling more pairs would be necessary for distant individuals than for closer ones. Conversely, if participants can directly gauge distances using a cognitive map, they would estimate distances between far individuals as quickly as for closer ones. Consequently, as the authors suggest, reaction times ought to decrease with increasing decision value, which, in this context, corresponds to distances. However, the current study allowed participants to compare all possible pairs without restricting learning experiences, rendering the application of the same methodology for testing two-dimensional representations inappropriate. In this study, the results could be interpreted as participants not forming and utilizing two-dimensional representations.

      We apologize for not being clear enough about our task design, we have made relevant changes in the methodology section in the manuscript to make it clearer. The reviewer’s concern is that participants learned about all the pairs in the comparison task which makes the distance effect invalid. We would like to clarify that during all the memory test tasks (the comparison task, the collect task and the recall task outside and inside scanner), participants never received feedback on whether their responses were correct or not. Therefore, the comparison task in our study is similar to the previous study by Park et al. (2021). Participants do not have access to correct responses for all possible pairs of comparison prior to or during this task, they would need to make inference based on memory retrieval.

      (2) The confounding of visual features with the value of social decision-making complicates the interpretation of this study's results. It remains unclear whether the observed grid-like effects are due to visual features or are genuinely indicative of value-based decision-making, as argued by the authors. Contrary to the authors' argument, this issue was not present in the previous study (Constantinescu et al.). In that study, participants associated specific stimuli with the identities of hidden items, but these stimuli were not linked to decision-making values (i.e., no image was considered superior to another). The current study's paradigm is more akin to that of Bao et al., which the authors mention in the context of RSA analysis. Indeed, Bao et al. controlled the length of the bars specifically to address the problem highlighted here. Regrettably, in the current paradigm, this conflation remains inseparable.

      We’d like to thank the reviewer for facilitating the discussion on the question of ‘social space’ vs. ‘sensory space’. The task in scanner did not require value-based decision making. It is akin to both the Bao et al. (2019) study and Constantinescu et al. (2016) study in a sense that all three tasks are trying to ask participants to imagine moving along a trajectory in an abstract, non-physical space and the trajectory is grounded in sensory cue. Participants were trained to associate the sensory cue with abstract (social/nonsocial) concepts. We think that the paradigm is a relatively faithful replication of the study by Constantinescu et al. Nonetheless, we agreed that a design similar to Bao et al. (2019) which controls for sensory confounds would be more ideal to address this concern, or adopting a value-based decision-making task in the scanner similar to that by Park et al. (2021), and we have included this limitation in the discussion section.

      (3) While the authors have responded to comments in the public review, my concerns noted in the Recommendation section remain unaddressed. As indicated in my recommendations, there are aspects of the authors' methodology and results that I find difficult to comprehend. Resolving these issues is imperative to facilitate an appropriate review in subsequent stages.

      Considering that the issues raised in the previous comments remain unresolved, I have retained my earlier comments below for review.

      We apologize for not addressing the recommendations properly, please find detailed our response and plans for revision.

      I have some comments. I hope that these can help.

      (1) While the explanation of Fig.4A-C is lacking in both the main text and figure legend, I am not sure if I understand this finding correctly. Did the authors find the effects of hexagonal modulation in the medial temporal gyrus and lingual gyrus correlate with the individual differences in the extent to which their reaction times were associated with the distances between faces when choosing a better collaborator? If so, I am not sure what argument the authors try to draw from these findings. Do the authors argue that these brain areas show hexagonal modulation, which was not supported in the previous analysis (Fig.3)? What is the level of correlation between these behavioral measures and the grid consistency effects in the vmPFC and EC, where the authors found actual grid-like activity? How do the authors interpret this finding? More importantly, how does this finding associate with other findings and the argument of the study?

      We apologize for not being clear enough in the manuscript and we will improve the clarity in our revision. This exploratory analysis reported in Figure 4 aims to use whole-brain analysis to examine: 1) if there is any correlation between the strength of grid-like representation of social value map and behavioral indicators of map-like representation; and 2) if there are any correlation between the strength of grid-like representation of this social value map and participants’ social trait.

      To be more specific, for the behavioral indicator, we used the distance effect in the reaction time of the comparison task outside the scanner. We interpreted stronger distance effect as a behavioral index of having better internal map-like representation. We interpreted stronger grid consistency effect as a neural index of better representation of the 2D social space. Therefore, we’d like to see if there exists correlation between behavioral and neural indices of map-like representation.

      To achieve this goal, behavioral indicators are entered as covariates in second-level analysis of the GLM testing grid consistency effect (GLM2). Figure3 showed results from GLM2 without the covariates. Figure4 showed results of clusters whose neural indices of map-like representation covaried with that from behavior and survived multiple-comparison correction. Indeed, in these regions, the grid consistency effect was not significant at group level (so not shown in Figure 3). We tried to interpret this finding in our discussion (line 374-289 for temporal lobe correlation, line 395-404 for precuneus correlation).

      Finally, we would like to point out that including the covariates in GLM2 did not change results in Figure3, the clusters in Figure3 still survives correction. Meanwhile, these clusters in Figure 3 did not show correlation with behavioral indicators of map-like representation.

      Author response image 1.

      (2) There are no behavioral results provided. How accurately did participants perform each of the tasks? How are the effects of grid consistency associated with the level of accuracy in the map test?

      Why did participants perform the recall task again outside the scanner?

      We will endeavor to improve signposting the corresponding figures in the main text. For the behavioral results, we reported the stats in section “Participants construct social value map after associative learning of avatars and corresponding characteristics” in the main text, and the plots are shown in Figure 1. Particularly, figure 1F showed accuracy of tasks in training, as well as the recall task in the scanner. For the correlation, we did not find significant correlation between behavioural accuracy and grid consistency effect. We will make it clearer in the result section.

      (3) The methods did not explain how the grid orientation was estimated and what the regressors were in GLM2. I don't think equations 2 and 3 are quite right.

      For the grid orientation estimation method, we provided detailed description in the Supplementary methods 2.2.2. We will add links to this section in the main text.

      Equation 2 and 3 describes how the parametric regressors entered into GLM2 were formed and provided prerequisites on calculation of grid orientations. Equation 2 was the results of directly applying the angle addition and subtraction theorems so they should be correct. We will try to make the rationale clearer in the supplementary text.

      (4) With the increase in navigation distances, more grid cells would activate. Therefore, in theory, the activity in the entorhinal cortex should increase with the Euclidean distances, which has not been found here. I wonder if there was enough variability in the Euclidean distances that can be captured by neural correlates. This would require including the distributions of Euclidean distances according to their trajectory angles. Regarding how Fig.1E is generated, I don't understand what this heat map indicates. Additionally, it needs to be confirmed if the grid effects remain while controlling for the Euclidean distances of navigation trajectories.

      We did not specifically control for the trajectory length, we only controlled for the distribution of trajectory to be uniform. We have included a figure of the distribution of Euclidean distances in Figure S9 and the distribution of trajectory direction in Figure S8.

      Author response image 2.

      As for Figure 1E, we aim to reproduce the findings from Figure 1F in Constantinescu et al. (2016) where they showed that participants progressively refined the locations of the outcomes through training. We divided the space into 15×15 subregions and computed the amount of time spent in each subregion and plotted Figure 1E. Brighter color in Figure 1E indicate greater amount of time spent in the corresponding subregion. Note that all these timing indices were computed as a percentage of the total time spent in the explore task in a given session. If participants were well-acquainted with the space and avatars, they would spend more time at the avatar (brighter color in avatar locations) in the review session compared to the learning session.

      As for the effect of distances on grid-like representation, we did not include the distance as a parametric modulator in grid consistency effect GLM (GLM2) due to insufficient trials in each bin (6-8 trials). But there is side evidence that could potentially rule out this confound. In the distance representation analysis, we did not find distance representation in any of the clusters that have significant grid-like representation (regions in Figure 2).

      Reviewer #2 (Public Review):

      Summary:

      In this work, Liang et al. investigate whether an abstract social space is neurally represented by a grid-like code. They trained participants to 'navigate' around a two-dimensional space of social agents characterized by the traits warmth and competence, then measured neural activity as participants imagined navigating through this space. The primary neural analysis consisted of three procedures: 1) identifying brain regions exhibiting the hexagonal modulation characteristic of a grid-like code, 2) estimating the orientation of each region's grid, and 3) testing whether the strength of the univariate neural signal increases when a participant is navigating in a direction aligned with the grid, compared to a direction that is misaligned with the grid. From these analyses, the authors find the clearest evidence of a grid-like code in the prefrontal cortex and weaker evidence in the entorhinal cortex.

      Strengths:

      The work demonstrates the existence of a grid-like neural code for a socially-relevant task, providing evidence that such coding schemes may be relevant for a variety of two-dimensional task spaces.

      Weaknesses:

      In the revised manuscript, the authors soften their claims about finding a grid code in the entorhinal cortex and provide additional caveats about limitations in their findings. It seems that the authors and reviewers are in agreement about the following weaknesses, which were part of my original review: Claims about a grid code in the entorhinal cortex are not well-supported by the analyses presented. The whole-brain analysis does not suggest that the entorhinal cortex exhibits hexagonal modulation; the strength of the entorhinal BOLD signal does not track the putative alignment of the grid code there; multivariate analyses do not reveal any evidence of a grid-like representational geometry.

      In the authors' response to reviews, they provide additional clarification about their exploratory analyses examining whether behavior (i.e., reaction times) and individual difference measures (i.e., social anxiety and avoidance) can be predicted by the hexagonal modulation strength in some region X, conditional on region X having a similar estimated grid alignment with some other region Y. My guess is that readers would find it useful if some of this language were included in the main text, especially with regard to an explanation regarding the rationale for these exploratory studies.

      Thank you very much again for your careful re-evaluation and suggestions. We have tried to improve our writing and incorporate the suggestions in the new revision.

      Reviewer #3 (Public Review):

      Liang and colleagues set out to test whether the human brain uses distance and grid-like codes in social knowledge using a design where participants had to navigate in a two-dimensional social space based on competence and warmth during an fMRI scan. They showed that participants were able to navigate the social space and found distance-based codes as well as grid-like codes in various brain regions, and the grid-like code correlated with behavior (reaction times).

      On the whole, the experiment is designed appropriately for testing for distant-based and grid-like codes, and is relatively well powered for this type of study, with a large amount of behavioral training per participant. They revealed that a number of brain regions correlated positively or negatively with distance in the social space, and found grid-like codes in the frontal polar cortex and posterior medial entorhinal cortex, the latter in line with prior findings on grid-like activity in entorhinal cortex. The current paper seems quite similar conceptually and in design to previous work, most notably Park et al., 2021, Nature Neuroscience.

      (1) The authors claim that this study provides evidence that humans use a spatial / grid code for abstract knowledge like social knowledge.

      This data does specifically not add anything new to this argument. As with almost all studies that test for a grid code in a similar "conceptual" space (not only the current study), the problem is that, when the space is not a uniform, square/circular space, and 2-dimensional then there is no reason the code will be perfectly grid like, i.e., show six-fold symmetry. In real world scenarios of social space (as well as navigation, semantic concepts), it must be higher dimensional - or at least more than two dimensional. It is unclear if this generalizes to larger spaces where not all part of the space is relevant. Modelling work from Tim Behrens' lab (e.g., Whittington et al., 2020) and Bradley Love's lab (e.g., Mok & Love, 2019) have shown/argued this to be the case. In experimental work, like in mazes from the Mosers' labs (e.g., Derdikman et al., 2009), or trapezoid environments from the O'Keefe lab (Krupic et al., 2015), there are distortions in mEC cells, and would not pass as grid cells in terms of the six-fold symmetry criterion.

      The authors briefly discuss the limitations of this at the very end but do not really say how this speaks to the goal of their study and the claim that social space or knowledge is organized as a grid code and if it is in fact used in the brain in their study and beyond. This issue deserves to be discussed in more depth, possibly referring to prior work that addressed this, and raise the issue for future work to address the problem - or if the authors think it is a problem at all.

      Thanks very much again for your careful re-evaluation and comments. We have tried to incorporate some of the suggested papers into our discussion. In summary, we agree that there is more to six-fold symmetric code that can be utilized to represent “conceptual space”. We think that the next step for a stronger claim would be to find the representation of more spontaneous non-spatial maps.

      References

      Bao, X., Gjorgieva, E., Shanahan, L. K., Howard, J. D., Kahnt, T., & Gottfried, J. A. (2019). Grid-like Neural Representations Support Olfactory Navigation of a Two-Dimensional Odor Space. Neuron, 102(5), 1066-1075 e1065. https://doi.org/10.1016/j.neuron.2019.03.034

      Constantinescu, A. O., O'Reilly, J. X., & Behrens, T. E. J. (2016). Organizing conceptual knowledge in humans with a gridlike code. Science, 352(6292), 1464-1468. https://doi.org/10.1126/science.aaf0941

      Park, S. A., Miller, D. S., & Boorman, E. D. (2021). Inferences on a multidimensional social hierarchy use a grid-like code. Nat Neurosci, 24(9), 1292-1301. https://doi.org/10.1038/s41593-02100916-3

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #1 (Public Review):

      Summary:

      This paper presents a compelling and comprehensive study of decision-making under uncertainty. It addresses a fundamental distinction between belief-based (cognitive neuroscience) formulations of choice behavior with reward-based (behavioral psychology) accounts. Specifically, it asks whether active inference provides a better account of planning and decision making, relative to reinforcement learning. To do this, the authors use a simple but elegant paradigm that includes choices about whether to seek both information and rewards. They then assess the evidence for active inference and reinforcement learning models of choice behavior, respectively. After demonstrating that active inference provides a better explanation of behavioral responses, the neuronal correlates of epistemic and instrumental value (under an optimized active inference model) are characterized using EEG. Significant neuronal correlates of both kinds of value were found in sensor and source space. The source space correlates are then discussed sensibly, in relation to the existing literature on the functional anatomy of perceptual and instrumental decision-making under uncertainty.

      We are deeply grateful for your careful review of our work and your suggestions. Your insights have helped us identify areas where we can strengthen the arguments and clarify the methodology. We hope to apply the idea of active inference to our future work, emphasizing the integrity of perception and action.

      Reviewer #1 (Recommendations For The Authors):

      Many thanks for attending to my previous suggestions. I think your presentation is now much clearer and nicely aligned with the active inference literature.

      There is one outstanding issue. I think you have overinterpreted the two components of epistemic value in Equation 8. The two components that you have called the value of reducing risk and the value of reducing ambiguity are not consistent with the normal interpretation. These two components are KL divergences that measure the expected information gain about parameters and states respectively.

      If you read the Schwartenbeck et al paper carefully, you will see that the first (expected information gain about parameters) is usually called novelty, while the second (expected information gain about states) is usually called salience.

      This means you can replace "the value of reducing ambiguity" with "novelty" and "the value of reducing risk" with "salience".

      For your interest, "risk" and "ambiguity" are alternative ways of decomposing expected free energy. In other words, you can decompose expected free energy into (negative) expected information gain and expected value (as you have done). Alternatively, you can rearrange the terms and express expected free energy as risk and ambiguity. Look at the top panel of Figure 4 in:

      https://www.sciencedirect.com/science/article/pii/S0022249620300857

      I hope that this helps.

      We deeply thank you for your recommendations about the interpretation of the epistemic value in Equation 8. We have now corrected them to Novelty and Salience:

      In addition, in order to avoid terminology conflicts with active inference and to describe these two different uncertainties, we replaced Ambiguity in the article with Novelty, referring to the uncertainty that can be reduced by sampling, and replaced Risk with Variability, referring to the uncertainty inherent in the environment (variance).

      Reviewer # 2 (Public Review):

      Summary:

      Zhang and colleagues use a combination of behavioral, neural, and computational analyses to test an active inference model of exploration in a novel reinforcement learning task..

      Strengths:

      The paper addresses an important question (validation of active inference models of exploration). The combination of behavior, neuroimaging, and modeling is potentially powerful for answering this question.

      I appreciate the addition of details about model fitting, comparison, and recovery, as well as the change in some of the methods.

      We are deeply grateful for your careful review of our work and your suggestions. And we are also very sorry that in our last responses, there were a few suggestions from you that we did not respond them appropriately in our manuscript. We hope to be able to respond to these suggestions well in this revision. Thank you for your contribution to ensuring the scientificity and reproducibility of the work.

      The authors do not cite what is probably the most relevant contextual bandit study, by Collins & Frank (2018, PNAS), which uses EEG.

      The authors cite Collins & Molinaro as a form of contextual bandit, but that's not the case (what they call "context" is just the choice set). They should look at the earlier work from Collins, starting with Collins & Frank (2012, EJN).

      We deeply thank you for your comments. Now we add the relevant citations in the manuscript (line 46):

      “These studies utilized different forms of multi-armed bandit tasks, e.g the restless multi-armed bandit tasks (Daw et al., 2006; Guha et al., 2010), risky/safe bandit tasks (Tomov et al., 2020; Fan et al., 2022; Payzan et al., 2013), contextual multi-armed bandit tasks (Collins & Frank, 2018; Schulz et al., 2015; Collins & Frank, 2012)”

      Daw, N. D., O'doherty, J. P., Dayan, P., Seymour, B., & Dolan, R. J. (2006). Cortical substrates for exploratory decisions in humans. Nature, 441(7095), 876-879.

      Guha, S., Munagala, K., & Shi, P. (2010). Approximation algorithms for restless bandit problems. Journal of the ACM (JACM), 58(1), 1-50.

      Tomov, M. S., Truong, V. Q., Hundia, R. A., & Gershman, S. J. (2020). Dissociable neural correlates of uncertainty underlie different exploration strategies. Nature communications, 11(1), 2371.

      Fan, H., Gershman, S. J., & Phelps, E. A. (2023). Trait somatic anxiety is associated with reduced directed exploration and underestimation of uncertainty. Nature Human Behaviour, 7(1), 102-113.

      Payzan-LeNestour, E., Dunne, S., Bossaerts, P., & O’Doherty, J. P. (2013). The neural representation of unexpected uncertainty during value-based decision making. Neuron, 79(1), 191-201.

      Collins, A. G., & Frank, M. J. (2018). Within-and across-trial dynamics of human EEG reveal cooperative interplay between reinforcement learning and working memory. Proceedings of the National Academy of Sciences, 115(10), 2502-2507.

      Schulz, E., Konstantinidis, E., & Speekenbrink, M. (2015, April). Exploration-exploitation in a contextual multi-armed bandit task. In International conference on cognitive modeling (pp. 118-123).

      Collins, A. G., & Frank, M. J. (2012). How much of reinforcement learning is working memory, not reinforcement learning? A behavioral, computational, and neurogenetic analysis. European Journal of Neuroscience, 35(7), 1024-1035.

      Placing statistical information in a GitHub repository is not appropriate. This needs to be in the main text of the paper. I don't understand why the authors refer to space limitations; there are none for eLife, as far as I'm aware.

      We deeply thank you for your comments. We calculated the average t-value of the brain regions with significant results over the significant time, and added the t-value results to the main text and supplementary materials.

      In answer to my question about multiple comparisons, the authors have added the following: "Note that we did not attempt to correct for multiple comparisons; largely, because the correlations observed were sustained over considerable time periods, which would be almost impossible under the null hypothesis of no correlations." I'm sorry, but this does not make sense. Either the authors are doing multiple comparisons, in which case multiple comparison correction is relevant, or they are doing a single test on the extended timeseries, in which case they need to report that. There exist tools for this kind of analysis (e.g., Gershman et al., 2014, NeuroImage). I'm not suggesting that the authors should necessarily do this, only that their statistical approach should be coherent. As a reference point, the authors might look at the aforementioned Collins & Frank (2018) study.

      We deeply thank you for your comments. We have now replaced all our results with the results after false discovery rate correction and added relevant descriptions (line 357,358):

      “The significant results after false discovery rate (FDR) (Benjamini et al., 1995, Gershman et al., 2014) correction were shown in shaded regions. Additional regression results can be found in Supplementary Materials.”

      Benjamini, Y., & Hochberg, Y. (1995). Controlling the false discovery rate: a practical and powerful approach to multiple testing. Journal of the Royal statistical society: series B (Methodological), 57(1), 289-300.

      Gershman, S. J., Blei, D. M., Norman, K. A., & Sederberg, P. B. (2014). Decomposing spatiotemporal brain patterns into topographic latent sources. NeuroImage, 98, 91-102.

      After FDR correction, our results have changed slightly. We have updated our Results and Discussion section.

      It should be acknowledged that the changes in these results may represent a certain degree of error in our data (perhaps because the EEG data is too noisy or because of the average template we used, ‘fsaverage’). Therefore, we added relevant discussion in the Discussion section (line527-529):

      “It should be acknowledged that our EEG-based regression results are somewhat unstable, and the brain regions with significant regression are inconsistent before and after FDR correction. In future work, we should collect more precise neural data to reduce this instability.”

      I asked the authors to show more descriptive comparison between the model and the data. Their response was that this is not possible, which I find odd given that they are able to use the model to define a probability distribution on choices. All I'm asking about here is to show predictive checks which build confidence in the model fit. The additional simulations do not address this. The authors refer to figures 3 and 4, but these do not show any direct comparison between human data and the model beyond model comparison metrics.

      We deeply thank you for your comments. We now compare the participants’ behavioral data and the model’s predictions trial by trial (Figure 5). We can clearly see the participants’ behavioral strategies in different states and trials and the model’s prediction accuracy. We have added the discussion related to Figure 5 (line 309-318):

      “Figure 5 shows the comparison between the active inference model and the behavioral data, where we can see that the model can fit the participants behavioral strategies well. In the “Stay-Cue" choice, participants always tend to choose to ask the ranger and rarely choose not to ask. When the context was unknown, participants chose the “Safe" option or the “Risky" option very randomly, and they did not show any aversion to variability. When given “Context 1", where the “Risky" option gave participants a high average reward, participants almost exclusively chose the “Risky" option, which provided more information in the early trials and was found to provide more rewards in the later rounds. When given “Context 2", where the “Risky" option gave participants a low average reward, participants initially chose the “Risky" option and then tended to choose the “Safe" option. We can see that participants still occasionally chose the “Risky" option in the later trials of the experiment, which the model does not capture. This may be due to the influence of forgetting. Participants chose the “Risky" option again to establish an estimate of the reward distribution.”

      Reviewer # 2 (Recommendations For The Authors):

      In the supplement, there are missing references ("[?]").

      Thank you very much for pointing out this. We have now fixed this error.

      Reviewer # 3 (Public review):

      Summary:

      This paper aims to investigate how the human brain represents different forms of value and uncertainty that participate in active inference within a free-energy framework, in a two-stage decision task involving contextual information sampling, and choices between safe and risky rewards, which promotes shifting between exploration and exploitation. They examine neural correlates by recording EEG and comparing activity in the first vs second half of trials and between trials in which subjects did and did not sample contextual information, and perform a regression with free-energy-related regressors against data "mapped to source space."

      Strengths:

      This two-stage paradigm is cleverly designed to incorporate several important processes of learning, exploration/exploitation and information sampling that pertain to active inference. Although scalp/brain regions showing sensitivity to the active-inference related quantities do not necessary suggest what role they play, they are illuminating and useful as candidate regions for further investigation. The aims are ambitious, and the methodologies impressive. The paper lays out an extensive introduction to the free energy principle and active inference to make the findings accessible to a broad readership.

      Weaknesses:

      In its revised form the paper is complete in providing the important details. Though not a serious weakness, it is important to note that the high lower-cutoff of 1 Hz in the bandpass filter, included to reduce the impact of EEG noise, would remove from the EEG any sustained, iteratively updated representation that evolves with learning across trials, or choice-related processes that unfold slowly over the course of the 2-second task windows.

      We are deeply grateful for your careful review of our work and your suggestions. We are very sorry that we did not modify our filter frequency (it would be a lot of work to modify it). Thank you very much for pointing this out. We noticed the shortcoming of the high lower-cutoff of 1 Hz in the bandpass filter. We will carefully consider the filter frequency when preprocessing data in future work. Thank you very much!

    1. Author Response

      The following is the authors’ response to the previous reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      The proposed study provides an innovative framework for the identification of muscle synergies taking into account their task relevance. State-of-the-art techniques for extracting muscle interactions use unsupervised machine-learning algorithms applied to the envelopes of the electromyographic signals without taking into account the information related to the task being performed. In this work, the authors suggest including the task parameters in extracting muscle synergies using a network information framework previously proposed. This allows the identification of muscle interactions that are relevant, irrelevant, or redundant to the parameters of the task executed.

      The proposed framework is a powerful tool to understand and identify muscle interactions for specific task parameters and it may be used to improve man-machine interfaces for the control of prostheses and robotic exoskeletons.

      With respect to the network information framework recently published, this work added an important part to estimate the relevance of specific muscle interactions to the parameters of the task executed. However, the authors should better explain what is the added value of this contribution with respect to the previous one, also in terms of computational methods.

      It is not clear how the well-known phenomenon of cross-talk during the recording of electromyographic muscle activity may affect the performance of the proposed technique and how it may bias the overall outcomes of the framework.

      We thank reviewer 1 for their useful commentary on this manuscript.

      Reviewer #2 (Public Review):

      This paper is an attempt to extend or augment muscle synergy and motor primitive ideas with task measures. The authors idea is to use information metrics (mutual information, co-information) in 'synergy' constraint creation that includes task information directly. By using task related information and muscle information sources and then sparsification, the methods construct task relevant network communities among muscles, together with task redundant communities, and task irrelevant communities. This process of creating network communities may then constrain and help to guide subsequent synergy identification using the authors published sNM3F algorithm to detect spatial and temporal synergies.

      The revised paper is much clearer and examples are helpful in various ways. However, figure 2 as presented does not convincingly show why task muscle mutual information helps in separating synergies, though it is helpful in defining the various network communities used in the toy example.

      The impact of the information theoretic constraints developed as network communities on subsequent synergy separation are posited to be benign and to improve over other methods (e.g., NNMF). However, not fully addressed are the possible impacts of the methods on compositionality links with physiological bases, and the possibility remains of the methods sometimes instead leading to modules that represent more descriptive ML frameworks that may not support physiological work easily. Accordingly, there is a caveat. This is recognized and acknowledged by the authors in their rebuttal of the prior review. It will remain for other work to explore this issue, likely through testing on detailed high degree of freedom artificial neuromechanical models and tasks. This possible issue with the strategy here likely needs to be fully acknowledged in the paper.

      The approach of the methods seeks to identify task relevant coordinative couplings. This is a meta problem for more classical synergy analyses. Classical analyses seek compositional elements stable across tasks. These elements may then be explored in causal experiments and generative simulations of coupling and control strategies. However, task-based understanding of synergy roles and functional uses is significant and is clearly likely to be aided by methods in this study.

      Information based separation has been used in muscle synergy analyses using infomax ICA, which is information based at core. Though linear mixing of sources is assumed in ICA, minimized mutual information among source (synergy) drives is the basis of the separation and detects low variance synergy contributions (e.g., see Yang, Logan, Giszter, 2019). In the work in this paper, instead, mutual information approaches are used to cluster muscles and task features into network communities preceding the SNM3F algorithm use for separation, rather than using minimized information in separation. This contrast of an accretive or agglomerative mutual information strategy here used to cluster into networks, versus a minimizing mutual information source separation used in infomax ICA epitomizes a key difference in approach here.

      Physiological causal testing of synergy ideas is neglected in the literature reviews in the paper. Although these are only in animal work (Hart and Giszter, 2010; Takei and Seki, 2017), the clear connection of muscle synergy analysis choices to physiology is important, and eventually these issues need to be better managed and understood in relation to the new methods proposed here, even if not in this paper.

      Analyses of synergies using the methods the paper has proposed will likely be very much dependent on the number and quality of task variables included and how these are managed, and the impacts of these on the ensuing sparsification and network communities used prior to SNM3F. The authors acknowledge this in their response. This caveat should likely be made very explicit in the paper.

      It would be useful in the future to explore the approach described with a range of simulated data to better understand the caveats, and optimizations for best practices in this approach.

      A key component of the reviewers’ arguments here is their reductionist view of muscle synergies vs the emergentist view presented in our work here. In the reductionist lens, muscle groupings are the units (‘building blocks’) of coordinated movement and thus the space of intermuscular interactions is of particular interest for understanding movement construction. On the other hand, the emergentist view suggests that muscle groupings emerge from interactions between constituent parts (as quantified here using information theory, synergistic information is the information found when both activities are observed together). This is in line with recent work in the field showing modular control at the intramuscular level, exemplifying a scale-free phenomena. Nonetheless, we consider these approaches to muscle synergy research as complementary and beneficial for the field overall going forward.

      Reviewer #3 (Public Review):

      In this study, the authors developed and tested a novel framework for extracting muscle synergies. The approach aims at removing some limitations and constraints typical of previous approaches used in the field. In particular, the authors propose a mathematical formulation that removes constraints of linearity and couples the synergies to their motor outcome, supporting the concept of functional synergies and distinguishing the task-related performance related to each synergy. While some concepts behind this work were already introduced in recent work in the field, the methodology provided here encapsulates all these features in an original formulation providing a step forward with respect to the currently available algorithms. The authors also successfully demonstrated the applicability of their method to previously available datasets of multi-joint movements.

      Preliminary results positively support the scientific soundness of the presented approach and its potential. The added values of the method should be documented more in future work to understand how the presented formulation relates to previous approaches and what novel insights can be achieved in practical scenarios and confirm/exploit the potential of the theoretical findings.

      In their revision, the authors have implemented major revisions and improved their paper. The work was already of good quality and now it has improved further. The authors were able to successfully:

      • improve the clarity of the writing (e.g.: better explaining the rationale and the aims of the paper);

      • extend the clarification of some of the key novel concepts introduced in their work, like the redundant synergies;

      • show a scenario in which their approach might be useful for increasing the understanding of motor control in patients with respect to traditional algorithms such as NMF. In particular, their example illustrates why considering the task space is a fundamental step forward when extracting muscle synergies, improving the practical and physiological interpretation of the results.

      We thank reviewer 3 for their constructive commentary on this manuscript.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Figure 3 should report the distances between reaching points in panel A and the actual length distances of the walking paths in panel C.

      The caption of fig.3 concerning the experimental setup of the datasets analysed has been updated with the following for dataset 1: “(A) Dataset 1 consisted of participants executing table-top point-to-point reaching movements (40cm distance from starting point P0) across four targets in forward (P1-P4) and backwards (P5-P8) directions at both fast and slow speeds (40 repetitions per task) [25]. The muscles recorded included the finger extensors (FE), brachioradialis (BR), biceps brachii (BI), medial-triceps (TM), lateral-triceps (TL), anterior deltoid (AD), posterior deltoid (PD), pectoralis major (PE), latissimus dorsi (LD) of the right, reaching arm.”. For dataset 3, to the best of the authors knowledge, this information was not given in the original paper.

      Figure 4, what is the unit of the data shown?

      The unit of bits is now mentioned in the toy example figure caption and in the caption of fig.5

      Figure 4, the characteristics of the interactions are not fully clear, and the graphical representation should be improved.

      We have made steps to improve the clarity of the figures presented.

      For dataset 3, τ was the movement kinematics, but it is not specified how the task parameters were formulated. Did the authors use the data from all 32 kinematic markers, 4 IMUs, and force plates? If yes, it should be specified why all these signals were used. For sure, there will be signals included that are not relevant to the specific task. Did the authors select specific signals based on their relevance to the task (e.g., ankle kinematics)?

      We have now clarified this in the text as follows: “For datasets 1 and 2, we determine the MI between vectors with respect to several discrete task parameters representing specific task attributes (e.g. reaching direction, speed etc.), while for dataset 3 we determined the task-relevant and -irrelevant muscles couplings in an unassuming way by quantifying them with respect to all available kinematic, dynamic and inertial motion unit (IMU) features.”

      How did the authors endure that crosstalk did not affect their analysis, particularly between, e.g., finger extensors and brachioradialis and posterior deltoid and anterior deltoid (dataset 1)?

      We have addressed this point in the previous round of reviews and made an explicit statement regarding cross-talk in the discussion section: “Although distinguishing task-irrelevant muscle couplings may capture artifacts such as EMG crosstalk, our results convey several physiological objectives of muscles including gross motor functions [66], the maintenance of internal joint mechanics and reciprocal inhibition of contralateral limbs [19,51].”

      It would be informative to add some examples of not trivial/obvious task-related synergistic muscle combinations that have been extracted in the three datasets. Most of the examples reported in the manuscript are well-known biomechanically and quite intuitive, so they do not improve our understanding of synergistic muscle control in humans.

      Our framework improves our understanding of synergistic motor control by enabling the formal quantification of synergistic muscle interactions, a capability not present among current approaches. Regarding the implications of this advance in terms of concrete examples, we have further clarified our examples presented in the results section, for example:

      “Across datasets, many the muscle networks could be characterised by the transmission of complementary task information between functionally specialised muscle groups, many of which identified among the task-redundant representations (Fig.9-10 and Supp. Fig.2). The most obvious example of this is the S3 synergist muscle network of dataset 2 (Fig.11), which captures the complementary interaction between task-redundant submodules identified previously (S3 (Fig.9)).”

      The description shows how our framework can extract the cross-module interactions that align with the higher-level objectives of the system, here the synergistic connectivity between the upper and lower body modules. Current approaches can only capture redundant and task-irrelevant interactions. Thus our framework provides additional insight into movement control.

      The number of participations in dataset 2 is very limited and should be increased. We appreciate the reviewer's comment and would like to point out that for dataset 2 our aim was to increase the number of muscles (30), tasks (72) and trials for each task (30) which produced a very large dataset for each participant. This came at the expense of low number of participants, however all our statistical analyses here can be performed at the single-participant level. Furthermore, dataset 3 includes 25 participants and it enables us to demonstrate the reliability of the findings across participants.

      Reviewer #2 (Recommendations For The Authors):

      I believe it is important in the future to explore the approach proposed with a range of simulation data and neuromechanical models, to explore the issues I have raised and that you have acknowledged, though I agree it is likely out of scope for the paper here.

      We agree with the reviewer that this would be valuable future work and indeed plan to do this in our future research.

      The Github code for this paper should likely include the various data sets used in the paper and figures, appropriately anonymized, in order to allow the data to be explored and analyses replicated and package demonstrated to be exercised fully by a new user.

      We thank the reviewer for this suggestion. Dataset3 is already available online at https://doi.org/10.1016/j.jbiomech.2021.110320. We will also make the other 2 datasets publicly available on our lab website very soon. Until then, as stated in the manuscript, we will make them available to anyone upon reasonable request.

      Reviewer #3 (Recommendations For The Authors):

      I have the following open points to suggest to the authors:

      First, I recommend improving the quality of the figures: in the pdf version I downloaded, some writings are impossible to read.

      We fully agree with the reviewer and note that in the pdf version of the paper, the figures are a lot worse than in the submitted word document submitted. Nevertheless, we will make further improvements on the figures as requested.

      Even though the manuscript has improved, I still feel that some points were not addressed or were only partially addressed. In particular:

      • The proposed comparison with NMF helps understanding why incorporating the task space is useful (and I fully agree with the authors about this point as the main reason to propose their contribution). However, the comparison does not help the reader to understand whether the synergies incorporating the task space are biased by the introduction of the task variables.

      This question can be also reformulated as: are muscle synergies modified when task space variables are incorporated? Is the "weight" on task coefficients affecting the composition of muscle synergies? If so, the added interpretational power is achieved at the cost of losing the information regarding the neural substrate of synergies? I understand this point is not immediate to show, but it would increase the quality of the work.

      • Reference to previous approaches that aimed at including task variables into synergy extraction are still missing in the paper. Even though it is not required to provide quantitative comparisons with other available approaches, there are at most 2-3 available algorithms in the literature (kinematics-EMG; force-EMG), that should not be neglected in this work. What did previous approaches achieve? What was improved with this approach? What was not improved?

      Previous attempts of extracting synergies with non-linear approaches could also be described more.

      In the latest version of the manuscript, we have referenced both the mixed NMF and autoencoders based algorithms. In both the introduction and discussion section of the manuscript, we also specify that our framework quantifies and decomposes muscle interactions in a novel way that cannot be done by other current approaches. In the results section we use examples from 3 different datasets to make this point clear, providing intuition on the use cases of our framework.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer 1:

      Comments on revisions:

      This manuscript is in some ways improved - mainly by toning down the conclusions - but a few major weaknesses have not been addressed. I do not agree that it is not justified to perform experiments to investigate the sterility of single CDK8 knockout mice since this could be important and given that the new data show that while there is some overlap in expression of the two prologues, there are also significant differences in the testis. At the least, it would have been interesting and easy to do to show the expression of CDK8 and CDK19 in the single cell transcriptomics, since this might help to identify the different populations.

      Certainly, we tried to analyse Cdk8/Cdk19 in single cell transcriptomics. However, we were unable to draw a clear conclusion. Due to a limited sensitivity of single cell sequencing, especially for low abundant transcripts, such as transcription factors (for 10x technology used in our study) (Chuang et al., 2024), it is challenging to establish with certainty CDK8/19 positive and -negative tissues from single cell data because both transcripts are minor. Nevertheless, the majority of cell types showed some expression of CDK8/19, with maximum expression in pachytene/diplotene spermatocytes. We do not include these data to the manuscript particularly as we were successful to assess Cdk8/19 expression patterns using IF approaches.

      Author response image 1.

      The only definitive way of concluding a kinase-independent phenotype is to rescue with a kinase dead mutant. While I agree that the inhibitors have been well validated, since they did not have any effects, it is hard to be sure that they actually reached their targets in the tissue concerned. This could have been done by cell thermal shift assay. In the absence of any data on this, the conclusion of a kinase-independent effect is weak.

      We totally agree with this point, but it takes several years to produce mice with inducible expression of KD CDK8 mice on the DKO background. These experiments are already underway in our lab, however, their results will be published in our future works.

      Figure 2 legend includes (G) between (B) and (C), and appears to, in fact, refer to Fig 1E, for which the legend is missing the description.

      Thank you, we corrected this.

      Finally, Figure S1C appears wrong. Goblet cells are not in the crypt but on the villi (so the graph axis label is wrong), and there are normally between 5 and 15 per villus, so the iDKO figure is normal, but there are a surprisingly high number of goblet cells in the controls. And normally there are 10-15 Paneth cells/crypt, so it looks like these have been underestimated everywhere. I wonder how the counting was done - if it is from images such as those shown here then I am not surprised as the quality is insufficient for quantification. How many crypts and villi were counted? Given the difficulty in counting and the variability per crypt/villus, with quantitative differences like this it is important to do quantifications blind. I personally wouldn't conclude anything from this data and I would recommend to either improve it or not include it. If these data are shown, then data showing efficient double knockout in this tissue should also accompany it, by IF, Western or PCR. Otherwise, given a potentially strong phenotype, repopulation of the intestine by unrecombined crypts might have occurred - this is quite common (see Ganuza et al, EMBO J. 2012).

      We added fig. S1C with Western blot showing presence of CDK8 and CCNC in WT intestine and  their absence in the DKO intestine. We also corrected that the part of the intestine analyzed was the duodenum, not ileum. We also replaced intestine sections photos with the ones of better quality and higher magnification (200X) and corrected Y axis legend. We apologize for the confusion, and thank the reviewer for careful analysis of our data, which allowed us to make this correction. The numbers of cells were counted on 600x magnification, and the magnification given in the article is for presentation purposes only. Our number of goblet cells was indeed calculated per villus, not crypt, and the resulting number is similar to ones reported in Dannapel et al (Dannappel et al., 2022). As for Paneth cells their numbers correspond to several articles that use the c57bl6 strain (Brischetto et al., 2021; King et al., 2013), as the number of Paneth cells differs between different part of the intestine and different mouse strains (Nakamura et al., 2020). 

      Reviewer 2:

      This reviewer appreciated the authors' effort in improving the quality of this manuscript during their revision. While some concerns remain, the revision is a much improved work and the authors addressed most of my major concerns.

      Figure 2E CDK8 and CDK19 immunofluorescent staining images seem to show CDK8 and CDK19 location are completely distinct and in different cells, the authors need to elaborate on this results and discuss what such a distinct location means in line of their double knockout data.

      We thank the reviewer for this suggestion. We had expanded the discussion in the lines 518 and 529 and included a better quality picture of the 200x magnification. Our main line of reasoning is that despite distinct expression in different cell types, high magnification show a certain level of expression of both proteins in most cells, so single knockouts will not demonstrate more than a slight phenotype, while the full knockout will have the full effect. This is especially true if our hypothesis that CCNC stabilization is important here, as both kinases can stabilize the protein.

      Minor comments:

      Supplemental figure 1(C) legend typo : (C) Periodic acid-Schiff stained sections of ilea of tamoxifen treated R26/Cre/ERT2 and DKO mice.

      Thank you, we corrected this.

      While the effort to identify and generate new antibodies is appreciated, the specificity of the antibodies used should be examined and presented if available.

      The specificity of the antibodies for the western blot is confirmed in figure S1F. We added fig. S1G with IF staining of CDK19 KO testes proving our CDK19 antibody specificity.

      References:

      Brischetto C., Krieger K., Klotz C., et.al. 2021. NF-κB determines Paneth versus goblet cell fate decision in the small intestine. Development 148. doi:10.1242/dev.199683

      Chuang H.-C., Li R., Huang H., et.al. 2024. Single-cell sequencing of full-length transcripts and T-cell receptors with automated high-throughput Smart-seq3. BMC Genomics 25:1127. doi:10.1186/s12864-024-11036-0

      Dannappel M.V., Zhu D., Sun X., et.al. 2022. CDK8 and CDK19 regulate intestinal differentiation and homeostasis via the chromatin remodeling complex SWI/SNF. J Clin Invest 132. doi:10.1172/JCI158593

      King S.L., Mohiuddin J.J., Dekaney C.M.. 2013. Paneth cells expand from newly created and preexisting cells during repair after doxorubicin-induced damage. Am J Physiol Gastrointest Liver Physiol 305:G151–62. doi:10.1152/ajpgi.00441.2012

      Nakamura K., Yokoi Y., Fukaya R., et.al. 2020. Expression and localization of Paneth cells and their α-defensins in the small intestine of adult mouse. Front Immunol 11:570296. doi:10.3389/fimmu.2020.570296

    1. Author response:

      The following is the authors’ response to the current reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      This study by Wang et al. identifies a new type of deacetylase, CobQ, in Aeromonas hydrophila. Notably, the identification of this deacetylase reveals a lack of homology with eukaryotic counterparts, thus underscoring its unique evolutionary trajectory within the bacterial domain.

      Strengths:

      The manuscript convincingly illustrates CobQ's deacetylase activity through robust in vitro experiments, establishing its distinctiveness from known prokaryotic deacetylases. Additionally, the authors elucidate CobQ's potential cooperation with other deacetylases in vivo to regulate bacterial cellular processes. Furthermore, the study highlights CobQ's significance in the regulation of acetylation within prokaryotic cells.

      Weaknesses:

      The problem I raised has been well resolved. I have no further questions.

      Thanks for your valuable comments very much.

      Reviewer #2 (Public review):

      In recent years, lots of researchers tried to explore the existence of new acetyltransferase and deacetylase by using specific antibody enrichment technologies and high resolution mass spectrometry. Here is an example for this effort. Yuqian Wang et al. studied a novel Zn2+- and NAD+-independent KDAC protein, AhCobQ, in Aeromonas hydrophila. They studied the biological function of AhCobQ by using biochemistry method and MS identification technology to confirm it. These results extended our understanding of the regulatory mechanism of bacterial lysine acetylation modifications. However, I find this conclusion is a little speculative, and unfortunately it also doesn't totally support the conclusion as the authors provided.

      Major concerns:

      - It is a little arbitrary to come to the title "Aeromonas hydrophila CobQ is a new type of NAD+- and Zn2+-independent protein lysine deacetylase in prokaryotes." It should be modified to delete the "in the prokaryotes" except that the authors get new more evidence in the other prokaryotes for the existence of the AhCobQ.

      Thank you for your suggestion. However, I believe there has been some confusion regarding the title. In the revised manuscript we have already updated the title to: "Aeromonas hydrophila CobQ is a new type of NAD+- and Zn2+-independent protein lysine deacetylase."

      This title does not include the phrase "in prokaryotes," as you mentioned. We kindly suggest verifying the version of the manuscript that was reviewed to ensure you are reviewing the most recent changes.

      - I was confused about the arrangement of the supplementary results. Because there are no citations for Figures S9-S19.

      Thank you for your feedback. It appears there may have been a misunderstanding, possibly due to reviewing an outdated version of the manuscript. In the revised manuscript we revised the supplementary figures and now have only 12 figures, all of which are correctly cited in the manuscript on pages 12 to 15. Below is a detailed list of the updated figure citations:

      Figures S1: page 8, line 148;

      Figures S2: page 9, line 168;

      Figures S3 and S4: page 10, line 178;

      Figures S5: page 10, line 186;

      Figures S6: page 10, line 189;

      Figures S7: page 12, line 221;

      Figures S8-S10: page 13, line 245;

      Figures S11: page 11, line 282;

      Figures S12: page 15, line 286

      - Same to the above, there are no data about Tables S1-S6.

      Thank you for your attention to the supplementary materials. As with the figures, we have already uploaded the data for Tables S1-S6 in the revised manuscript on November 19, 2024, and properly cited Tables S1 – S6 in the manuscript. Below is the citation information:

      Tables S1: page 10, line 194;

      Tables S2: page 13, line 245;

      Tables S3: page 21, line 438;

      Tables S4: page 22, line 439;

      Tables S5: page 22, line 445;

      Tables S6: page 27, line 564.

      Please note that Tables S3 – S4 include the chemical reagents, primers, and other experimental materials, which are not intended to be cited in the results section.)

      - All the load control is not integrated. Please provide all of the load controls with whole PAGE gel or whole membrane western blot results. Without these whole results, it is not convincing to come the conclusion as the authors mentioned in the context.

      Thank you for your comment. Please note that the full membrane western blot results were included in the revised manuscript. We hope this satisfies your request. If you need further clarification or additional data, please do not hesitate to let us know.

      - Thoroughly review the materials & methods section. It is unclear to me what exactly the authors describe in the method. All the experimental designs and protocols should be described in detail, including growth conditions, assay conditions, and purification conditions, etc.

      Thank you for your valuable suggestion. In response to your comment and previous feedback, we have alredy revised the Materials & Methods section thoroughly in the revised manuscript. The experimental details, including growth conditions, assay protocols, and purification procedures, are described in full on pages 22 to 30 of the revised manuscript.

      - Include relevant information about the experiments performed in the figure legends, such as experimental conditions, replicates, etc. Often it is not clear what was done based on the figure legend description.

      Thank you very much for your detailed feedback and suggestions. We have made sure to describe what each data point represents in the figure legends, as per the previous feedback. However, we would like to clarify that while we have provided detailed descriptions in the legends, the inclusion of every specific experimental condition in the figure legends could result in redundancy, as these details are already thoroughly outlined in the Materials & Methods section.

      We hope this explanation addresses your concern.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      I have no further revision comments.

      Thank you very much.

      Reviewer #2 (Recommendations for the authors):

      I carefully read the point-to-point response from the author. Although they listed lots of the reasons for the ugly results, it still can not persuade me to accept their conclusions. While, as I know, it is impossible to reject their work in eLife as it was sent out for peer-review. I also can't accuse them of being wrong, but I have my opinion on this point. That is not the results, but the attitude.

      Thank you for your feedback. However, I must express some concerns regarding the nature of your comments. Based on the issues you've raised, it seems that you may have reviewed an outdated version of the manuscript. In the updated revision we addressed all the points you've raised, including the figure and table citations, experimental methods, and data integration.

      We understand that differing opinions are part of the peer-review process, but we respectfully believe that your conclusion regarding our attitude is based on a misunderstanding, possibly caused by reviewing an incorrect version of the manuscript. We have always strived to approach this manuscript with utmost professionalism and have diligently responded to each of your concerns.

      We sincerely suggest reviewing the latest version of our manuscript, and we welcome any further constructive feedback. We hope this clarifies any misunderstandings and look forward to your continued support.

      Thank you for your time and thoughtful consideration.


      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      This study by Wang et al. identifies a new type of deacetylase, CobQ, in Aeromonas hydrophila. Notably, the identification of this deacetylase reveals a lack of homology with eukaryotic counterparts, thus underscoring its unique evolutionary trajectory within the bacterial domain.

      Strengths:

      The manuscript convincingly illustrates CobQ's deacetylase activity through robust in vitro experiments, establishing its distinctiveness from known prokaryotic deacetylases. Additionally, the authors elucidate CobQ's potential cooperation with other deacetylases in vivo to regulate bacterial cellular processes. Furthermore, the study highlights CobQ's significance in the regulation of acetylation within prokaryotic cells.

      Weaknesses:

      The problem I raised has been well resolved. I have no further questions.

      Reviewer #2 (Public review):

      In recent years, lots of researchers tried to explore the existence of new acetyltransferase and deacetylase by using specific antibody enrichment technologies and high resolution mass spectrometry. Here is an example for this effort. Yuqian Wang et al. studied a novel Zn2+- and NAD+-independent KDAC protein, AhCobQ, in Aeromonas hydrophila. They studied the biological function of AhCobQ by using biochemistry method and MS identification technology to confirm it. These results extended our understanding of the regulatory mechanism of bacterial lysine acetylation modifications. However, I find this conclusion is a little speculative, and unfortunately, it also doesn't totally support the conclusion as the authors provided.

      Reviewer #3 (Public review):

      Summary:

      This study reports on a novel NAD+ and Zn2+-independent protein lysine deacetylase (KDAC) in Aeromonas hydrophila, termed as AhCobQ (AHA_1389). This protein is annotated as a CobQ/CobB/MinD/ParA family protein and does not show similarity with known NAD+-dependent or Zn2+-dependent KDACs. The authors showed that AhCobQ has NAD+ and Zn2+-independent deacetylase activity with acetylated BSA by western blot and MS analyses. They also provided evidence that the 195-245 aa region of AhCobQ is responsible for the deacetylase activity, which is conserved in some marine prokaryotes and has no similarity with eukaryotic proteins. They identified target proteins of AhCobQ deacetylase by proteomic analysis and verified the deacetylase activity using site-specific Kac proteins. Finally, they showed that AhCobQ activates isocitrate dehydrogenase by deacetylation at K388.

      Strengths:

      The finding of a new type of KDAC has a valuable impact on the field of protein acetylation. The characters (NAD+ and Zn2+-independent deacetylase activity in an unknown domain) shown in this study are very unexpected.

      Weaknesses:

      (1) The characters (NAD+ and Zn2+-independent deacetylase activity in an unknown domain) shown in this study are very unexpected. To convince readers, MSMS data must be necessary to accurately detect (de)acetylation at the target site in the deacetylase activity assay. The authors showed the MSMS data in assays with acetylated BSA, but other assays only rely on western blot.

      (2) They prepared site-specific Kac proteins and used them in deacetylase activity assays. Incorporation of acetyllysine at the target site should be confirmed by MSMS and shown as supplementary data.

      (3) The authors imply that the 195-245 aa region of AhCobQ may represent a new domain responsible for deacetylase activity. The feature of the region would be of interest but is not sufficiently described in Figure 5. The amino acid sequence alignments with representative proteins with conserved residues would be informative. It would be also informative if the modeled structure predicted by AlphaFold is shown and the structural similarity with known deacetylases is discussed.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      The problem I raised has been well resolved. I have no further questions.

      Reviewer #2 (Recommendations for the authors):

      Questions to response of"-The load control is not all integrated. All of the load controls with whole PAGE gel or whole membrane western blot results should be provided. Without these whole results, it is not convincing to come to the conclusion that the authors have."

      Just as the Authors answered. The Coomassie Blue R-350 staining outcomes from the PVDF membranes. That is a good control for the experiment. However, I still have several questions about it:

      (1) The first is the quality of these Western blot. Why all the bands of these Western blot is so ugly? To tell the truth, it is very difficult to come to a conclusion from these poor western blots.

      We appreciate your feedback regarding the quality of the Western blots presented in Figure 7. We believe the “ugly bands” you referred to reflect our results validating the functions of CobQ through the use of recombinant site-specific Kac protein substrates.

      In our study, we meticulously engineered these recombinant site-specific Kac proteins using a two-plasmid system, based on foundational research published in Nature Chemical Biology (2017, 13(12): 1253-1260), which introduced the genetic encoding of Nε-acetyllysine into recombinant proteins. However, we faced a common challenge: protein truncation due to premature translation termination at the reassigned codon. This issue not only hampers protein yields, as discussed in ChemBioChem (2017, 18(20): 1973-1983), but also contributes to the suboptimal appearance of the Western blot results.

      Despite conducting at least two independent repetitions for the Western blot analysis of the site-specific Kac proteins, which yielded consistent results, we recognize that the overall quality remains less than ideal. This variability is inherently related to the characteristics of the target proteins. Nevertheless, the primary aim of our manuscript is to validate the novel deacetylase activity of CobQ. We have provided multiple lines of evidence, including mass spectrometry (MS/MS) and Western blot analyses, to substantiate this claim. In response to your comments, we have decided to remove the ambiguous Western blot results from Figure 7, retaining only four figures that demonstrate significant differences across at least two independent replicates (Author response images 1-5). Additionally, we have included four biological replicates of the Western blot results for ICD Kac388 + CobQ in the supplementary materials (Author response image 5) to further validate the deacetylase function of CobQ.

      Author response image 1.

      Western blot validation of the Kac26 AcrA-2 protein substrates regulated by the three KDACs in two biological replicates.

      Author response image 2.

      Western blot validation of the Kac48 Sun protein substrates regulated by the three KDACs in two biological replicates.

      Author response image 3.

      Western blot validation of the Kac103 Sun protein substrates regulated by the three KDACs in two biological replicates.

      Author response image 4.

      Western blot validation of the Kac195 Eno protein substrates regulated by the three KDACs in three biological replicates.

      Author response image 5.

      Western blot validation of the Kac388 ICD protein substrates regulated by AhCobQ in this study. Each sample was independently repeated at least three time.

      (2) The second is why some of the results are not from the same PVDF by comparing the Coommassie staining with the WB results just as authors responded. For example, the HrpA-K816 (ac), Eno-K195 (ac), ArcA-2-K26 (ac), ArcA-2-K26 (ac), IscS-K93(ac), A0KJ75-K81(ac), GyrB-K331(ac), GyrB-K449(ac), FtsA-K320(ac), FtsA-K409(ac), RecA-K279(ac), and the RecA-K306(ac). All of them are clearly not from the same staining results of PVDF membrane but from a new PVDF membrane.

      We assure you that the R-350 stained PVDF membranes originate from the same Western blot membranes. However, we acknowledge that visual discrepancies may arise due to differences in imaging techniques. The Western blot results were scanned using a ChemiDoc MP (Bio-Rad, Hercules, CA, USA), while the Coomassie R-350 stained PVDF membranes were captured using a standard camera. These differences can create a misleading appearance, making it seem as though they come from different membranes.

      It is also important to note that the intensity of the protein marker cannot be directly compared between the two imaging methods. As illustrated in Author response image 6, the protein marker at 70 kDa is clearly detectable in the Coomassie R-350 image, whereas it may not be as apparent in the Western blot result due to inherent differences in detection sensitivity.

      Author response image 6.

      The comparison of Western blotting and R-350 strained results of same protein marker in the same PVDF membrane. The protein marker located at 70 kDa can be detected easily in Coomassie R-350, while is difficult to display in WB result.

      Additionally, we have removed some of the so-called "ugly" Western blot results in the updated manuscript and provided the original full film of the relevant images as an attachment. This documentation demonstrates that all the data you referenced originate from the same film, as shown in Figures 1-5.

      (3) The third is why there is no replication for all these WB results. We should draw a conclusion with serious attitude, but not from the only one repeat, even say nothing about the poor results.

      Thank you for your valuable suggestion. In the second version of the manuscript, we have included the original full film of the relevant images. While we previously explained the reasons behind the "ugly" Western blot results, we have decided to remove some, or even all, of these results from Figure 7 in the updated version. The related images will be updated in the supplementary materials (Figures 1-5 in responding letter and Figure 7 in the revised manuscript).

      Furthermore, we have provided a more detailed discussion regarding the poor results in the updated manuscript to ensure clarity and transparency. We appreciate your understanding and hope these changes meet your expectations.

      Questions to response of " L174-187, L795 (Please show the whole membrane (or PAGE gel) of the loading control of CobB, and CobQ, except for the Kac-BSA)".

      (1) As we all educated that there is no control, and no biology. Where is the band of CobQ? Why do not stain the same PVDF membrane with R-350 staining but with a new membrane?

      Thank you for your insightful feedback. As noted in our previous response, the absence of visible bands for AhCobQ and AhCobB on the Coomassie R-350 stained PVDF membrane is primarily due to the low loading amounts and protein loss during the Western blotting process.

      To reinforce our findings, we repeated the analysis of the protein samples via SDS-PAGE, using the same loading quantity as in the previous Western blot shown in Figure 2 of the manuscript. As illustrated in Author response image 7, the bands for CobB and CobQ are discernible, albeit with significantly lower intensities compared to the Kac-BSA bands. Upon examining the full Coomassie R-350 stained PVDF membranes provided in Supplementary Material 1, we observe that the CobB and CobQ bands are not easily visible. This aligns with your observations and can be attributed to potential protein loss during the transfer from SDS-PAGE to the PVDF membrane.

      Author response image 7.

      The SDS-PAGE gel displayed the loading amounts of Kac-BSA and CobB/CobQ.

      To enhance the visibility of the CobQ/CobB bands, we increased the loading of CobQ/CobB in a new Western blot experiment, using 2 µg of Kac-BSA in combination with 0.8 µg of CobQ/CobB. As shown in Figure 8, while the increasing amounts of Kac-BSA resulted in a more blurred signal, the bands for the recombinant CobQ and CobB proteins were clearly detectable. This indicates that both proteins were indeed involved in the in vitro protein deacetylation assay.

      Author response image 8.

      Western blot verified the deacetylase activity assay of AhCobQ and AhCobB on Kac-BSA.

      Furthermore, we conducted a mass spectrometry analysis comparing Kac-BSA and Kac-BSA incubated with CobQ, as well as BSA without acetylation, against the A. hydrophila database with a cut-off of unique matched peptides >1. It is challenging to completely avoid contaminant detection during protein purification, especially when using high-resolution mass spectrometry. Our findings revealed that CobQ has the highest number of unique matched peptides (Author response table 1), while contaminants such as AHA_3036, AHA_0497, AHA_1279, and valS could be excluded, as they were present in Kac-BSA or BSA samples. Additionally, Tuf1, RplQ, GroEL, RpsF, RpsU, RpsB, RpsO, and RpsJ are known ribosomal subunits or chaperonins that are abundantly expressed in cells and may interact with various proteins, leading to contaminant detection.

      Author response table 1.

      LC MS/MS results of selected peptide quantification among Kac-BSA and Kac-BSA incubated with CobQ and BSA without acetylation against A. hydrophila database (unique matched peptides>1).

      Although AceE, a pyruvate dehydrogenase E1 component, theoretically possesses deacetylase activity, this possibility is low. First, in the SDS-PAGE gel of the purified recombinant protein, CobQ is the major band, with other proteins present at very low levels (less than 1/10 of CobQ). This suggests that significant deacetylation by contaminants is unlikely. Second, we purified His-tagged AhCobQ and GST-fused AhCobQ separately and tested their deacetylase activities. As shown in Figure S4 of the updated manuscript, both purified AhCobQ proteins exhibited deacetylase activity, while the negative control (purified GST protein only) did not, further supporting our conclusion that enzyme activity is not attributable to contaminating proteins (Figure S5).

      (2) Without the CobB and CobQ bands, it is impossible to say the function of CobQ is a new deacetylase. To avoid this confusion, it is easy to run a new gel and stain it with anti-His antibody to show these deacetylases.

      Thank you very much for your suggestion. We have performed the experiment in the comment (1) as your suggestion.

      (3) The explanation about the CobB/CobQ bands are not visible is not acceptable. Because the molecular weight of the CobB and CobQ is smaller than that of BSA, it is impossible that these bands will be loss during membrane transfer.

      Thank you for your valuable feedback. I completely agree that the loss of CobB and CobQ proteins during membrane transfer is unlikely due to their smaller molecular weight compared to BSA. As shown in Figure 7, the bands for CobB and CobQ are detectable in the SDS-PAGE gel but not visible on the Coomassie R-350 stained PVDF membrane.

      Several factors could contribute to this issue. One possibility is that the detection sensitivity of Coomassie R-350 may be lower than that of Coomassie R-250 used in the gel. Additionally, the Western blot results using an anti-His antibody further indicate low loading amounts of CobB and CobQ proteins on the PVDF membrane (Figure 8). This suggests that the observed low levels may indeed be due to protein loss during the membrane transfer process, despite their relatively small size.

      Reviewer #3 (Recommendations for the authors):

      (1) I found Tables S1 and S2 in the revised manuscript. It is strange to me that the intensity of Kac-BSA+CobQ is zero, completely nothing. Typically, a portion of the acetylated peptide remains after the deacetylation reaction.

      Thank you for your observation. When we report an intensity of zero, it does not imply a complete absence of signal; rather, it indicates that the signal for the target peptide is below the detectable threshold. This is likely due to the minimum cut-off setting in the MaxQuant (MQ) software, which is determined by parameters like "peptide_mass_tolerance" (as discussed in MQ user groups online, though it may not be explicitly listed in the parameters file).

      In our study, we performed a deacetylase assay that demonstrated CobQ's rapid activity; for instance, it can deacetylate ICD-K388ac within just four minutes. This leads me to hypothesize that the CobQ + Kac-BSA sample may have undergone near-complete enzymatic hydrolysis during the reaction.

      Furthermore, Table S1 in manuscript presents only a selection of the mass spectrometry results to illustrate CobQ's activity. In addition to the 15 acetylated peptides shown, there are many more (27 peptides) that exhibit significantly reduced acetylation levels without reaching zero intensity. The overall acetylation level of BSA peptides incubated with CobQ is calculated to be only 0.13 times that of Kac-BSA (Diagnostic peak: yes, peptide score: >100, Localization probability: >0.95) (Author response image 9).

      Based on these findings, we believe our mass spectrometry results are reliable and effectively support our conclusions. Thank you for your understanding.

      Author response image 9.

      The intensities of all Kac peptides of Kac-BSA with or without AhCobQ incubation in LC MS/MS.

      (2) It would be better to provide the information about ArcA and ArcA-2 as mentioned in the authors' response. It would be helpful for readers to understand that they are different proteins.

      Thank you for your suggestion. In the A. hydrophila ATCC 7966 dataset, there are indeed two distinct proteins referred to as ArcA: ArcA-1, which functions as an aerobic respiration control protein, and ArcA-2, which acts as an arginine deiminase. Importantly, these two proteins do not share any sequence homology; they are only similarly named due to their acronyms. While we believe this distinction does not require extensive explanation in the current study, we appreciate your input. Additionally, in response to Reviewer 2’s feedback, we have decided to remove the Western blot result for ArcA-2 due to its poor quality in the updated manuscript.

      (3) Line 409-416. Despite my comment, the citation of related papers on ICD acetylation in E. coli is still missing.

      Thank you for your suggestion. It has been added and highlighted in red. (Venkat S, et al, 2018, 430(13): 1901-1911)

      (4) The image resolution of Figure 3C and 3D is still bad. I could not evaluate that Kac was exactly incorporated at the target site.

      Thank you for your feedback regarding the image resolution of Figures 3C and 3D. We have now displayed these figures with improved clarity, as you suggested.

      To further validate the reliability of our MS2 data, we employed Proteome Discoverer 2.4 (Thermo) to analyze the raw data and provide theoretical mass information. As shown in Author response images 10-13, the MS2 spectra and fragment match lists for both unmodified and acetylated peptides offer additional confirmation of the reliability of our mass spectrometry results.

      Author response image 10.

      MS2 spectrum of unmodified peptide using PD v2.4 software.

      Author response image 11.

      The theoretical mass of unmodified peptide by PD 2.4

      Author response image 12.

      MS2 spectrum of acetylated peptide using PD v2.4 software.

      Author response image 13.

      The theoretical mass of acetylated peptide by PD 2.4.

      (5) Again, in Figure 8D, it should be shown the significance between ICD-Kac388 and ICD-Kac388+AhCobB to support the authors' conclusion that AhCobQ activates ICD by deacetylation at K388.

      Thanks for your suggestion, we have updated the figure in Figure 8D in updated manuscript.

      (6) It was nice that the authors presented the mass spectrum data of ICD-K388 acetylation (Figure 2 in responding letter). However, the data did not convince me that K388 is acetylated. In the figure, two b-ion peaks are detected, 285.1557 and 386.2034, which may correspond to NK (theoretical mass, 260.15) and NKT (theoretical mass, 361.20) peptides, respectively. If K388 is acetylated, an increase in the mass of 42 should be observed, but the difference between the detected and theoretical mass is 25. I also could not understand what the peak of 126.0913 mass is, indicated with acK* in red.

      Thank you for your detailed observation. The data presented in the MS2 spectrum for ICD-K388 acetylation in Figure 2 of the previous response letter were generated using Proteome Discoverer 2.4 (PD, Thermo) to ensure accurate mass calculations. Similar to the results from MaxQuant, ICD-K388 was identified again (Author response image 14).

      Regarding the b-ion peaks you mentioned, the values 285.1557 and 386.2034 correspond to NK<sup>ac</sup> and NK<sup>ac</sup>T peptides, respectively. The theoretical masses for these peptides are as follows: NK<sup>ac</sup> (285.15 = 115.05020 + 128.095 + 42.01) and NK<sup>ac</sup>T (386.20 = NK<sup>ac</sup> + 101.04768). The differences between the theoretical and detected masses for the relevant b-ions (b2*-NK, b52+-NH3, and b3) are minimal, at 0.00 Da and 2.1 ppm, respectively, which is consistent with the incorporation of an NH3 group (Author response image 15).

      Author response image 14.

      The MS2 of ICD-K388 peptide by PD 2.4.

      Author response image 15.

      The theoretical mass of ICD-K388 peptide by PD 2.4.

      The peak at 126.0913 m/z, indicated as acK*, represents immonium ions of ε-N-acetyllysine, which are generated during the fragmentation of acetyllysine. This diagnostic ion is widely recognized as a marker for identifying acetylated peptides (Nakayasu, et al,. A method to determine lysine acetylation stoichiometries. International journal of proteomics. 2014;2014(1):730725; Trelle et al., Utility of immonium ions for assignment of ε-N-acetyllysine-containing peptides by tandem mass spectrometry. Analytical chemistry. 2008;80(9):3422-30). Additionally, it is a default parameter in MaxQuant for identifying Kac peptides (Author response image 16).

      Based on these findings, we believe the evidence supporting ICD-K388 acetylation is robust.

      Author response image 16.

      The default parameter in Kac peptide identification in Maxquant v1.6 software

      (7) As mentioned by other reviewers, some of the figures and tables are incomplete. Some panels (ex. Figure 7C and 7D) and explanations (ex. What are lanes 1, 2, and 3 in Figure S3) are still missing.

      Thank you for your suggestion. It has been added.

    1. Author Response

      The following is the authors’ response to the previous reviews

      We would like to thank you again for your thorough review of the manuscript. We have taken all comments into account in the revised version of the manuscript. Please find below our detailed responses to your comments.

      Reviewing Editor

      The manuscript has been improved, but there are some remaining issues that need to be addressed, as outlined in the reviewers' comments. In particular, please pay attention to Figures 1A and 2A as they appear to be the same. Moreover, the original gel images for Western blots should be made available given the concerns raised by Reviewer #1.

      Thank you for your recommendations. We have carefully considered all comments and made the requested revisions to improve the manuscript.

      Reviewer #1 (Public Review):

      In this manuscript, the authors aimed to compare, from testis tissues at different ages from mice in vivo and after culture, multiple aspects of Leydig cells. These aspects included mRNA levels, proliferation, apoptosis, steroid levels, protein levels, etc. A lot of work was put into this manuscript in terms of experiments, systems, and approaches. The technical aspects of this work may be of interest to labs working on the specific topics of in vitro spermatogenesis for fertility preservation.

      Second review:

      The authors should be commended for substantial improvement in their manuscript for resubmission.

      Thank you very much for this second review and your help to improve this manuscript.

      Recommendations For The Authors:

      Going forward, the authors would be well-served to put a similar amount of effort on first drafts as well, which would both increase reviewer enthusiasm and reduce reviewer workload to document all the deficiencies! Abstract is much improved, and clearly articulates the point of the study.

      We are very grateful for all your constructive comments, which have greatly contributed to the improvement of our manuscript.

      1) 54 - replace "could be" with was

      “could be” was replaced by “was”

      2) 75 - delete "being"

      “being” was deleted.

      3) 103 - would say "indirectly promotes" since Rhox5 is a transcription factor that presumably activates genes in Sertoli cells whose products then affect neighboring germ cells, either by direct action or by influencing Sertoli cell behavior changes

      “indirectly” was added in the sentence.

      4) 139, 155, elsewhere - haven't seen dpp italicized before, certainly not the norm

      In dpp (days post-partum), “pp” is italicized as it is a Latin word.

      5) 265 - delete "found"

      “found” was deleted.

      6) 263-273 - Is the CYP19 protein referred to encoded by the Cyp19a1 gene (line 263)? Should standardize nomenclature...

      The CYP19 protein (aromatase) is indeed encoded by the Cyp19a1 gene. The nomenclature was standardized: “CYP19” was replaced by “CYP19A1” in the entire manuscript.

      7) 280 - "homolog" doesn't seem like the right word, as it has a very specific meaning with regards to the evolutionary genetic relatedness of genes. Maybe analog?

      “homolog” was replaced by “analog”.

      8) 306 - would reword to something like "proportions of seminiferous tubules containing round and elongating spermatids" - the because the tubules don't reach spermatid stages

      This sentence was reworded as suggested.

      9) 310 - delete "resulted in", unnecessary

      “resulted in” was deleted.

      10) Why are the images shown in Figures 1A and 2A the same? That seems odd - was that intentional? Curious overall why the data is presented in such a way that it's done twice...

      We mistakenly presented immunofluorescence images twice. Duplicate images have been removed. In the modified version of this manuscript, Figure 1A shows 3-HSD immunofluorescence staining in cultures of fresh testicular tissues and in their in vivo counterparts while Figure 1 – figure supplement 1A (not Figure 2A) shows 3-HSD immunofluorescence staining in cultures of frozen/thawed testicular tissues.

      11) In all the western blots, the cropping is done awfully close to the bands - why is this? Can full gels be shown in a Supplement? And especially in the westerns in Fig. 5C, esp for CYP17A1, the cropping is unacceptable. This reviewer is wondering whether this is an oversight, or whether there is another band below that one that is being masked? Again, should show whole blot for transparency and to ensure Rigor and Reproducibility.

      Full gels are shown in the Supplementary File 2. For CYP17A1, we have shown that only one band of the expected molecular weight is obtained with the antibody (Please see photo below). After this verification, the nitrocellulose membranes were cut at the 55 kDa molecular weight band in order to reveal CYP17A1 expression in the upper part of the membranes and the protein used for normalization in the lower part of the membranes.

      Author response image 1.

      12) For all figures, wondering why the font sizes are so disparate? This will need to be addressed before publication so it looks more professional.

      All figures have been reworked as requested.

      Reviewer #3 (Public Review):

      Moutard, Laura, et al. investigated the gene expression and functional aspects of Leydig cells in a cryopreservation/long-term culture system. The authors found that critical genetic markers for Leydig cells were diminished when compared to the in-vivo testis. The testis also showed less androgen production and androgen responsiveness. Although they did not produce normal testosterone concentrations in basal media conditions, the cultured testis still remained highly responsive to gonadotrophin exposure, exhibiting a large increase in androgen production. Even after the hCG-dependent increase in testosterone, genetic markers of Leydig cells remained low, which means there is still a missing factor in the culture media that facilitates proper Leydig cell differentiation. Optimizing this testis culture protocol to help maintain proper Leydig cell differentiation could be useful for future human testis biopsy cultures, which will help preserve fertility and child cancer patients.

      Overall, the authors addressed most comments and questions from the previous review. The additional data regarding the necrotic area is helpful for interpreting the quality of the cultures. The authors did not conduct a multiple comparison tests although there are multiple comparisons conducted on for a single dependent variable (Fig 2J, Fig 3F, among many others), however, the addition of this multiple comparison is unlikely to change the conclusions of the paper or the figure and, thus is a minor technical detail in this case.

      Thank you very much for this second review and your help to improve this manuscript.

    1. Author response:

      The following is the authors’ response to the previous reviews

      We have thoroughly addressed all the reviewers’ comments and meticulously revised the manuscript. Key modifications include the following:

      (a) Organizing the Logic and Highlighting Key Findings: We have revised the manuscript to emphasize key findings (especially the distinctions between the SEC and WOI groups) according to the following logic: constructing a receptive endometrial organoid, comparing its molecular characteristics with those of the receptive endometrium, highlighting its main features (hormone response, enhanced energy metabolism, ciliary assembly and motility, epithelial-mesenchymal transition), and exploring the function involved in embryo interaction.

      (b) Clarity and Better Description of Bioinformatic Analyses: We have revised the sections involving bioinformatic analyses to provide a more streamlined and comprehensible explanation. Instead of overwhelming the reader with excessive details, we focused on the most important findings, and performed additional experimental validation.

      (c) Rationale for Gene Selection: We have clarified the rationale for selecting certain genes and pathways for inclusion in the analysis and manuscript. The associated gene expression data for all figures have been provided in the attached Dataset.

      (d) In the response letter, we have provided the detailed presentation of the methodological optimization for constructing this endometrial assembloids, along with optimization and comparison of endometrial organoid culture media. Furthermore, in the Limitations section, we have explicitly stated that stromal cells and immune cells gradually diminish with increasing passage numbers. Therefore, this study primarily utilized endometrial assembloids within the first three passages for all investigations.

      Below, we provide a point-by-point response to each comment, with all modifications highlighted in the revised manuscript. We respectfully hope that these revisions effectively address the concerns raised by the reviewers.

      Public Reviews:

      Reviewer #1 (Public Review):

      This study generated 3D cell constructs from endometrial cell mixtures that were seeded in the Matrigel scaffold. The cell assemblies were treated with hormones to induce a "window of implantation" (WOI) state. The authors did their best to revise their study according to the reviewers' comments. However, the study remains unconvincing and at the same time too dense and not focused enough.

      (1) The use of the term organoids is still confusing and should be avoided. Organoids are epithelial tissue-resembling structures. Hence, the multiplecell aggregates developed here are rather "coculture models" (or "assembloids"). It is still unexpected (unlikely) that these structures containing epithelial, stromal and immune cells can be robustly passaged in the epithelial growth conditions used. All other research groups developing real organoids from endometrium have shown that only the epithelial compartment remains in culture at passaging (while the stromal compartment is lost). If authors keep to their idea, they should perform scRNA-seq on both early and late (passage 6-10) "organoids". And they should provide details of culturing/passaging/plating etc that are different with other groups and might explain why they keep stromal and immune cells in their culture for such a long time. In other words, they should then in detail compare their method to the standard method of all other researchers in the field, and show the differences in survival and growth of the stromal and immune cells.

      (1) We appreciate your feedback and have revised the term 'organoids' to 'assembloids'. 2)

      I. Due to budget constraints, this study did not perform scRNA-seq on both early and late passages (P6-P10). Instead, immunofluorescence staining confirmed the persistence of stromal cells at passage 6 (as shown below).

      Author response image 1.

      Whole-mount immunofluorescence showed that Vimentin+ F-actin+ cells (stromal cells) were arranged around the glandular spheres that were only F-actin+(passage 6).

      II. Improvements in this study include the following.

      a. Optimization of endometrial tissue processing: The procedures for tissue collection, pretreatment, digestion, and culture were refined to maximize the retention of endometrial epithelial cells, stromal cells, and immune cells (detailed optimizations are provided in Response Table 1).

      b. Enhanced culture medium formulation: Based on previous protocols, WNT3A was added to promote organoid development and differentiation (PMID: 27315476), while FGF2 was supplemented to improve stromal cell survival (PMID: 35224622) (see Response Table 2 for medium comparisons). Representative culture outcomes are shown in the figure below.

      We acknowledge that the stromal and immune cells in this system still exhibit differences compared to their in vivo counterparts. In this study, we utilized the first three passages, which offer optimal cell diversity and viability, to meet experimental needs. However, replicating and maintaining the full complexity of endometrial cell types in vitro remains a major challenge in the field—one that we are actively working to address.

      Author response table 1.

      Methodological Optimization of Endometrial Organoids (Construction, Passaging, and Cryopreservation)

      Author response table 2.

      Optimization and comparison of endometrial organoid culture media

      Author response image 2.

      Bright-field microscopy captures the expansion of glands and surrounding stromal cells across passages 0 to 2 (scar bar=200μm) (Yellow arrows: stromal cells; White arrows: glands).

      (2) The paper is still much too dense, touching upon all kind of conclusions from the manifold bioinformatic analyses. The latter should be much clearer and better described, and then some interesting findings (pathways/genes) should be highlighted without mentioning every single aspect that is observed. The paper needs a lot of editing to better focus and extract take-home messages, not bombing the reader with a mass of pathways, genes etc which makes the manuscript just not readable or 'digest-able'. There is no explanation whatever and no clear rationale why certain genes are included in a list while others are not. There is the impression that mass bioinformatics is applied without enough focus.

      Thanks for your suggestions. We have made improvements and revisions in the following areas:

      (a) Clarity and Better Description of Bioinformatic Analyses: We have revised the sections involving bioinformatic analyses to provide a more streamlined and comprehensible explanation. Instead of overwhelming the reader with excessive details, we focused on the most important findings.

      (b) Organizing the Logic and Highlighting Key Findings: We have revised the manuscript to emphasize key findings according to the following logic: constructing a receptive endometrial organoid, comparing its molecular characteristics with those of the receptive endometrium, highlighting its main features (hormone response, enhanced energy metabolism, ciliary assembly and motility, epithelial-mesenchymal transition), and exploring the function involved in embryo interaction.

      (c) Rationale for Gene Selection: We have clarified the rationale for selecting certain genes and pathways for inclusion in the analysis and manuscript.

      We hope these revisions address your concerns and improve the overall quality and clarity of the manuscript. Thank you once again for your valuable input.

      (3) The study is much too descriptive and does not show functional validation or exploration (except glycogen production). Some interesting findings extracted from the bioinformatics must be functionally tested.

      Thanks for your suggestions. We have restructured the logic and revised the manuscript, incorporating functional validation. The focus is on the following points: highlighting its main features (hormone response, enhanced energy metabolism, ciliary assembly and motility, epithelial-mesenchymal transition), and exploring the functions involved in embryo interaction.

      (4) In contrast to what was found in vivo (Wang et al. 2020), no abrupt change in gene expression pattern is mentioned here from the (early-) secretory to the WoI phase. Should be discussed. Although the bioinformatic analyses point into this direction, there are major concerns which must be solved before the study can provide the needed reliability and credibility for revision.

      To further investigate the abrupt change, the Mfuzz algorithm was utilized to analyze gene expression across the three groups, focusing on gene clusters that were progressively upregulated or downregulated. It was observed that mitochondrial and cilia-related genes exhibited the highest expression levels in WOI endometrial organoids, as well as cell junction and negative regulation of cell differentiation were downregulated (Figure 4A).

      (5) All data should be benchmarked to the Wang et al 2020 and Garcia-Alonso et al. 2021 papers reporting very detailed scRNA-seq data, and not only the Stephen R. Quake 2020 paper.

      We appreciate your suggestion. By integrating data from Garcia-Alonso et al. (2021) (shown in the figure below), we observed that both WOI organoids and SEC organoids exhibit increased glandular secretory epithelium and developed ciliated epithelium, mirroring features of mid-secretory endometrium. The findings exhibit parallels when contrasting these two papers.

      Author response image 3.

      UMAP visualization of integrated scRNA-seq data (our dataset and Garcia-Alonso et al. 2021) showing: (A) cell types, (B) WOI-org, (C)CTRL-org, (D)SEC-org versus published midsecretory samples.

      (6) Fig. 2B: Vimentin staining is not at all clear. F-actin could be used to show the typical morphology of the stromal cells?

      We appreciate your suggestion. We performed additional staining for F-actin based on Vimentin, and found that Vimentin+ F-actin+ cells (stromal cells) were arranged around the glandular spheres that were only F-actin+.

      (7) Where does the term "EMT-derived stromal cells" come from? On what basis has this term been coined?

      Within endometrial biology, stromal cells in the transition from epithelial to mesenchymal phenotype are specifically referred to as 'stromal EMT transition cells' (PMID: 39775038, PMID: 39968688).

      In certain cancers or fibrotic diseases, epithelial cells can transition into a mesenchymal phenotype, contributing to the stromal environment that supports tumor growth or tissue remodeling (PMID: 20572012).

      (8) CD44 is shown in Fig. 2D but the text mentions CD45 (line 159)?

      In Fig 2D, T cells are defined as a cluster of CD45+CD3+ cells, further subdivided into CD4+ and CD8+ T cells based on their expression of CD4 and CD8. This figure does not include data on CD44.

      (9) All quantification experiments (of stainings etc) should be in detail described how this was done. It looks very difficult (almost not feasible) when looking at the provided pictures to count the stained cells.

      a. Manual Measurement:

      For TEM-observed pinopodes, glycogen particles, microvilli, and cilia, manual region-of-interest (ROI) selection was performed using ImageJ software for quantitative analysis of counts, area, and length. Twenty randomly selected images per experimental group were analyzed for each morphological parameter.

      b. Automated Measurement:

      We quantified the fluorescence images using ImageJ. Firstly, preprocess them by adjusting brightness and contrast, and removing background noise with the “Subtract Background” feature.

      Secondly, set the threshold to highlight the cells, then select the regions of interest (ROI) using selection tools. Thirdly, as for counting the cells, navigate to Analyze > Analyze Particles. AS for measuring the influence intensity and area, set the “Measurement” options as mean gray value. Adjust parameters as needed, and view results in the “Results” window. Save the data for further analysis and ensure consistency throughout your measurements for reliable results.

      For 3D fluorescence quantification, ZEN software (Carl Zeiss) was exclusively used, with 11 images analyzed per experimental group. This part has been incorporated into “Supporting Information”

      Line 94-100.

      c. Normalization Method:

      For fluorescence quantification, DAPI was used as an internal reference for normalization, where both DAPI and target fluorescence channel intensities were quantified simultaneously. The normalized target signal intensity (target/DAPI ratio) was then compared across experimental groups. A minimum of 15 images were analyzed for each parameter per group. This part has been incorporated into “Supporting Information” Line 101-104.

      (10) Fig. 3C: it is unclear how quantification can be reliably done. Moreover, OLFM4 looks positive in all cells of Ctrl, but authors still see an increase?

      (a) Fluorescence images were quantitatively analyzed using ImageJ by measuring the mean gray values. For normalization, DAPI staining served as an internal reference, with simultaneous measurement of mean gray values in both the target fluorescence channel and the DAPI channel. The relative fluorescence intensity was then calculated as the ratio of target channel to DAPI signal for inter-group quantitative comparisons.

      (b) OLFM4 is an E2-responsive gene. Its expression in endometrial organoids of the CTRL group is physiologically normal (PMID: 31666317). However, its fluorescence intensity (quantified as mean gray value) was significantly stronger in both the SEC and WOI groups compared to the CTRL group (quantitative method as described above).

      (11) Fig. 3F: Met is downregulated which is not in accordance with the mentioned activation of the PI3K-AKT pathway.

      We appreciate your careful review. Our initial description was imprecise. In the revised manuscript, this statement has been removed entirely.

      (12) Lines 222-226: transcriptome and proteome differences are not significant; so, how meaningful are the results then? Then, it is very hard to conclude an evolution from secretory phase to WoI.

      We appreciate your feedback. The manuscript has been comprehensively revised, and the aforementioned content has been removed.

      (13) WoI organoids show an increased number of cilia. However, some literature shows the opposite, i.e. less ciliated cells in the endometrial lining at WoI (to keep the embryo in place). How to reconcile?

      Thank you for raising this question. We conducted a statistical analysis of the proportion of ciliated cells across endometrial phases.

      (a) Based on the 2020 study by Stephen R. Quake and Carlos Simon’s team published in Nature Medicine (PMID: 32929266), the mid-secretory phase (Days 19–23) exhibited a higher proportion of ciliated cells compared to the early-secretory (Days 15–18) and late-secretory phases (Days 24– 28) (Fig. R13 A).

      (b) According to the 2021 study by Roser Vento-Tormo’s team in Nature Genetics, ciliated cell abundance peaked in the early-to-mid-secretory endometrium across all phases (Fig. R13 B-C).

      Data were sourced from the Reproductive Cell Atlas.

      (14) How are pinopodes distinguished from microvilli? Moreover, Fig. 3 does not show the typical EM structure of cilia.

      Thank you for this insightful question.

      (a) Pinopodes are large, bulbous protrusions with a smooth apical membrane. Under transmission electron microscopy (TEM), it can be observed that the pinopodes contain various small particles, which are typically extracellular fluid and dissolved substances.

      Microvilli are elongated, finger-like projections that typically exhibit a uniform and orderly arrangement, forming a "brush border" structure. Under transmission electron microscopy, dense components of the cytoskeleton, such as microfilaments and microtubules, can be seen at the base of the microvilli.

      (b) You may refer to the ciliated TEM structure shown in the current manuscript's Fig. 2E (originally labeled as Fig. 2H in the draft). The cilium is composed of microtubules. The cross-section shows that the periphery of the cilium is surrounded by nine pairs of microtubules arranged in a ring. The longitudinal section shows that the cilium has a long cylindrical structure, with the two central microtubules being quite prominent and located at the center of the cilium.

      (15) There is a recently published paper demonstrating another model for implantation. This paper should be referenced as well (Shibata et al. Science Advances, 2024).

      Thanks for your valuable comments. We have cited this reference in the manuscript at Line 77-78.

      (16) Line 78: two groups were the first here (Turco and Borreto) and should both be mentioned.

      Thanks for your valuable comments. We have cited this reference in the manuscript at Line 74-76.

      (17) Line 554: "as an alternative platform" - alternative to what? Authors answer reviewers' comments by just changing one word, but this makes the text odd.

      Thank you for your review. Here, we propose that this WOI organoid serves as an alternative research platform for studying endometrial receptivity and maternal-fetal interactions, compared to current secretory-phase organoids. In the revised manuscript, we have supplemented the data by co-culturing this WOI organoid with blastoid, demonstrating its robust embryo implantation potential.

      Reviewer #2 (Public Review):

      In this research, Zhang et al. have pioneered the creation of an advanced organoid culture designed to emulate the intricate characteristics of endometrial tissue during the crucial Window of Implantation (WOI) phase. Their method involves the incorporation of three distinct hormones into the organoid culture, coupled with additives that replicate the dynamics of the menstrual cycle. Through a series of assays, they underscore the striking parallels between the endometrial tissue present during the WOI and their crafted organoids. Through a comparative analysis involving historical endometrial tissue data and control organoids, they establish a system that exhibits a capacity to simulate the intricate nuances of the WOI. The authors made a commendable effort to address the majority of the statements. Developing an endometrial organoid culture methodology that mimics the window of implantation is a game-changer for studying the implantation process. However, the authors should strive to enhance the results to demonstrate how different WOI organoids are from SEC organoids, ensuring whether they are worth using in implantation studies, or a proper demonstration using implantation experiments.

      Thank you for your valuable suggestions. The WOI organoids differ from SEC organoids in the following aspects.

      (1) Structurally, WOI endometrial organoids exhibit subcellular features characteristic of the implantation window: densely packed pinopodes on the luminal side of epithelial cells, abundant glycogen granules, elongated and tightly arranged microvilli, and increased cilia (Figure 2F).

      (2) At the molecular level, WOI organoids show enlarged and functionally active mitochondria, enhanced ciliary assembly and motility, and single-cell signatures resembling mid-secretory endometrium.

      Specifically, mitochondrial- and cilia-related genes/proteins are most highly expressed in WOI organoids (Figure 4A,B). TEM analysis revealed that WOI organoids have the largest average mitochondrial area (Figure 4C). Mitochondrial-related genes display an increasing trend across the three organoid groups, and WOI organoids produce more ATP and IL-8 (Figure 4D,E).

      For cilia, WOI organoids upregulate genes/proteins involved in ciliary assembly, basal bodies, and motile cilia, while downregulating non-motile cilia markers (Figure 5A-C).

      Single-cell analysis further confirms that WOI organoids recapitulate mid-secretory endometrial traits in mitochondrial metabolism and cell adhesion (Figure 2G).

      (3) Functionally, WOI organoids demonstrate superior embryo implantation potential. Given the scarcity and ethical constraints of human embryos, we used blastoids for implantation assays (Figure 6A). These blastoids successfully grew within endometrial organoids, established interactions (Figure 6B), and exhibited normal trilineage differentiation (epiblast: OCT4; hypoblast: GATA6; trophoblast: KRT18) (Figure 6C). WOI organoids achieved significantly higher blastoid survival (66% vs. 19% in CTRL and 28% in SEC) and interaction rates (90% vs. 47% in CTRL and 53% in SEC), confirming their robust embryo-receptive capacity (Figure 6D,E).

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      In conclusion, it is needed to first meet all the concerns of the reviewers and then submit an appropriately adapted and comprehensive paper (also showing the robustness of the "organoids" and functionality of the findings) instead of this still fully descriptive paper. Further comments are included in the rebuttal document of the authors and will be provided by the editor as PDF.

      Reviewer #2 (Recommendations For The Authors):

      The authors made a good effort to reply all the statements. However, there are some points that the authors need to address.

      • There is an inconsistency in the manuscript regarding the number of passages in which the organoids are used; in the response to the reviewers, it mentions 5 passages, while in the Materials and Methods section, it states 3 passages.

      We sincerely appreciate your thorough review. In this study, organoids within the first three passages were used. To address the reviewer's question comprehensively, we have now provided a detailed account of the organoid passage history in our response.

      • We agree that the difference between SEC and WOI organoids may be subtle, but in response to this, the authors should explain what they mean by "the most notable differences lie in the more comprehensive differentiation and varied cellular functions exhibited by WOI organoids..."

      In the original manuscript, this statement indicated that, at the single-cell level, WOI endometrial organoids exhibited more functionally mature and thoroughly differentiated characteristics compared to SEC endometrial organoids (See details below).

      In the revised version, we have restructured this section to focus on following aspects: hormone response, energy metabolism, ciliary assembly and motility, epithelial-mesenchymal transition, and embryo implantation potential. Consequently, the "the most notable differences lie in the more comprehensive differentiation and varied cellular functions exhibited by WOI organoids..."has been removed.

      (1) Varied cellular functions:

      a. Secretory Epithelium: Compared to SEC organoids, WOI organoids exhibit enhanced peptide metabolism and mitochondrial energy metabolism in their secretory epithelium, supporting endometrial decidualization and embryo implantation (Figure 3F).

      b. Proliferative Epithelium: Compared to SEC organoids, WOI organoids demonstrate enhanced GTPase activity, angiogenesis, cytoskeletal assembly, cell differentiation, and RAS protein signaling in their proliferative epithelium (Figure S2G).

      c. Ciliated Epithelium: The ciliated epithelium of WOI endometrial organoids is associated with the regulation of vascular development and exhibits higher transcriptional activity compared to SEC organoids (Figure 5E).

      d. Stromal Cells: Compared to SEC organoids, WOI organoids exhibit enhanced cell junctions, cell migration, and cytoskeletal regulation in EMT-derived stromal cells (Figure S4A right panel). Similarly, cell junctions are also strengthened in stromal cells (Figure S4A left panel).

      (2) comprehensive differentiation:

      a. Compared to SEC organoids, WOI organoids exhibit more complete differentiation from proliferative epithelium to secretory epithelium (Figure 3G).

      b. The WOI organoids demonstrate more robust ciliary differentiation compared to SEC organoids (Figure 5F).

      c. The proliferative epithelium progressively differentiates into EMT-derived cells. Compared to SEC organoids, WOI organoids are predominantly localized at the terminal end of the differentiation trajectory, indicating more complete differentiation (Figure S4B).

      • What do the authors mean by "average intensity" when referring to the extra reagents added to the WOI? The results that the authors show in response to Reviewer 2's Q1 must be included as part of the results and explain how it was done in the materials and methods section.

      This parameter indicates the growth status of organoids. It measures the gray value of organoids through long-term live-cell tracking. When organoids undergo apoptosis, they progressively condense into denser solid spheres, leading to an increase in gray value (average intensity). This content has been incorporated into the Results section (Line 129) and is further explained in the Supporting Information "Materials and Methods" (Lines 70-77).

      • In panel 1C, it is not possible to see the stromal cells around because they are brightfield images.

      You are partly right. Bright-field images alone indeed make it difficult to distinguish stromal cells. However, by combining whole-mount immunofluorescence staining with the characteristic elongated spindle-shaped morphology of stromal cells, we were able to roughly determine their distribution in the bright-field images.

      • Responding to Reviewer 2's question Q7, the authors indicate how they establish the cluster. However, they do not specify whether they extrapolate the data from a database or create the cluster themselves based on the literature. It should be stated from which classification list (or classification database) the extrapolation has been made.

      Within endometrial biology, stromal cells in the transition from epithelial to mesenchymal phenotype are specifically referred to as 'stromal EMT transition cells' (PMID: 39775038, PMID: 39968688).

      In certain cancers or fibrotic diseases, epithelial cells can transition into a mesenchymal phenotype, contributing to the stromal environment that supports tumor growth or tissue remodeling (PMID: 20572012).

      • Regarding Reviewer 2's question Q8, if the authors have not been able to make comparisons with, at least, SEC organoids, unfortunately, the ERT loses much of its strength and should not serve as support.

      We agree with you at this point. These results have been moved to the supplementary figures.

      • If the differences in the transcriptome and proteome between SEC and WOI organoids are not significant, the result does not support the authors' model. If there are barely any differences at the proteome and transcriptome level between SEC and WOI organoids, why would anyone choose to use their model over SEC organoids?

      We sincerely appreciate your valuable feedback. In this revised manuscript, we have further integrated transcriptomic and proteomic analyses, revealing that WOI organoids exhibit enlarged and functionally active mitochondria, along with enhanced cilia assembly and motility compared to SEC organoids. Additionally, using a blastoid model, we demonstrated that WOI organoids possess superior embryo implantation potential, significantly outperforming SEC organoids. Our research group aims to develop an embryo co-culture model. Through systematic comparisons of structural, molecular, and co-culture characteristics between SEC and WOI organoids, we ultimately confirmed the superior performance of WOI organoids.

      • SEC and WOI organoids must be different enough to establish a new model, and the authors do not demonstrate that they are.

      Thank you for your valuable feedback. In the revised manuscript, we have emphasized the distinctions between SEC and WOI organoids in terms of structure, molecular characteristics, and functionality (co-culture with blastoid), as detailed below.

      (1) Structurally, WOI endometrial organoids exhibit subcellular features characteristic of the implantation window: densely packed pinopodes on the luminal side of epithelial cells, abundant glycogen granules, elongated and tightly arranged microvilli, and increased cilia (Figure 2F).

      (2) At the molecular level, WOI organoids show enlarged and functionally active mitochondria, enhanced ciliary assembly and motility, and single-cell signatures resembling mid-secretory endometrium.

      Specifically, mitochondrial- and cilia-related genes/proteins are most highly expressed in WOI organoids (Figure 4A,B). TEM analysis revealed that WOI organoids have the largest average mitochondrial area (Figure 4C). Mitochondrial-related genes display an increasing trend across the three organoid groups, and WOI organoids produce more ATP and IL-8 (Figure 4D,E).

      For cilia, WOI organoids upregulate genes/proteins involved in ciliary assembly, basal bodies, and motile cilia, while downregulating non-motile cilia markers (Figure 5A-C).

      Single-cell analysis further confirms that WOI organoids recapitulate mid-secretory endometrial traits in mitochondrial metabolism and cell adhesion (Figure 2G).

      (3) Functionally, WOI organoids demonstrate superior embryo implantation potential. Given the scarcity and ethical constraints of human embryos, we used blastoids for implantation assays (Figure 6A). These blastoids successfully grew within endometrial organoids, established interactions (Figure 6B), and exhibited normal trilineage differentiation (epiblast: OCT4; hypoblast: GATA6; trophoblast: KRT18) (Figure 6C). WOI organoids achieved significantly higher blastoid survival (66% vs. 19% in CTRL and 28% in SEC) and interaction rates (90% vs. 47% in CTRL and 53% in SEC), confirming their robust embryo-receptive capacity (Figure 6D,E).

      • Regarding Q16, Boretto et al. 2017 and Turco et al. 2017 also manage to isolate stromal cells, but they lose them between passages. It's not a matter of isolating them from the tissue or not, but rather how they justify their maintenance in culture. In the images added by the authors, it can be seen that the majority of stromal cells are lost from P0 to P1 after thawing. I still believe that the epithelial part can be passed and maintained, but the rest cannot, and that should be mentioned in the paper as a limitation. However, the authors can demonstrate the maintenance of stromal cells by performing immunostaining with vimentin from passages 4, 5, and 6.

      Thank you for your valuable comments. We have added the statement 'Stromal cells and immune cells are difficult to pass down stably and their proportion is lower than that in the in vivo endometrium' to the Limitations section (Line 364-365). Additionally, we performed immunostaining with vimentin starting from passage 6 and confirmed the presence of Vimentin+ F-actin+ stromal cells (as shown in Author response image 1).

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment

      This study presents a new and valuable theoretical account of spatial representational drift in the hippocampus. The evidence supporting the claims is convincing, with a clear and accessible explanation of the phenomenon. Overall, this study will likely attract researchers exploring learning and representation in both biological and artificial neural networks.

      We would like to ask the reviewers to consider elevating the assessment due to the following arguments. As noted in the original review, the study bridges two different fields (machine learning and neuroscience), and does not only touch a single subfield (representational drift in neuroscience). In the revision, we also analysed data from four different labs, strengthening the evidence and the generality of the conclusions.

      Public Reviews:

      Reviewer #1 (Public Review):

      The authors start from the premise that neural circuits exhibit "representational drift" -- i.e., slow and spontaneous changes in neural tuning despite constant network performance. While the extent to which biological systems exhibit drift is an active area of study and debate (as the authors acknowledge), there is enough interest in this topic to justify the development of theoretical models of drift.

      The contribution of this paper is to claim that drift can reflect a mixture of "directed random motion" as well as "steady state null drift." Thus far, most work within the computational neuroscience literature has focused on the latter. That is, drift is often viewed to be a harmless byproduct of continual learning under noise. In this view, drift does not affect the performance of the circuit nor does it change the nature of the network's solution or representation of the environment. The authors aim to challenge the latter viewpoint by showing that the statistics of neural representations can change (e.g. increase in sparsity) during early stages of drift. Further, they interpret this directed form of drift as "implicit regularization" on the network.

      The evidence presented in favor of these claims is concise. Nevertheless, on balance, I find their evidence persuasive on a theoretical level -- i.e., I am convinced that implicit regularization of noisy learning rules is a feature of most artificial network models. This paper does not seem to make strong claims about real biological systems. The authors do cite circumstantial experimental evidence in line with the expectations of their model (Khatib et al. 2022), but those experimental data are not carefully and quantitatively related to the authors' model.

      We thank the reviewer for pushing us to present stronger experimental evidence. We now analysed data from four different labs. Two of those are novel analyses of existing data (Karlsson et al, Jercog et al). All datasets show the same trend - increasing sparsity and increasing information per cell. We think that the results, presented in the new figure 3, allow us to make a stronger claim on real biological systems.

      To establish the possibility of implicit regularization in artificial networks, the authors cite convincing work from the machine-learning community (Blanc et al. 2020, Li et al., 2021). Here the authors make an important contribution by translating these findings into more biologically plausible models and showing that their core assumptions remain plausible. The authors also develop helpful intuition in Figure 4 by showing a minimal model that captures the essence of their result.

      We are glad that these translation efforts are appreciated.

      In Figure 2, the authors show a convincing example of the gradual sparsification of tuning curves during the early stages of drift in a model of 1D navigation. However, the evidence presented in Figure 3 could be improved. In particular, 3A shows a histogram displaying the fraction of active units over 1117 simulations. Although there is a spike near zero, a sizeable portion of simulations have greater than 60% active units at the end of the training, and critically the authors do not characterize the time course of the active fraction for every network, so it is difficult to evaluate their claim that "all [networks] demonstrated... [a] phase of directed random motion with the low-loss space." It would be useful to revise the manuscript to unpack these results more carefully. For example, a histogram of log(tau) computed in panel B on a subset of simulations may be more informative than the current histogram in panel A.

      The previous figure 3A was indeed confusing. In particular, it lumped together many simulations without proper curation. We redid this figure (now Figure 4), and added supplementary figures (Figures S1, S2) to better explain our results. It is now clear that the simulations with a large number of active units were either due to non-convergence, slow timescale of sparsification or simulations featuring label noise in which the fraction of active units is less affected. Regarding the log(tau) calculation, while it could indeed be an informative plot, it could not be calculated in a simple manner for all simulations. This is because learning curves are not always exponential, but sometimes feature initial plateaus (see also Saxe et al 2013, Schuessler et al 2020). We added a more detailed explanation of this limitation in the methods section, and we believe the current figure exemplifies the effect in a satisfactory manner.

      Reviewer #2 (Public Review):

      Summary:

      In the manuscript "Representational drift as a result of implicit regularization" the authors study the phenomenon of representational drift (RD) in the context of an artificial network that is trained in a predictive coding framework. When trained on a task for spatial navigation on a linear track, they found that a stochastic gradient descent algorithm led to a fast initial convergence to spatially tuned units, but then to a second very slow, yet directed drift which sparsified the representation while increasing the spatial information. They finally show that this separation of timescales is a robust phenomenon and occurs for a number of distinct learning rules.

      Strengths:

      This is a very clearly written and insightful paper, and I think people in the community will benefit from understanding how RD can emerge in such artificial networks. The mechanism underlying RD in these models is clearly laid out and the explanation given is convincing.

      We thank the reviewer for the support.

      Weaknesses:

      It is unclear how this mechanism may account for the learning of multiple environments.

      There are two facets to the topic of multiple environments. First, are the results of the current paper relevant when there are multiple environments? Second, what is the interaction between brain mechanisms of dealing with multiple environments and the results of the current paper?

      We believe the answer to the first question is positive. The near-orthogonality of representations between environments implies that changes in one can happen without changes in the other. This is evident, for instance, in Khatib et al and Geva et al - in both cases, drift seems to happen independently in two environments, even though they are visited intermittently and are visually similar.

      The second question is a fascinating one, and we are planning to pursue it in future work. While the exact way in which the brain achieves this near-independence is an open question, remapping is one possible window into this process.

      We extended the discussion to make these points clear.

      The process of RD through this mechanism also appears highly non-stationary, in contrast to what is seen in familiar environments in the hippocampus, for example.

      The non-stationarity noted by the reviewer is indeed a major feature of our observations, and is indeed linked to familiarity. We divide learning into three phases (now more clearly stated in Table 1 and Figure 4C). The first, rapid phase, consists of improvement of performance - corresponding to initial familiarity with the environment. The third phase, often reported in the literature of representational drift, is indeed stationary and obtained after prolonged familiarity. Our work focuses on the second phase, which is not as immediate as the first one, and can take several days. We note in the discussion that experiments which include a long familiarization process can miss this phase (see also Table 3). Furthermore, we speculate that real life is less stationary than a lab environment, and this second phase might actually be more relevant there.

      Reviewer #3 (Public Review):

      Summary:

      Single-unit neural activity tuned to environmental or behavioral variables gradually changes over time. This phenomenon, called representational drift, occurs even when all external variables remain constant, and challenges the idea that stable neural activity supports the performance of well-learned behaviors. While a number of studies have described representational drift across multiple brain regions, our understanding of the underlying mechanism driving drift is limited. Ratzon et al. propose that implicit regularization - which occurs when machine learning networks continue to reconfigure after reaching an optimal solution - could provide insights into why and how drift occurs in neurons. To test this theory, Ratzon et al. trained a Feedforward Network trained to perform the oft-utilized linear track behavioral paradigm and compare the changes in hidden layer units to those observed in hippocampal place cells recorded in awake, behaving animals.

      Ratzon et al. clearly demonstrate that hidden layer units in their model undergo consistent changes even after the task is well-learned, mirroring representational drift observed in real hippocampal neurons. They show that the drift occurs across three separate measures: the active proportion of units (referred to as sparsification), spatial information of units, and correlation of spatial activity. They continue to address the conditions and parameters under which drift occurs in their model to assess the generalizability of their findings.

      However, the generalizability results are presented primarily in written form: additional figures are warranted to aid in reproducibility.

      We added figures, and a Github with all the code to allow full reproducibility.

      Last, they investigate the mechanism through which sparsification occurs, showing that the flatness of the manifold near the solution can influence how the network reconfigures. The authors suggest that their findings indicate a three-stage learning process: 1) fast initial learning followed by 2) directed motion along a manifold which transitions to 3) undirected motion along a manifold.

      Overall, the authors' results support the main conclusion that implicit regularization in machine learning networks mirrors representational drift observed in hippocampal place cells.

      We thank the reviewer for this summary.

      However, additional figures/analyses are needed to clearly demonstrate how different parameters used in their model qualitatively and quantitatively influence drift.

      We now provide additional figures regarding parameters (Figures S1, S2).

      Finally, the authors need to clearly identify how their data supports the three-stage learning model they suggest.

      Their findings promise to open new fields of inquiry into the connection between machine learning and representational drift and generate testable predictions for neural data.

      Strengths:

      (1) Ratzon et al. make an insightful connection between well-known phenomena in two separate fields: implicit regularization in machine learning and representational drift in the brain. They demonstrate that changes in a recurrent neural network mirror those observed in the brain, which opens a number of interesting questions for future investigation.

      (2) The authors do an admirable job of writing to a large audience and make efforts to provide examples to make machine learning ideas accessible to a neuroscience audience and vice versa. This is no small feat and aids in broadening the impact of their work.

      (3) This paper promises to generate testable hypotheses to examine in real neural data, e.g., that drift rate should plateau over long timescales (now testable with the ability to track single-unit neural activity across long time scales with calcium imaging and flexible silicon probes). Additionally, it provides another set of tools for the neuroscience community at large to use when analyzing the increasingly high-dimensional data sets collected today.

      We thank the reviewer for these comments. Regarding the hypotheses, these are partially confirmed in the new analyses we provide of data from multiple labs (new Figure 3 and Table 3) - indicating that prolonged exposure to the environment leads to more stationarity.

      Weaknesses:

      (1) Neural representational drift and directed/undirected random walks along a manifold in ML are well described. However, outside of the first section of the main text, the analysis focuses primarily on the connection between manifold exploration and sparsification without addressing the other two drift metrics: spatial information and place field correlations. It is therefore unclear if the results from Figures 3 and 4 are specific to sparseness or extend to the other two metrics. For example, are these other metrics of drift also insensitive to most of the Feedforward Network parameters as shown in Figure 3 and the related text? These concerns could be addressed with panels analogous to Figures 3a-c and 4b for the other metrics and will increase the reproducibility of this work.

      We note that the results from figures 3 and 4 (original manuscript) are based on abstract tasks, while in figure 2 there is a contextual notion of spatial position. Spatial position metrics are not applicable to the abstract tasks as they are simple random mapping of inputs, and there isn’t necessarily an underlying latent variable such as position. This transition between task types is better explained in the text now. In essence the spatial information and place field correlation changes are simply signatures of the movements in parameter space. In the abstract tasks their change becomes trivial, as the spatial information becomes strongly correlated with sparsity and place fields are simply the activity vectors of units. These are guaranteed to change as long as there are changes in the activity statistics. We present here the calculation of these metrics averaged over simulations for completeness.

      Author response image 1.

      PV correlation between training time points averaged over 362 simulations. (B) Mean SI of units normalized to first time step, averaged over 362 simulations. Red line shows the average time point of loss convergence, the shaded area represents one standard deviation.

      (2) Many caveats/exceptions to the generality of findings are mentioned only in the main text without any supporting figures, e.g., "For label noise, the dynamics were qualitatively different, the fraction of active units did not reduce, but the activity of the units did sparsify" (lines 116-117). Supporting figures are warranted to illustrate which findings are "qualitatively different" from the main model, which are not different from the main model, and which of the many parameters mentioned are important for reproducing the findings.

      We now added figures (S1, S2) that show this exactly. We also added a github to allow full reproduction.

      (3) Key details of the model used by the authors are not listed in the methods. While they are mentioned in reference 30 (Recanatesi et al., 2021), they need to be explicitly defined in the methods section to ensure future reproducibility.

      The details of the simulation are detailed in the methods sections. We also added a github to allow full reproducibility.

      (4) How different states of drift correspond to the three learning stages outlined by the authors is unclear. Specifically, it is not clear where the second stage ends, and the third stage begins, either in real neural data or in the figures. This is compounded by the fact that the third stage - of undirected, random manifold exploration - is only discussed in relation to the introductory Figure 1 and is never connected to the neural network data or actual brain data presented by the authors. Are both stages meant to represent drift? Or is only the second stage meant to mirror drift, while undirected random motion along a manifold is a prediction that could be tested in real neural data? Identifying where each stage occurs in Figures 2C and E, for example, would clearly illustrate which attributes of drift in hidden layer neurons and real hippocampal neurons correspond to each stage.

      Thanks for this comment, which urged us to better explain these concepts.

      The different processes (reduction in loss, reduction in Hessian) happen in parallel with different timescales. Thus, there are no sharp transitions between the phases. This is now explained in the text in relation to figure 4C, where the approximate boundaries are depicted.

      The term drift is often used to denote a change in representation without a change in behavior. In this sense, both the second and third phases correspond to drift. Only the third stage is stationary. This is now emphasized in the text and in the new Table 1. Regarding experimental data, apart from the new figure 3 with four datasets, we also summarize in Table 3 the relation between duration of familiarity and stationarity of the data.

      Recommendations for the authors:

      The reviewers have raised several concerns. They concur that the authors should address the specific points below to enhance the manuscript.

      (1) The three different phases of learning should be clearly delineated, along with how they are determined. It remains unclear in which exact phase the drift is observed.

      This is now clearly explained in the new Table 1 and Figure 4C. Note that the different processes (reduction in loss, reduction in Hessian) happen in parallel with different timescales. Thus, there are no sharp transitions between the phases. This is now explained in the text in relation to figure 4C, where the approximate boundaries are depicted.

      The term drift is often used to denote a change in representation without a change in behavior. In this sense, both the second and third phases correspond to drift. Only the third stage is stationary. This is now emphasized in the text and in the new Table 1. Regarding experimental data, apart from the new figure 3 with four datasets, we also summarize in Table 3 the relation between duration of familiarity and stationarity of the data.

      (2) The term "sparsification" of unit activity is not fully clear. Its meaning should be more explicitly explained, especially since, in the simulations, a significant number of units appear to remain active (Fig. 3A).

      We now define precisely the two measures we use - Active Fraction, and Fraction Active Units. There is a new section with an accompanying figure in the Methods section. As Figure S2 shows, the noise statistics (label noise vs. update noise) differentially affects these two measures.

      (3) While the study primarily focuses on one aspect of representational drift-the proportion of active units-it should also explore other features traditionally associated with representational drift, such as spatial information and the correlation between place fields.

      This absence of features is related to the abstract nature of some of the tasks simulated in our paper. In our original submission the transition between a predictive coding task to more abstract tasks was not clearly explained, creating some confusion regarding the measured metrics. We now clarified the motivation for this transition.

      Both the initial simulation and the new experimental data analysis include spatial information (Figures 2,3). The following simulations (Figure 4) with many parameter choices use more abstract tasks, for which the notion of correlation between place cells and spatial information loses its meaning as there is no spatial ordering of the inputs, and every input is encountered only once. Spatial information becomes strongly correlated with the inverse of the active fraction metric. The correlation between place cells is also directly linked to increase in sparseness for these tasks.

      (4) There should be a clearer illustration of how labeling noise influences learning dynamics and sparsification.

      This was indeed confusing in the original submission. We removed the simulations with label noise from Figure 4, and added a supplementary figure (S2) illustrating the different effects of label noise.

      (5) The representational drift observed in this study's simulations appears to be nonstationary, which differs from in vivo reports. The reasons for this discrepancy should be clarified.

      We added experimental results from three additional labs demonstrating a change in activity statistics (i.e. increase in spatial information and increase in sparseness) over a long period of time. We suggest that such a change long after the environment is already familiar is an indication for the second phase, and stress that this change seems to saturate at some point, and that most drift papers start collecting data after this saturation, hence this effect was missed in previous in vivo reports. Furthermore, these effects are become more abundant with the advent on new calcium imaging methods, as the older electrophysiological regording methods did not usually allow recording of large amounts of cells for long periods of time. The new Table 3 surveys several experimental papers, emphasizing the degree of familiarity with the environment.

      (6) A distinctive feature of the hippocampus is its ability to learn different spatial representations for various environments. The study does not test representational drift in this context, a topic of significant interest to the community. Whether the authors choose to delve into this is up to them, but it should at least be discussed more comprehensively, as it's only briefly touched upon in the current manuscript version.

      There are two facets to the topic of multiple environments. First, are the results of the current paper relevant when there are multiple environments? Second, what is the interaction between brain mechanisms of dealing with multiple environments and the results of the current paper?

      We believe the answer to the first question is positive. The near-orthogonality of representations between environments implies that changes in one can happen without changes in the other. This is evident, for instance, in Khatib et al and Geva et al - in both cases, drift seems to happen independently in two environments, even though they are visited intermittently and are visually similar.

      The second question is a fascinating one, and we are planning to pursue it in future work. While the exact way in which the brain achieves this near-independence is an open question, remapping is one possible window into this process.

      We extended the discussion to make these points clear.

      (7) The methods section should offer more details about the neural nets employed in the study. The manuscript should be explicit about the terms "hidden layer", "units", and "neurons", ensuring they are defined clearly and not used interchangeably..

      We changed the usage of these terms to be more coherent and made our code publicly available. Specifically, “units” refer to artificial networks and “neurons” to biological ones.

      In addition, each reviewer has raised both major and minor concerns. These are listed below and should be addressed where possible.

      Reviewer #1 (Recommendations For The Authors):

      I recommend that the authors edit the text to soften their claims. For example:

      In the abstract "To uncover the underlying mechanism, we..." could be changed to "To investigate, we..."

      Agree. Done

      On line 21, "Specifically, recent studies showed that..." could be changed to "Specifically, recent studies suggest that..."

      Agree. Done

      On line 100, "All cases" should probably be softened to "Most cases" or more details should be added to Figure 3 to support the claim that every simulation truly had a phase of directed random motion.

      The text was changed in accordance with the reviewer’s suggestion. In addition, the figure was changed and only includes simulations in which we expected unit sparsity to arise (without label noise). We also added explanations and supplementary figures for label noise.

      Unless I missed something obvious, there is no new experimental data analysis reported in the paper. Thus, line 159 of the discussion, "a phenomenon we also observed in experimental data" should be changed to "a phenomenon that recently reported in experimental data."

      We thank the reviewer for drawing our attention to this. We now analyzed data from three other labs, two of which are novel analyses on existing data. All four datasets show the same trends of sparseness with increasing spatial information. The new Figure 3 and text now describe this.

      On line 179 of the Discussion, "a family of network configurations that have identical performance..." could be softened to "nearly identical performance." It would be possible for networks to have minuscule differences in performance that are not detected due to stochastic batch effects or limits on machine precision.

      The text was changed in accordance with the reviewer’s suggestion.

      Other minor comments:

      Citation 44 is missing the conference venue, please check all citations are formatted properly.

      Corrected.

      In the discussion on line 184, the connection to remapping was confusing to me, particularly because the cited reference (Sanders et al. 2020) is more of a conceptual model than an artificial network model that could be adapted to the setting of noisy learning considered in this paper. How would an RNN model of remapping (e.g. Low et al. 2023; Remapping in a recurrent neural network model of navigation and context inference) be expected to behave during the sparsifying portion of drift?

      We now clarified this section. The conceptual model of Sanders et al includes a specific prediction (Figure 7 there) which is very similar to ours - a systematic change in robustness depending on duration of training. Regarding the Low et al model, using such mechanistic models is an exciting avenue for future research.

      Reviewer #2 (Recommendations For The Authors):

      I only have two major questions.

      (1) Learning multiple representations: Memory systems in the brain typically must store many distinct memories. Certainly, the hippocampus, where RD is prominent, is involved in the ongoing storage of episodic memories. But even in the idealized case of just two spatial memories, for example, two distinct linear tracks, how would this learning process look? Would there be any interference between the two learning processes or would they be largely independent? Is the separation of time scales robust to the number of representations stored? I understand that to answer this question fully probably requires a research effort that goes well beyond the current study, but perhaps an example could be shown with two environments. At the very least the authors could express their thoughts on the matter.

      There are two facets to the topic of multiple environments. First, are the results of the current paper relevant when there are multiple environments? Second, what is the interaction between brain mechanisms of dealing with multiple environments and the results of the current paper?

      We believe the answer to the first question is positive. The near-orthogonality of representations between environments implies that changes in one can happen without changes in the other. This is evident, for instance, in Khatib et al and Geva et al - in both cases, drift seems to happen independently in two environments, even though they are visited intermittently and are visually similar.

      The second question is a fascinating one, and we are planning to pursue it in future work. While the exact way in which the brain achieves this near-independence is an open question, remapping is one possible window into this process.

      We extended the discussion to make these points clear.

      (2) Directed drift versus stationarity: I could not help but notice that the RD illustrated in Fig.2D is not stationary in nature, i.e. the upper right and lower left panels are quite different. This appears to contrast with findings in the hippocampus, for example, Fig.3e-g in (Ziv et al, 2013). Perhaps it is obvious that a directed process will not be stationary, but the authors note that there is a third phase of steady-state null drift. Is the RD seen there stationary? Basically, I wonder if the process the authors are studying is relevant only as a novel environment becomes familiar, or if it is also applicable to RD in an already familiar environment. Please discuss the issue of stationarity in this context.

      The non-stationarity noted by the reviewer is indeed a major feature of our observations, and is indeed linked to familiarity. We divide learning into three phases (now more clearly stated in Table 1 and Figure 4C). The first, rapid, phase consists of improvement of performance - corresponding to initial familiarity with the environment. The third phase, often reported in the literature of representational drift, is indeed stationary and obtained after prolonged familiarity. Our work focuses on the second phase, which is not as immediate as the first one, and can take several days. We note in the discussion that experiments which include a long familiarization process can miss this phase (see also Table 3). Furthermore, we speculate that real life is less stationary than a lab environment, and this second phase might actually be more relevant there.

      Reviewer #3 (Recommendations For The Authors):

      Most of my general recommendations are outlined in the public review. A large portion of my comments regards increasing clarity and explicitly defining many of the terms used which may require generating more figures (to better illustrate the generality of findings) or modifying existing figures (e.g., to show how/where the three stages of learning map onto the authors' data).

      Sparsification is not clearly defined in the main text. As I read it, sparsification is meant to refer to the activity of neurons, but this needs to be clearly defined. For example, lines 262-263 in the methods define "sparseness" by the number of active units, but lines 116-117 state: "For label noise, the dynamics were qualitatively different, the fraction of active units did not reduce, but the activity of the units did sparsify." If the fraction of active units (defined as "sparseness") did not change, what does it mean that the activity of the units "sparsified"? If the authors mean that the spatial activity patterns of hidden units became more sharply tuned, this should be clearly stated.

      We now defined precisely the two measures we use - Active Fraction, and Fraction Active Units. There is a new section with an accompanying figure in the Methods section. As Figure S2 shows, the noise statistics (label noise vs. update noise) differentially affects these two measures.

      Likewise, it is unclear which of the features the authors outlined - spatial information, active proportion of units, and spatial correlation - are meant to represent drift. The authors should clearly delineate which of these three metrics they mean to delineate drift in the main text rather than leave it to the reader to infer. While all three are mentioned early on in the text (Figure 2), the authors focus more on sparseness in the last half of the text, making it unclear if it is just sparseness that the authors mean to represent drift or the other metrics as well.

      The main focus of our paper is on the non-stationarity of drift. Namely that features (such as these three) systematically change in a directed manner as part of the drift process. This is in The new analyses of experimental data show sparseness and spatial information.

      The focus on sparseness in the second half of the paper is because we move to more abstract These are also easy to study in the more abstract tasks in the second part of the paper. In our original submission the transition between a predictive coding task to more abstract tasks was not clearly explained, creating some confusion regarding the measured metrics. We now clarified the motivation for this transition.

      It is not clear if a change in the number of active units alone constitutes "drift", especially since Geva et al. (2023) recently showed that both changes in firing rate AND place field location drive drift, and that the passage of time drives changes in activity rate (or # cells active).

      Our work did not deal with purely time-dependent drift, but rather focused on experience-dependence. Furthermore, Geva et al study the stationary phase of drift, where we do not expect a systematic change in the total number of cells active. They report changes in the average firing rate of active cells in this phase, as a function of time - which does not contradict our findings.

      "hidden layer", "units", and "neurons" seem to be used interchangeably in the text (e.g., line 81-85). However, this is confusing in several places, in particular in lines 83-85 where "neurons" is used twice. The first usage appears to refer to the rate maps of the hidden layer units simulated by the authors, while the second "neurons" appears to refer to real data from Ziv 2013 (ref 5). The authors should make it explicit whether they are referring to hidden layer units or actual neurons to avoid reader confusion.

      We changed the usage of these terms to be more coherent. Specifically, “units” refer to artificial networks and “neurons” to biological ones.

      The authors should clearly illustrate which parts of their findings support their three-phase learning theory. For example, does 2E illustrate these phases, with the first tenth of training time points illustrating the early phase, time 0.1-0.4 illustrating the intermediate phase, and 0.4-1 illustrating the last phase? Additionally, they should clarify whether the second and third stages are meant to represent drift, or is it only the second stage of directed manifold exploration that is considered to represent drift? This is unclear from the main text.

      The different processes (reduction in loss, reduction in Hessian) happen in parallel with different timescales. Thus, there are no sharp transitions between the phases. This is now explained in the text in relation to figure 4C, where the approximate boundaries are depicted.

      The term drift is often used to denote a change in representation without a change in behavior. In this sense, both the second and third phases correspond to drift. Only the third stage is stationary. This is now emphasized in the text and in the new Table 1. Regarding experimental data, apart from the new figure 3 with four datasets, we also summarize in Table 3 the relation between duration of familiarity and stationarity of the data.

      Line 45 - It appears that the acronym ML is not defined above here anywhere.

      Added.

      Line 71: the ReLU function should be defined in the text, e.g., sigma(x) = x if x > 0 else 0.

      Added.

      106-107: Figures (or supplemental figures) to demonstrate how most parameters do not influence sparsification dynamics are warranted. As written, it is unclear what "most parameters" mean - all but noise scale. What about the learning rule? Are there any interactions between parameters?

      We now removed the label noise from Figure 4, and added two supplementary figures to clearly explain the effect of parameters. Figure 4 itself was also redone to clarify this issue.

      2F middle: should "change" be omitted for SI?

      The panel was replaced by a new one in Figure 3.

      116-119: A figure showing how results differ for label noise is warranted.

      This is now done in Figure S1, S2.

      124: typo, The -> the

      Corrected.

      127-129: This conclusion statement is the first place in the text where the three stages are explicitly outlined. There does not appear to be any support or further explanation of these stages in the text above.

      We now explain this earlier at the end of the Introduction section, along with the new Table 1 and marking on Figure 4C.

      132-133 seems to be more of a statement and less of a prediction or conclusion - do the authors mean "the flatness of the loss landscape in the vicinity of the solution predicts the rate of sparsification?"

      We thank the reviewer for this observation. The sentence was rephrased:

      Old: As illustrated in Fig. 1, different solutions in the zero-loss manifold might vary in some of their properties. The specific property suggested from theory is the flatness of the loss landscape in the vicinity of the solution.

      New: As illustrated in Fig. 1, solutions in the zero-loss manifold have identical loss, but might vary in some of their properties. The authors of [26] suggest that noisy learning will slowly increase the flatness of the loss landscape in the vicinity of the solution.

      135: typo, it's -> its

      Corrected.

      Line 135-136 "Crucially, the loss on the 136 entire manifold is exactly zero..." This appears to contradict the Figure 4A legend - the loss appears to be very high near the top and bottom edges of the manifold in 4A. Do the authors mean that the loss along the horizontal axis of the manifold is zero?

      The reviewer is correct. The manifold mentioned in the sentence is indeed the horizontal axis. We changed the text and the figure to make it clearer.

      Equation 6: This does not appear to agree with equation 2 - should there be an E_t term for an expectation function?

      Corrected.

      Line 262-263: "Sparseness means that a unit has become inactive for all inputs." This should also be stated explicitly as the definition of sparseness/sparsification in the main text.

      We now define precisely the two measures we use - Active Fraction, and Fraction Active Units. There is a new section with an accompanying figure in the Methods section. As Figure S2 shows, the noise statistics (label noise vs. update noise) differentially affects these two measures.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #2 (Public Review):

      Weaknesses:

      The comparison of affinity predictions derived from AlphaFold2 and H3-opt models, based on molecular dynamics simulations, should have been discussed in depth. In some cases, there are huge differences between the estimations from H3-opt models and those from experimental structures. It seems that the authors obtained average differences of the real delta, instead of average differences of the absolute value of the delta. This can be misleading, because high negative differences might be compensated by high positive differences when computing the mean value. Moreover, it would have been good for the authors to disclose the trajectories from the MD simulations.

      Thanks for your careful checks. We fully understand your concerns about the large differences when calculating affinity. To understand the source of these huge differences, we carefully analyzed the trajectories of the input structures during MD simulations. We found that the antigen-antibody complex shifted as it transited from NVT to NPT during pre-equilibrium, even when restraints are used to determine the protein structure. To address this issue, we consulted the solution provided on Amber's mailing list (http://archive.ambermd.org/202102/0298.html) and modified the top file ATOMS_MOLECULE item of the simulation system to merge the antigen-antibody complexes into one molecule. As a result, the number of SOLVENT_POINTERS was also adjusted. Finally, we performed all MD simulations and calculated affinities of all complexes.

      We have corrected the “Afterwards, a 25000-step NVT simulation with a time step of 1 fs was performed to gradually heat the system from 0 K to 100 K. A 250000-step NPT simulation with a time step of 2 fs was carried out to further heat the system from 100 K to 298 K.” into “Afterwards, a 400-ps NVT simulation with a time step of 2 fs was performed to gradually heat the system from 0 K to 298 K (0–100 K: 100 ps; 100-298 K: 200 ps; hold 298 K: 100 ps), and a 100-ps NPT simulation with a time step of 2 fs was performed to equilibrate the density of the system. During heating and density equilibration, we constrained the antigen-antibody structure with a restraint value of 10 kcal×mol-1×Å-2.” and added the following sentence in the Method section of our revised manuscript: “The first 50 ns restrains the non-hydrogen atoms of the antigen-antibody complex, and the last 50 ns restrains the non-hydrogen atoms of the antigen, with a constraint value of 10 kcal×mol-1×Å-2”

      In addition, we have corrected the calculation of mean deltas using absolute values and have demonstrated that the average affinities of structures predicted by H3-OPT were closer to those of experimentally determined structures than values obtained through AF2. These results have been updated in the revised manuscript. However, significant differences still exist between the estimations of H3-OPT models and those derived from experimental structures in few cases. We found that antibodies moved away from antigens both in AF2 and H3-OPT predicted complexes during simulations, resulting in RMSDbackbone (RMSD of antibody backbone) exceeding 20 Å. These deviations led to significant structural changes in the complexes and consequently resulted in notable differences in affinity calculations. Thus, we removed three samples (PDBID: 4qhu, 6flc, 6plk) from benchmark because these predicted structures moved away from the antigen structure during MD simulations, resulting in huge energy differences from the native structures.

      Author response table 1.

      We also appreciate your reminder, and we have calculated all RMSDbackbone during production runs (SI Fig. 5).

      Author response image 1.

      Reviewer #3 (Public Review):

      Weaknesses:

      The proposed method lacks of a confidence score or a warning to help guiding the users in moderate to challenging cases.

      We were sorry for our mistakes. We have updated our GitHub code and added following sentences to clarify how we train this confidence score module in Method Section: “Confidence score prediction module

      We apply an MSE loss for confidence prediction, label error was calculated as the Cα deviation of each residue after alignment. The inputs of this module are the same as those used for H3-OPT, and it generates a confidence score ranging from 0 to 100. The dropout rates of H3-OPT were set to 0.25. The learning rate and weight decay of Adam optimizer are set to 1 × 10−5 and 1 × 10−4, respectively.”

      Reviewer #2 (Recommendations For The Authors):

      I would strongly suggest that the authors deepen their discussion on the affinity prediction based on Molecular Dynamics. In particular, why do the authors think that some structures exhibit huge differences between the predictions from the experimental structure and the predicted by H3-opt? Also, please compute the mean deltas using the absolute value and not the real value; the letter can be extremely misleading and hidden very high differences in different directions that are compensating when averaging.

      I would also advice to include graphical results of the MD trajectories, at least as Supp. Material.

      We gratefully thank you for your feedback and fully understand your concerns. We found the source of these huge differences and solved this problem by changing method of MD simulations. Then, we calculated all affinities and corrected the mean deltas calculation using the absolute value. The RMSDbackbone values were also measured to enable accurate affinity predictions during production runs (SI Fig. 5). There are still big differences between the estimations of H3-OPT models and those from experimental structures in some cases. We found that antibodies moved away from antigens both in AF2 and H3-OPT predicted complexes during simulations, resulting in RMSDbackbone exceeding 20 Å. These deviations led to significant structural changes in the complexes and consequently resulted in notable differences in affinity calculations. Thus, we removed three samples (PDBID: 4qhu, 6flc, 6plk) from benchmark.

      Thanks again for your professional advice.

      Reviewer #3 (Recommendations For The Authors):

      (1) I am pleased with the most of the answers provided by the authors to the first review. In my humble opinion, the new manuscript has greatly improved. However, I think some answers to the reviewers are worth to be included in the main text or supporting information for the benefit of general readers. In particular, the requested statistics (i.e. p-values for Cα-RMSD values across the modeling approaches, p-values and error bars in Fig 5a and 5b, etc.) should be introduced in the manuscript.

      We sincerely appreciate your advice. We have added the statistics values to Fig. 4 and Fig. 5 to our manuscript.

      Author response image 2.

      Author response image 3.

      (2) Similarly, authors state in the answers that "we have trained a separate module to predict the confidence score of the optimized CDR-H3 loops". That sounds a great improvement to H3-OPT! However, I couldn't find any reference of that new module in the reviewed version of the manuscript, nor in the available GitHub code. That is the reason for me to hold the weakness "The proposed method lacks of a confidence score".

      We were really sorry for our careless mistakes. Thank you for your reminding. We have updated our GitHub code and added following sentences to clarify how we train this confidence score module in Method Section:

      “Confidence score prediction module

      We apply an MSE loss for confidence prediction, label error was calculated as the Cα deviation of each residue after alignment. The inputs of this module are the same as those used for H3-OPT, and it generates a confidence score ranging from 0 to 100. The dropout rates of H3-OPT were set to 0.25. The learning rate and weight decay of Adam optimizer are set to 1 × 10−5 and 1 × 10−4, respectively.”

      (3) I acknowledge all the efforts made for solving new mutant/designed nanobody structures. Judging from the solved structures, mutants Y95F and Q118N seems critical to either crystallographic or dimerization contacts stabilizing the CDR-H3 loop, hence preventing the formation of crystals. Clearly, solving a molecular structure is a challenge, hence including the following comment in the manuscript is relevant for readers to correctly asset the magnitude of the validation: "The sequence identities of the VH domain and H3 loop are 0.816 and 0.647, respectively, comparing with the best template. The CDR-H3 lengths of these nanobodies are both 17. According to our classification strategy, these nanobodies belong to Sub1. The confidence scores of these AlphaFold2 predicted loops were all higher than 0.8, and these loops were accepted as the outputs of H3-OPT by CBM."

      We appreciate your kind recommendations and have revised “Although Mut1 (E45A) and Mut2 (Q14N) shared the same CDR-H3 sequences as WT, only minor variations were observed in the CDR-H3. H3-OPT generated accurate predictions with Cα-RMSDs of 1.510 Å, 1.541 Å and 1.411 Å for the WT, Mut1, and Mut2, respectively.” into “Although Mut1 (E45A) and Mut2 (Q14N) shared the same CDR-H3 sequences as WT (LengthCDR-H3 = 17), only minor variations were observed in the CDR-H3. H3-OPT generated accurate predictions with Cα-RMSDs of 1.510 Å, 1.541 Å and 1.411 Å for the WT, Mut1, and Mut2, respectively (The confidence scores of these AlphaFold2 predicted loops were all higher than 0.8, and these loops were accepted as the outputs of H3-OPT by CBM). ”. In addition, we have added following sentence in the legend of Figure 4 to ensure that readers can appropriately evaluate the significance and reliability of our validations: “The sequence identities of the VH domain and H3 loop are 0.816 and 0.647, respectively, comparing with the best template.”.

      (4) As pointed out in the first review, I think the work https://doi.org/10.1021/acs.jctc.1c00341 is worth acknowledging in section "2.2 Molecular dynamics (MD) simulations could not provide accurate CDR-H3 loop conformations" of supplementary material, as it constitutes a clear reference (and probably one of the few) to the MD simulations that authors pretend to perform. Similarly, the work https://doi.org/10.3390/molecules28103991 introduces a former benchmark on AI algorithms for predicting antibody and nanobody structures that readers may find interest to contrast with the present work. Indeed, this later reference is used by authors to answer a reviewer comment.

      Thanks a lot for your valuable comments. We have added these references in the proper positions in our manuscript.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Response to Reviewer 1 Comments (PublicReview)

      Point 1: First, the authors should provide more convincing data showing that tor and tapA genes are indeed duplicated genes in A. flavus. The authors appeared to use the A. flavus PTS strain as a parental strain for constructing the tor and tapA mutants. If so, the A. flavus CA14 strain (Hua et al., 2007) should be the parental wild-type strain for the A. flavus PTS strain. I did a BLAST search in NCBI for the torA (AFLA_044350) and tapA (AFLA_092770) genes using the most recent CA14 genome assembly sequence (GCA_014784225.2) and only found one allele for each gene: torA on chromosome 7 and tapA on chromosome 3. I could not find any other parts with similar sequences. Even in another popular A. flavus wild-type strain, NRRL3357, both torA and tapA exist as a single allele. Based on the published genome assembly data for A. flavus, there is no evidence to support the idea that tor and tapA exist as copies of each other. Therefore, the authors could perform a Southern blot analysis to further verify their claim. If torA and tapA indeed exist as duplicate copies in different chromosomal locations, Southern blot data could provide supporting results.

      Response 1: We thank the reviewer for their insightful observation. Based on the southern blot analysis results presented in Figure 1, we have determined that torA and tapA are single-copy genes. Additionally, we conducted protoplast transformation experiments repeated several times. which revealed that both torA and tapA transformants exhibited ectopic mutations. It is plausible that the deletion of torA and tapA genes may lead to the demise of A. flavus, this phenomenon is consistent with previous studies conducted on the fungus Fusarium graminearum[1].To ensure the rigor of the study, we have retracted the previously incorrect conclusion. We once again express our heartfelt appreciation to the experts for their valuable suggestions.

      Author response image 1.

      Fig.1 Southern blot hybridization analyses of WT, torA, and tapA transformants. (A) The structure diagram of the torA gene. (B) The structure diagram of the tapA gene. (C) Southern blot hybridization analyses of torA gene. (D) Southern blot hybridization analyses of tapA gene.

      Point 2: Second, the authors should consider the possibility of aneuploidy for their constructed mutants. When an essential gene is targeted for deletion, aneuploidy often occurs even in a fungal strain without the "ku" mutation, which results in seemingly dual copies of the gene. As the authors appear to use the A. flavus PTS strain having the "ku" mutation, the parental strain has increased genome instability, which may result in enhanced chromosomal rearrangements. So, it will be necessary to Illumina-sequence their tor and tapA mutants to make sure that they are not aneuploidy.

      Response 2: Thank you for your comment. Based on the sequencing results of the torA and tapA mutants, it was determined that the torA and tapA genes were still present in both mutants. In this case, it suggests that the torA and tapA genes may have undergone a genetic rearrangement or insertion at a different site in the mutant strains.

      Point 3: Furthermore, the genetic nomenclature +/- and -/- should be reserved for heterozygous and homozygous mutants in a diploid strain. As A. flavus is not a diploid strain, this type of description could cause confusion for the readers.

      Response 3: Thank you for your suggestion. We acknowledge your concerns about potential confusion caused by using this type of description, and we agree that it is best to avoid any misunderstandings for readers. Therefore, we have decided to remove this part of the content from the manuscript.

      Response to Reviewer 2 Comments (PublicReview)

      Point 1: However, findings have not been deeply explored and conclusions are mostly are based on parallel phenotypic observations. In addition, there are some concerns for the conclusions.

      Response 1: We are grateful for the suggestion. We conduct additional experiments and analyses to provide a more comprehensive understanding and address concerns raised.

      Response to Reviewer 3 Comments (PublicReview)

      Point 1: The paper by Li et al. describes the role of the TOR pathway in Aspergillus flavus. The authors tested the effect of rapamycin in WT and different deletion strains. This paper is based on a lot of experiments and work but remains rather descriptive and confirms the results obtained in other fungi. It shows that the TOR pathway is involved in conidiation, aflatoxin production, pathogenicity, and hyphal growth. This is inferred from rapamycin treatment and TOR1/2 deletions. Rapamycin treatment also causes lipid accumulation in hyphae. The phenotypes are not surprising as they have been shown already for several fungi. In addition, one caveat is in my opinion that the strains grow very slowly and this could cause many downstream effects. Several kinases and phosphatases are involved in the TOR pathway. They were known from S. cerevisiae or filamentous fungi. The authors characterized them as well with knock-out approaches.

      Response 1: Thank you for your comment. The role of the target of rapamycin (TOR) signaling pathway is of fundamental importance in the physiological processes of diverse eukaryotic organisms. Nevertheless, its precise involvement in regulating the developmental and virulent characteristics of opportunistic pathogenic fungi, such as A. flavus, has yet to be fully elucidated. Furthermore, the mechanistic underpinnings of TOR pathway activity specifically in A. flavus remain largely unresolved. Consequently, our study represents a significant contribution as the first comprehensive exploration of the conserved TOR signaling pathway encompassing a majority of its constituent genes in A. flavus.

      Response to Reviewer 1 Comments (Recommendations For The Authors)

      Point 1: In Table S3, the authors indicated that the Δku70 ΔniaD ΔpyrG::pyrG strain is A. flavus wild-type strain. However, this strain is not a wild-type strain because it seems like a control strain after introducing the pyrG gene into the A. flavus PTS strain (Δku70 ΔniaD ΔpyrG). So please indicate the real wild-type A. flavus strain name to help readers find out its original genome sequence data. Also, the reference for this Δku70 ΔniaD ΔpyrG::pyrG strain is "saved in our lab". This is not an eligible reference. If you use this control strain for the first time in this study, it should be described as "In this study". Otherwise, please indicate the proper reference for which the strain was first used.

      Response 1: Thank you for your valuable feedback on our manuscript. We appreciate your attention to detail and the opportunity to clarify the information regarding the strain in Table S3. The A. flavus CA14 strain which produces aflatoxins and large sclerotia was isolated from a pistachio bud in the Wolfskill Grant Experimental Farm (University of Davis, Winters, California, USA)[2]. The A. flavus CA14 strain is the parental wild-type strain for the A. flavus CA14 PTs (Δku70, ΔniaD, ΔpyrG) strain. The recipient strain CA14 PTs has been used satisfactorily in gene knockout and subsequent genetic complementation experiments[3]. In this study, the A. flavus CA14 PTs strain was used as the transformation recipient strain, and the control strain (Δku70, ΔniaD, ΔpyrG::pyrG) created by introducing the pyrG gene into the A. flavus CA14 PTs strain. Refer to previously published literature[4],this control strain (Δku70, ΔniaD, ΔpyrG::pyrG) was named wild-type strain. Therefore, this control strain was also named wild-type strain in this study. As this control strain is indeed used in this study, we will revise the reference to "In this study" Once again, we appreciate your keen attention to detail and thank you for bringing these issues to our attention.

      Response to Reviewer 2 Comments (Recommendations For The Authors)

      Point 1: As in response: However, the tor gene in A. flavus exhibited varying copy numbers, as was confirmed by absolute quantification PCR at the genome level (Table S1). However, it is hard to understand Table S1: Estimation of copy number of tor gene in A. flavus toro and sumoo stand for the initial copy number, and the data are figured as the mean {plus minus} 95% confidence limit. CN is copy number. As indicated in the section of Method, using sumo gene as reference, the tor and tapA gene copy number was calculated by standard curve. In Table S1 of WT, for tor gene, CN value is 1412537 compared to 1698243 in tor+/-, for the reference gene sumo,794328 compared to1584893, how these data could support copy gene numbers of tor?

      Response 1: Thank you for your suggestion. We understand the confusion with the data presented in Table S1 regarding the copy number estimation of the tor gene in A. flavus. We apologize for not providing a clear explanation for the data in the table. Quantitative real-time PCR (qPCR) is widely used to determine the copy number of a specific gene. It involves amplifying the gene of interest and a reference gene simultaneously using specific primers and probes. By comparing the amplification curves of the gene of interest and the reference gene, you can estimate the relative copy number of the gene.

      To address your concern and provide more accurate information, we have re-performed the copy number analysis using southern blot. Southern blot analysis allows for the direct estimation of gene copy number by hybridizing genomic DNA with a specific probe for the gene. This method provides more reliable and accurate results in determining gene copy numbers. The southern blot analysis results are presented in Figure 1.

      We appreciate your input and apologize for any confusion caused by the earlier presentation of the data.

      Point 2: In response: For the knockout of the FRB domain, we used the homologous recombination method, but because tor genes are double-copy genes, there are also double copies in the FRB domain. Despite our efforts, we encountered challenges in precisely determining the location of the other copy of the tor gene. I could not understand these consistent data, why not for using sequencing?

      Response 2: Thank you for your comment. We observed that the torA gene is a single copy. We removed this part of the results to avoid any ambiguity or potential misinterpretation.

      Point 3: Response in Due to the large number of genes involved, we did not perform a complementation experiment. If there were no complementation data, how to demonstrate data are solid?

      Response 3: Thank you for your important suggestion. We understand that complementation experiments are commonly used to validate gene deletions. Therefore, to ensure the reliability of our data, we have conducted supplementary experiments on specific gene deletions, such as ΔsitA-C and Δppg1-C. Thank you again for your positive comments and valuable suggestions to improve the quality of our manuscript.

      References:

      (1) Yu F, Gu Q, Yun Y, et al. The TOR signaling pathway regulates vegetative development and virulence in Fusarium graminearum. New Phytol. 2014; 203(1): 219-32.

      (2) Hua SS, Tarun AS, Pandey SN, Chang L, Chang PK. Characterization of AFLAV, a Tf1/Sushi retrotransposon from Aspergillus flavus. Mycopathologia. 2007 Feb;163(2):97-104.

      (3) Chang PK, Scharfenstein LL, Mack B, Hua SST. Genome sequence of an Aspergillus flavus CA14 strain that is widely used in gene function studies. Microbiol Resour Announc. 2019 Aug 15;8(33):e00837-19.

      (4) Zhu Z, Yang M, Yang G, Zhang B, Cao X, Yuan J, Ge F, Wang S. PP2C phosphatases Ptc1 and Ptc2 dephosphorylate PGK1 to regulate autophagy and aflatoxin synthesis in the pathogenic fungus Aspergillus flavus. mBio. 2023 Oct 31;14(5):e0097723.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review)

      Summary:

      Huang and colleagues present a method for approximation of linkage disequilibrium (LD) matrices. The problem of computing LD matrices is the problem of computing a correlation matrix. In the cases considered by the authors, the number of rows (n), corresponding to individuals, is small compared to the number of columns (m), corresponding to the number of variants. Computing the correlation matrix has cubic time complexity , which is prohibitive for large samples. The authors approach this using three main strategies:

      1. they compute a coarsened approximation of the LD matrix by dividing the genome into variant-wise blocks which statistics are effectively averaged over;

      2. they use a trick to get the coarsened LD matrix from a coarsened genomic relatedness matrix (GRM), which, with time complexity, is faster when n << m;

      3. they use the Mailman algorithm to improve the speed of basic linear algebra operations by a factor of log(max(m,n)). The authors apply this approach to several datasets.

      Strengths:

      The authors demonstrate that their proposed method performs in line with theoretical explanations.

      The coarsened LD matrix is useful for describing global patterns of LD, which do not necessarily require variant-level resolution.

      They provide an open-source implementation of their software.

      Weaknesses:

      The coarsened LD matrix is of limited utility outside of analyzing macroscale LD characteristics. The method still essentially has cubic complexity--albeit the factors are smaller and Mailman reduces this appreciably. It would be interesting if the authors were able to apply randomized or iterative approaches to achieve more fundamental gains. The algorithm remains slow when n is large and/or the grid resolution is increased.

      Thanks for your positive and accurate evaluation! We acknowledge the weakness and include some sentences in Discussion.

      “The weakness of the proposed method is obvious that the algorithm remains slow when the sample size is large or the grid resolution is increased. With the availability of such as UK Biobank data (Bycroft et al., 2018), the proposed method may not be adequate, and much advanced methods, such as randomized implementation for the proposed methods, are needed.”  

      Reviewer #2 (Public Review)

      Summary:

      In this paper, the authors point out that the standard approach of estimating LD is inefficient for datasets with large numbers of SNPs, with a computational cost of , where n is the number of individuals and m is the number of SNPs. Using the known relationship between the LD matrix and the genomic- relatedness matrix, they can calculate the mean level of LD within the genome or across genomic segments with a computational cost of . Since in most datasets, n<<m, this can lead to major computational improvements. They have produced software written in C++ to implement this algorithm, which they call X-LD. Using the output of their method, they estimate the LD decay and the mean extended LD for various subpopulations from the 1000 Genomes Project data.

      Strengths:

      Generally, for computational papers like this, the proof is in the pudding, and the authors appear to have been successful at their aim of producing an efficient computational tool. The most compelling evidence of this in the paper is Figure 2 and Supplementary Figure S2. In Figure 2, they report how well their X- LD estimates of LD compare to estimates based on the standard approach using PLINK. They appear to have very good agreement. In Figure S2, they report the computational runtime of X-LD vs PLINK, and as expected X-LD is faster than PLINK as long as it is evaluating LD for more than 8000 SNPs.

      Weakness:

      While the X-LD software appears to work well, I had a hard time following the manuscript enough to make a very good assessment of the work. This is partly because many parameters used are not defined clearly or at all in some cases. My best effort to intuit what the parameters meant often led me to find what appeared to be errors in their derivation. As a result, I am left worrying if the performance of X-LD is due to errors cancelling out in the particular setting they consider, making it potentially prone to errors when taken to different contexts.

      Thanks for you critical reading and evaluation. We do feel apologize for typos, which have been corrected and clearly defined now (see Eq 1 and Table 1). In addition, we include more detailed mathematical steps, which explain how LD decay regression is constructed and consequently finds its interpretation (see the detailed derivation steps between Eq 3 and Eq 4).

      Impact:

      I feel like there is value in the work that has been done here if there were more clarity in the writing. Currently, LD calculations are a costly step in tools like LD score regression and Bayesian prediction algorithms, so a more efficient way to conduct these calculations would be useful broadly. However, given the difficulty I had following the manuscript, I was not able to assess when the authors’ approach would be appropriate for an extension such as that.

      See our replies below in responding to your more detailed questions.

      Reviewer #1 (Recommendations For The Authors)

      There are numerous linguistic errors throughout, making it challenging to read.

      It is unclear how the intercepts were chosen in Figure S2. Since theory only gives you the slopes, it seems like it would make more sense to choose the intercept such that it aligns with the empirical results in some way.

      Thanks for your critical evaluation. We do feel apologize some typos, and we have read it through and clarify the text as much as possible. In addition, we included Table 1, which introduces mathematical symbols of the paper.

      In Figure S2, the two algorithms being compared have different software implementations, PLINK vs X-LD. Their real performance not only depended on the time complexity of the algorithms (right-side y-axis), but also how the software was coded. PLINK is known for its excellent programming. If we could have programmed as well as Chris Chang, the performance of X-LD should have been even better and approach the ratio m/n. However, even under less skilled programming, X-LD outperformed plink.

      Reviewer #2 (Recommendations For The Authors):

      Thank you for the chance to review your manuscript. It looks like compelling work that could be improved by greater detail. Providing the level of detail necessary may require creating a Supplementary Note that does a lot of hand-holding for readers like me who are mathematically literate but who don’t have the background that you do. Then you can refer readers to the Supplement if they can’t follow your work.

      We fix the problems and style issues as possible as we can.

      Regarding the weakness section in the public review, here are a few examples of where I got confused, though this list is not exhaustive.

      1) Consider Equation 1 (line 100), which I believe must be incorrect. Imagine that g consists of two SNPs on different chromosomes with correlation rho. Then ell_g (which is defined as the average squared elements of the correlation matrix) would be

      ell_g = 1/4 (1 + 1 + rho^2 + rho^2) = (1+rho^2)/2.

      But ell_1=1 and ell_2=1 and ell_12=rho^2 (The average squared elements of the chromosome-specific correlation matrices and the cross-chromosome correlation matrix, respectively). So

      sum(ell_i)+sum(ell_ij) = 1 + 1 + rho^2 + rho^2 = (1+rho^2)*2.

      I believe your formulas would hold if you defined your LD values as the sum of squared correlations instead of the mean, but then I don’t know if the math in the subsequent sections holds. I think this problem also holds for Eq 2 and therefore makes Eqs 3 and 4 difficult to interpret.

      Thanks for your attentive review and invaluable suggestions. We acknowledge the typo in calculating the mean in Eq 1, resulting in difficulties in understanding the equations. We sincerely apologize for this oversight. To address this issue and ensure clarity in the interpretation of Eq 3 and Eq 4, we have provided more detailed explanations (see the derivation between Eq 3 and Eq 4).

      2) I didn’t know what the parameters are in Equation 3. The vector ell needs to be defined. Is it the vector of ell_i for each chromosomal segment i? I’m also confused by the definition of m_i, which is defined on line 113 as the “SNP number of the i-th chromosome.” Do the authors mean the number of SNPs on the i-th chromosomal segment? If so, it wasn’t clear to me how Eq 2 and Eq 3 imply Eq 4. Further, it wasn’t clear to me why E(b1) quantifies the average LD decay of the genome. I’m used to seeing plots of average LD as a function of distance between SNPs to calculate this, though I’m admittedly not a population geneticist, so maybe this is standard. Standard or not, readers deserve to have their hands held a bit more through this either in the text or in a Supplementary Note.

      Thanks for your insightful feedback. When we were writing this paper, our actually focus was Eq 3 and to establish the relationship between chromosomal LD and the reciprocal of the length of chromosome (Fig 6A) – which was surrogated by the number of SNPs, the correlation between ell_i and 1/m_i.

      We asked around our friends who are population geneticists, who anticipated the correlation between chromosomal LD (ell) and 1/m. The rationale simple if one knows the very basis of population genetics. A long chromosome experiences more recombination, which weakens LD for a pair of loci. In particular, for a pair of loci D_t=D_0 (1-c)^t. D_t the LD at the t generation, D_0 at the 0 generation, and c the recombination fraction. As recombination hotspots are nearly even distributed along the genome, such as reported by Science 2019;363:eaau8861, the chromosome will be broken into the shape in Author response image 1 (Fig 1C, newly added). Along the diagonal you see tight LD block, which will be vanished in the further as predicted by D_t equation, and any loci far away from each other will not be in LD otherwise raised by such as population structure. Ideally, we assume the diagonal block of aveage size of m×m and average LD of a SNP with other SNPs inside the diagonal block (red) is l_u; and, in contrast, off-diagonal average LD (light red) to be l_uv. This logic is hidden but employed in such as ld score regression and prs refinement using LD structure.

      Author response image 1.

      But, how to estimate chromosomal LD (ell), which is overwhelming as our friends said! So, the Figure 6A is logically anticipated by a seasoned population geneticist, but has never been realized because of is nightmare. Often, those signature patterns should have been employed as showcases in releasing new reference data, such as HapMap. However, to our knowledge, this signature linear relationship has never been illustrated in those reference data.

      If you further test a population geneticist, if any chromosome will deviate from this line (Fig 6A)? The answer most likely will be chromosome 6 because of the LD tight HLA region. However, it is chromosome 11 because of its most completed sequenced centromere. Chr 11 is a surprise! With T2T sequenced population, Chr 11 will not deviate much. We predict!

      However, we suspect whether people appreciate this point, we shift our focus to efficient computation of LD—which is more likely understood. We acknowledge the lack of clarity in notation definitions and the absence of the derivation for the interpretation of b1 and b0 for LD decay regression. So, we have added a table to provide an explanation of the notation (see the Table 1) and provided additional derivations, which explained how LD decay regression was derived (see the derivation between Eq 3 and Eq 4). Figure 1C provides illustration for the underlying assumption under LD.

      The technique to bridge Eq 2~3 to Eq 4 is called “building interpretation”. It once was one of the kernel tasks for population genetics or statistical genetics, and a classical example is Haseman-Elston regression (Behavior Genetics, 1972, 2:3-19). When it is moving towards a data-driven style, the culture becomes “shut up, calculate”. Finding interpretation for a regression is a vanishing craftmanship, and people often end up with unclear results!

      3) In line 135, it’s not clear to me what is meant by . If it is , then wouldn’t the resulting matrix be a matrix of zeros since is zero everywhere except the lower off-diagonal? So maybe it is ? But then later in that line, you say that the square of this matrix is the sum of several terms of the form . Are these the scalar elements of the G matrix? But then the sum is a scalar, which can’t be true since is a matrix.

      Thanks for your attentive review. We indeed confused the definition of matrices and their elements, and should refer to the stacked off-diagonal elements of matrix . So, is a vector for variable – the relationship between sample i and j. We assume the reviewer use R software, then corresponds to mean .

      See the text between Eq 5 and Eq 6.

      “We extract two vectors , which stacks the off-diagonal elements of , and , which takes the diagonal elements of .”

      In addition, , so the ground truth is that , but not zero.

      To clarify these math symbols, we replace G with K, so as to be consistent with our other works (see Table 1).

      To derive the means and the sampling variances for and , the Eq 7 can be established by some modifications on the Delta method as exampled in Appendix I of Lynch and Walsh’s book (Lynch and Walsh, 1998). We added this sentence near Eq 7 in the main text.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Recommendations for the authors:

      Please make corrections as suggested by reviewer 1 to improve the manuscript. Specifically, reviewer 1 suggests making changes to p values in Figure 5, and the importance of citing original scholarly works related to effects of increase in excitability of sympathetic neurons by M1 receptors, and the terminology for M currents and KCNQ currents. These changes will improve the manuscript and are strongly recommended.

      The section dealing with Aging Reduces KCNQ currents seems to contain a lot of extraneous information especially in the last part of the long paragraph and this section should be rewritten for improved clarity and - the implications or lack thereof - of the correlation of KCNQ with AP firing rates. The apparent lack of correlation between KCNQ current and KCNQ2 protein needs to be better explained. This is a central part of the study and this result undercuts the premise of the paper. Additionally, the poor specificity of Linordipine for KCNQ should be pointed out in the limitations.

      Finally, the editor notes that the author response should not contain ambiguities in what was addressed in the revision. In the original summary of consolidated revisions that were requested, one clearly and separately stated point (point 4) was that experiments in slice cultures should be strongly considered to extend the significance of the work to an intact brain preparation. The author response letter seems to imply that this was done, but this is not the case. The author response seems to have combined this point with another separate point (point 3) about using KCNQ drugs, and imply that all concerns were addressed. Authors should be clear about what revisions were in fact addressed.

      Summary of recommendations from the three reviewers:

      Please make corrections as suggested by reviewer 1 to improve the manuscript.

      Specifically, reviewer 1 suggests making changes to p values in Figure 5,

      As a team, we have decided to keep p values. Here is our rationale:

      Our lab favors reporting p-values for all statistical comparisons to help readers identify what we consider statistically significant. We color-coded the p-values, with red for p-value < 0.05 and black for p-value > 0.05. As a reader, seeing a p-value=0.7 allows me to know that the authors performed an analysis comparing these conditions and found the mean not to be different. Not presenting the p-value makes me wonder whether the authors even analyzed those groups. We value the ability to analyze the data by seeing all p-values than not being distracted by non-significant p-values.

      and the importance of citing original scholarly works related to effects of increase in excitability of sympathetic neurons by M1 receptors, and the terminology for M currents and KCNQ currents. These changes will improve the manuscript and are strongly recommended.

      We cited original papers on that area and changed the terminology for M current. I kept KCNQ when referring to the channel protein or abundance.

      The section dealing with Aging Reduces KCNQ currents seems to contain a lot of extraneous information especially in the last part of the long paragraph and this section should be rewritten for improved clarity… and - the implications or lack thereof - of the correlation of KCNQ with AP firing rates.

      I separated the long paragraph in two. I also removed extraneous information in that section. It now reads:

      Previous work by our group and others demonstrated that cholinergic stimulation leads to a decrease in M current and increases the excitability of sympathetic motor neurons at young ages.67-71 The molecular determinants of the M current are channels formed by KCNQ2 and KCNQ3 in these neurons.70, 76, 77 Thus, Figure 6A shows a voltage response (measured in current-clamp mode) and a consecutive M current recording (measured in voltage-clamp mode) in the same neuron upon stimulation of cholinergic type 1 muscarinic receptors. It illustrates the temporal correlation between the decrease of M current with the increase in excitability and firing of APs. This strong dependence led us to hypothesize that aging decreases M current, leading to a depolarized RMP and hyperexcitability (Figure 6B). For these experiments, we measured the RMP and evoked activity using perforated patch, followed by the amplitude of M current using a whole-cell voltage clamp in the same cell. We also measured the membrane capacitance as a proxy for cell size. Interestingly, M current density was smaller by 29% in middle age (7.5 ± 0.7 pA/pF) and by 55% in old (4.8 ± 0.7 pA/pF) compared to young (10.6 ± 1.5 pA/pF) neurons (Figure 6C-D). The average capacitance was similar in young (30.8 ± 2.2 pF), middle-aged (27.4 ± 1.2 pF), and old (28.8 ± 2.3 pF) neurons (Figure 6E), suggesting that aging is not associated with changes in cell size of sympathetic motor neurons, and supporting the hypothesis that aging alters the levels of M current. Next, we tested the effect on the abundance of the channels mediating M current. Contrary to our expectation, we observed that KCNQ2 protein levels were 1.5 ± 0.1 -fold higher in old compared to young neurons (Figure 6F-G). Unfortunately, we did not find an antibody to detect consistently KCNQ3 channels. We concluded that the decrease in M current is not caused by a decrease in the abundance of KCNQ2 protein.

      B. and - the implications or lack thereof - of the correlation of KCNQ with AP firing rates.

      I am not sure to understand the request in the section on the correlation of KCNQ with AP firing rate. I divided the long paragraph.

      The apparent lack of correlation between KCNQ current and KCNQ2 protein needs to be better explained. This is a central part of the study and this result undercuts the premise of the paper.

      Indeed, total KCNQ2 protein abundance increases while M current decreases. We do not claim in our work that changes in excitability are caused by a reduction in the expression or density of KCNQ2 channels. On the contrary, our current working hypothesis is that the reduction in M current is caused by changes in traffic, degradation, posttranslational modifications, or cofactors for KCNQ2 or KCNQ3 channels. I have modified the description in the results section and discussion to clarify this concept. We also note that the discussion section contains a paragraph discussing this discrepancy.

      Additionally, the poor specificity of Linordipine for KCNQ should be pointed out in the limitations.

      Thank you for the suggestion. I have added the following sentences to the Limitations section. It reads: “We want to point out that linopirdine has been reported to affect other ionic currents besides M current (Neacsu and Babes, 2010; Lamas et al., 1997). Despite this limitation, the application of linopirdine to young sympathetic motor neurons led to depolarization and firing of action potentials.”

      Finally, the editor notes that the author response should not contain ambiguities in what was addressed in the revision. In the original summary of consolidated revisions that were requested, one clearly and separately stated point (point 4) was that experiments in slice cultures should be strongly considered to extend the significance of the work to an intact brain preparation. The author response letter seems to imply that this was done, but this is not the case. The author response seems to have combined this point with another separate point (point 3) about using KCNQ drugs, and imply that all concerns were addressed. Authors should be clear about what revisions were in fact addressed.

      We apologize for this omission. After reviewing this comment, I realized I did not respond to the Major points in the section of the Recommendations for the authors from Reviewer 3. We missed that entire section. Our previous responses addressed the Public review of Reviewer 3. When doing so, we did not separate the sentences, omitting the request to perform the experiment in slices.

      The proposed experiments will require an upward microscope coupled to an electrophysiology rig; unfortunately, we do not have the equipment to do these experiments. We agree that our findings need to be tested in intact preparations to understand how the hyperactivity of sympathetic motor neurons affects systemic responses and the function of controlling organ function. This is a crucial step to move the field forward. Our laboratory is trying to find the appropriate experimental design to address this problem. We believe we must go beyond redoing these experiments in slices.

      Reviewer #1 (Recommendations For The Authors):

      (1) The significance values greater than p < 0.05 do not add anything and distract focus from the results that are meaningful. Fig. 5 is a good example. What does p = 0.7 mean? Or p = 0.6? Does this help the reader with useful information?

      We thank Reviewer 1 for raising this question. We have attempted different versions of how we report p values, as we want to make sure to address rigor and transparency in reporting data.

      Our lab favors reporting p-values for all statistical comparisons to help readers identify what we consider statistically significant. We color-coded the p-values, with red for p-value < 0.05 and black for p-value > 0.05. As a reader, seeing a p-value=0.7 allows me to know that the authors performed an analysis comparing these conditions and found the mean not to be different. Not presenting the p-value makes me wonder whether the authors even analyzed those groups. We value the ability to analyze the data by seeing all p-values than not being distracted by non-significant p-values.

      (2) Fig. 1 is not informative and should be removed.

      Although we agree with the reviewer that this figure is not informative, it was created to guide the reader in identifying the problem addressed in our manuscript in the physiological context. Our colleagues who read the first drafts of the manuscript recommended this, so we prefer to keep the figure.

      (3) The emphasis on a particular muscarinic agonist favored by many ion channel physiologists, oxotremorine, is not meaningful (lines 192, 198). The important point is stimulation of muscarinic AChRs, which physiologically are stimulated by acetylcholine. The particular muscarinic agonist used is unimportant. Unless mandated by eLife, "cholinergic type 1 muscarinic receptors" are usually referred to as M1 mAChRs, or even better is "Gq-coupled M1 mAChRs." I don't think that Kruse and Whitten, 2021 were the first to demonstrate the increase in excitability of sympathetic neurons from stimulation of M1 mAChRs. Please try and cite in a more scholarly fashion.

      A) We have modified lines 192 and 198, removing the mention of oxotremorine.

      B) We have modified the nomenclature used to refer to cholinergic type 1 muscarinic receptors.

      C) We cited references on the role of M current on sympathetic motor neuron excitability.

      (4) The authors may want to use the term "M current" (after defining it) as the current produced by KCNQ2&3-containing channels in sympathetic neurons, and reserve "KCNQ" or "Kv7" currents as those made by cloned KCNQ/Kv7 channels in heterologous systems. A reason for this is to exclude currents KCNQ1-containing channels, which most definitely do not contribute to the "KCNQ" current in these cells. I am not mandating this, but rather suggesting it to conform with the literature.

      Thank you for the suggestion. I have modified the text to use the term M current. I maintained the use of KCNQ only when referring to KCNQ channel, such as in the section describing the abundance of KCNQ2.

      (5) The section in the text on "Aging reduces KCNQ current" is confusing. Can the authors describe their results and their interpretation more directly?

      (6) Please explain the meaning of the increase in KCNQ2 abundance with age in Fig. 6G. How is this increase in KCNQ2 expression consistent with an increase in excitability? The explanation of "The decrease in KCNQ current and the increase in the abundance of KCNQ2 protein suggest a potential compensatory mechanism that occurs during aging, which we are actively investigating in an independent study." is rather odd, considering that the entire thesis of this paper is that changes in excitability and firing properties are underlied by changes in KCNQ2/3 channel expression/density. Suddenly, is this not the case?? What about KCNQ3? It would be very enlightening if the authors would just quantify the ratio of KCNQ2:KCNQ3 subunits in M-type channels in young and old mice using simple TEA dose/response curves (see Shapiro et al., JNS, 2000; Selyanko et al., J. Physiol., Hadley et al., Br. J. Pharm., 2001 and a great many more). It is also surprising that the authors did not assess or probe for differences in mAChR-induced suppression of M current between SCG neurons of young and old mice. This would seem to be a fundamental experiment in this line of inquiry.

      We have divided this paragraph in sections.

      A. Please explain the meaning of the increase in KCNQ2 abundance with age in Fig. 6G. How is this increase in KCNQ2 expression consistent with an increase in excitability? The explanation of "The decrease in KCNQ current and the increase in the abundance of KCNQ2 protein suggest a potential compensatory mechanism that occurs during aging, which we are actively investigating in an independent study." is rather odd, considering that the entire thesis of this paper is that changes in excitability and firing properties are underlied by changes in KCNQ2/3 channel expression/density. Suddenly, is this not the case??

      Our interpretation is that the decrease in M current is not caused by a decrease in the abundance of KCNQ (2) channels. We do not claim that changes in excitability are caused by a reduction in the expression or density of KCNQ2 channels. On the contrary, our working hypothesis is that the reduction in M current is caused by changes in traffic, degradation, posttranslational modifications, or cofactors for KCNQ2 or KCNQ3 channels. We have modified the description in the results section to clarify this concept. “We concluded that the decrease in M current is not caused by a decrease in the abundance of KCNQ2 protein.”

      B. What about KCNQ3?

      Unfortunately, we did not find an antibody to detect KCNQ3 channels. I have added a sentence to state this.

      C. KCNQ2: KCNQ3 subunits in M-type channels in young and old mice using simple TEA dose/response curves.

      Our laboratory is working to deeply understand the mechanism behind the changes in M current and its regulation by mAChRs in young and old ages. However, it is part of different research to attend to the complexity of the question. We think pharmacology experiments are insufficient to understand the question's complexity as we described in the next answer.

      D. It is also surprising that the authors did not assess or probe for differences in mAChR-induced suppression of M current between SCG neurons of young and old mice. This would seem to be a fundamental experiment in this line of inquiry.

      As mentioned, our laboratory is working to understand the mechanism behind M current and its regulation in young and old ages deeply. Our preliminary data show that M currents recorded in old neurons show two behaviors with the activation of mAChR: 1) they do not respond (blue line), or 2) they show a smaller and slower current inhibition than young neurons (red line). This data shows the complexity of the mechanism behind the M current in old neurons where changes in basal levels of PIP2, phospholipids metabolism, KCNQ2/3 changes in traffic/degradation, and M current pharmacology need to be addressed together for a proper interpretation. Showing only one part of this set of experiments in this article may lead to misinterpretation of results.

      Author response image 1.

      (7) Why do the authors use linopirdine instead of XE-991? Both are dirty drugs hardly specific to KCNQ channels at 25 uM concentrations, but linopirdine less so. The Methods section lists the source of XE991 used in the study, not linopirdine. Is there an error?

      A. Why do the authors use linopirdine instead of XE-991?

      We use linopiridine with the experimental goal of observing the recovery phase during the washout. The main difference between the effects of XE991 and linopiridine on Kv7.2/3 is associated with the recovery phase. Currents under XE991 treatment recover 30% after 10 min compared to 93.4% with linopiridine in expression systems at -30 mV (Greene DL et al., 2017, J Pharmacol Exp Ther). After validation of KCNQ2/3 inhibition by linopirdine (IC50 value of 2.4 µM), we found linopirdine the most appropriate drug for our experiments.

      Unfortunately, we were not able to observe a recovery in our experiments. The limited recovery after washout may be associated with the membrane potential of our conditions (-60 to -50 mV).

      B. Both are dirty drugs hardly specific to KCNQ channels at 25 uM concentrations, but linopirdine less so.

      We understand the concern of the reviewer. The specificity of XE-991 and linopiridine is not absolute. Linopiridine has been reported to activate TRPV1 channels (EC50 =115 µM, Neacsu and Babes, 2010, J Pharmacol Sci) or nicotinic acetylcholine receptors and GABA-induced Cl- currents (EC50 =7.6 µM and 8.1 µM respectively; Lamas et al, 1997, Eur J Neurosci).

      To clarify this limitation in the article, we have added the following sentence in the section Limitations and Conclusions. “We want to point out that linopirdine has been reported to affect other ionic currents besides M current (Neacsu and Babes, 2010; Lamas et al., 1997). Despite this limitation, the application of linopirdine to young sympathetic motor neurons led to depolarization and firing of action potentials.”

      C. The Methods section lists the source of XE991 used in the study, not linopirdine. Is there an error?

      Thank you for pointing out this. We have added information for both retigabine and linopirdine in the Methods section; both were missing.

      (8) Can the authors use a more scientific explanation of RTG action than "activating KCNQ channels?" For instance, RTG induces both a negative-shift in the voltage-dependance of activation and a voltage-independent increase in the open probability, both of which differing in detail between KCNQ2 and KCNQ3 subunits. The authors are free to use these exact words. Thus, the degree of "activation" is very dependent upon voltage at any voltages negative to the saturating voltages for channel activation.

      We have modified the text to reflect your suggestion. Thank you.

      (9) Methods: did the authors really use "poly-l-lysine-coated coverslips?" Almost all investigators use poly-D-lysine as a coating for mammalian tissue-culture cells and more substantial coatings such as poly-D-lysine + laminin or rat-tail collagen for peripheral neurons, to allow firm attachment to the coverslip.

      That is correct. We used poly-L-lysine-coated coverslips. Sympathetic motor neurons do not adhere to poly-D-Lysine.

      (10) As a suggestion, sampling M-type/KCNQ/Kv7 current at 2 kHz is not advised, as this is far faster than the gating kinetics of the channels. Were the signals filtered?

      Signals were not filtered. Currents were sampled at 2KHz. Our conditions are not far from what is reported by others. Some sample at 10KHz and even 50 KHz. Others do not report the sample frequency.

      Reviewer #2:

      Weaknesses:

      None, the revised version of the manuscript has addressed all my concerns.

      We are very appreciative and glad that our responses satisfied your previous concerns.

      Reviewer #3:

      The main weakness is that this study is a descriptive tabulation of changes in the electrophysiology of neurons in culture, and the effects shown are correlative rather than establishing causality.

      In the previous revision, Reviewer 3 wrote: “It is difficult to know from the data presented whether the changes in KCNQ channels are in fact directly responsible for the observed changes in membrane excitability.” And suggested the “use of blockers and activators to provide greater relevance.”

      Attending this recommendation, we performed experiments in Fig. 8. Young neurons exposed to linopirdine depolarize membrane potential and promote action potential firing. In contrast, the old neurons treated with retigabine repolarize membrane potential and stop firing action potentials. This new set of experiments suggests age-related electrophysiological changes in old neurons are associated with changes in M current. The main finding of our article.

      If Reviewer 3 refers to establishing causality between aging and a reduction in M current, I would like to emphasize that our laboratory is working toward a better understanding of the molecular mechanism of how M current is affected by aging; however, it will be part of a different article.  One of our attempts was to reverse aging with rapamycin, but the previous recommendation was to remove those experiments.

      … but the specifics of the effects and relevance to intact preparations are unclear.

      Additional experiments in slice cultures would provide greater significance on the potential relevance of the findings for intact preparations.

      I apologize for missing this point in the previous revision. The proposed experiments will require an upward microscope coupled to an electrophysiology rig. Unfortunately, I do not

      have the equipment to do these experiments.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Reviewer #1:

      Section 4.3 ("expert baseline model"): the authors need to explain how the probabilities defined as baselines were exactly used to predict individual patient susceptible profiles.

      We have added a more detailed and mathematically formal explanation of the “simulated expert’s best guess” in Section 4.3.

      This section now reads:

      “More formally, considering all training spectra as Strain, all training labels corresponding to one drug j and species t are gathered:

      The "simulated expert's best guess" predicted probability for any spectrum si and drug dj, then, corresponds to, the fraction of positive labels in their corresponding training label set :

      Authors should explain in more detail how a ROC curve is generated from a single spectrum (i.e., per patient) and then average across spectra. I have an idea of how it's done but I am not completely sure.

      We have added a more detailed explanation in Section 3.2. It reads:

      To compute the (per-patient average) ROC-AUC, for any spectrum/patient, all observed drug resistance labels and their corresponding predictions are gathered. Then, the patient-specific ROC-AUC is computed on that subset of labels and predictions. Finally, all ROC-AUCs per patient are averaged to a "spectrum-macro" ROC-AUC.

      In addition, our description under Supplementary Figure 8 (showing the ROC curve) provides additional clarification:

      Note that this ROC curve is not a traditional ROC curve constructed from one single label set and one corresponding prediction set. Rather, it is constructed from spectrum-macro metrics as follows: for any possible threshold value, binarize all predictions. Then, for every spectrum/patient independently, compute the sensitivity and specificity for the subset of labels corresponding to that spectrum/patient. Finally, those sensititivies and specificities are averaged across patients to obtain one point on above ROC curve.

      Section 3.2 & reply # 1: can the authors compute and apply the Youden cutoff that gives max precision-sensitivity for each ROC curve? In that way the authors could report those values.

      We have computed this cut-off on the curve shown in Supplementary Figure 8. The Figure now shows the sensitivity and specificity at the Youden cutoff in addition to the ROC. We have chosen only to report these values for this model as we did not want to inflate our manuscript with additional metrics (especially since the ROC-AUC already captures sensitivities and specificities). We do, however, see the value of adding this once, so that biologists have an indication of what kind of values to expect for these metrics.

      Related to reply #5: assuming that different classifiers are trained in the same data, with the same number of replicates, could authors use the DeLong test compare ROC curves? If not, please explain why.

      We thank the reviewer for bringing our attention to the DeLong’s test. It does indeed seem true that this test is appropriate for comparing two ROC-AUCs using the same ground truth values.

      We have chosen not to use this test for one conceptual and one practical reason:

      (1) Our point still stands that in machine learning one chooses the test set, and hence one can artificially increase statistical power by simply allocating a larger fraction of the data to test.

      (2) DeLong’s test is defined for single AUCs (i.e. to compare two lists of predictions against one list of ground truths), but here we report the spectrum/patient-macro ROC-AUC. It is not clear how to adjust the test to macro-evaluated AUCs. One option may be to apply the test per patient ROC curve, and perform multiple testing correction, but then we are not comparing models, but models per patient. In addition, the number of labels/predictions per patient is prohibitively small for statistical power.

      Reviewer #2 (Recommendations For The Authors):

      After revision, all issues were been resolved.

    1. Author response:

      The following is the authors’ response to the previous reviews.

      Response to reviewer’s comments

      Reviewer #2 (Public Review):

      Summary: 

      The manuscript focuses on comparison of two PLP-dependent enzyme classes that perform amino acyl decarboxylations. The goal of the work is to understand the substrate specificity and factors that influence catalytic rate in an enzyme linked to theanine production in tea plants.

      Strengths: 

      The work includes x-ray crystal structures of modest resolution of the enzymes of interest. These structures provide the basis for design of mutagenesis experiments to test hypotheses about substrate specificity and the factors that control catalytic rate. These ideas are tested via mutagenesis and activity assays, in some cases both in vitro and in plants. 

      Weaknesses:

      Although improved in a revision, the manuscript could be more clear in explaining the contents of the x-ray structures and how the complexes studied relate to the reactant and product complexes. The manuscript could also be more concise, with a discussion section that is largely redundant with the results and lacking in providing scholarly context from the literature to help the reader understand how the current findings fit in with work to characterize other PLP-dependent enzymes or protein engineering efforts. Some of the figures lack sufficient clarity and description. Some of the claims about the health benefits of tea are not well supported by literature citations.

      Thank you for your insightful comments on our manuscript and your recognition of the strengths of our study. We understand your concerns about the weaknesses mentioned, and we have addressed them appropriately in the revised manuscript. We acknowledge that the discussion section needs to be improved for conciseness and context. We have revised this part by removing the redundant content. We also acknowledge your comments concerning the clarity and description of some figures. We have revisited these figures and revised them, ensuring they are clear and adequately described. Lastly, concerning the claims about the health benefits of tea, we understand your concern about the lack of supporting citations. We ensure to back such claims with valid literature or, if necessary, omit these statements.

      Reviewer #2 (Recommendations For The Authors):

      (1) Line 21: Alanine Decarboxylase should not be capitalized.

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (2) Line 31: Grammatical error. Also not clear what "evolution analysis" means here. Revise to "Structural comparisons led us to..."

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (3) Line 34: Revise to "Combining a double mutant of CsAlaDC"

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (4) Line 35: Change word order to "increased theanine production 672%"

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (5) Line 37: meaning unclear. Revise to "provides a route to more efficient biosynthesis of theanine."

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (6) Line 44: I'm not sure that the "health effects" of tea have been proven in placebo controlled studies. And the references provided (2-4 and 5) do not describe original research articles supporting these claims. I would suggest removing these statements from the introduction and at later points in the manuscript.

      Thank you for your thoughtful feedback and suggestions. Based on your suggestion, we have removed these statements: "The popularity of tea is determined by its favorable flavor and numerous health benefits (2-4). The flavor and health-beneficial effects of tea are conferred by the abundant secondary metabolites, including catechins, caffeine, theanine, volatiles, etc (5). " As for the subsequent statement: " It has also many health-promoting functions, including neuroprotective effects, enhancement of immune functions, and potential anti-obesity capabilities, among others. " the referenced literature cited can substantiate this conclusion.

      (7) Line 58: insert "the" between provided and basis

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (8) Line 100: Not clear what this phrase means, "As expected, CsSerDC was closer to AtSerDC" Please clarify - closer to what?

      We apologize for any confusion caused by the unclear phrasing. When referring to "CsSerDC was closer to AtSerDC," we intended to convey that CsSerDC exhibits a higher degree of sequence homology with AtSerDC than it does with the other enzymes evaluated in our investigation. However, a 1.29% difference between 86.21% and 84.92% in amino acid similarity is not statistically significant (Figure 1B and Supplementary table 1 in the original manuscript), we have deleted the relevant descriptions in the revised manuscript.

      (9) Line 112: "were constructed into" makes no sense. It would be better to say the genes for the proteins of interest were inserted into the overexpression plasmid.

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (10) Line 115: missing the word "the" between generated and recombinant

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (11) Line 121: catalyze not catalyzed

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (12) Lines 129 and 130: The reported Km values are really large - in the mM range. Do these values make sense in terms of the available concentrations of the substrates inside the cell?

      The content of alanine in tea plant roots ranges from 0.28 to 4.18 mg/g DW (Yu et al., 2021; Cheng et al., 2017). Correspondingly, the physiological concentration of alanine is 3.14 mM to 46.92 mM, in tea plant roots. The content of serine in plants ranges from 0.014 to 17.6 mg/g DW (Kumar et al., 2017). Correspondingly, the physiological concentration of serine is 0.13 mM to 167.48 mM in plants. Therefore, in this study, the Km values are within the range of available substrate concentrations inside the cell.

      Yu, Y. et al. (2021) Glutamine synthetases play a vital role in high accumulation of theanine in tender shoots of albino tea germplasm "Huabai 1". J. Agric. Food Chem. 69 (46),13904-13915.

      Cheng, S. et al. (2017) Studies on the biochemical formation pathway of the amino acid L-theanine in tea (Camellia sinensis) and other plants. J. Agric. Food Chem. 65 (33), 7210-7216.

      Kumar, V. et al. (2017) Differential distribution of amino acids in plants. Amino Acids. 49(5), 821-869.

      (13) Line 211: it is unclear what the phrase "as opposed to wild-type" means. Please clarify.

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We intend to communicate that the wild-type CsAlaDC and AtSerDC demonstrate decarboxylase activity, while the mutated proteins have experienced a loss of decarboxylation activity. We have already modified this concern in the revised version of the manuscript.

      (14) Line 222: residues not residue

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (15) Line 227 and Figure 4B: It is not clear what the different sequence logos mean in this part of the figure. The caption is too brief and not helpful. And the sentences describing this figure panel are also not sufficiently clear.

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have provided a more detailed explanation of this section in the revised manuscript and added additional annotations in the figure caption to provide further clarity.

      (16) Lines 233 and 234: "in the substrate specificity" is awkwardly worded. I would revise to "in selective binding of the appropriate substrate."

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have meticulously revised the description of this section.

      (17) Line 243: a word is missing in this sentence - but I can't figure out the intended meaning or what the missing word is. Rephrase to improve clarity.

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have revised this sentence to: " These findings indicate the essential role of Phe106 in the selective binding of alanine for CsAlaDC. "

      (18) Line 255: The "expression system...was carried out" is not correct. I would say the expression system was used - but you probably also want to rearrange the sentences to more directly say what it was used for. Later, the word "the" is also missing.

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have revised this sentence to: "To further verify that Phe106 of CsAlaDC and Tyr111 of AtSerDC were key amino acid residues determining its substrate recognition in planta, we employed the Nicotiana benthamiana transient expression system. "

      (19) Line 273: use "understand" instead of "elucidate" and instead of "we proposed a prediction test:" say "we designed a test of the prediction that..."

      Thank you very much for your careful reading of the manuscript. We have revised this sentence to: “In light of this observation, we postulated a hypothesis:”

      (20) Line 301: I don't think "effectuate" is a word. Replace with something else.

      Thank you very much for your careful reading of the manuscript. We have revised the sentence as: " The biosynthetic pathway of theanine in tea plants comprises two consecutive enzymatic steps: alanine decarboxylase facilitates the decarboxylation of alanine to generate EA, while theanine synthetase catalyzes the condensation reaction between EA and Glu to synthesize theanine. "

      (21) Line 307: replace "activity" with "ability"

      Thank you very much for your careful reading of the manuscript. We have corrected it in the revised manuscript.

      (22) Line 322: I didn't find the discussion very useful. Much of it is simply a recap of the results - which is not necessary. The structural comparisons are overly descriptive without providing appropriate rationale or topic sentence structure so that the reader understands why certain details are emphasized. I think the manuscript would be much stronger if this section were not included or integreted more concisely into the results section where appropriate.

      Thank you for your constructive comments. We understand your concerns about the discussion section of our manuscript. We acknowledge that the discussion section has redundancies with the result. In response to this, we have revised this section to eliminate unnecessary repetition of the results.

      (23) Line 369: "an amino acid devoid of the hydroxyl moiety present in Lys" - what does this mean? Lys does not have a hydroxyl functional group. Please correct so that the sentence makes sense.

      Thank you very much for your careful reading of the manuscript. This sentence states that the amino acid occupying the corresponding position in CsAlaDC is Phe, which lacks one hydroxyl functional group as compared to Lys. We have made modifications to the sentence as follows: "In contrast, the equivalent position in CsAlaDC is occupied by Phe, an amino acid lacking the hydroxyl group. This substitution enhances the hydrophobic nature of the substrate-binding pocket. "

      (24) Line 370: "This structural nuance portends a predisposition for CsAlaDC to select the comparatively hydrophobic amino acid alanine as its suitable substrate." This sentence also makes no sense - please revise to use simpler language so the meaning is more clear.

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have revised the sentence as follows: " Consequently, CsAlaDC demonstrates a unique predilection, selectively binding Ala (an amino acid with comparatively hydrophobic properties) as its preferred substrate."

      (25) Lines 376-384: This section makes several references to "catalytic rings." I have no idea what this term means? If the authors mean a loop structure in the enzyme - please use the term "loop"

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have corrected it in the revised manuscript.

      (26) Line 396-397: The authors reference data that is not shown in the manuscript. Either show the data in the results section or do not mention.

      Thank you for your insightful comment regarding the unshown data referenced in the manuscript. We have included Supplementary figure 9 in the revised manuscript to display this data.

      (27) Line 445-446: what is "mutation technology" - if the authors mean site-directed mutagenesis - please use the simpler and more recognizable terminology.

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have revised the sentence as follows: "Based on the findings of this study, site-directed mutagenesis can be employed to modify enzymes involved in theanine synthesis. This modification enhances the capacity of bacteria, yeast, model plants, and other organisms to synthesize theanine, thereby facilitating its application in industrial theanine production."

      Reviewer #3 (Public Review):

      In the manuscript titled "Structure and Evolution of Alanine/Serine Decarboxylases and the Engineering of Theanine Production," Wang et al. solved and compared the crystal structures of Alanine Decarboxylase (AlaDC) from Camellia sinensis and Serine Decarboxylase (SerDC) from Arabidopsis thaliana. Based on this structural information, the authors conducted both in vitro and in vivo functional studies to compare enzyme activities using site-directed mutagenesis and subsequent evolutionary analyses. This research has the potential to enhance our understanding of amino acid decarboxylase evolution and the biosynthetic pathway of the plant specialized metabolite theanine, as well as to further its potential applications in the tea industry.

      Thank you very much for taking the time to review this manuscript. We appreciate all your insightful comments.

      Reviewer #3 (Recommendations For The Authors):

      The additional material added by the authors addresses some of the previously raised questions and enhances the manuscript's quality. However, certain critical issues we pointed out earlier remain unaddressed. Some of the new data also raises new questions. To provide readers with more comprehensive data, the authors should include additional quantitative data and convert the data presented in the reviewer's comments into supplemental figure format.

      Thank you for acknowledging the improvements in the revised manuscript and providing further valuable feedback. We understand your concern about the critical issues that have not been fully addressed and the new questions raised by some of the newly added data. We have strived to address these issues with additional analysis and clarification in our subsequent revision. Regarding your suggestion for more quantitative data and converting the data mentioned in the reviewer's comments into a supplemental figure format, we agree that this would provide a more comprehensive view of the results. We have reformatted the relevant data into supplemental figures to enhance the clarity and accessibility of information. We are grateful for the time and effort you have dedicated to improving our manuscript.

      * Page 5 & Figure 1B

      "As expected, CsSerDC was most closed to AtSerDC, which implies that they shared similar functions. However, CsAlaDC is relatively distant from CsSerDC."

      : In Figure 1B, CsSerDC and AtSerDC are in different clades, and this figure does not show that the two enzymes are closest. To provide another quantitative comparison, please provide a matrix table showing amino acid sequence similarities as a supplemental table. 

      Comment: I don't believe that a 1.29% difference between 86.21% and 84.92% in amino acid similarity is statistically significant. Although the authors have rephrased the original sentence, it's improbable that this small 1.29% difference can explain the observed distinction.

      Many thanks. We have carefully considered your comments. Indeed, the 1.29% difference in amino acid similarity cannot reflect the functional difference between the AlaDC and SerDC proteins. We have deleted the relevant descriptions in the revised manuscript.

      * Page 6, Figure 2, Page 23 (Methods)

      "The supernatants were purified with a Ni-Agarose resin column followed by size-exclusion chromatography."

      : What kind of SEC column did the authors use? Can the authors provide the SEC elution profile comparison results and size standard curve?

      Comment: The authors should include the SEC elution profiles as a supplemental figure or incorporate them as a panel in Figure 2. Furthermore, they should provide a description of the oligomeric state of each protein in this experiment. Additionally, there is a significant difference between CsSerDC (65.38 mL) and CsAlaDC (74.37 mL) elution volumes. Can this difference be explained structurally? In comparison to the standard curve of molecular weight provided by the authors, it appears that these proteins are at least homo-tetramers, which contradicts the description in the text. This should be re-evaluated and clarified.  

      Thank you very much for your careful reading of the manuscript and valuable suggestions. We have included the SEC elution profile in Supplemental figure 1A and added descriptions of the oligomeric states of proteins in the revised manuscript. CsSerDC was eluted at 65.38 mL, corresponding to a molecular weight of 292 kDa, which is five times the monomeric protein (54.7 kDa). However, due to the absence of CsSerDC crystal structure, it remains uncertain whether the protein forms a pentamer. AtSerDC was eluted at 72.25 mL, with a corresponding molecular weight of 155 kDa, which is 3.3 times the monomer (47.3 kDa). CsAlaDC was eluted at 74.37 mL, with a corresponding molecular weight of 127 kDa, which is 2.7 times the monomer (47.3 kDa). The elution profiles suggest that AtSerDC and CsAlaDC potentially exist in homotrimeric form. This observation stands in contradiction to our subsequent findings where the protein manifests in a dimeric structure. A plausible explanation could be the non-ideal spherical shape of the protein. Under such circumstances, the hydrodynamic radius of the protein could supersede its actual size, potentially leading to an overestimation of the molecular weight on the size-exclusion chromatography [ref].

      References:

      Burgess, R. R. (2018) A brief practical review of size exclusion chromatography: Rules of thumb, limitations, and troubleshooting. Protein Expression and Purification. 150, 81-85.

      Erdner J. M., et al. (2006) Size-Exclusion Chromatography Using Deuterated Mobile Phases. Journal of Chromatography A. 1129(1):41–46.

      * Page 6 & Page 24 (Methods)

      "The 100 μL reaction mixture, containing 20 mM substrate (Ala or Ser), 100 mM potassium phosphate, 0.1 mM PLP, and 0.025 mM purified enzyme, was prepared and incubated at standard conditions (45 {degree sign}C and pH 8.0 for CsAlaDC, 40 {degree sign}C and pH 8.0 for AtSerDC for 30 min)."

      (1) The enzymatic activities of CsAldDC and AtSerDC were measured at two different temperatures (45 and 40 {degree sign}C), but their activities were directly compared. Is there a reason for experimenting at different temperatures?

      (2) Enzyme activities were measured at temperatures above 40{degree sign}C, which is not a physiologically relevant temperature and may affect the stability or activity of the proteins. At the very least, the authors should provide temperature-dependent protein stability data (e.g., CD spectra analysis) or, if possible, temperature-dependent enzyme activities, to show that their experimental conditions are suitable for studying the activities of these enzymes.

      Comment: I appreciate the authors for including temperature-dependent enzyme activity data in their study. However, it remains puzzling that plant enzymes were tested at a physiologically irrelevant temperature of 40 and 45 degrees Celsius. Additionally, it may not be appropriate to directly compare enzyme activity measurements at different temperatures. Furthermore, the data at 45 degrees in panel A appears to be an outlier, which contrasts with the overall trend observed in the graph.

      We appreciate your point regarding the testing temperatures for plant enzymes. We fully appreciate the importance of conducting experiments under physiologically relevant conditions. But the intent behind operating at these elevated temperatures was to assess the thermal stability of the enzymes, which can be a valuable characteristic in certain applications, such as industrial production processes, and does not necessarily reflect their physiological conditions. Our findings indicate that CsAlaDC exhibits its peak activity at 45 °C. This result aligns with previously reported data in the literature [Bai, P. et al. (2021) figure 4e], thus bolstering our confidence in the reliability of our experimental outcomes.

      Author response image 1.

      Relative activity of CsAlaDC at different temperatures.

      * Pages 6-7 & Table 1

      (1) Use the correct notation for Km and Vmax. Also, the authors show kinetic parameters and use multiple units (e.g., mmol/L or mM for Km).

      (2) When comparing the catalytic efficiency of enzymes, kcat/Km (or Vmax/Km) is generally used. The authors present a comparison of catalytic activity from results to conclusion. A clarification of what results are being compared is needed.

      Comment: The authors are still comparing catalytic efficiency solely based on the Vmax values. As previously suggested, it would be advisable to calculate kcat/Km and employ it for comparing catalytic efficiencies. Furthermore, based on the data provided by the authors, I conducted a rough calculation of these catalytic efficiencies and did not observe a significant difference, which contrasts with the authors' statement, "These findings indicated that the catalytic efficiency of CsAlaDC is considerably lower than that of both CsSerDC and AtSerDC." This discrepancy requires clarification.  

      We want to express our sincere appreciation for your meticulous review and constructive suggestions. We understand the importance of accurately comparing catalytic efficiencies using Kcat/Km values, rather than solely relying on Vmax values. Following your suggestion, we recalculated Kcat/Km to reanalyze our results. The computed Kcat/Km for CsSerDC and AtSerDC are 152.7 s-1 M-1 and 184.6 s-1 M-1, respectively. For CsAlaDC, the calculated Kcat/Km is 55.7 s-1 M-1. Therefore, the catalytic efficiency of CsSerDC and AtSerDC is approximately three times that of CsAlaDC.  What we intended to convey was that the Vmax of CsAlaDC is lower than that of CsSerDC and AtSerDC.  Our description in the manuscript was not accurate, and we have addressed this in the revised version.

      * Pages 9 & 10

      "This result suggested this Tyr is required for the catalytic activity of CsAlaDC and AtSerDC."

      : The author's results are interesting, but it is recommended to perform the experiments in a specific order. First, experiments should determine whether mutagenesis affects the protein's stability (e.g., CD, as discussed earlier), and second, whether mutagenesis affects ligand binding (e.g., ITC, SPR, etc.), before describing how site-directed mutagenesis alters enzyme activity. In particular, the authors' hypothesis would be much more convincing if they could show that the ligand binding affinity is similar between WT and mutants.

      Comments: While it is appreciated that you have included CD and UV-vis absorption spectra data, it would be more beneficial to provide quantitative data to address the previously proposed binding affinity. I also recommend presenting the data mentioned in the reviewer's comments as a supplementary figure for better clarity and reference.  

      Thank you for your valuable feedback and suggestions. I agree that providing quantitative data would lend more support to our findings and better address the proposed binding affinity.

      It is generally acknowledged that proteins complexed with PLP exhibit a yellow hue, and the ligand PLP forms a Schiff base structure with the ε-amino group of a lysine residue in the protein, with maximum absorbance around 420 nm. However, during our protein purification process, we observed that the purified protein retained its yellow coloration, even when PLP wasn't introduced into the purification buffer. Subsequent absorbance measurements revealed that the protein exhibited absorbance within the aforementioned wavelength (420 nm) (the experimental results are shown in the following figures), implying an inherent presence of the PLP ligand within the protein. This could have resulted from binding with PLP during the protein's expression in E. coli. Consequently, due to this inseparability between the protein and the ligand, obtaining quantitative data through experimental means becomes unfeasible.

      Author response image 2.

      (A) Absorption Spectra of CsAlaDC (WT) and CsAlaDC (Y336F). (B) Absorption Spectra of AtSerDC (WT) and AtSerDC (Y341F).

      Regarding your suggestion about presenting the data mentioned in the reviewer's comments as a supplementary figure, we agree that it is an excellent idea. We have prepared supplementary figure 7 and supplementary figure 8 accordingly, ensuring that they present the required data.

      * Page 10

      "The results showed that 5 mM L-DTT reduced the relative activity of CsAlaDC and AtSerDC to 22.0% and 35.2%, respectively"

      : The authors primarily use relative activity to compare WT and mutants. Can the authors specify the exact experiments, units, and experimental conditions? Is it Vmax or catalytic efficiency? If so, under what specific experimental conditions?

      Response: "However, due to the unknown mechanism of DTT inhibition on protein activity, we have removed this part of the content in the revised manuscript."

      Comment: I believe this requires a more comprehensive explanation rather than simply removing it from the text.  

      Although we have observed that DTT is capable of inhibiting enzyme activity, at present, we are unable to offer a comprehensive explanation for the inhibitory effect of DTT on enzyme activity in terms of its structural and catalytic mechanisms. Further research is required to elucidate the mechanism of action of DTT. It is worth noting, however, that our study does not emphasize investigating the specific inhibitory mechanisms of DTT on enzyme activity. Furthermore, the existing findings do not provide an adequate explanation for the observed phenomenon, leading us to exclude this particular aspect from the content.

      * Pages 10-12

      : The identification of 'Phe106 in CsAlaDC' and 'Tyr111 in AtSerDC,' along with the subsequent mutagenesis and enzymatic activity assays, is intriguing. However, the current manuscript lacks an explanation and discussion of the underlying reasons for these results. As previously mentioned, it would be helpful to gain insights and analysis from WT-ligand and mutant-ligand binding studies (e.g., ITC, SPR, etc.). Furthermore, the authors' analysis would be more convincing with accompanying structural analysis, such as steric hindrance analysis.

      Comment: While it is appreciated that you have included UV-vis absorption spectra data, it would be more beneficial to provide quantitative data to address the previously proposed binding affinity. I also recommend presenting the data mentioned in the reviewer's comments as a supplementary figure for better clarity and reference.  

      Response: Thank you for your valuable feedback and suggestions. Given that the protein forms a complex with PLP during its expression in E. coli and cannot be dissociated from it, obtaining quantitative data via experimental protocols is rendered impracticable.

      Author response image 3.

      (A) Absorption Spectra of CsAlaDC (WT) and CsAlaDC (F106Y). (B) Absorption Spectra of AtSerDC (WT) and AtSerDC (Y111F).

      Mutant proteins and wild-type proteins exhibited absorption bands at 420 nm, suggesting the formation of a Schiff base between PLP and the active-site lysine residue.

      Regarding your suggestion about presenting the data mentioned in the reviewer's comments as a supplementary figure, we have prepared supplementary figure 7 and supplementary figure 8 accordingly, ensuring that they present the required data.

    1. Author response:

      The following is the authors’ response to the previous reviews

      Public Reviews:

      Reviewer #1 (Public Review):

      (1) It is a nice study but lacks some functional data required to determine how useful these alleles will be in practice, especially in comparison with the figure line that stimulated their creation.

      We are grateful for this comment. For the usefulness of these alleles, Figure 3 shows that specific and efficient genetic manipulation of one cell subpopulation can be achieved by mating across the DreER mouse strain to the rox-Cre mouse strain. In addition, Figure 7 shows that R26-loxCre-tdT can effectively ensure Cre-loxP recombination on some gene alleles and for genetic manipulation. The expression of the tdT protein is aligned with the expression of the Cre protein (Alb roxCre-tdT and R26-loxCre-tdT, Figure 2 and Figure 5), which ensures the accuracy of the tracing experiments. We believe more functional data can be shown in future articles that use mice lines mentioned in this manuscript.

      (2) The data in Figure 5 show strong activity at the Confetti locus, but the design of the newly reported R26-loxCre line lacks a WPRE sequence that was included in the iSure-Cre line to drive very robust protein expression.

      Thank you for bringing up this point in the manuscript. In the R26-loxCre-tdT mice knock-in strategy, the WPRE sequence is added behind the loxCre-P2A-tdT sequence, as shown in Supplementary Figure 9.

      (3) The most valuable experiment for such a new tool would be a head-to-head comparison with iSure (or the latest iSure version from the Benedito lab) using the same CreER and target foxed allele. At the very least a comparison of Cre protein expression between the two lines using identical CreER activators is needed.

      Thank you for your valuable and insightful comment. The comparison results of R26-loxCre-tdT with iSuRe-Cre using Alb-CreER and targeting R26-Confetti can be found in Figure 6, according to the reviewer’s suggestion.

      (4) Why did the authors not use the same driver to compare mCre 1, 4, 7, and 10? The study in Figure 2 uses Alb-roxCre for 1 and 7 and Cdh5-roxCre for 4 and 10, with clearly different levels of activity driven by the two alleles in vivo. Thus whether mCre1 is really better than mCre4 or 10 is not clear.

      Response: or two mCre versions that work efficiently. For example, if Alb-mCre1 was competitive with Cdh5-mCre10, we can use them for targeting genes in different cell types, broadening the potential utility of these mice.

      (5) Technical details are lacking. The authors provide little specific information regarding the precise way that the new alleles were generated, i.e. exactly what nucleotide sites were used and what the sequence of the introduced transgenes is. Such valuable information must be gleaned from schematic diagrams that are insufficient to fully explain the approach.

      Response: We appreciate your thoughtful suggestions. The schematic figures, along with the nucleotide sequences for the generation of mice, can be found in the revised Supplementary Figure 9.

      Reviewer #2 (Public Review):

      (1) The scenario where the lines would demonstrate their full potential compared to existing models has not been tested.

      Thank you for your thoughtful and constructive comment. The comparative analysis of R26-loxCre-tdT with iSuRe-Cre, employing Alb-CreER to target R26-Confetti, is provided in Figure 6.

      (2) The challenge lies in performing such experiments, as low doses of tamoxifen needed for inducing mosaic gene deletion may not be sufficient to efficiently recombine multiple alleles in individual cells while at the same time accurately reporting gene deletion. Therefore, a demonstration of the efficient deletion of multiple floxed alleles in a mosaic fashion would be a valuable addition.

      Thank you for your constructive comments. Mosaic analysis using sparse labeling and efficient gene deletion would be our future direction using roxCre and loxCre strategies.

      3) When combined with the confetti line, the reporter cassette will continue flipping, potentially leading to misleading lineage tracing results.

      Thank you for your professional comments. Indeed, the confetti used in this study can continue flipping, which would lead to potentially misleading lineage tracing results. Our use of R26-Confetti is to demonstrate the robustness of mCre for recombination. Some multiple-color mice lines that don’t flip have been published, for example, R26-Confetti2(PMID: 30778223) and Rainbow (PMID: 32794408). These reporters could be used for tracing Cre-expressing cells, without concerns of flipping of reporter cassettes.

      (4) Constitutive expression of Cre is also associated with toxicity, as discussed by the authors in the introduction.

      Thank you for your professional comments. The toxicity of constitutive expression of Cre and the toxicity associated with tamoxifen treatment in CreER mice line (PMID: 37692772) are known to the field. This study can’t solve the toxicity of the constitutive expression of Cre in this work. Many mouse lines with constitutive Cre driven by different promoters are present across various fields, representing similar toxicity. To solve this issue, it would be possible to construct a new strategy that enables the removal of Cre after its expression.

      Reviewer #3 (Public Review):

      (1) Although leakiness is rather minor according to the original publication and the senior author of the study wrote in a review a few years ago that there is no leakiness(https://doi.org/10.1016/j.jbc.2021.100509).

      Thank you so much for your careful check. In this review (PMID: 33676891), the writer’s comments on iSuRe-Cre are on the reader's side, and all summary words are based on the original published paper (PMID: 31118412). Currently, we have tested iSuRe-Cre in our hands. We did detect some leakiness in the heart and muscle, but hardly in other tissues as shown in Author response image 1.

      Author response image 1.

      Leakiness in Alb CreER;iSuRe-Cre mouse line. Pictures are representative results for 5 mice. Scale bars, white 100 µm.

      (2) I would have preferred to see a study, which uses the wonderful new tools to address a major biological question, rather than a primarily technical report, which describes the ongoing efforts to further improve Cre and Dre recombinase-mediated recombination.

      Response: We gratefully appreciate your valuable comment. The roxCre and loxCre mice mentioned in this study provide more effective methods for inducible genetic manipulation in studying gene function. We hope that the application of our new genetic tools could help address some major biological questions in different biomedical fields in the future.

      (3) Very high levels of Cre expression may cause toxic effects as previously reported for the hearts of Myh6-Cre mice. Thus, it seems sensible to test for unspecific toxic effects, which may be done by bulk RNA-seq analysis, cell viability, and cell proliferation assays. It should also be analyzed whether the combination of R26-roxCre-tdT with the Tnni3-Dre allele causes cardiac dysfunction, although such dysfunctions should be apparent from potential changes in gene expression.

      We are sorry that we mistakenly spelled R26-loxCre-tdT into R26-roxCre-tdT in our manuscript. We have not generated the R26-roxCre-tdT mouse line. We also thank the reviewer for concerns about the toxicity of high Cre expression. The toxicity of constitutive expression of Cre and the toxicity of tamoxifen treatment of CreER mice line (PMID: 37692772) are known to the field. This study can’t solve the toxicity of the constitutive expression of Cre in this work. Many mouse lines with constitutive Cre driven by different promoters are present across various fields, representing similar toxicity. To solve this issue, it would be possible to construct a new strategy that enables the removal of Cre after its expression.

      (4) Is there any leakiness when the inducible DreER allele is introduced but no tamoxifen treatment is applied? This should be documented. The same also applies to loxCre mice.

      In this study, we come up with new mice tool lines, including Alb roxCre1-tdT, Cdh5 roxCre4-tdT, Alb roxCre7-GFP, Cdh5 roxCre10-GFP and R26-loxCre-tdT. As the data shown in Supplementary Figure 1, Supplementary Figure 2, and Figure 4D, Alb roxCre1-tdT, Cdh5 roxCre4-tdT, Alb roxCre7-GFP, Cdh5 roxCre10-GFP and R26-loxCre-tdT are not leaky. Therefore, if there is any leakiness driven by the inducible DreER or CreER allele, the leakiness is derived from the DreER or CreER. Additional pertinent experimental data can be referenced in Figure S4C, Figure S7A-B, and Figure S8A.

      (5) It would be very helpful to include a dose-response curve for determining the minimum dosage required in Alb-CreER; R26-loxCre-tdT; Ctnnb1flox/flox mice for efficient recombination.

      Thank you for your suggestion. We value your feedback and have incorporated your suggestion to strengthen our study. Relevant experimental data can be referenced in Figure S8E-G.

      (6) In the liver panel of Figure 4F, tdT signals do not seem to colocalize with the VE-cad signals, which is odd. Is there any compelling explanation?

      The staining in Figure 4F in the revision is intended to deliver optimized and high-resolution images.

      (7) The authors claim that "virtually all tdT+ endothelial cells simultaneously expressed YFP/mCFP" (right panel of Figure 5D). Well, it seems that the abundance of tdT is much lower compared to YFP/mCFP. If the recombination of R26-Confetti was mainly triggered by R26-loxCre-tdT, the expression of tdT and YFP/mCFP should be comparable. This should be clarified.

      Thank you so much for your careful check. We checked these signals carefully and didn't find the “much lower” tdT signal. As the file-loading website has a file size limitation, the compressed image results in some signal unclear. We attached clear high-resolution images here. Author response image 2 shows how we split the tdT signal and compared it with YFP/mCFP.

      Author response image 2.

      (8) In several cases, the authors seem to have mixed up "R26-roxCre-tdT" with "R26-loxCre-tdT". There are errors in #251 and #256.Furthermore, in the passage from line #278 to #301. In the lines #297 and #300 it should probably read "Alb-CreER; R26-loxCretdT; Ctnnb1flox/flox" rather than "Alb-CreER;R26-tdT2;Ctnnb1flox/flox".

      We are grateful for these careful observations. We have corrected these typos accordingly.

      Recommendations for the authors:

      Reviewer #1:

      (1) However, for it to be useful to investigators a more direct comparison with the Benedito iSure line (or the latest version) is required as that is the crux of the study.

      Thank you for emphasizing this point, which we have now addressed in the revised manuscript and Figure 6.

      (2) I would like to know how the authors will make these new lines available to outside investigators.

      Please contact the lead author by email to consult about the availability of new mouse lines developed in this study.

      (3) The discussion is overly long and fails to address potential weaknesses. Much of it reiterates what was already said in the results section.

      We are thankful for your critical evaluation, which has helped us improve our discussion.

      Reviewer #2:

      (1) Assessing the efficiency and accuracy of the lines in mosaic deletions of multiple alleles and reporting them in single cells after low-dose tamoxifen exposure would be highly beneficial to demonstrate the full potential of the models.

      We appreciate your careful consideration of this issue. Our future endeavors will focus on mosaic analysis utilizing sparse labeling and efficient gene deletion, employing both roxCre and loxCre strategies.

      (2) Performing FACS analysis to confirm that all targeted (Cre reporter-positive) cells are also tdT-positive would provide more precise data and avoid vague statements like 'virtually all' or 'almost complete' in the results section:

      Line 166: Although mCre efficiently labeled virtually all targeted cells (Figure S3A-E)...

      Line 293: ... and not a single tdT+ hepatocyte 293 expressed Cyp2e1 (Figure 6D)... However, the authors do not provide any quantification. FACS would be ideal here.

      Line 244: ...expression of beta-catenin and GS almost disappeared in the 4W mutant sample... The resolution in the provided PDF is not adequate for assessment.

      Line 296: ... revealed almost complete deletion of Ctnnb1 in the Alb-CreER;R26-tdT2;Ctnnb1flox/flox mice...

      Thank you for suggesting these improvements, which have strengthened the robustness of our conclusions. In the revised version, we have incorporated FACS results that correspond to related sections. Additionally, a quantification statement has been included in the statistical analysis section. We appreciate your meticulous review and comments, which have significantly improved the clarity of our manuscript.

      (3) In the beginning of the results section, it is not clear which results are from this study and which are known background information (like Figure 1A). For example, it is not clear if Figure 1C presents data from R26-iSuRe-Cre. Please revise the text to more clearly present the experimental details and new findings.

      Thank you for this observation. Figure 1C belongs to this study, and the revised version has been modified to the related statement for improved clarity.

      (4) Experimental details regarding the genetic constructs and genotyping of the new knock-in lines are missing. Are R26 constructs driven by the endogenous R26 promoter or were additional enhancers used?

      Thank you for emphasizing this point. The schematic figures and nucleotide sequences for the generation of mice can be found in the revised Supplementary Figure 9, which can help to address this issue.

      (5) The method used to quantify mCre activity in terms of reporter+ target cells is not specified. From images or by FACS?

      Additionally, if images were used for quantification, it would be important to provide details on the number of images analyzed, the number of cells counted per image, and how individual cells were identified.

      Thank you for your comment. We have included the quantification statement in the statistical analysis section. Analyzing R26-Confetti+ target cells using FACS is challenging due to the limitations of the sorting instrument. Consequently, we quantified the related data by images. Each dot on the chart represents one sample, and the quantification for each mouse was conducted by averaging the data from five 10x fields taken from different sections.

      (6) Line 160: These data demonstrate that roxCre was functionally efficient yet non-leaky. Functional efficiency in vivo was not shown in the preceding experiments.

      Functional efficiency in vivo can be referred to in Figures S1-S2 and S4C.

      (7) It would be useful to provide a reference for easy vs low-efficiency recombination of different reporter alleles (lines 56-58).

      We are grateful for this comment, as it has allowed us to improve the clarity of our explanation. Consequently, we have made the necessary modifications.

      (8) Discussion on the potential drawbacks and limitations of the lines would be useful.

      We are thankful for your evaluation, which has significantly contributed to the enhancement of our discourse.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This paper investigates host and viral factors influencing transmission of alpha and delta SARS-CoV-2 variants in the Syrian hamster model and fundamentally increases knowledge regarding transmission of the virus via the aerosol route. The strength of evidence is solid and could be improved with a clearer presentation of the data.

      We thank the editors for their assessment. We are excited to present a revised version of the manuscript with improved data presentation and an improved discussion addressing the reviewer’s concerns.

      Public Reviews:

      Reviewer #1 (Public Review):

      In the submitted manuscript, Port et al. investigated the host and viral factors influencing the airborne transmission of SARS-CoV-2 Alpha and Delta variants of concern (VOC) using a Syrian hamster model. The authors analyzed the viral load profiles of the animal respiratory tracts and air samples from cages by quantifying gRNA, sgRNA, and infectious virus titers. They also assessed the breathing patterns, exhaled aerosol aerodynamic profile, and size distribution of airborne particles after SARS-CoV-2 Alpha and Delta infections. The data showed that male sex was associated with increased viral replication and virus shedding in the air. The relationship between co-infection with VOCs and the exposure pattern/timeframe was also tested. This study appears to be an expansion of a previous report (Port et al., 2022, Nature Microbiology). The experimental designs were rigorous, and the data were solid. These results will contribute to the understanding of the roles of host and virus factors in the airborne transmission of SARS-CoV-2 VOCs.

      Reviewer #2 (Public Review):

      This manuscript by Port and colleagues describes rigorous experiments that provide a wealth of virologic, respiratory physiology, and particle aerodynamic data pertaining to aerosol transmission of SARS-CoV-2 between infected Syrian hamsters. The data is particularly significant because infection is compared between alpha and delta variants, and because viral load is assessed via numerous assays (gRNA, sgRNA, TCID) and in tissues as well as the ambient environment of the cage. The paper will be of interest to a broad range of scientists including infectious diseases physicians, virologists, immunologists and potentially epidemiologists. The strength of evidence is relatively high but limited by unclear presentation in certain parts of the paper.

      Important conclusions are that infectious virus is only detectable in air samples during a narrow window of time relative to tissue samples, that airway constriction increases dynamically over time during infection limiting production of fine aerosol droplets, that variants do not appear to exclude one another during simultaneous exposures and that exposures to virus via the aerosol route lead to lower viral loads relative to direct inoculation suggesting an exposure dose response relationship.

      While the paper is valuable, I found certain elements of the data presentation to be unclear and overly complex.

      Reviewer #1 (Recommendations For The Authors):

      We thank the reviewer for their comments and their attention to detail. We have taken the following steps to address their suggestions and concerns.

      However, the following concerns need to be issued.

      1. Summary seems to be too simple, and some results are not clearly described in the summary.

      We have edited the summary and hope to have addressed the concerns raised by providing more information. We think that the summary includes all relevant findings.

      “It remains poorly understood how SARS-CoV-2 infection influences the physiological host factors important for aerosol transmission. We assessed breathing pattern, exhaled droplets, and infectious virus after infection with Alpha and Delta variants of concern (VOC) in the Syrian hamster. Both VOCs displayed a confined window of detectable airborne virus (24-48 h), shorter than compared to oropharyngeal swabs. The loss of airborne shedding was linked to airway constriction resulting in a decrease of fine aerosols (1-10µm) produced, which are suspected to be the major driver of airborne transmission. Male sex was associated with increased viral replication and virus shedding in the air. Next, we compared the transmission efficiency of both variants and found no significant differences. Transmission efficiency varied mostly among donors, 0-100% (including a superspreading event), and aerosol transmission over multiple chain links was representative of natural heterogeneity of exposure dose and downstream viral kinetics. Co-infection with VOCs only occurred when both viruses were shed by the same donor during an increased exposure timeframe (24-48 h). This highlights that assessment of host and virus factors resulting in a differential exhaled particle profile is critical for understanding airborne transmission.”

      1. Aerosol transmission experiment should be described in Materials and Methods although it is cited as Reference 21#;

      We have modified Line 433:

      “Aerosol caging

      Aerosol cages as described by Port et al. [2] were used for transmission experiments and air sampling as indicated. The aerosol transmission system consisted of plastic hamster boxes (Lab Products) connected by a plastic tube. The boxes were modified to accept a 7.62 cm (3') plastic sanitary fitting (McMaster-Carr), which enabled the length between the boxes to be changed. Airflow was generated with a vacuum pump (Vacuubrand) attached to the box housing the naïve animals and was controlled with a float-type meter/valve (McMaster-Carr).”

      And Line 458: “During the first 5 days, hamsters were housed in modified aerosol cages (only one hamster box) hooked up to an air pump.”.

      Especially, one superspreading event of Alpha VOC (donor animal) was observed in iteration A (Figure 4). What causes that event, experiment system?

      Based on the observed variation in airborne shedding (of the cages from which this was directly measured), we believe that one plausible explanation for the super-spreading event was that the Alpha-infected donor shed considerably more virus during the exposure than other donors, and thus more readily infected the sentinels. That said, it is also conceivable that other factors such as hamster behavior (e.g., closeness to the cage outlet, sleeping) or variable sentinel susceptibility could affect the distribution of transmissions.

      1. Same reference is repeatedly listed as Refs 2 and 21#.

      Addressed. We thank the reviewer for their attention to detail. We have also removed reference 53, which was the same as 54.

      1. Two forms of described time (hour and h) are used in the manuscript. Single form should be chosen.

      This has been addressed.

      5) Virus designation located in line 371 and line 583 is inconsistent, and it needs to be revised.

      For consistency we have chosen this nomenclature for the viruses used: SARS-CoV-2 variant Alpha (B.1.1.7) (hCoV320 19/England/204820464/2020, EPI_ISL_683466) and variant Delta (B.1.617.2/) (hCoV-19/USA/KY-CDC-2-4242084/2021, EPI_ISL_1823618).

      1. In Figure 5F, what time were lung and nasal turbinate tissues collected after virus infection?

      This has been added to the legend. Day 5. Line 904.

      1. Line 562-563, what is the coating antigen (spike protein, generated in-house)? purified or recombinant protein?

      It is in-house purified recombinant protein. This has been added to the methods.

      1. Line 575 and line 578: 10,000x is not standard description, and it should be revised.

      Done.

      Reviewer #2 (Recommendations For The Authors):

      We thank the reviewer for their comments and suggestions to improve the manuscript, and hope we have addressed all concerns adequately.

      • Direct interpretation of the linear regression slope in Figure 3 is challenging. Is the most relevant parameter for transmission known? Intuitively, it would be the absolute number of small droplets at a given timepoint rather than the slope and it would be easier to interpret if the data were reported in this fashion.

      We decided to show a percentage of counts to normalize the data among animals, as we observed large inter-individual variation in counts. The reviewer is correct that it is most likely the number of particles that would be most relevant to transmission, though much (including the role of particle size) remains to be determined. We have added a sentence to the results which explains this in L157.

      Therefore, we decided in this first analysis to utilize the slope measurement and not raw counts. The focus was on the slopes and how particle profiles were changing post inoculation. Because we have focused on percentages, it seems not appropriate to present particle counts within each diameter range because the analysis, model, and results are based on these percentages of particles.

      Use of regression to compute slope is a useful measure because it uses data from all timepoints to estimate the regression line and, therefore, the % of particles on each day. We decided on these methods because efficiency is especially important in a study with a relatively small number of animals and slopes are also a good surrogate for how animal particle profiles are changing post-inoculation.

      To assist with the interpretation: 1) We removed Figure 3C and D and replaced Figure 3B with individual line plots for all conditions to visualize the slopes. The figure legend was corrected to reflect these changes.

      2) We replaced L169 onwards to read: (Figure 3B). Females had a steeper decline at an average rate of 2.2 per day after inoculation in the percent of 1-10 μm particles (and a steeper incline for <0.53 μm) when compared to males, while holding variant group constant. When we compared variant group while holding sex constant, we found that the Delta group had a steeper decline at an average rate of 5.6 per day in the percent of 1-10 μm particles (and a steeper incline for <0.53 μm); a similar trend, but not as steep, was observed for the Alpha group.

      The estimated difference in slopes for Delta vs. controls and Alpha vs. controls in the percent of <0.53 μm particles was 5.4 (two-sided adjusted p= 0.0001) and 2.4 (two-sided adjusted p = 0.0874), respectively. The estimated difference in slopes for percent of 1-10 μm particles was not as pronounced, but similar trends were observed for Delta and Alpha. Additionally, a linear mixed model was considered and produced virtually the same results as the simpler analysis described above; the corresponding linear mixed model estimates were the same and standard errors were similar.

      • Fig 4: what is "limit of quality" mentioned in the legend? Are these samples undetectable?

      We have clarified this in the legend: “3.3 = limit of detection for RNA (<10 copies/rxn)”. If samples have below 10 copy numbers per reaction, they are determined to be below the limit of detection. The limit of detection is 10 copy number/rxn. All samples below 10 copies/rxn are taken to be negative and set = 10 copies/rxn, which equals 3.3. Log10 copies/mL oral swab.

      • Fig 4C would be easier to process in graphical rather than tabular form. The meaning of the colors is unclear.

      We agree with the reviewer that this is difficult to interpret, but we are uncertain if the same data in a tabular format would be easier to digest. We realized that the legend was misplaced and have added this back into the figure, which we hope clarifies the colors and the limit of detection.

      • Figure 4D & E are uninterpretable. What do the pie charts represent?

      We have remodeled this part of the figure to a schematic representation of the majority variant which transmitted for each individual sentinel, and have added a table (Table S1) which summarizes the exact sequencing results for the oral swabs. The reviewer is correct that it was difficult to interpret the pie charts, considering most values are either 0 or close to 100%. We hope this addresses the question. The legend states:

      Author response image 1.

      Airborne attack rate of Alpha and Delta SARS-CoV-2 variants. Donor animals (N = 7) were inoculated with either the Alpha or Delta variant with 103 TCID50 via the intranasal route and paired together randomly (1:1 ratio) in 7 attack rate scenarios (A-G). To each pair of donors, one day after inoculation, 4-5 sentinels were exposed for a duration of 4 h (i.e., h 24-28 post inoculation) in an aerosol transmission set-up at 200 cm distance. A. Schematic figure of the transmission set-up. B. Day 1 sgRNA detected in oral swabs taken from each donor after exposure ended. Individuals are depicted. Wilcoxon test, N = 7. Grey = Alpha, teal = Delta inoculated donors. C. Respiratory shedding measured by viral load in oropharyngeal swabs; measured by sgRNA on day 2, 3, and 5 for each sentinel. Animals are grouped by scenario. Colors refer to legend below. 3.3 = limit of detection of RNA (<10 copies/rxn). D. Schematic representation of majority variant for each sentinel as assessed by percentage of Alpha and Delta detected in oropharyngeal swabs taken at day 2 and day 5 post exposure by deep sequencing. Grey = Alpha, teal = Delta, white = no transmission.

      • Fig S2G is uninterpretable. Please label and explain.

      We have now included an explanations of the figure S2F. The figure is a graphic representation of the neutralization data depicted in Figure S2F. The spacing between grid lines is 1 unit of antigenic distance, corresponding to a twofold dilution of serum in the neutralization assay. The resulting antigenic distance depicted between Alpha and Delta is roughly a 4-fold difference in neutralization between homologous (e.g., Alpha sera with the Alpha virus vs. heterologous, Alpha sera with the Delta virus).

      • I would consider emphasizing lines 220-225 in the summary and abstract. The important implication is that aerosol transmission is more representative of natural heterogeneity of exposure dose and downstream viral kinetics. This is an often-overlooked point.

      We agree with the reviewer and have added this in Line 43.

      • Fig 5: A cartoon similar to Fig 4A showing timing of sentinel exposure with number of animals would be helpful.

      We have added this as a new panel A for Figure 5. See the redrafted Figure 5 below.

      • For Fig 5E & F It would be helpful to use a statistical test to more formally assess whether proportion at exposure predicts proportion of variants in downstream sentinel infection.

      This has been added as a new Figure 5 panel H and I, which we hope addresses the reviewer’s comment.

      Author response image 2.

      Airborne competitiveness of Alpha and Delta SARS-CoV-2 variants. A. Schematic. Donor animals (N = 8) were inoculated with Alpha and Delta variant with 5 x 102 TCID50, respectively, via the intranasal route (1:1 ratio), and three groups of sentinels (Sentinels 1, 2, and 3) were exposed subsequently at a 16.5 cm distance. Animals were exposed at a 1:1 ratio; exposure occurred on day 1 (Donors  Sentinels 1) and day 2 (Sentinels  Sentinels). B. Respiratory shedding measured by viral load in oropharyngeal swabs; measured by gRNA, sgRNA, and infectious titers on days 2 and day 5 post exposure. Bar-chart depicting median, 96% CI and individuals, N = 8, ordinary two-way ANOVA followed by Šídák's multiple comparisons test. C/D/E. Corresponding gRNA, sgRNA, and infectious virus in lungs and nasal turbinates sampled five days post exposure. Bar-chart depicting median, 96% CI and individuals, N = 8, ordinary two-way ANOVA, followed by Šídák's multiple comparisons test. Dark orange = Donors, light orange = Sentinels 1, grey = Sentinels 2, dark grey = Sentinels 3, p-values indicated where significant. Dotted line = limit of quality. F. Percentage of Alpha and Delta detected in oropharyngeal swabs taken at days 2 and day 5 post exposure for each individual donor and sentinel, determined by deep sequencing. Pie-charts depict individual animals. Grey = Alpha, teal = Delta. G. Lung and nasal turbinate samples collected on day 5 post inoculation/exposure. H. Summary of data of variant composition, violin plots depicting median and quantiles for each chain link (left) and for each set of samples collected (right). Shading indicates majority of variant (grey = Alpha, teal = Delta). I. Correlation plot depicting Spearman r for each chain link (right, day 2 swab) and for each set of samples collected across all animals (left). Colors refer to legend on right. Abbreviations: TCID, Tissue Culture Infectious Dose.”

      We have additionally added to the results section: L284: “Combined a trend, while not significant, was observed for increased replication of Delta after the first transmission event, but not after the second, and in the oropharyngeal cavity (swabs) as opposed to lungs (Figure 5H) (Donors compared to Sentinels 1: p = 0.0559; Donors compared to Sentinels 2: p = >0.9999; Kruskal Wallis test, followed by Dunn’s test). Swabs taken at 2 DPI/DPE did significantly predict variant patterns in swabs on 5 DPI/DPE (Spearman’s r = 0.623, p = 0.00436) and virus competition in the lower respiratory tract (Spearman’s r = 0.60, p = 0.00848). Oral swab samples taken on day 5 strongly correlate with both upper (Spearman’s r = 0.816, p = 0.00001) and lower respiratory tract tissue samples (Spearman’s r = 0.832, p = 0.00002) taken on the same day (Figure 5I).”

      • Fig 1A: how are pfu/hour inferred? This is somewhat explained in the supplement, but I found the inclusion of model output as the first panel confusing and am still not 100% clear how this was done. Consider, explaining this in the body of the paper.

      We have added a more detailed explanation of the PFU/h inference to the main text: The motivation for the model was to link more readily measurable quantities such as RNA measured in oral swabs to the quantity of greatest interest for transmission (infectious virus per unit time in the air). To do this, we jointly infer the kinetics of shed airborne virus and parameters relating observable quantities (infected sentinels, plaques from purified air sample filters) to the actual longitudinal shedding. The inferential model uses mechanistic descriptions of deposition of infectious virus into the air, uptake from the air, and loss of infectious virus in the environment to extract estimates of the key kinetic parameters, as well as the resultant airborne shedding, for each animal.

      We have added this information to L106 in the results and hope this clarifies the rationale and execution of the model.

      More minor points:

      • Line 292: "poor proxy" seems too strong as peak levels of viral RNA correlate with positive airway cultures. It might be more accurate to say that high levels of viral RNA during early infection only somewhat correlate with positive airway cultures.

      We have rephrased this to clarify that while peak RNA viral loads are predictive of positive cultures, measuring RNA, especially early during infection and only once, may not be sufficient to infer the magnitude or time-dependence of infectious virus shedding into the air. See Line 308: “We found that swab viral load measurements are a valuable but imperfect proxy for the magnitude and timing of airborne shedding. Crucially, there is a period early in infection (around 24 h post-infection in inoculated hamsters) when oral swabs show high infectious virus titers, but air samples show low or undetectable levels of virus. Viral shedding should not be treated as a single quantity that rises and falls synchronously throughout the host; spatial models of infection may be required to identify the best correlates of airborne infectiousness [32]. Attempts to quantify an individual’s airborne infectiousness from swab measurements should thus be interpreted with caution, and these spatiotemporal factors should be considered carefully.”

      • Line 352: Re is dependent on time of an outbreak (population immunity) and cannot be specified for a given variant as it depends on multiple other variables

      We agree that the current phrasing here could be interpreted to suggest, incorrectly, that Re is an intrinsic property of a variant. We have deleted that language and reworded the section to emphasize that the critical question is heterogeneity in transmission, not mean reproduction number. Line 348: “Moreover, at the time of emergence of Delta, a large part of the human population was either previously exposed to and/or vaccinated against SARS-CoV-2; that underlying host immune landscape also affects the relative fitness of variants. Our naïve animal model does not capture the high prevalence of pre-existing immunity present in the human population and may therefore be less relevant for studying overall variant fitness in the current epidemiological context. Analyses of the cross-neutralization between Alpha and Delta suggest subtly different antigenic profiles [35], and Delta’s faster kinetics in humans may have also helped it cause more reinfections and “breakthrough” infections [36].

      Our two transmission experiments yielded different outcomes. When sentinel hamsters were sequentially exposed, first to Alpha and then to Delta, generally no dual infections—both variants detectable—were observed. In contrast, when we exposed hamsters simultaneously to one donor infected with Alpha and another infected with Delta, we were able to detect mixed-variant virus populations in sentinels in one of the cages (Cage F, see Appendix figures S1, S2). The fact that we saw both single-lineage and multi-lineage transmission events suggests that virus population bottlenecks at the point of transmission do indeed depend on exposure mode and duration, as well as donor host shedding. Notably, our analysis suggests that the Alpha-Delta co-infections observed in the Cage F sentinels could be due to that being the one cage in which both the Alpha and the Delta donor shed substantially over the course of the exposure (Appendix figures S2, S3). Mixed variant infections were not retained equally, and the relative variant frequencies differed between investigated compartments of the respiratory tract, suggesting roles for randomness or host-and-tissue specific differences in virus fitness.

      A combination of host, environmental and virus parameters, many of which vary through time, play a role in virus transmission. These include virus phenotype, shedding in air, individual variability and sex differences, changes in breathing patterns, and droplet size distributions. Alongside recognized social and environmental factors, these host and viral parameters might help explain why the epidemiology of SARS-CoV-2 exhibits classic features of over-dispersed transmission [37]. Namely, SARS-CoV-2 circulates continuously in the human population, but many transmission chains are self-limiting, while rarer superspreading events account for a substantial fraction of the virus’s total transmission. Heterogeneity in the respiratory viral loads is high and some infected humans release tens to thousands of SARS-CoV-2 virions/min [38, 39]. Our findings recapitulate this in an animal model and provide further insights into mechanisms underlying successful transmission events. Quantitative assessment of virus and host parameters responsible for the size, duration and infectivity of exhaled aerosols may be critical to advance our understanding of factors governing the efficiency and heterogeneity of transmission for SARS-CoV-2, and potentially other respiratory viruses. In turn, these insights may lay the foundation for interventions targeting individuals and settings with high risk of superspreading, to achieve efficient control of virus transmission [40].”

      • The limitation section should mention that this animal model does not capture the large prevalence of pre-existing immunity at present in the population and may therefore be less relevant in the current epidemiologic context.

      We agree and have added this more clearly, see response above.

      • Limitation: it is unclear if airway and droplet dynamics in the hamster model are representative of humans.

      We have added the following sentence: Line 331: “It remains to be determined how well airway and particle size distribution dynamics in Syrian hamsters model those in humans.”

      • The mathematical model is termed semi-mechanistic but I think this is not accurate as the model appears to have no mechanistic assumptions.

      We describe the model as semi-mechanistic because it uses mechanistic descriptions of the shedding and uptake process (as described above), incorporating factors including respiration rate and environmental loss, and makes the mechanistic assumption that measurable swab and airborne shedding all stem from a shared within-host infection process that produces exponential growth of virus up to a peak, followed by exponential decay. The model is only semi-mechanistic, however, as we do not attempt a full model of within-host viral replication and shedding (e.g. a target-cell limited virus kinetics model).

    1. Author Response

      The following is the authors’ response to the previous reviews.

      We thank the reviewers for their reading of the manuscript, and their suggestions. We have extensively addressed all these concerns in the text, and also included several new data and figures in the revised version of the manuscript. We hope that our response and the new experimental data fully address the concerns raised by the reviewers. We include a detailed, pointby-point response to each of the reviewer concerns, pointing to new data and specific changes made in the main manuscript.

      Note: Do note that these new data have resulted in a new figure-figure 6, a new supplementary figure -figure 2-figure supplement 2, and an increase in the number of panels in each figure, as well as supplementary figures.

      General response comments, highlighting a few aspects missed by the reviewers

      This manuscript has an enormous amount of data in it. This is understandable, since in part we are proposing an entirely new hypothesis, and way to think about mitochondrial repression, built around substantial circumstantial evidences from diverse literature sources. But to keep the narrative readable and the main idea understandable, a lot of information had to be only very briefly mentioned in the text, and is therefore included as supplemental information. Due to that, it may not always be apparent that this study has set several technical benchmarks. These experiments are extremely challenging to perform, took many iterations to standardize, and in themselves are a first in the field. Yeast cells have the highest known rate of glycolytic flux for any organism. Measuring this glycolytic rate using the formation of intermediates is hard, and all current estimates have been in vitro, and using a stop-flow type set up. In this study, we optimized and directly measured the glycolytic flux using isotope labelled glucose (13C-glucose), which has never been reported before in highly glycolytic cells such as yeast. This is due to the very rapid label saturation (within seconds) after 13C glucose pulse (as is now shown in the figure 2-figure supplement 1). For brevity, this is summarized in this study with sufficient information to reproduce the method, but we will put out a more detailed, associated methodology paper describing several challenges, infrastructure requirements, and resources to be able to carry out these types of experiments using yeast. An added highlight of these experiments with WT and Ubp3 deletion strains is the most direct till date experimental demonstration that glycolytic flux in yeast in high glucose follows zero-order kinetics, and depends entirely on the amounts of the glycolytic enzymes (presumably operating at maximal activity). This nicely complements the recent study by Grigatis 2022 (cited in the discussion), that suggests this possibility.

      Separately, this study required the estimation of total inorganic phosphates, as well as mitochondrial pools of phosphates. Till date, there are no studies that have estimated mitochondrial pools of phosphate (for a variety of reasons). In this study, we also experimentally determined the changes in mitochondrial phosphate pools. For this, we had to establish and standardize a rapid mitochondrial isolation method in yeast. Thus, this study provides the first quantitative estimates of mitochondrial Pi amounts (in the context of measured mitochondrial outputs), as shown now in Figure 4. This component on mitochondrial isolation in yeast to assess metabolites may also be explored in future as a methods paper.

      Specific responses to the Reviews:

      Reviewer #1 (Public Review):

      The study by Vengayil et al. presented a role for Ubp3 for mediating inorganic phosphate (Pi) compartmentalization in cytosol and mitochondria, which regulates metabolic flux between cytosolic glycolysis and mitochondrial processes. Although the exact function of increased Pi in mitochondria is not investigated, findings have valuable implications for understanding the metabolic interplay between glycolysis and respiration under glucose-rich conditions. They showed that UBP3 KO cells regulated decreased glycolytic flux by reducing the key Pidependent-glycolytic enzyme abundances, consequently increasing Pi compartmentalization to mitochondria. Increased mitochondria Pi increases oxygen consumption and mitochondrial membrane potential, indicative of increased oxidative phosphorylation. In conclusion, the authors reported that the Pi utilization by cytosolic glycolytic enzymes is a key process for mitochondrial repression under glucose conditions.

      (1) However, the main claims are only partially supported by the low number of repeats and utilizing only one strain background, which decreased the overall rigor of the study. The fullpower yeast model could be utilized with testing findings in different backgrounds with increased biological repeats in many assays described in this study. In the yeast model, it has been well established that many phenotypes are genotype/strain dependent (Liti 2019, Gallone 2016, Boekout 2021, etc...). with some strains utilizing mitochondrial respiration even under high glucose conditions (Kaya 2021). It would be conclusive to test whether wild strains with increased respiration under high glucose conditions would also be characterized by increased mitochondrial Pi.

      “However, the main claims are only partially supported by the low number of repeats and utilizing only one strain background, which decreased the overall rigor of the study. The full-power yeast model could be utilized with testing findings in different backgrounds with increased biological repeats in many assays described in this study.”

      Thank you for the suggestion. We agree that a larger, universal statement cannot be made with data from a single strain, since yeasts do have substantial diversity. In this study, we had originally used a robust, prototrophic industrial strain (CEN.PK background). We have now utilized multiple, diverse strains of S. cerevisiae to test our findings. This includes strains from the common laboratory backgrounds – W303 and BY4742 – which have different auxotrophies, as well as another robust, highly flocculent strain from a prototrophic Σ1278 background. Using all these strains, we now comprehensively find that the role of altered Pi budgeting as a constraint for mitochondrial respiration, and the role of Ubp3 as a regulator of mitochondrial repression is very well conserved. In all tested strains of S. cerevisiae the loss of Ubp3 increases mitochondrial activity (as shown by increased mitochondrial membrane potential and increased Cox2 levels in Figure 6A, B). These data now expand the generality of our findings, and strengthen the manuscript. These results are included in the revised manuscript as a new figure- Figure 6 and the associated text.

      Some of the included data in the revised manuscript are shown below:

      Author response image 1.

      Mitochondrial activity and Cox2 levels in ubp3Δ in different genetic backgrounds

      We also used the W303 strain to assess Pi levels, and its role in increasing mitochondrial respiration. We find that the loss of Ubp3 in this genetic background also increases Pi levels and that the increased Pi is necessary for increasing mitochondrial respiration (Figure 6C, D).

      Author response image 2.

      Basal OCR in WT vs ubp3Δ (W303 strain background) in normal vs low Pi

      These experiments collectively have strengthened our findings on the critical role of intracellular Pi budgeting as a general constraint for mitochondrial respiration in high glucose.

      “It would be conclusive to test whether wild strains with increased respiration under high glucose conditions would also be characterized by increased mitochondrial Pi.”

      Addressed partially above. Right now the relative basal respiration in glucose across different strains is not well known. We measured mitotracker activity in high glucose in multiple WT strains of S. cerevisiae (W303, Σ1278, S288C and BY4742, compared to the CEN.PK strain). These strains all largely had similar mitotracker potential, except for a slight increase in mitochondrial membrane potential in Σ1278 strain, but not in other strains. We further characterized this using Cox2 protein levels as well as basal OCR, and found that these do not increase. These data is shown below, and is not included in the main text since it does not add any new component to the study.

      Author response image 3.

      Mitochondrial respiration in different WT strains

      We did find this suggestion very interesting though, and are exploring directions for future research based on this suggestion. Since we have now identified a role for intracellular Pi allocation in regulating the Crabtree effect, an interesting direction can be to understand the glucose dependent mitochondrial Pi transport in Crabtree negative yeast strains. We will have to bring in a range of new tools and strains for this, so these experiments are beyond the focus of this current study.

      We hope that these new experiments in different genetic backgrounds increases the breadth and generality of our findings, and stimulates new lines of thinking to address how important the role of Pi budgeting as a constraint for mitochondrial repression in high glucose might be.

      (2) It is not described whether the drop in glycolytic flux also affects TCA cycle flux. Are there any changes in the pyruvate level? If the TCA cycle is also impaired, what drives increased mitochondrial respiration?

      Thank you for pointing this out, and we agree this should be included. We have addressed these concerns in the revised version of the manuscript

      Since glucose derived pyruvate must enter the mitochondrial TCA cycle, one possibility is that a decrease in glycolytic rate could decrease the TCA flux. An alternate possibility is that the cells coincidently increase the pyruvate transport to mitochondria, to thereby maintain the TCA cycle flux comparable to that of WT cells. To test both these possibilities, we first measured the steady state levels of pyruvate and TCA cycle intermediates in WT vs ubp3Δ cells. We do not observe any significant change in the levels of pyruvate, or TCA cycle intermediates (except malate, which showed a significant decrease in ubp3Δ cells). This data is now included in the revised manuscript as Figure 2 – figure supplement 1D and figure supplement 2 A, along with associated text.

      Author response image 4.

      Pyruvate levels in WT vs ubp3Δ

      Author response image 5.

      Steady state TCA cycle intermediate levels

      Next, in order to address if the TCA cycle flux is impaired in ubp3Δ cells, we also measured the TCA cycle flux in WT vs ubp3Δ cells by pulsing the cells with 13C glucose and tracking 13C label incorporation from glucose into TCA cycle intermediates. This experiment first required substantial standardization, for the time of cell collection and quenching post 13C glucose addition, by measuring the kinetics of 13C incorporation into TCA cycle intermediates at different time points after 13C glucose addition. The standardization of this method is now included in the revised manuscript as Figure 2 – figure supplement 2 C, along with associated text, and is shown below for reference.

      Author response image 6.

      Kinetics of 13C labelling in TCA cycle intermediates

      Actual TCA cycle flux results: For measuring the TCA cycle flux, cells were treated with 1% 13C glucose, quenched and samples were collected at 7 mins post glucose addition which is in the linear range of 13C label incorporation (Figure 2- Figure 2 – figure supplement 2 C).

      Result: We did not observe any significant changes in the relative 13C label incorporation in TCA cycle intermediates. This data is included in the revised manuscript as Figure 2 – figure supplement 2 D, along with associated text, and is below for your reference.

      Author response image 7.

      TCA cycle flux

      What these data show is that the TCA cycle flux itself is not altered in ubp3Δ. A likely interpretation of this data is that this is due to the increase in the pyruvate transport to mitochondria in ubp3Δ cells, as indicated by the ~10-fold increase in Mpc3 (mitochondrial pyruvate transporter) protein levels (shown in Figure 5-figure supplement 5H), allowing the net same amount of pyruvate into the mitochondria. This increased mitochondrial pyruvate transport could support maintaining the TCA flux in ubp3Δ cells, and supporting the increased respiration. Putting a hierarchy together, the increased respiration in ubp3Δ cells could therefore be primarily due to increased Pi transport, followed by a consequent increase in ETC proteins. We leave it to the readers of this study to make this conclusion.

      We hope that we have addressed all concerns that the reviewer has with respect to TCA cycle flux in ubp3Δ cells.

      (3) In addition, some of the important literature was also missed in citation and discussion. For example, in a recent study (Ouyang et al., 2022), it was reported that phosphate starvation increases mitochondrial membrane potential independent of respiration in yeast and mammalian cells, and some of the conflicting results were presented in this study.

      We are very aware of the recent study by Ouyang et al, which reports that Pi starvation increases mitochondrial membrane potential independent of respiration. However, this study is distinct from the context of our case due to the reasons listed below.

      (a) The reviewer may have misinterpreted our low Pi condition as Pi starvation. There is no Pi ‘starvation’ in this study. Here, we cultured ubp3Δ and tdh2Δtdh3Δ cells in a low Pi medium with 1 mM Pi concentration in order to bring down the intracellular free Pi to that of WT levels. These cells are therefore not Pi-starved, but have been manipulated to have the same intracellular Pi levels as that of WT cells, as shown in Figure 4-figure supplement 1D. The Pi concentration in the medium is still in the millimolar range, and the cells are grown in this medium for a short time (~4 hrs) till they reach OD600 ~ 0.8. This is entirely different from the conditions used in Ouyang et al., 2022, where the cells were grown in a Pi-starvation condition with 1-100 micromolar Pi in the medium for a time duration of 6-8 hrs. Since cells respond differentially to changes in Pi concentrations over time (Vardi et al., 2014), the response to low Pi vs Pi starvation will be completely different.

      (b) In our study, mitochondrial membrane potential is used as only one of the readouts for mitochondrial activity. Our estimations of mitochondrial respiration are established by including other measurements such as Cox2 protein levels (as an indicator of the ETC) and basal OCR measurements (measuring respiration), all of which provide distinct information. The mitochondrial membrane potential can be regulated independent of mitochondrial respiration state (Liu et al., 2021), using membrane potential alone as a readout to estimate mitochondrial respiration can therefore be limiting in the information it provides. As indicated earlier, mitochondrial membrane potential can change, independent of mitochondrial respiration (Ouyang et al., 2022) and ATP synthesis (Liu et al., 2021). Since the focus of our study is mitochondrial respiration, and not just the change in membrane potential, making conclusions based on potential alone are ambiguous. Most studies in the field have in fact not used the comprehensive array of distinct estimates that we use in this study, and we believe the standards set in this study should become a norm for the field.

      (c) The only mutant that is similar to the Ouyang et al study is the Mir1 deletion mutant, which results in acute Pi starvation in mitochondria. In this strain, we find an increase in mitochondrial membrane potential. The data is not included in the manuscript but is shown below.

      Author response image 8.

      Mitochondrial potential in WT vs mir1Δ

      As clear from this data, mitochondrial membrane potential is significantly high in mir1Δ cells. However, the basal OCR and Cox2 protein levels clearly show decreased mitochondrial respiration which is expected in this mutant (Figure 5 A,B). This in fact highlights the limitations of solely relying on mitochondrial membrane potential measurements to draw conclusions, as doing so will lead to a misinterpretation of the actual mitochondrial activity in these cells. We do not wish to highlight limitations in other studies, but hope we make our point clear.

      (4) An additional experiment with strains lacking mitochondrial DNA under phosphate-rich and restricted conditions would further strengthen the result.

      Strains lacking mitochondrial DNA (Rho0 cells) cannot express the mitochondrially encoded ETC subunit proteins. These strains are therefore incapable of performing mitochondrial respiration. Since Rho0 cells are known to utilize alternate mechanisms to maintain their mitochondrial membrane potential (Liu et al., 2021), using mitotracker fluorescence as a readout of mitochondrial respiration in these strains under different Pi conditions is inconclusive and misleading due to the reasons mentioned in point number 3(b and c). However, since this was a concern raised by the reviewer, we now measured basal OCR in WT and Rho0 strains with Ubp3 deletion under normal vs low Pi medium. As expected, Rho0 cells show extremely low basal OCR values, an entire order of magnitude lower than WT cells. At these very low (barely detectable) levels the deletion of Ubp3 or change in Pi concentration in the medium does not change basal OCR, since these strains are not capable of respiration. We have included this data as Figure 4-figure supplement 1G.

      Author response image 9.

      Basal OCR in Rho0 cells

      (5) Western blot control panels should include entire membrane exposure, and non-cut western blots should be submitted as supplementary.

      The non-cut western blot images and the loading controls are now included in the revised manuscript as a supplementary file 2.

      (6) In Figure 4, it is shown that Pi addition decreases basal OCR to the WT level. However, the Cox2 level remains significantly higher. This data is confusing as to whether mitochondrial Pi directly regulates respiration or not.

      As described in the previous point, the Cox2 levels and the OCR provide distinct pieces of information. In figure 4, we show that culturing ubp3Δ in low Pi significantly decreases both Cox2 protein levels and basal OCR. Since Cox2 protein levels and basal OCR are different readouts for mitochondrial activity, there could be differences in the extent by which Pi availability controls each of these factors. Basal OCR is a direct readout for mitochondrial respiration, and is regulated by multiple factors including ETC protein levels, rate of ATP synthesis, rate of Pi transport etc. In figure 4, we find that culturing ubp3Δ in low Pi decreases basal OCR to WT level. This strongly suggests that high Pi levels are necessary to increase basal OCR in ubp3Δ.

      (7) Representative images of Ubx3 KO and wild-type strains stained with CMXRos are missing.

      Thank you for noticing this. This data is now included in the revised manuscript as Figure 1figure supplement 1C.

      Author response image 10.

      (8) Overall, mitochondrial copy number and mtDNA copy number should be analyzed in WT and Ubo3 KO cells as well as Pi-treated and non-treated cells, and basal OCR data should be normalized accordingly. The reported normalization against OD is not appropriate.

      This is a valid concern raised by the reviewer, and something we had extensively considered during the study. To normalize the total mitochondrial amounts in each strain, we always measure the protein levels of the mitochondrial outer membrane protein Tom70. While we had described this in the methods, it may not have been obvious in the text. But this information is included in Figure 1-figure supplement 1G. We did not observe any significant change in Tom70 levels, suggesting that the total mitochondrial amount does not change in ubp3Δ, and we have noted this in the manuscript (results section relevant to Figure 1). As an additional control, to directly measure the mitochondrial amount in these conditions, we have now measured the mitochondrial volume in ubp3Δ cells and WT cells treated with Pi. For this, we used a strain which encodes mitochondria targeted with mNeon green protein (described in Dua et al., JCB, 2023), and which can therefore independently assess total mitochondrial amount. We do not observe any changes in mitochondrial volume or amounts in ubp3Δ cells or WT+Pi, compared to that of WT cells. Therefore, the change in mitochondrial respiration in Ubp3 deletion and Pi addition are not due to changes in total amounts of mitochondria in these conditions. Given all these, the normalization of basal OCR using total cell number is therefore the most appropriate way for normalization. This is also conventionally used for basal OCR normalization in multiple studies.

      We have now included these additional data on mitochondrial volumes and amounts in the revised manuscript as Figure1-figure supplement 1F and Figure5-figure supplement 1D, and associated text, and is shown below.

      Author response image 11.

      Mitochondrial volume in WT vs ubp3Δ cells

      Author response image 12.

      Mitochondrial volume in WT and WT+Pi

      These data collectively address the reviewer’s concerns regarding changes in mitochondrial amounts in all the conditions and strains used in this study.

      Reviewer #2 (Public Review):

      Summary:

      Cells cultured in high glucose tend to repress mitochondrial biogenesis and activity, a prevailing phenotype type called Crabree effect that is observed in different cell types and cancer. Many signaling pathways have been put forward to explain this effect. Vengayil et al proposed a new mechanism involved in Ubp3/Ubp10 and phosphate that controls the glucose repression of mitochondria. The central hypothesis is that ∆ubp3 shifts the glycolysis to trehalose synthesis, therefore leading to the increase of Pi availability in the cytosol, then mitochondria receive more Pi, and therefore the glucose repression is reduced.

      Strengths:

      The strength is that the authors used an array of different assays to test their hypothesis. Most assays were well-designed and controlled.

      Weaknesses:

      I think the main conclusions are not strongly supported by the current dataset.

      (1) Although the authors discovered ∆ubp3 cells have higher Pi and mitochondrial activity than WT in high glucose, it is not known if WT cultured in different glucose concentration also change Pi that correlate with the mitochondrial activity. The focus of the research on ∆ubp3 is somewhat artificial because ∆ubp3 not only affects glycolysis and mitochondria, but many other cellular pathways are also changed. There is no idea whether culturing cells in low glucose, which derepress the mitochondrial activity, involves Ubp3 or not. Similarly, the shift of glycolysis to trehalose synthesis is also not relevant to the WT cells cultured in a low-glucose situation. “The focus of the research on ∆ubp3 is somewhat artificial because ∆ubp3 not only affects glycolysis and mitochondria, but many other cellular pathways are also changed. There is no idea whether culturing cells in low glucose, which de-repress the mitochondrial activity, involves Ubp3 or not.”

      We would like to clarify that the focus of this research is not on Ubp3, or to address mechanistic aspects of how Ubp3 regulates mitochondrial activity, or to identify the targets of Ubp3. That would be an entirely distinct study, with a very different approach.

      In this study, while carrying out a screen, we serendipitously found that ubp3Δ cells showed an increase in mitochondrial activity in high glucose. Subsequently, we used this observation, bolstered by diverse orthogonal approaches, to identify a general, systems-level principle that governs mitochondrial repression in high glucose. Through this, we identify a role of phosphate budgeting as a controller of mitochondrial repression in high glucose. In this study, our entire focus has been to use orthogonal approaches, as well as parsimonious interpretations, to establish this new hypothesis as a possibility. We hope this idea, supported by these data, will now enable researchers to pursue other experiments to establish the generality of this phenomenon.

      We have not focused our effort in identifying the role of Ubp3, or its regulation upon changes in glucose concentration in this context. That is a very specific, and separate effort, and misses the general point we address here. It is entirely possible that Ubp3 might also regulate mitochondrial activity by additional mechanisms other than mitochondrial Pi availability (such as via the reduction of key glycolytic enzymes at nodes of glycolysis, resulting in reduced glycolytic flux and rerouted glucose metabolism). Had the goal been to identify Ubp3 substrates, it is very likely that we would not have found the role of Pi homeostasis in controlling mitochondrial respiration. This is particularly because the loss of Ubp3 does not result in an acute disruption of glycolysis, unlike say a glycolytic enzyme mutant, which would have resulted in severe effects on growth and overall metabolic state. This would have made it difficult to dissect out finer details of metabolic principles that regulate mitochondrial respiration.

      In order to further corroborate our findings, we used the glycolysis defective mutant tdh2Δtdh3Δ cells, where we find a similar change in Pi balance. This complements the key observations made using ubp3Δ cells. Distinctly, we utilized the glycolytic inhibitor 2DG to independently assess the role of mitochondrial Pi transport in regulating respiration. Together, in this study we do not just relying on genetic mutants, but combine the Ubp3 deletion strain with a reduced GAPDH activity strain, and pharmacologic inhibition of glycolysis. Distinctly, we find that mitochondrial Pi transporter levels are repressed under high glucose (Figure 5C, Figure 5-figure supplement 1B). Further, we find that mitochondrial Pi transport is important in increasing mitochondrial respiration upon shift to low glucose and glycolytic inhibition by 2-DG. Therefore, we collectively unravel a more systems level principle that regulates glucose mediated mitochondrial repression, as opposed to a mechanistic study of Ubp3 targets.

      Of course, given the conservation of Ubp3, we are very excited to pursue a mechanistic study of Ubp3 targets in future. This is a general challenge for deubiquitinase enzymes, and till date there are very few bona fide substrates known for any deubiquitinase enzyme, from any cellular system (due to challenges in the field that we discuss separately, and have included in the discussion section of this text).

      “Similarly, the shift of glycolysis to trehalose synthesis is also not relevant to the WT cells cultured in a low-glucose situation”

      The reviewer is correct in pointing out that in low-glucose, the shift to trehalose synthesis might not be as relevant. We observe that the glycolysis defective mutant tdh2Δtdh3Δ cells does not show an increase in trehalose synthesis (Figure 3-figure supplement 1E). However, in this context, the decrease in the rate of GAPDH catalysed reaction alone appears to be sufficient to increase the Pi levels (Figure 3F) even without an increase in trehalose. Therefore, there might be differences in the relative contributions of these two arms towards Pi balance, based on whether it is low glucose in the environment, or a mutant such as ubp3 that modulates glycolytic flux. In ubp3Δ cells, the combination of low rate of GAPDH catalyzed reaction and high trehalose will happen (based on how glycolytic flux is modulated), vs only the low rate of GAPDH catalyzed reaction in tdh2Δtdh3Δ cells. As an end point the increase in Pi happens in both cases, but with slightly differing outcomes. It is also to be noted that in terms of free Pi sources a low-glucose condition (with low glycolytic rate) is very different from a no-glucose, respiratory condition (where cells perform very high gluconeogenesis). In high respiration conditions such as ethanol, cells switch to high gluconeogenesis, where there is a huge increase trehalose synthesis as a default (eg see Varahan et al 2019). In this condition, trehalose synthesis could be a major source for Pi (eg see Gupta 2021), and could support the increased mitochondrial respiration. In an ethanol medium, the directionality of GAPDH reaction is reversed. Therefore, this reaction will also now become an added source of Pi, instead of a consumer of Pi (see illustration in Figure 3G). Therefore, a reasonable interpretation is that a combination of increased trehalose and increased 1,3 BPG to G3P conversion can be a major Pi source to increasing mitochondrial respiration in a non-glucose, respiratory medium.

      “it is not known if WT cultured in different glucose concentration also change Pi that correlate with the mitochondrial activity”

      This is valid point raised by the reviewer. We have already found that the protein levels of mitochondrial Pi transporter is increased in a non-glucose respiratory (ethanol) medium and a low (0.1%) glucose medium (see Figure 5C, Figure5-figure supplement 1B). In addition, we have tried measuring mitochondrial Pi levels in cells grown in a high glucose medium vs a respiratory, ethanol medium. The results are shown below for the reviewer’s reference. Reviewer response image 3 – Mitochondrial Pi levels in ethanol vs glucose

      Author response image 13.

      We observe a clear trend where mitochondrial Pi levels are high in cells grown in ethanol medium compared to that of cells grown in high glucose. However, the estimation of Pi, and normalising the Pi levels in isolated mitochondria is extremely difficult in this condition (note that this has never been done before). This is likely due to a rapid rate of conversion of ADP and Pi to ATP (in ethanol) which increases the variation in the estimation of steady state Pi levels, and the high amounts of mitochondria in ethanol grown cells. Since the date shows high variation, we have not included this data in the manuscript, but we are happy to include it here in the response.

      Indeed, this study opens up the exciting question of addressing how intracellular Pi allocation is regulated in different conditions of glucose. This can be further extended to Crabtree negative strains such as K. lactis which do not show mitochondrial repression in high glucose. All of these are rich future research programs.

      (2) The central hypothesis that Pi is the key constraint behind the glucose repression of mitochondrial biogenesis/activity is supported by the data that limiting Pi will suppress mitochondrial activity increase in these conditions (e.g., ∆ubp3). However, increasing the Pi supply failed to increase mitochondrial activity. The explanation put forward by the authors is that increased Pi supply will increase glycolysis activity, and somehow even reduce the mitochondrial Pi. I cannot understand why only the increased Pi supply in ∆ubp3, but not the increased Pi by medium supplement, can increase mitochondrial activity. The authors said "...that ubp3Δ do not increase mitochondrial Pi by merely increasing the Pi transporters, but rather by increasing available Pi pools". They showed that ∆ubp3 mitochondria had higher Pi but WT cells with medium Pi supplement showed lower Pi, it is hard to understand why the same Pi increase in the cytosol had a different outcome in mitochondrial Pi. Later on, they showed that the isolated mito exposed to higher Pi showed increased activity, so why can't increased Pi in intact cells increase mito activity? Moreover, they first showed that ∆ubp3 had a Mir1 increase in Fig3A, then showed no changes in FigS4G. It is very confusing.

      “I cannot understand why only the increased Pi supply in ∆ubp3, but not the increased Pi by medium supplement, can increase mitochondrial activity.”

      This is an interesting point, that requires a nuanced explanation, which we try to provide below.

      For mitochondrial respiration to increase in the presence of high Pi, the cytosolic Pi has to be transported to the mitochondria sufficiently. In ubp3Δ the increased free Pi (as a consequence of rewired glycolysis) is transported to the mitochondria (Figure 4). This increased mitochondrial Pi can therefore increase mitochondrial respiration in ubp3Δ.

      In case of WT+Pi, the externally supplemented Pi cannot further enter mitochondria (as shown in Figure 5-Figure supplement 1C) and is most likely restricted to the cytosol. Because of this inability of the Pi to access mitochondria, the mitochondrial respiration does not increase in WT+Pi (Figure 5-Figure supplement 1E).

      The likely reason for this difference in mitochondrial Pi transport in ubp3Δ vs WT+Pi is the relative difference in their glycolytic rate. The glycolytic rate is inherently decreased in ubp3Δ, but not in WT+Pi. To dissect this possibility of glycolytic rate itself contributing to the Pi availability in the mitochondria, we inhibited glycolysis in WT cells (using 2DG), and then supplemented Pi. Compared to cells in the same glucose condition (with 2DG, but without supplementing excess Pi), now the WT+Pi (+2DG) has higher mitochondrial respiration (Figure 5-Figure supplement 1F). This suggests that a combination of low glycolysis and high Pi is required for increasing mitochondrial respiration (as elaborated in the discussion section of the manuscript).

      An obvious question that arises out of this observation is how does the change in glycolytic rate regulate mitochondrial Pi transport. One consequence of altering the glycolytic rate is a change in cytosolic pH. This itself will bear on the extent of Pi transport into mitochondria, as discussed in detail below.

      In mitochondria, Pi is co-transported along with protons. Therefore, changes in cytosolic pH (which changes the proton gradient) can control the mitochondrial Pi transport (Hamel et al., 2004). Glycolytic rate is a major factor that controls cytosolic pH. The cytosolic pH in highly glycolytic cells is ~7, and decreasing glycolysis results in cytosolic acidification (Orij et al., 2011). Therefore, under conditions of decreased glycolysis (such as loss of Ubp3), cytosolic pH becomes acidic. Since mitochondrial Pi transport is dependent on the proton gradient, a low cytosolic pH would favour mitochondrial Pi transport. Therefore, under conditions of decreased glycolysis (2DG treatment, or loss of Ubp3), where cytosolic pH would be acidic, increasing cytosolic Pi might indirectly increase mitochondria Pi transport, thereby leading to increased respiration.

      To explain this and integrate all these points, we have extended a discussion section in this manuscript. We include this section below:

      “Supplementing Pi under conditions of low glycolysis (where mitochondrial Pi transport is enhanced), as well as directly supplementing Pi to isolated mitochondria, increases respiration (Figure 5, Figure 5-figure supplement 1). Therefore, in order to derepress mitochondria, a combination of increased Pi along with decreased glycolysis is required. An additional systems-level phenomenon that might regulate Pi transport to the mitochondria is the decrease in cytosolic pH upon decreased glycolysis (60, 61). The cytosolic pH in highly glycolytic cells is ~7, and decreasing glycolysis results in cytosolic acidification (60, 61). Therefore, under conditions of decreased glycolysis (2DG treatment, deletion of Ubp3, and decreased GAPDH activity), cytosolic pH becomes acidic. Since mitochondrial Pi transport itself is dependent on the proton gradient, a low cytosolic pH would favour mitochondrial Pi transport (62). Therefore, under conditions of decreased glycolysis (2DG treatment, or loss of Ubp3, or decreased GAPDH activity), where cytosolic pH would be acidic, increasing cytosolic Pi might indirectly increase mitochondria Pi transport, thereby leading to increased respiration. Alternately, increasing mitochondrial Pi transporter amounts can achieve the same result, as seen by overexpressing Mir1 (Figure 5).”

      This possibility of changes in cytosolic pH regulating mitochondrial Pi transport and thereby respiration is a really interesting future research question, and an idea that has not yet been explored till date. This can stimulate new lines of thinking towards finding conserved biochemical principles that control mitochondrial repression in high glucose.

      “Moreover, they first showed that ∆ubp3 had a Mir1 increase in Fig3A, then showed no changes in FigS4G. It is very confusing”

      increase in Mir1 in ubp3Δ shown in figure 3A comes from the analysis of the proteomics dataset from a previous study (Isasa et al., 2015). Subsequently, we more systematically experimentally assessed Mir1 levels directly, and did not observe an increase in Mir1 (Figure 4figure supplement 1H in revised manuscript). It is entirely possible that in a large-scale study (as in Isasa 2015), some specific proteomic targets might not fully reproduce when tested very specifically (as is described in Handler et al., 2018 and Mehta et al., 2022). We do clearly indicate this in the text, but given the density of information in this study, it is understandable that this point was missed by the reviewer.

      (3) Given that there is no degradation difference for these glycolytic enzymes in ∆ubp3, and the authors found transcriptional level changes, suggests an alternative possibility where ∆ubp3 may signal through unknown mechanisms to parallelly regulate both mitochondrial biogenesis and glycolytic enzyme expression. The increase of trehalose synthesis usually happens in cells under proteostasis stress, so it is important to rule out whether ∆ubp3 signals these metabolic changes via proteostasis dysregulation. This echoes my first point that it is unknown whether wild-type cells use a similar mechanism as ∆ubp3 cells to regulate the glucose repression of mitochondria.

      We appreciate this point raised by the reviewer, but this again requires some clarification (as made earlier). The goal of this study was to identify systems-level principles that explain mitochondrial repression in high glucose. Although we started by performing a screen to identify proteostatic regulators of mitochondrial activity in high glucose, and identified Ubp3 as a mediator of mitochondrial activity, our approach was to use ubp3Δ cells as a model to understand the metabolic principles that regulate mitochondrial repression. This has been reiterated repeatedly in the manuscript – for example lines 123-124 “We therefore decided to use ubp3Δ cells to start delineating requirements for glucose-mediated mitochondrial repression.” and again in the discussion section – lines 442-460, where we discuss some unique advantages of using ubp3Δ cells to understand a general basis of mitochondrial regulation. To test this hypothesis, we also used orthogonal approaches, as well as other mutants and conditions with defective glycolysis, such as tdh2Δtdh3Δ cells and 2DG treatments. Only with these multiple converging evidences do we infer that there might be a role of the change in Pi balance (due to changes in glycolytic rate) in regulating mitochondrial activity.

      We certainly agree that there is great value in identifying the mechanistic details of how Ubp3 regulates mitochondria. But this requires very distinct approaches not pursued in this study. This is not the question that we are addressing in this story. Separately, identifying targets of DUBs is one of the exceptional challenges in biology, since there are currently no straightforward chemicalbiology approaches to do so for this class of proteins. Unlike kinase/phosphatase systems, or even ubiquitin ligases, substrate trapping mutants etc have proven to be abject failures in identifying direct targets of DUBs. A quantitative proteomics study might suggest some proteins/cellular processes regulated by Ubp3. This has been attempted for several DUBs, but rarely have any direct substrates of DUBs every been identified, in any system. A high quality quantitative, descriptive proteome dataset of ubp3Δ cells is already available from a previous study (Isasa et al., 2015), which we cite extensively in this manuscript, and indeed was invaluable for this study. We cannot improve the outstanding quality dataset already available. Interestingly, the findings of this study actually help substantiate our idea of an increased mitochondrial activity and change in Pi homeostasis in ubp3Δ cells. The Isasa et al dataset finds proteins involved in mitochondrial respiration that are high in ubp3Δ cells, and the glycolytic enzymes and PHO regulon proteins are reduced. In our study, using these data references, we were able to conceptually piece together how changes in glycolytic flux can alter Pi balance.

      Apart from identifying changes in protein levels, a separate challenge in making sense of this quantitative proteomics data is the difficulty in pinpointing any target of Ubp3 that specifically regulates these processes. A single DUB can have multiple substrates, and this could regulate the cellular metabolic state in a combinatorial manner. This is the essence of all signaling regulators in how they function, and it is therefore important to understand what their systems-level regulation of cell states are (separate from their specific individual substrates). Therefore, identifying the specific target of Ubp3 responsible for this metabolic rewiring can be very challenging. These experiments are well beyond the scope or interest of the current manuscript.

      If we had pursued that road in this study, we would not have made any general findings related to Pi balance, nor would this more general hypothesis have emerged.

      (4) Other major concerns:

      (a) The authors selectively showed a few proteins in their manuscript to support their conclusion. For example, only Cox2 and Tom70 were used to illustrate mitochondrial biogenesis difference in line 97. Later on, they re-analyzed the previous MS dataset from Isasa et al 2015 and showed a few proteins in Fig3A to support their conclusion that ∆ubp3 increases mitochondrial OXPHOS proteins. However, I checked that MS dataset myself and saw that many key OXPHOS proteins do not change, for example, both ATP1 and ATP2 do not change, which encode the alpha and beta subunits of F1 ATPase. They selectively reported the proteins' change in the direction along with their hypothesis.

      To clarify, we observe an increase in Cox2 protein levels but not in Tom70 levels which suggests that there is no increase in mitochondrial biogenesis. The increase is specific to some respiration related mitochondrial proteins such as Cox2 (Figure 1E, Figure 3A). We have clearly pointed out this in the manuscript. We used Cox2 protein levels as an additional readout for ETC activity, to validate our observations coming from the potentiometric mitotracker readouts, and basal oxygen consumption rate (OCR) measurements. This was for 3 reasons: Cox2 is a mitochondrial genome encoded subunit of the complex IV (cytochrome c oxidase) in the ETC, and has a redox centre critical for the cytochrome c oxidase activity. The biogenesis and assembly of complex IV subunits have been studied with respect to multiple conditions such as glucose availability and hypoxia and the expression and stability of the mitochondrial encoded complex IV subunits are exceptionally well correlated to changes in mitochondrial respiration (Fontanesi et al., 2006). Cox2 is very well characterised in S. cerevisiae, and the commercially available Cox2 antibodies are outstanding, which makes estimating Cox2 levels by western blotting unambiguous and reproducible.

      We re-analyzed the proteomic dataset from Isasa et al to find out additional information regarding the key nodes that are differentially regulated in ubp3Δ. We have not claimed at any point in the manuscript that all OXPHOS related proteins are upregulated in ubp3Δ, nor is there any need for that to be so. We identified Ubp3 from our screen, observed an increase in mitochondrial potential, basal OCR, and Cox2 levels. We later found out that the proteomic data set for ubp3Δ also supports our observations that mitochondrial respiration is upregulated in ubp3Δ. The reviewer points out that we “showed a few proteins in Fig3A to support their conclusion that ∆ubp3 increases mitochondrial OXPHOS proteins”. Our conclusion is that the deletion of Ubp3 increases mitochondrial respiration. The combined readouts which we used to reach this conclusion (OCR, mitochondrial potential, mitochondrial ATP production, Cox2 levels) are far more direct, comprehensive and conclusive than showing an increase in a few proteins related to OXPHOS, as also explained earlier toward a distinct reviewer query. Since different mitochondrial proteins are regulated by different mechanisms, we need not see an increase in all the OXPHOS proteins in a mutant like ubp3Δ where mitochondrial respiration is high. An increase in some key proteins would be sufficient to increase the respiration as seen in our case.

      To summarise, the proteomic dataset supports our observation, but our conclusions are not dependent on the increase in OXPHOS proteins observed in the dataset.

      (b) The authors said they deleted ETC component Cox2 in line 111. I checked their method and table S1, I cannot figure out how they selectively deleted COX2 from mtDNA. This must be a mistake.

      Yes, we understand that for mitochondrially encoded proteins, a simple knock-out strategy has limitations. However, we first tried to generate the Cox2 deletion mutant by a standard PCR mediated gene deletion strategy (Longtine 1998), with the optimistic assumption that even if all Cox2 is not lost, a substantial fraction of the Cox2 genes would be lost via recombination. We selected the transformants after strong antibiotic selection, and then we measured the Cox2 protein levels. Gratifyingly, we found that the mutant strain had substantially decreased Cox2 protein levels (but not a complete loss), and this was retained across generations. The data is shown below.

      Author response image 14.

      Cox2 levels in WT vs Cox2 mutants

      Since the mutants have decreased Cox2 levels, we went ahead and performed growth assays using this strain, in a WT or Ubp3 deletion background. Deletion of Ubp3 in the Cox2 mutant resulted in a more severe growth defect.

      However, we fully agree that this strain is not a complete Cox2 knockout, and it is possible that the decrease in Cox2 is due to modifications in some other unelated gene. In the text, we should also not have named this cox2Δ. Since we are not sure of the exact genetic modification in this mutant, we have removed this data from the revised manuscript.

      Instead, we have now repeated all experiments, utilizing a fully characterised Cox2 mutant -cox262, described in (5) which has defective respiration. In this revised version, we find that deletion of Ubp3 in this strain retains the originally observed severe growth defect in glucose. This is consistent with our conclusion that a functional mitochondria is required for proper growth in ubp3Δ mutant. To separately validate this conclusion, we also utilized a Rho0 strain which does not have mitochondrial DNA and thereby cannot perform mitochondrial respiration. We show that deletion of Ubp3 results in a more severe growth defect in a Rho0 strain. These results are included in the revised manuscript as figure 1-figure supplement 1 I.

      Author response image 15.

      Also, we further confirmed that the Rho0 strain and Rho0 ubp3 strain is incapable of respiration, using seahorse assay. This data is included in the revised manuscript as Figure 4-figure supplement 1G.

      Author response image 16.

      Basal OCR in Rho0 cells

      We hope that these new data address the reviewer’s concerns about the Cox2 mutant.

      (c) They used sodium azide in a lot of assays to inhibit complex IV. However, this chemical is nonspecific and broadly affects many ATPases as well. Not sure why they do not use more specific inhibitors that are commonly used to assay OCR in seahorse.

      We have now performed growth assays for WT and ubp3Δ cells in the presence of specific mitochondrial OXPHOS inhibitors - oligomycin and FCCP. We observe a more severe growth defect in ubp3Δ cells compared to WT cells in the presence of oligomycin and FCCP, similar to the results observed with sodium azide. All these data are now included in the revised manuscript as Figure 1I, Figure1-figure supplement 1H, along with associated text.

      Author response image 17.

      Growth rate in the presence of FCCP

      Author response image 18.

      Figure1-figure supplement 1H- Growth rate in the presence of oligomycin

      We hope that these new data addresses the reviewer’s concerns.

      (d) The authors measured cellular Pi level by grinding the entire cells to release Pi. However, this will lead to a mix of cytosolic and vacuolar Pi. Related to this caveat, the cytosol has ~50mM Pi, while only 1-2mM of these glycolysis metabolites, I am not sure why the reduction of several glycolysis enzymes will cause significant changes in cytosolic Pi levels and make Pi the limiting factor for mitochondrial respiration. One possibility is that the observed cytosolic Pi level changes were caused by the measurement issue mentioned above.

      The Pi estimation shown in figure 3 C, E, F and G is a measure of total Pi in the cells. The vacuole is a major storehouse of phosphate in cells. However, unlike plant cells where free phosphate is stored in vacuoles, yeast vacuoles store phosphate only in the form of polyphosphates (Yang et al., 2017, Hürlimann et al., 2007). The free Pi formed from the hydrolysis of polyphosphate is subsequently transported to cytosol via the exporter Pho91 (Hürlimann et al., 2007). This therefore makes cytosol and mitochondria the major storage of usable free Pi in yeast. Since the malachite green assay that we use for phosphate estimation is specific to free Pi, and not polyphosphate, the Pi estimates that we show in figure 3 come from a combination of cytosolic and mitochondrial Pi. As explained earlier, in order to specifically measure mitochondrial Pi, we have established methods to rapidly isolate mitochondria, and then followed this by estimating Pi in these isolated mitochondria (Figure 4B). Here we clearly see a large increase in mitochondrial Pi in the Ubp3 deletion cells. This allows us to estimate the changes in Pi levels that specific to mitochondria, without relying only on total Pi changes.

      “the cytosol has ~50mM Pi, while only 1-2mM of these glycolysis metabolites, I am not sure why the reduction of several glycolysis enzymes will cause significant changes in cytosolic Pi levels and make Pi the limiting factor for mitochondrial respiration”

      The reviewer has completely missed the fact that the glycolytic rate in yeast is the highest known for any cell. While the steady state levels of glycolytic metabolites might be ~2 mM, the process of glycolysis is not static but is rapid and continuous. Glucose is continuously broken down and converted to pyruvate, along with the consumption of Pi and generation of ATP. This is the reason for the rapid 13C label saturation (within seconds of 13C glucose addition) in yeast cells (Figure 2-figure supplement 1F). This instantaneous label saturation makes accurate flux measurements arduous because of which we had to optimize a method for measuring glycolytic flux in yeast cells (Figure 2-D, Figure 2-figure supplement 1F). Indeed, for that reason, our measurements of glycolytic flux in yeast are the first time this is being reported in the field. This in itself is an enormously challenging experiment, and establishes a new benchmark.

      In highly glycolytic cells, most of the ATP is synthesized via glycolysis and the rate of glycolysis and ATP synthesis is very high. In the reaction catalysed by GAPDH, Pi and ADP is converted to ATP. This ATP formed acts as a Pi donor to most of the Pi consuming reactions in the cells. Some of these processes such a protein translation utilizes ATP, but releases Pi and ADP and this Pi enters the cellular Pi pool. Several other reactions such as nucleotide biosynthesis, polyphosphate biosynthesis and protein phosphorylation use ATP as a Pi donor and the Pi is fixed in biomolecules. Increasing the rates of these ‘Pi sinks’ therefore can result in a decrease in Pi pools. This is a concept we have earlier tried to clarify more elaborately in (Gupta and Laxman, 2021). In fact, increasing nucleotide biosynthesis and polyphosphate synthesis has earlier been suggested to decrease available free Pi (Austin and Mayer 2020, Desfougères et al., 2016). When glycolytic flux is high, this is coupled/tuned to the consumption of Pi which will be correspondingly high due to increased ATP, nucleotide and polyphosphate synthesis. Pi levels rapidly decrease upon glucose addition, due to the continuous Pi consumption during glycolysis (Hohmann et al., 1996, Van Heerden et al., 2014 , Koobs et al., 1972). Therefore, changes in glycolytic rate due to change in glycolytic enzyme levels can result in significant changes in Pi levels due to changes in Pi consumption rate.

      Our results also show that the apart from Pi levels, the glycolytic state can regulate mitochondrial Pi transport as well. This is the reason for mitochondrial Pi levels and basal OCR not increasing merely by adding Pi to cells. We show that basal OCR can be increased by adding Pi in the presence of 2DG. This regulation of mitochondrial Pi transport is a major limiting factor for mitochondrial respiration and could be mediated partly by the regulating of Mir1 levels and also by the changes in the cytosolic pH which regulates the rate of mitochondrial Pi transport. We have discussed these points in the discussion section in our manuscript.

      We hope that this clarifies the reviewer’s concerns regarding how changes in glycolytic rate can regulate changes in cytosolic Pi levels.

      (e) The authors used ∆mir1 and MIR1 OE to show that Pi viability in the mitochondrial matrix is important for mitochondrial activity and biogenesis. This is not surprising as Pi is a key substrate required for OXPHOS activity. I doubt the approach of adding a control to determine whether Pi has a specific regulatory function, while other OXPHOS substrates, like ADP, O2 etc do not have the same effect.

      To clarify, we only used the mir1Δ cells to understand the requirement for Pi transport from cytosol to mitochondria in controlling respiration. The reviewer is correct in stating that deletion of Mir1 would reduce Pi import to mitochondria and thereby inhibit respiration. This is exactly the conclusion we suggest from this experiment as stated in the manuscript – “These data suggest that mitochondrial Pi transport (via Mir1) is critical for maintaining basal mitochondrial activity even in high glucose”. We have only used these experiments to support the idea that even though glycolysis and mitochondria are in different compartments, a change in Pi balance in one compartment (cytosol) can affect Pi levels in the other (mitochondria) since there is Pi transport between these two compartments. Since mitochondria has its own polyphosphate reserves, in the absence of these experiments with mir1Δ cells it can be imagined that mitochondria PolyP can be an additional source of Pi to support respiration, and therefore changes in cytosolic Pi may have only a minor effect on mitochondrial respiration. Our experiments with mir1Δ and Mir1-OEcells indubitably suggest that Pi transport to mitochondria from cytosol is important for respiration, and therefore changes in cytosolic Pi levels (or maintaining cytosolic Pi at a lower level due to the rate of glycolysis) will have rippling effects in mitochondrial Pi availability. Further, these data suggest that for example under glycolytic inhibition (low glucose, or 2DG), while all factors (signalling, substrate availability etc) favour respiration (and mitochondrial derepression), cells cannot unable to achieve this in the absence of ample Pi transport from cytosol. This therefore places Pi at the centre stage in controlling mitochondrial respiration.

      We conclude that Pi is a major, but not the only constraint for mitochondrial respiration. There certainly could be a role for ADP, oxygen availability etc in regulating respiration. However, these are beyond the scope of our study. We have discussed about the potential role of ADP in regulating mitochondrial repression in the discussion section. “An additional consideration is the possible contribution of changes in ADP in regulating mitochondrial activity, where the use of ADP in glycolysis might limit mitochondrial ADP. Therefore, when Pi changes as a consequence of glycolysis, it could be imagined that a change in ADP balance can coincidentally occur. However, prior studies show that even though cytosolic ADP decreases in the presence of glucose, this does not limit mitochondrial ADP uptake, or decrease respiration, due to the very high affinity of the mitochondrial ADP transporter.”

      We hope that this clarifies the reviewer’s concerns regarding the use of Mir1 OE and mir1Δ strains.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Some of the experiments should be repeated in other strain backgrounds for reproducibility and rigor.

      As discussed in the response to point number 1, we have now utilized multiple strains of S. cerevisiae to test our findings. We now find that our discoveries regarding the role of altered Pi budgeting as a constraint for mitochondrial respiration, and the role of Ubp3 as a regulator of mitochondrial repression are conserved across multiple genetic backgrounds of S. cerevisiae. These results are included in the revised manuscript as a new figure- Figure 6 and associated text. We used the W303, Σ1278 and BY4742 strains of S. cerevisiae to show that deletion of Ubp3 increases mitochondrial activity (as shown by increased mitochondrial membrane potential and increased Cox2 levels). Using the W303 strain we show that the deletion of Ubp3 increases Pi levels and that the increased Pi is necessary for increasing mitochondrial respiration (Figure 6C, D). These added experiments have substantially broadened the generality of our findings.

      The number of biological repeats needs to be increased in all experiments.

      We have increased the number of biological repeats in key experiments that shows that the increased Pi levels are necessary for the increased mitochondrial respiration in ubp3Δ and tdh2Δtdh3Δ cells (revised Figure 4F). Apart from a few basal OCR measurements and mitotracker data in supplementary figure, all our experiments are performed for 3 biological repeats. In case of basal OCR measurements, yeast cells have to be aliquoted to poly-L-lysine coated seahorse plates and centrifuged to ensure that the cells are properly settled. This is due to the non-adherent nature of yeast cells. During the centrifugation step, the wells in the two end rows cannot be utilized due to uneven settling of cells which affects the basal OCR readings in these wells. In case of several experiments that involve multiple samples, we were therefore limited to restrict the number of biological replicates to 2 (repeated independently), so that all samples could be accommodated in the plate.

      Full western blot images should be supplemented along with the other data.

      The complete western blot images are now included in the revised manuscript as supplementary file 2.

      TCA cycle flux should be analyzed and presented in the study to conclude some of the findings.

      As discussed in detail in the response to point number 2, we have performed steady state and flux measurements for TCA cycle intermediates. This data is now included as a new supplement figure- Figure 2-figure supplement 2.

      Reviewer #2 (Recommendations For The Authors):

      (1) In Fig. 2A, they should also include the gluconeogenesis enzymes (fructose 1,6 bisphosphatase, PEP carboxykinase, and pyruvate carboxylase) to exclude the possibility that glycolytic intermediates are not rerouted to gluconeogenesis.

      We measured the protein levels of Fbp1 (fructose 1,6 bisphosphatase) and Pck1 (PEP carboxykinase). We observed an increase in the protein levels in both enzymes in ubp3Δ. The data is shown below.

      Author response image 19.

      Fbp1 and Pck1 protein levels

      While we agree that this is an interesting observation which might help us in understanding the metabolic rewiring in ubp3Δ, we have not included this data in the current revised version of the manuscript due to two main reasons.

      (1) Since ubp3Δ cells have a defective glycolysis and therefore a defective glucose repression, the mRNA and protein levels of gluconeogenic enzymes which are usually glucose-repressed might increase. This might be a response at the level of transcription and translation of these enzymes and might or might not change the rate of gluconeogenesis in these cells. This is because of multiple other factors that regulate gluconeogenic flux such as allostery, mass action etc. Therefore, to avoid confounding our main points and since we cannot make a conclusive assumption on the gluconeogenic metabolism in these mutants, we don’t include this data. The primary focus of our story is the mitochondrial repression component. Understanding the feedback controls that alter gluconeogenesis in these mutants is beyond the scope of this study and could be addressed in a separate future study.

      (2) As we highlight extensively in the response letter and in the manuscript, our aim is not to understand the specific mechanistic role of Ubp3. In this manuscript, we identify the conserved constraints that control mitochondrial repression without focusing just on the role of Ubp3 in regulating this. Whether Ubp3 regulates gluconeogenesis is a question that could be addressed in a future study that focuses on identifying the altered signalling mechanisms in ubp3Δ and the targets of Ubp3.

      (2) In line 292, page 10, there is a typo "dermine".

      We apologize for this mistake. Corrected.

      (3) In Figure 5A, is there a reason why they chose 0.1% glucose condition as a low glucose condition? Also, is there a dose-dependent change in OCR or other mitochondrial functions according to the concentration of glucose?

      The glucose concentration of 0.1% was selected to decrease (but not completely remove) the available glucose. 0.1% glucose is considered as a standard low glucose condition in S. cerevisiae (Yin et al., 2003) and the effect of this glucose concentration on cellular processes has been extensively studied (Yin et al., 2003, Takeda et al., 2015 etc). <0.2% glucose is the critical threshold for activating respiratory metabolism (Takeda et al., 2015) and shifting cells to 0.1% glucose in our experiments will activate respiration, as we show in our data. However, this is very different from completely removing glucose or using an alternate carbon source such as ethanol, because this would result in full activation of gluconeogenesis. We further find that when cells are grown in ethanol, the gluconeogenic activation will also change the Pi homeostasis. This will in part be a result of the fully reversed direction of the GAPDH catalysed reaction (Figure 3G). If such a condition is used, it could lead to misinterpretations, and confound the conclusions that we make from these set of experiments where Pi homeostasis play a major role. In 0.1% glucose it has been shown that gluconeogenesis is still partly repressed (Yin et al., 2003). The pathways utilizing alternate carbon sources still remain repressed (even though to a lower extend compared to 2% glucose) in 0.1% glucose (Yin et al., 2003). We hope that this clarifies the concerns regarding the rationale behind using 0.1% glucose in our experiments.

      The extent of glucose repression is dependent on the concentration of glucose. Glucose concentration >1% has been shown to activate degradation of mRNAs involved in alternate carbon utilization. Different signaling pathways involved in growth under glucose and glucose repression is regulated by glucose concentration. This is discussed in detail in Yin et al., 2002. We (Figure 5figure supplement 1A) also observe a dose dependent increase in mitochondrial membrane potential in the presence of 2DG. This also suggests that the rate of glycolysis (which could be also mediated by changes in glucose concentration) can regulate the extent of mitochondrial derepression.

    1. Author response:

      The following is the authors’ response to the original reviews.

      We would like to thank the reviewers for their constructive feedback and overall positive response to our manuscript. Reviewer #1 had no specific recommendations, so below we address Reviewer #2’s comments.

      Reviewer #2 (Recommendations For The Authors):

      Specific points

      (1) In Fig. 1H peptides selected are much more stable than the positive control KHN-FT, but they appear to be less stable than randomly selected 5 amino acid sequences. Are the differences

      between the randomly selected sequences and the selected sequences statistically significant.

      Thank you for the feedback. Yes, the differences are statistically significant by one-way ANOVA and the Tukey’s multiple comparisons tests, we’ve updated the figure legend to indicate this fact.

      (2) In Fig. 1I the FACS profile of 4x looks like that of KHN, but it is very difficult to see in the figure. Looking at the quantitation in Fig. 1J it is impossible to compare KHN with 4x as the KHN is on the baseline. Could this be improved by using a log scale to present the data.

      Thank you for pointing this out. We’ve improved the figure so the KHN is easier to see. In addition, we’ve attempted different way to display these results, but settled on scaling the data between 1 and 0 as our comparison points. We’ve updated the main figure to more clearly show this result so the KHN is easier to compare.

      (3) In Fig. 2G and Fig. 2F don't really match up. It looks from Fig. 2G like there is still some degradation in the hrd1 deletion strain, but this is not reflected in the quantitation (Fig. 2H).

      To our eyes, the degradation in a hrd1null appears to be quite small, which seems to be reflected in the quantification (~20% decrease over 90 minutes). We included the figure in Author response image 1 for quick comparison.

      Author response image 1.

      (4) Throughout the paper the authors claim that the proteins are degraded by a cytosolic proteasome. I agree that the proteins are degraded via the proteasome, but I don't see any evidence that it is cytosolic.

      Thank you for pointing this out. We’ve adjusted the text to reflect the fact that the proteasomal degradation is not necessarily in the cytosol.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Reviews):  

      First, the metabolic network in this study is incomplete. For example, amino acid synthesis and lipid synthesis are important for biomass and growth, but they4 are not included in the three models used in this study. NADH and NADPH are as important as ATP/ADP/AMP, but they are not included in the models. In the future, a more comprehensive metabolic and biosynthesis model is required.  

      Thank you for the critical comment on the weakness of the present study. We actually tried to study a larger model like Turnborg et al (2021), which is a model of JCVI-syn3A, but we give up to include it in our model list to study in depth. This is because we noticed that the concentration of ATP in the model can be negative (we confirmed this with one of the authors of the paper). Another "big" kinetic model of metabolism that we could list would be Khodayari et al (2017). However, we could not find the models to compare the dynamics of this big model with. Therefore, we decided to use the model only for the central carbon metabolism for now. We would like to leave a more extended study for the near future.  

      We would like to mention that NADH and NADPH are included in Khodayari model and Boecker model, while NADH and NADPH are ramped up to NADH in the latter model.  

      Second, this work does not provide a mathematical explanation of the perturbation response χ. Since the perturbation analysis is performed close to the steady state (or at least belongs to the attractor of single-steady-state), local linear analysis would provide useful information. By complementing with other analysis in dynamical systems (described below) we can gain more logical insights about perturbation response.  

      We tried a linear stability analysis. However, with the perturbation strength we used here, the linearization of the model is no longer valid, in the sense that the linearized model

      leads to negative concentrations of the metabolites (xst+Δx < 0 for some metabolites). We have added a scatter plot of the response coefficient of trajectories sharing the initial condition, while the dynamics are computed by the original model and the linearized model, respectively. (Fig. S1). 

      Since the response coefficient is based on the logarithm of the concentrations, as the metabolite concentrations approach zero, the response coefficient becomes larger. The high response coefficient in the Boecker and Chassagnole model would be explained by this artifact.  The linearized Khodayari model shows either χ~1 or χ = 0 (one or more metabolite concentrations become negative). This could be due to the number of variables in the model. For the response coefficient to have a larger value, the perturbation should be along the eigenvector that leads to oscillatory dynamics with long relaxation time (i.e., the corresponding eigenvalue has a small real part in terms of absolute value and a non-zero imaginary part). However, since the Khodayari model has about 800 variables, if perturbations are along such directions, there is a high probability that one or more metabolite concentrations will become negative.

      We fully agree that if the perturbations on the metabolite concentrations are in the linear regime, the response to the perturbations can be estimated by checking the eigenvalues and eigenvectors. However, we would say that the relationship between the linearized model (and thus the spectrum of eigenvalues) and the original model is unclear in this regime.  We remarked this in Lines 158160.

      Recommendations for the authors:

      My major suggestion is about understanding the key quantity in this study: the response coefficient χ. When the perturbed state is close to the fixed point, one could adopt local stability analysis and consider the linearized system. For a linear system with one stable fixed point P, we consider the Jacobian matrix M on P. If all eigenvalues of M are real and negative, the perturbed trajectory will return to P with each component monotonically varies. If some eigenvalues have negative real part and nonzero imaginary part, then the perturbed trajectory will spiral inward to the fixed point. Depending on the spiral trajectory and the initially perturbed state, some components would deviate furthermore (transiently) from the fixed point on the spiral trajectory. This explains why the response coefficient χ can be greater than 1. 

      Mathematically, a locally linearized system has similar behavior to the linear system, and the examples in this study can be analyzed in the similar way. Specifically, if a system has many complex eigenvalues, then the perturbed trajectory is more likely to have further deviation. The metabolic network models investigated in this work are not extremely large, and hence the author could analyze its spectrum of the Jacobian matrix at the steady state. Since the steady state is stable, I expect the spectrum located in the left half of the complex plane. If the spectrum spread out away from the real axis, we expect to see more spiral trajectories under perturbation. I think the spectrum analysis will provide a complementary view with respect to analysis on χ.  The authors' major findings, about the network sparsity and cofactors, can also be investigated under the framework of the spectrum analysis.  

      Of course, when the nonlinear system is perturbed far away from the fixed point, there are other geometrical properties of the vector field that can cause the response coefficient χ to be greater than 1. This could also be investigated in the future by testing the behavior of small and large perturbations and observing if the systems have signatures of nonlinearity.  

      Since all perturbed states return to the steady state, the eigenvalues of the Jacobi matrix accompanying the linearized system around the steady state are in the left half complex plane (negative real value). Also, some eigenvalues have non-zero imaginary parts.    

      The reason we emphasize the "nonlinear regime" is that the linearization is no longer valid in this regime, i.e. the metabolite concentrations can be negative when we calculate the linearized system. Certainly, there are complex eigenvalues in the Jacobi matrix of any model. However, we would say that there is no clear relationship between the eigenvalues and the response coefficient.      

      Minor suggestions:  

      Line 127: Regarding the source of perturbation, cell division also generates unequal concentration of proteins and metabolites for two daughter cells, and it is an interesting mechanism to create metabolic perturbation. 

      Thank you for the insightful suggestion. We mentioned the cell division as another source of perturbation (Lines 130-131).

      Line 175: I do not quite understand the statement "fixing each metabolite concentration...", since the metabolite concentration in the ODE simulation would change immediately after this fixing.  

      We meant in the sentence that we fixed the concentration of the selected metabolite as the steady state concentration and set the dx/dt of that metabolite to zero. We have rewritten the sentences to avoid confusion (Lines 180-181).

      Figure 2: There are a lot of inconsistencies between the three models. Could we learn which model is more reasonable, or the conclusion here is that the cellular response under perturbation is model-specific? The latter explanation may not be quite satisfactory since we expect the overall cellular property should not be sensitive to the model details. 

      Ideally, the overall cellular property should be insensitive to model details. However, the reality is that the behavior of the models (e.g., steady-state properties, relaxation dynamics, etc.) depends on the specific parameter choices, including what regulation is implemented. I think this situation is part of the motivation for the ensemble modeling (by J. Liao and colleague) that has been developed.  

      Detailed responsiveness would be model specific. For example, FBP has a fairly strong effect in the Boecker model, but less so in the Khodayari model, and the opposite effect in the Chassagnole model (Fig. 2). Our question was whether there are common tendencies among kinetic models that tend to show model-specific behavior.  

      Reviewer 2 (Public Review):

      (1) In the study on determining key metabolites affecting responses to perturbations (starting from line 171), the authors fix the values of individual concentrations to their steady-state values and observe the responses. Such a procedure adds artificial constraints to the network because, in the natural responses of cells (and models) to perturbations, it is highly unlikely that metabolites will not evolve in time. By fixing the values of specific metabolites, the authors prohibit the metabolic network from evolving in the most optimal way to compensate for the perturbation. Instead of this procedure, have the authors considered for this task applying techniques from variance-based sensitivity analysis (Sobol, global sensitivity analysis), where they can calculate the first-order sensitivity index and total effect index? Using this technique, the authors would be able to determine the key metabolites while allowing for metabolic responses to perturbations without unnatural constraints. 

      Thank you for the useful suggestion for studying the roles of each metabolite for responsiveness. We have computed the total sensitivity index (Homma and Salteli, 1996) for each metabolite of each model (Fig.S5). The total sensitivity indices of ATP are high-ranked in Khodayari- and Chassagnole model, while it is middle-ranked in the Boecker model. We believe that the importance of the adenyl cofactors is highlighted also in terms of the Sobol’ sensitivity analysis (the figure is referred in Lines 193-195). 

      We have encountered a minor difficulty for computing the sensitivity index. For the computation of the sensitivity index, we need to carry out the following Monte Carlo integral, 

      where the superscript (m) is the sample number index. The subscript i represents the ith element of the vector x, and ~i represents the vector x except for the ith element. The tilde stands for resampling.  

      There are several conserved quantities in each model. For independent resampling, we need to deal with the conserved quantities. For the Boecker and Chassagnole models, we picked a single metabolite from each conservation law and solved its concentration algebraically to make the metabolite concentration the dependent variable. Then, we can resample the metabolite concentration of one metabolite without changing the concentrations of other metabolites, which are independent variables.  

      However, in the Khodayari model, it was difficult to solve the dependent variables because the model has about 800 variables. Therefore, we gave up the computations of the sensitivity indices of the metabolites whose concentration is part of any conserved quantities, namely NAD, NADH, NADP, NADPH, Q8, and Q8H2.

      (2) To follow up on the previous remark, the authors state that the metabolites that augment the response coefficient when their concentration is fixed tend to be allosteric regulators. The authors should report which allosteric regulations are implemented in each of the models so that one can compare against Figure 2. Again, the effect of allosteric regulation by a specific metabolite that is quantified the way the authors did is biased by fixing the concentration value - it is true that negative feedback is broken when the metabolite concentration is fixed, however, in the rate law, there is still the fixed inhibition term with its value corresponding to the inhibition at the steady state. To see the effect of allosteric regulation by a metabolite, one can change the inhibition constants instead of constraining the responses with fixed concentrations.  

      We have listed the substrate-level regulations (Table S1-3). Also, we re-ran the simulation with reduced the effect of the substrate-level regulations for the reactions that are suspected to influence the change of the response coefficient. Instead of fixing the concentrations (Fig. S6). 

      The impact of substrate-level regulations is discussed in Lines 203-212.   

      We replaced "allosteric regulation" with "substrate-level regulation" because we noticed that some regulations are not necessarily allosteric.

      (3) Given the role of ATP in metabolic processes, the authors' finding of the sensitivity of the three networks' responses to perturbations in the AXP concentrations seems reasonable. However, drawing such firm conclusions from only three models, with each of them built around one steady state and having one kinetic parameter set despite that they were built for different physiologies, raises some questions. It is well-known in studies related to basins of attraction of the steady states that the nonlinear responses also depend on the actual steady states, the values of kinetic parameters, and implemented kinetic rate law, i.e., not only on the topology of the underlying systems. In the population of only three models, we cannot exclude the possibility of overlaps and strong similarities in the values of kinetic parameters, steady states, and enzyme saturations that all affect and might bias the observed responses. Ideally, to eliminate the possibility of such biases, one should simulate responses of a large population of models for multiple physiologies (and the corresponding steady states) and multiple parameter sets per physiology. This can be a difficult task, but having more kinetic models in this work would go a long way toward more convincing results. Recently, E. coli nonlinear kinetic models from several groups appeared that might help in this task, e.g., Haiman et al., PLoS Comput Biol, 17(1): e1008208, (2021), Choudhury et al., Nat Mach Intell, 4, 710-719, (2022); Hu et al., Metab Eng, 82, 123-133 (2024), Narayanan et al., Nat Commun, 15:723, (2024). 

      We have computed the responsiveness of 215 models generated by the MASSpy package (Haiman et al, 2021). Several model realizations showed a strong responsiveness, i.e. a broader distribution of the response coefficient (Fig.S8), and mentioned in Lines 339-341.

      We would like to mention that the three models studied in the present manuscript have limited overlap in terms of kinetic rate law and, accordingly, parameter values. In the Khodayari model, all reactions are bi-uni or uni-uni reactions implemented by mass-action kinetics, while the Boecker and Chassagnole models use the generalized Michaelis-Menten type rate laws. Also, the relationship between the response coefficients of the original model and the linearized model highlights the differences between the models (Fig. S1). If the models were somewhat effectively similar, the scatter plots of the response coefficient of the original- and linearized model should look similar among the three models. However, the three panels show completely different trends. Thus, the three models have less similarity even when they are linearized around the steady states. 

      (4) Can the authors share their insights on what could be the underlying reasons for the bimodal distribution in Figure 1E? Even after adding random reactions, the distribution still has two modes - why is that?  

      We have not yet resolved why only the Khodayari model shows the bimodal distribution of the response coefficient. However, by examining the time courses, the dynamics of the Khodayari model look like those of the excitable systems. This feature may contribute to the bimodal distribution of the response coefficient. In the future, we would like to show whether the system is indeed the excitable system and whcih reactions contribute to such dynamics.

      (5) Considering the effects of the sparsity of the networks on the perturbation responses (from line 223 onwards), when we compare the three analyzed models, it is clear that the Khodayari et al. model is a superset of the other two models. Therefore, this model can be considered as, e.g., Chassagnole model with Nadd reactions (though not randomly added). Based on Figures 1b and S2, one can observe that the responses of the Khodayari models have stronger responses, which is exactly opposite to the authors' conclusion that adding the reactions weakens the responses.

      The authors should comment on this.  

      The sparsity of the network is defined by the ratio of the number of metabolites to the number of reactions. Note that the Khodayari model is a superset of the Boecker and Chassagnole models in terms of the number of reactions, but also in terms of the number of metabolites (Boecker does not have the pentose phosphate pathway, Chassagnole does not have the TCA cycle, and neither has oxyative phosphorylation). Thus, even if we manually add reactions to the Boecker model, for example, we cannot obtain a network that is equivalent to the Khodayari model.  We added one sentence to clarify the point (Lines 254-255).

      Recommendations for the authors: 

      (1) Some typos: Line 57, remove ?; Line 134, correct "relaxation". 

      Thank you for pointing out. We fixed the typos.

      (2) Lines 510-515, please rewrite/clarify, it is confusing what are you doing. 

      We rewrote the sentences (Lines 529-532). We are sorry for the confusion.

      (3) Line 522, where are the expressions above Leq and K*? 

      Leq appears in the original paper of the Boecker model, but we decided not to use Leq. We apologize for not removing Leq from the present manuscript. The * in K* is the wildcard for representing the subscripts. We added a description for the role of “*”. 

      (4) Lines 525-530, based on the wording, it seems like you test first for 128 initial concentrations if the models converge back to the steady state and then you generate another set of 128 initial concentrations - is this what you are doing, or you simply use the 128 initial concentrations that have passed the test? 

      We apologize for the confusion. We did the first thing. We have rewritten the sentence to make it clearer. 

      (5) Figure 3, caption, by "broken line," did the authors mean "dashed line"? 

      We meant dashed line. We changed “broken line” to “dashed line”.

    1. Author response:

      The following is the authors’ response to the current reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      I applaud the authors' for providing a thorough response to my comments from the first round of review. The authors' have addressed the points I raised on the interpretation of the behavioral results as well as the validation of the model (fit to the data) by conducting new analyses, acknowledging the limitations where required and providing important counterpoints. As a result of this process, the manuscript has considerably improved. I have no further comments and recommend this manuscript for publication.

      We are pleased that our revisions have addressed all the concerns raised by Reviewer #1.

      Reviewer #2 (Public review):

      Summary:

      This manuscript proposes that the use of a latent cause model for assessment of memory-based tasks may provide improved early detection in Alzheimer's Disease as well as more differentiated mapping of behavior to underlying causes. To test the validity of this model, the authors use a previously described knock-in mouse model of AD and subject the mice to several behaviors to determine whether the latent cause model may provide informative predictions regarding changes in the observed behaviors. They include a well-established fear learning paradigm in which distinct memories are believed to compete for control of behavior. More specifically, it's been observed that animals undergoing fear learning and subsequent fear extinction develop two separate memories for the acquisition phase and the extinction phase, such that the extinction does not simply 'erase' the previously acquired memory. Many models of learning require the addition of a separate context or state to be added during the extinction phase and are typically modeled by assuming the existence of a new state at the time of extinction. The Niv research group, Gershman et al. 2017, have shown that the use of a latent cause model applied to this behavior can elegantly predict the formation of latent states based on a Bayesian approach, and that these latent states can facilitate the persistence of the acquisition and extinction memory independently. The authors of this manuscript leverage this approach to test whether deficits in production of the internal states, or the inference and learning of those states, may be disrupted in knock-in mice that show both a build-up of amyloid-beta plaques and a deterioration in memory as the mice age.

      Strengths:

      I think the authors' proposal to leverage the latent cause model and test whether it can lead to improved assessments in an animal model of AD is a promising approach for bridging the gap between clinical and basic research. The authors use a promising mouse model and apply this to a paradigm in which the behavior and neurobiology are relatively well understood - an ideal situation for assessing how a disease state may impact both the neurobiology and behavior. The latent cause model has the potential to better connect observed behavior to underlying causes and may pave a road for improved mapping of changes in behavior to neurobiological mechanisms in diseases such as AD.

      The authors also compare the latent cause model to the Rescorla-Wagner model and a latent state model allowing for better assessment of the latent cause model as a strong model for assessing reinstatement.

      Weaknesses:

      I have several substantial concerns which I've detailed below. These include important details on how the behavior was analyzed, how the model was used to assess the behavior, and the interpretations that have been made based on the model.

      (1) There is substantial data to suggest that during fear learning in mice separate memories develop for the acquisition and extinction phases, with the acquisition memory becoming more strongly retrieved during spontaneous recovery and reinstatement. The Gershman paper, cited by the authors, shows how the latent causal model can predict this shift in latent causes by allowing for the priors to decay over time, thereby increasing the posterior of the acquisition memory at the time of spontaneous recovery. In this manuscript, the authors suggest a similar mechanism of action for reinstatement, yet the model does not appear to return to the acquisition memory after reinstatement, at least based on the simulation and examples shown in figures 1 and 3. More specifically, in figure 1, the authors indicate that the posterior probability of the latent cause,z<sub>A</sub> (the putative acquisition memory), increases, partially leading to reinstatement. This does not appear to be the case as test 3 (day 36) appears to have similar posterior probabilities for z<sub>A</sub> as well as similar weights for the CS as compared to the last days of extinction. Rather, the model appears to mainly modify the weights in the most recent latent cause, z<sub>B</sub> - the putative the 'extinction state', during reinstatement. The authors suggest that previous experimental data have indicated that spontaneous recovery or reinstatement effects are due to an interaction of the acquisition and extinction memory. These studies have shown that conditioned responding at a later time point after extinction is likely due to a balance between the acquisition memory and the extinction memory, and that this balance can shift towards the acquisition memory naturally during spontaneous recovery, or through artificial activation of the acquisition memory or inhibition of the extinction memory (see Lacagnina et al. for example). Here the authors show that the same latent cause learned during extinction, z<sub>B</sub>, appears to dominate during the learning phase of reinstatement, with rapid learning to the context - the weight for the context goes up substantially on day 35 - in z<sub>B</sub>. This latent cause, z<sub>B</sub>, dominates at the reinstatement test, and due to the increased associative strength between the context and shock, there is a strong CR. For the simulation shown in figure 1, it's not clear why a latent cause model is necessary for this behavior. This leads to the next point.

      We would like to first clarify that our behavioral paradigm did not last for 36 days, as noted by the reviewer. Our reinstatement paradigm contained 7 phases and 36 trials in total: acquisition (3 trials), test 1 (1 trial), extinction 1 (19 trials), extinction 2 (10 trials), test 2 (1 trial), unsignaled shock (1 trial), test 3 (1 trial). The day is labeled under each phase in Figure 2A. 

      We have provided explanations on how the reinstatement is explained by the latent cause model in the first round of the review. Briefly, both acquisition and extinction latent causes contribute to the reinstatement (test 3). The former retains the acquisition fear memory, and the latter has the updated w<sub>context</sub> from unsignaled shock. Although the reviewer is correct that the z<sub>B</sub> in Figure 1D makes a great contribution during the reinstatement, we would like to argue that the elevated CR from test 2 (trial 34) to test 3 (trial 36) is the result of the interaction between z<sub>A</sub> and z<sub>B</sub>.

      We provided Author response image 1 using the same data in Figure 1D and 1E to further clarify this point. The posterior probability of z<sub>A</sub> increased after an unsignaled shock (trial 35), which may be attributed to the return of acquisition fear memory. The posterior probability of z<sub>A</sub> then decreased again after test 3 (trial 36) because there was no shock in this trial. Along with the weight change, the expected shock change substantially in these three trials, resulting in reinstatement. Note that the mapping of expected shock to CR in the latent cause model is controlled by parameter θ and λ. Once the expected shock exceeds the threshold θ, the CR will increase rapidly if λ is smaller.

      Lastly, accepting the idea that separate memories are responsible for acquisition and extinction in the memory modification paradigm, the latent cause model (LCM) is a rational candidate modeling this idea. Please see the following reply on why a simple model like the Rescorla-Wagner (RW) model is not sufficient to fully explain the behaviors observed in this study.

      Author response image 1.

      The sum posterior probability (A), the sum of associative weight of CS (B), and the sum of associative weight of context (C) of acquisition and extinction latent causes in Figure 1D and 1E.

      (2) The authors compared the latent cause model to the Rescorla-Wagner model. This is very commendable, particularly since the latent cause model builds upon the RW model, so it can serve as an ideal test for whether a more simplified model can adequately predict the behavior. The authors show that the RW model cannot successfully predict the increased CR during reinstatement (Appendix figure 1). Yet there are some issues with the way the authors have implemented this comparison:

      (2A) The RW model is a simplified version of the latent cause model and so should be treated as a nested model when testing, or at a minimum, the number of parameters should be taken into account when comparing the models using a method such as the Bayesian Information Criterion, BIC.

      We acknowledge that the number of parameters was not taken into consideration when we compared the models. We thank the reviewer for the suggestion to use the Bayesian Information Criterion (BIC). However, we did not use BIC in this study for the following reasons. We wanted a model that can explain fear conditioning, extinction and reinstatement, so our first priority is to fit the test phases. Models that simulate CRs well in non-test phases can yield lower BIC values even if they fail to capture reinstatement. When we calculate the BIC by using the half normal distribution (μ = 0, σ \= 0.3) as the likelihood for prediction error in each trial, the BIC of the 12-month-old control is -37.21 for the RW model (Appendix 1–figure 1C) and -11.60 for the LCM (Figure 3C). Based on this result, the RW model would be preferred, yet the LCM was penalized by the number of parameters, even though it fit better in trial 36. Because we did not think this aligned with our purpose to model reinstatement, we chose to rely on the practical criteria to determine whether the estimated parameter set is accepted or not for our purpose (see Materials and Methods). The number of accepted samples can thus roughly be seen as the model's ability to explain the data in this study. These exclusion criteria then created imbalances in accepted samples across models (Appendix 1–figure 2). In the RW model, only one or two samples met the criteria, preventing meaningful statistical comparisons of BIC within each group. Overall, though we agreed that BIC is one of the reasonable metrics in model comparison, we did not think it aligns with our purpose in this study.

      (2B) The RW model provides the associative strength between stimuli and does not necessarily require a linear relationship between V and the CR. This is the case in the original RW model as well as in the LCM. To allow for better comparison between the models, the authors should be modeling the CR in the same manner (using the same probit function) in both models. In fact, there are many instances in which a sigmoid has been applied to RW associative strengths to predict CRs. I would recommend modeling CRs in the RW as if there is just one latent cause. Or perhaps run the analysis for the LCM with just one latent cause - this would effectively reduce the LCM to RW and keep any other assumptions identical across the models.

      Regarding the suggestion to run the analysis using the LCM with one latent cause, we agree that this method is almost identical to the RW model, which is also mentioned in the original paper (Gershman et al., 2017). Importantly, it would also eliminate the RW model’s advantage of assigning distinct learning rates to different stimuli, highlighted in the next comment (2C).

      We thank the reviewer for suggesting applying the transformation of associative strength (V) to CR as in the LCM. We examined this possibility by heuristically selecting parameter values to test how such a transformation would influence the RW model (Author response image 2A). Specifically, we set α<sub>CS</sub> = 0.5, α<sub>context</sub> \= 1, β = 1, and introduced the additional parameters θ and λ, as in the LCM. This parameter set is determined heuristically to address the reviewer’s concern about a higher learning rate of context. The dark blue line is the plain associative strength. The remaining lines are CR curves under different combinations of θ and λ.

      Consistent with the reviewer’s comment, under certain parameter settings (θ \= 0.01, λ = 0.01), the extended RW model can reproduce higher CRs at test 3, thereby approximating the discrimination index observed in the 12-month-old control group. However, this modification changes the characteristics of CRs in other phases from those in the plain RW model. In the acquisition phase, the CRs rise more sharply. In the extinction phase, the CRs remain high when θ is small. Though changing λ can modulate the steepness, the CR curve is flat on the second day of the extinction phase, which does not reproduce the pattern in observed data (Figure 2B). These trade-offs suggest that the RW model with the sigmoid transformation does not improve fit quality and, in fact, sacrifices features that were well captured by simpler RW simulations (Appendix 1–figure 1A to 1D). To further evaluate this extended RW model (RW*), we applied the same parameter estimation method used in the LCM for individual data (see Materials and Methods). For each animal, α<sub>CS</sub>, α<sub>context</sub>, β, θ, and λ were estimated with their lower and upper bounds set as previously described (see Appendix 1, Materials and Methods). The results showed that the number of accepted samples slightly increased compared to the RW model without sigmoidal transformation of CR (RW* vs. RW in Author response image 2B, 2C). However, this improvement did not surpass the LCM (RW* vs. LCM in Author response image 2B, Author response image 1C). Overall, these results suggest that while using the same method to map the expected shock to CR, the RW model does not outperform the LCM. Practically, further extension, such as adding novel terms, might improve the fitting level. We would like to note that such extensions should be carefully validated if they are reasonable and necessary for an internal model, which is beyond the scope of this study. We hope this addresses the reviewer's concerns about the implementation of the RW model. 

      Author response image 2.

      Simulation (A) and parameter estimation (B and C) in the extended Rescorla-Wagner model.

      (2C) In the paper, the model fits for the alphas in the RW model are the same across the groups. Were the alphas for the two models kept as free variables? This is an important question as it gets back to the first point raised. Because the modeling of the reinstatement behavior with the LCM appears to be mainly driven by latent cause z<sub>B</sub>, the extinction memory, it may be possible to replicate the pattern of results without requiring a latent cause model. For example, the 12-month-old App NL-G-F mice behavior may have a deficit in learning about the context. Within the RW model, if the alpha for context is set to zero for those mice, but kept higher for the other groups, say alpha_context = 0.8, the authors could potentially observe the same pattern of discrimination indices in figure 2G and 2H at test. Because the authors don't explicitly state which parameters might be driving the change in the DI, the authors should show in some way that their results cannot simply be due to poor contextual learning in the 12 month old App NL-G-F mice, as this can presumably be predicted by the RW model. The authors' model fits using RW don't show this, but this is because they don't consider this possibility that the alpha for context might be disrupted in the 12-month-old App NL-G-F mice. Of course, using the RW model with these alphas won't lead to as nice of fits of the behavior across acquisition, extinction, and reinstatement as the authors' LCM, the number of parameters are substantially reduced in the RW model. Yet the important pattern of the DI would be replicated with the RW model (if I'm not mistaken), which is the important test for assessment of reinstatement.

      We would like to clarify that we estimated three parameters in the RW model for individuals:  α<sub>CS</sub>,  α<sub>context</sub>, and β. Even if we did so, many samples did not satisfy our criteria (Appendix 1–figure 2). Please refer to the “Evaluation of model fit” in Appendix 1 and the legend of Appendix 1–figure 1A to 1D, where we have written the estimated parameter values.

      We did not agree that paralyzing the contextual learning by setting  α<sub>context</sub>  as 0 in the RW model can explain the CR curve of 12-month-old AD mice well. Specifically, the RW model cannot capture the between-day extinction dynamics (i.e., the increase in CR at the beginning of day 2 extinction)  and the higher CR at test 3 relative to test 2 (i.e., DI between test 3 and test 2 is greater than 0.5). In addition, because the context input (= 0.2) was relatively lower than the CS input (= 1), and there is only a single unsignaled shock trial, even setting  α<sub>context</sub> = 1 results in only a limited increase in CR (Appendix 1–figure 1A to 1D; see also Author response image 2 9). Thus, the RW model cannot replicate the reinstatement effect or the critical pattern of discrimination index, even under conditions of stronger contextual learning.  

      (3) As stated by the authors in the introduction, the advantage of the fear learning approach is that the memory is modified across the acquisition-extinction-reinstatement phases. Although perhaps not explicitly stated by the authors, the post-reinstatement test (test 3) is the crucial test for whether there is reactivation of a previously stored memory, with the general argument being that the reinvigorated response to the CS can't simply be explained by relearning the CS-US pairing, because re-exposure the US alone leads to increase response to the CS at test. Of course there are several explanations for why this may occur, particularly when also considering the context as a stimulus. This is what I understood to be the justification for the use of a model, such as the latent cause model, that may better capture and compare these possibilities within a single framework. As such, it is critical to look at the level of responding to both the context alone and to the CS. It appears that the authors only look at the percent freezing during the CS, and it is not clear whether this is due to the contextual-US learning during the US re-exposure or to increased responding to the CS - presumably caused by reactivation of the acquisition memory. The authors do perform a comparison between the preCS and CS period, but it is not clear whether this is taken into account in the LCM. For example, the instance of the model shown in figure 1 indicates that the 'extinction cause', or cause z6, develops a strong weight for the context during the reinstatement phase of presenting the shock alone. This state then leads to increased freezing during the final CS probe test as shown in the figure. If they haven't already, I think the authors must somehow incorporate these different phases (CS vs ITI) into their model, particularly since this type of memory retrieval that depends on assessing latent states is specifically why the authors justified using the latent causal model. In more precise terms, it's not clear whether the authors incorporate a preCS/ITI period each day the cue is presented as a vector of just the context in addition to the CS period in which the vector contains both the context and the CS. Based on the description, it seemed to me that they only model the CRs during the CS period on days when the CS is presented, and thereby the context is only ever modeled on its own (as just the context by itself in the vector) on extinction days when the CS is not presented. If they are modeling both timepoints each day that the CS I presented, then I would recommend explicitly stating this in the methods section.

      In this study, we did not model the preCS freezing rate, and we thank the reviewer for the suggestion to model preCS periods as separate context-only trials. In our view, however, this approach is not consistent with the assumptions of the LCM. Our rationale is that the available periods of context and the CS are different. We assume that observation of the context lasts from preCS to CS. If we simulate both preCS (context) and CS (context and tone), the weight of context would be updated twice. Instead, we follow the same method as described in the original code from Gershman et al. (2017) to consider the context effect. We agree that explicitly modeling preCS could provide additional insights, but we believe it would require modifying or extending the LCM. We consider this an important direction for future research, but it is outside the scope of this study.

      (4) The authors fit the model using all data points across acquisition and learning. As one of the other reviewers has highlighted, it appears that there is a high chance for overfitting the data with the LCM. Of course, this would result in much better fits than models with substantially fewer free parameters, such as the RW model. As mentioned above, the authors should use a method that takes into account the number of parameters, such as the BIC.

      Please refer to the reply to public review (2A) for the reason we did not take the suggestion to use BIC. In addition, we feel that we have adequately addressed the concern of overfitting in the first round of the review. 

      (5) The authors have stated that they do not think the Barnes maze task can be modeled with the LCM. Whether or not this is the case, if the authors do not model this data with the LCM, the Barnes maze data doesn't appear valuable to the main hypothesis. The authors suggest that more sophisticated models such as the LCM may be beneficial for early detection of diseases such as Alzheimer's, so the Barnes maze data is not valuable for providing evidence of this hypothesis. Rather, the authors make an argument that the memory deficits in the Barnes maze mimic the reinstatement effects providing support that memory is disrupted similarly in these mice. Although, the authors state that the deficits in memory retrieval are similar across the two tasks, the authors are not explicit as to the precise deficits in memory retrieval in the reinstatement task - it's a combination of overgeneralizing latent causes during acquisition, poor learning rate, over differentiation of the stimuli.

      We would like to clarify that we valued the latent cause model not solely because it is more sophisticated and fits more data points, but it is an internal model that implicates the cognitive process. Please also see the reply to the recommendations to authors (3) about the reason why we did not take the suggestion to remove this data.

      Reviewer #3 (Public review):

      Summary:

      This paper seeks to identify underlying mechanisms contributing to memory deficits observed in Alzheimer's disease (AD) mouse models. By understanding these mechanisms, they hope to uncover insights into subtle cognitive changes early in AD to inform interventions for early-stage decline.

      Strengths:

      The paper provides a comprehensive exploration of memory deficits in an AD mouse model, covering early and late stages of the disease. The experimental design was robust, confirming age-dependent increases in Aβ plaque accumulation in the AD model mice and using multiple behavior tasks that collectively highlighted difficulties in maintaining multiple competing memory cues, with deficits most pronounced in older mice.

      In the fear acquisition, extinction, and reinstatement task, AD model mice exhibited a significantly higher fear response after acquisition compared to controls, as well as a greater drop in fear response during reinstatement. These findings suggest that AD mice struggle to retain the fear memory associated with the conditioned stimulus, with the group differences being more pronounced in the older mice.

      In the reversal Barnes maze task, the AD model mice displayed a tendency to explore the maze perimeter rather than the two potential target holes, indicating a failure to integrate multiple memory cues into their strategy. This contrasted with the control mice, which used the more confirmatory strategy of focusing on the two target holes. Despite this, the AD mice were quicker to reach the target hole, suggesting that their impairments were specific to memory retrieval rather than basic task performance.

      The authors strengthened their findings by analyzing their data with a leading computational model, which describes how animals balance competing memories. They found that AD mice showed somewhat of a contradiction: a tendency to both treat trials as more alike than they are (lower α) and similar stimuli as more distinct than they are (lower σx) compared to controls.

      Weaknesses:

      While conceptually solid, the model struggles to fit the data and to support the key hypothesis about AD mice's inability to retain competing memories. These issues are evident in Figure 3:

      (1) The model misses trends in the data, including the gradual learning of fear in all groups during acquisition, the absence of a fear response at the start of the experiment, and the faster return of fear during reinstatement compared to the gradual learning of fear during acquisition. It also underestimates the increase in fear at the start of day 2 of extinction, particularly in controls.

      (2) The model explains the higher fear response in controls during reinstatement largely through a stronger association to the context formed during the unsignaled shock phase, rather than to any memory of the conditioned stimulus from acquisition (as seen in Figure 3C). In the experiment, however, this memory does seem to be important for explaining the higher fear response in controls during reinstatement (as seen in Author Response Figure 3). The model does show a necessary condition for memory retrieval, which is that controls rely more on the latent causes from acquisition. But this alone is not sufficient, since the associations within that cause may have been overwritten during extinction. The Rescorla-Wagner model illustrates this point: it too uses the latent cause from acquisition (as it only ever uses a single cause across phases) but does not retain the original stimulus-shock memory, updating and overwriting it continuously. Similarly, the latent cause model may reuse a cause from acquisition without preserving its original stimulus-shock association.

      These issues lead to potential overinterpretation of the model parameters. The differences in α and σx are being used to make claims about cognitive processes (e.g., overgeneralization vs. over differentiation), but the model itself does not appear to capture these processes accurately.

      The authors could benefit from a model that better matches the data and captures the retention and retrieval of fear memories across phases. While they explored alternatives, including the Rescorla-Wagner model and a latent state model, these showed no meaningful improvement in fit. This highlights a broader issue: these models are well-motivated but may not fully capture observed behavior.

      Conclusion:

      Overall, the data support the authors' hypothesis that AD model mice struggle to retain competing memories, with the effect becoming more pronounced with age. While I believe the right computational model could highlight these differences, the current models fall short in doing so.

      We thank the reviewer for the insightful comments. For the comments (1) and (2), please refer to our previous author response to comments #26 and #27. We recognize that the models tested in this study have limitations and, as noted, do not fully capture all aspects of the observed behavioral data. We see this as an important direction for future research and value the reviewer’s suggestions.

      Recommendations for the authors:

      Reviewer #2 (Recommendations for the authors):

      I have maintained some of the main concerns included in the first round of reviews as I think they remain concerns with the new draft, even though the authors have included substantially more analysis of their data, which is appreciated. I particularly found the inclusion of the comparative modeling valuable, although I think the analysis comparing the models should be improved.

      (1) This relates to point 1 in the public assessment or #16 in the response to reviewers from the authors. The authors raise the point that even a low posterior can drive behavioral expression (lines 361-365 in the response to authors), and so the acquisition latent cause may partially drive reinstatement. Yet in the stimulation shown in figure 1D, this does not seem to be the case. As I mentioned in the public response, in figure 1, the posteriors for z<sub>A</sub> are similar on day 34 and day 36, yet only on day 36 is there a strong CR. At least in this example, it does not appear that z<sub>A</sub> contributes to the increased responding from day 34 (test 2) to day 36 (test 3). There may be a slight increase in z1 in figure 3C, but the dominant change from day 34 to day 36 appears to be the increase in the posterior of z3 and the substantial increase in w3. The authors then cite several papers which have shown the shift in balance between what it is the putative acquisition memory and extinction memory (i.e. Lacagnina et al.). Yet I do not see how this modeling fits with most of the previous findings. For example, in the Lacagnina et al. paper, activation of the acquisition ensemble or inhibition of the extinction ensemble drives freezing, whereas the opposite pattern reduces freezing. What appears to be the pattern in the modeling in this paper is primarily learning of context in the extinction latent cause to predict the shock. As I mention in point 2C of the public review, it's not clear why this pattern of results would require a latent cause model. Would a high alpha for context and not the CS not give a similar pattern of results in the RW model? At least for giving similar results of the DIs in figure 2?

      First, we would like to clarify that the x-axis in Figure 1D is labeled “Trial,” not “Day.” Please refer to the reply to public review (1), where we clarified the posterior probability of the latent cause from trials 34 to 36. Second, although we did not have direct neural circuit evidence in this study, we discussed the similarities between previous findings and the modeling in the first review. Briefly, our main point focuses on the interaction between acquisition and extinction memory. In other words, responses at different times arise from distinct internal states made up of competing memories. We assume that the reviewer expects a modeling result showing nearly full recovery of acquisition memory, which aligns with previous findings where optogenetic activation of the acquisition engram can partially mimic reinstatement (Zaki et al., 2022; see also the response to comment #12 in the first round of review). We acknowledge that such a modeling result cannot be achieved with the latent cause model and see it as a potential future direction for model improvement.

      Please also refer to the reply to public review (2) about how a high alpha for context in the RW model cannot explain the pattern we observed in the reinstatement paradigm.

      (2) This is related to point 3 in the public comments and #13 in the response to reviewers. I raised the question of comparing the preCS/ITI period with the CS period, but my main point was why not include these periods in the LCM itself as mentioned in more detail in point 3 in the current public review. The inclusion of the comparisons the authors performed helped, but my main point was that the authors could have a better measure of wcontext if they included the preCS period as a stimulus each day (when only the context is included in the stimulus). This would provide better estimates of wcontext. As stated in the public review, perhaps the authors did this, but my understanding of the methods this was not the case, rather, it seems the authors only included the CS period for CRs within the model (at least on days when the CS was present).

      Please refer to the reply to public review (3) about the reason why we did not model the preCS freezing rate.

      (3) This relates to point 4 in the public review and #15 and #24 in the response to authors. The authors have several points for why the two experiments are similar and how results may be extrapolated - lines 725-733. The first point is that associative learning is fundamental in spatial learning. I'm not sure that this broad connection between the two studies is particularly insightful for why one supports the other as associative learning is putatively involved in most behavioral tasks. In the second point about reversals, why not then use a reversal paradigm that would be easier to model with LCM? This data is certainly valuable and interesting, yet I don't think it's helpful for this paper to state qualitatively the similarities in the potential ways a latent cause framework might predict behavior on the Barnes maze. I would recommend that the authors either model the behavior with LCM, remove the experiment from the paper, or change the framing of the paper that LCM might be an ideal approach for early detection of dementia or Alzheimer's disease.

      We would like to clarify that our aim was not to present the LCM as an ideal tool for early detection of AD symptoms. Rather, our focus is on the broader idea of utilizing internal models and estimating individual internal states in early-stage AD. Regarding using a reversal paradigm that would be easier to model with LCM, the most straightforward approach is to use another type of paradigm for fear conditioning, then to examine the extent to which similar behavioral characteristics are observed between paradigms within subjects. However, re-exposing the same mice to such paradigms is constrained by strong carry-over effects, limiting the feasibility of this experiment. Other behavioral tasks relevant to AD that avoid shock generally involve action selection for subsequent observation (Webster et al., 2014), which falls outside the structure of LCM. Our rationale for including the Barnes maze task is that spatial memory deficit is implicated in the early stage of AD, making it relevant for translational research. While we acknowledge that exact modeling of Barnes maze behavior would require a more sophisticated model (as discussed in the first round of review), our intention to use the reversal Barnes maze paradigm is to suggest a presumable memory modification learning in a non-fear conditioning paradigm. We also discussed whether similar deficits in memory modification could be observed across two behavioral tasks.

      (4) Reviewer # mentioned that the change in pattern of behavior only shows up in the older mice questioning the clinical relevance of early detection. I do think this is a valid point and maybe should be addressed. There does seem to be a bit of a bump in the controls on day 23 that doesn't appear in the 6-month group. Perhaps this was initially a spontaneous recovery test indicated by the dotted vertical line? This vertical line does not appear to be defined in the figure 1 legend, nor in figures 2 and 3.

      We would like to emphasize that the App<sup>NL-G-F</sup> knock-in mouse is widely considered a model of early-stage AD, characterized by Aβ accumulation with little to no neurofibrillary tangle pathology or neuronal loss (see Introduction). By examining different ages, we can assess the contribution of both the amount and duration of Aβ accumulation as well as age-related factors. Modeling the deficit in the memory modification process in the older App<sup>NL-G-F</sup> knock-in mice, we suggested a diverged internal state in early-stage AD in older age, and this does not diminish the relevance of the model for studying early cognitive changes in AD.

      We would also like to clarify again that the x-axis in the figure is “Trial,” not “Day.” The vertical dashed lines in these figures indicate phase boundaries, and they were defined in the figure legend: in Figure 1C, “The vertical dashed lines separate the phases.”; in Figure 2B, “The dashed vertical line separates the extinction 1 and extinction 2 phases.”; in Figure 3, “The vertical dashed lines indicate the boundaries of phases.”

      (5) Are the examples in figure 3 good examples? The example for the 12-month-old control shows a substantial increase in weights for the context during test 3, but not for the CS. Yet in the bar plots in Figure 4 G and H, this pattern seems to be different. The weights for the context appear to substantially drop in the "after extinction" period as compared to the "extinction" period. It's hard to tell the change from "extinction" to "after extinction" for the CS weights (the authors change the y-axis for the CS weights but not for the context weights from panels G to H).

      We would like to clarify that in Figure 3C, the increase in weights for context is not presented during test 3 (trial 36), noted by the reviewer; rather, it is the unsignaled shock phase (trial 35).

      We assumed that the reviewer might misunderstand that the labels on the left in Figure 4, “Acquisition”, “Extinction”, and “After extinction”, indicate the time point. However, the data shown in Figure 4C to 4H are all from the same time point: test 3 (trial 36). The grouping reflects the classification of latent causes based on the trial in which they were inferred. In addition, for Figures 4G and 4H, the y‐axis limits were not set identically because the data range for “Sum of w<sub>CS</sub>” varied. This was done to ensure the visibility of all data points. In Figure 4, each dot represents one animal. Take Figure 3D as an example. The point in Figure 4G is the sum of w3 and w4 in trial 36, and the point in Figure 4H is w5 in trial 36, note that the subscript numerals indicate latent cause index. We hope this addresses the reviewer’s question about the difference between the two figures.


      The following is the authors’ response to the original reviews

      Reviewer #1 (Public review):

      Summary:

      The authors show certain memory deficits in a mouse knock-in model of Alzheimer's Disease (AD). They show that the observed memory deficits can be explained by a computational model, the latent cause model of associative memory. The memory tasks used include the fear memory task (CFC) and the 'reverse' Barnes maze. Research on AD is important given its known huge societal burden. Likewise, better characterization of the behavioral phenotypes of genetic mouse models of AD is also imperative to advance our understanding of the disease using these models. In this light, I applaud the authors' efforts.

      Strengths:

      (1) Combining computational modelling with animal behavior in genetic knock-in mouse lines is a promising approach, which will be beneficial to the field and potentially explain any discrepancies in results across studies as well as provide new predictions for future work.

      (2) The authors' usage of multiple tasks and multiple ages is also important to ensure generalization across memory tasks and 'modelling' of the progression of the disease.

      Weaknesses:

      [#1] (1) I have some concerns regarding the interpretation of the behavioral results. Since the computational model then rests on the authors' interpretation of the behavioral results, it, in turn, makes judging the model's explanatory power difficult as well. For the CFC data, why do knock-in mice have stronger memory in test 1 (Figure 2C)? Does this mean the knock-in mice have better memory at this time point? Is this explained by the latent cause model? Are there some compensatory changes in these mice leading to better memory? The authors use a discrimination index across tests to infer a deficit in re-instatement, but this indicates a relative deficit in re-instatement from memory strength in test 1. The interpretation of these differential DIs is not straightforward. This is evident when test 1 is compared with test 2, i.e., the time point after extinction, which also shows a significant difference across groups, Figure 2F, in the same direction as the re-instatement. A clarification of all these points will help strengthen the authors' case.

      We appreciate the reviewer for the critical comments. According to the latent cause framework, the strength of the memory is influenced by at least 2 parameters: associative weight between CS and US given a latent cause and posterior probability of the latent cause. The modeling results showed that a higher posterior probability of acquisition latent cause, but not higher associative weight, drove the higher test 1 CR in App<sup>NL-G-F</sup> mice (Results and Discussion; Figure 4 – figure supplement 3B, 3C). In terms of posterior, we agree that App<sup>NL-G-F</sup> mice have strong fear memory. On the other hand, this suggests that App<sup>NL-G-F</sup> mice exhibited a tendency toward overgeneralization, favoring modification of old memories, which adversely affected the ability to retain competing memories. The strong memory in test 1 would be a compensatory effect of overgeneralization.    

      To estimate the magnitude of reinstatement, at least, one would have to compare CRs between test 2 (extinction) and test 3 (reinstatement), as well as those between test 1 (acquisition) and test 3. These comparisons represent the extent to which the memory at the reinstatement is far from that in the extinction, and close to that in the acquisition. Since discrimination index (DI) has been widely used as a normalized measure to evaluate the extent to which the system can distinguish between two conditions, we applied DI consistently to behavioral and simulated data in the reinstatement experiment, and the behavioral data in the reversal Barnes maze experiment, allowing us to evaluate the discriminability of an agent in these experiments. In addition, we used DI to examine its correlation with estimated parameters, enabling us to explore how individual discriminability may relate to the internal state. We have already discussed the differences in DI between test 3 and test 1, as well as CR in test 1 between control and App<sup>NL-G-F</sup> in the manuscript and further elaborated on this point in Line 232, 745-748.   

      [#2] (2) I have some concerns regarding the interpretation of the Barnes maze data as well, where there already seems to be a deficit in the memory at probe test 1 (Figure 6C). Given that there is already a deficit in memory, would not a more parsimonious explanation of the data be that general memory function in this task is impacted in these mice, rather than the authors' preferred interpretation? How does this memory weakening fit with the CFC data showing stronger memories at test 1? While I applaud the authors for using multiple memory tasks, I am left wondering if the authors tried fitting the latent cause model to the Barnes maze data as well.

      While we agree that the deficits shown in probe test 1 may imply impaired memory function in App<sup>NL-G-F</sup> mice in this task, it would be difficult to explain this solely in terms of impairments in general memory function. The learning curve and the daily strategy changes suggested that App<sup>NL-G-F</sup> mice would have virtually intact learning ability in the initial training phase (Figure 6B, 6F, Figure 6 – figure supplement 1 and 3). For the correspondence relationship between the reinstatement and the reversal Barnes maze learning from the aspect of memory modification process, please also see our reply to comment #24. We have explained why we did not fit the latent cause model to the Barnes maze data in the provisional response.

      [#3] (3) Since the authors use the behavioral data for each animal to fit the model, it is important to validate that the fits for the control vs. experimental groups are similar to the model (i.e., no significant differences in residuals). If that is the case, one can compare the differences in model results across groups (Figures 4 and 5). Some further estimates of the performance of the model across groups would help.

      We have added the residual (i.e., observed CR minus simulated CR) in Figure 3 – figure supplement 1D and 1E. The fit was similar between control and App<sup>NL-G-F</sup> mice groups in the test trials, except test 3 in the 12-month-old group. The residual was significantly higher in the 12-month-old control mice than App<sup>NL-G-F</sup> mice, suggesting the model underestimated the reinstatement in the control, yet the DI calculated from the simulated CR replicates the behavioral data (Figure 3 – figure supplement 1A to 1C). These results suggest that the latent cause model fits our data with little systematic bias such as an overestimation of CR for the control group in the reinstatement, supporting the validity of the comparisons in estimated parameters between groups. These results and discussion have been added in the manuscript Line 269-276.

      One may notice that the latent cause model overestimated the CR in acquisition trials in all groups in Figure 3 – figure supplement 1D and 1E. We have discussed this point in the reply to comment #26, 34 questioned by reviewer 3.

      [#4] (4) Is there an alternative model the authors considered, which was outweighed in terms of prediction by this model? 

      Yes, we have further evaluated two alternative models: the Rescorla-Wagner (RW; Rescorla & Wagner, 1972) model and the latent state model (LSM; Cochran & Cisler, 2019). The RW model serves as a baseline, given its known limitations in explaining fear return after extinction. The LSM is another contemporary model that shares several concepts with the latent cause model (LCM) such as building upon the RW model, assuming a latent variable inferred by Bayes’ rule, and involving a ruminative update for memory modification. We evaluated the three models in terms of the prediction accuracy and reproducibility of key behavioral features. Please refer to the Appendix 1 for detailed methods and results for these two models.

      As expected, the RW model fit well to the data till the end of extinction but failed to reproduce reinstatement (Appendix 1 – figure 1A to 1D). Due to a large prediction error in test 3, few samples met the acceptance criteria we set (Appendix 1 – figure 2 and 3A). Conversely, the LSM reproduced reinstatement, as well as gradual learning in acquisition and extinction phases, particularly in the 12month-old control (Appendix 1 – figure 1G). The number of accepted samples in the LSM was higher than in the RW model but generally lower than in the LCM (Appendix 1 – figure 2). The sum of prediction errors over all trials in the LSM was comparable to that in the LCM in the 6-month-old group (Appendix 1 – figure 4A), it was significantly lower in the 12-month-old group (Appendix 1 – figure 4B). Especially the LSM generated smaller prediction errors during the acquisition trials than in the LCM, suggesting that the LSM might be better at explaining the behaviors of acquisition (Appendix 1 – figure 4A and 4B; but see the reply for comment #34). While the LSM generated smaller prediction errors than the LCM in test 2 of the control group, it failed to replicate the observed DIs, a critical behavioral phenotype difference between control and App<sup>NL-G-F</sup> mice (Appendix 1 – figure 6A to 6C; cf. Figure 2F to 2H, Figure 3 – figure supplement 1A to 1C).

      Thus, although each model could capture different aspects of reinstatement, standing on the LCM to explain the reinstatement better aligns with our purpose. It should also be noted that we did not explore all parameter spaces of the LSM, hence we cannot rule out the possibility that alternative parameter sets could provide a better fit and explain the memory modification process well. A more comprehensive parameter search in the LSM may be a valuable direction for future research. 

      [#5] One concern here is also parameter overfitting. Did the authors try leaving out some data (trials/mice) and predicting their responses based on the fit derived from the training data?

      Following the reviewer’s suggestion, we confirmed if overfitting occurred using all trials to estimate parameters. Estimating parameters while actually leaving out trials would disorder the time lapse across trials, and thereby the prior of latent causes in each trial. Instead, we removed the constraint of prediction error by setting the error threshold to 1 for certain trials to virtually leave these trials out. We treated these trials as a virtual “training” dataset, while the rest of the trials were a “test” dataset. For the median CR data of each group (Figure 3), we estimated parameters under 6 conditions with unique training and test trials, then evaluated the prediction error for the training and test trials. Note that training and test trials were arbitrarily decided. Also, the error threshold for the acquisition trial was set to 1 as described in Materials and Methods, which we have further discussed the reason in the reply to comment #34 and treated acquisition trials separately from the test trials. We expect that the contribution of the data from the acquisition and test trials for parameter estimation could be discounted compared to those from the training trials with the constraint, and if overfitting occurred, the prediction error in the test data would be worse than that in the training trials.

      Author response image 1A to 1F showed the simulated and observed CR under each condition, where acquisition trials were in light-shaded areas, test trials were in dark-shaded areas, and the rest of the trials were training trials. Author response image 1G showed mean squared prediction error across the acquisition, training and test trials under each condition. The dashed gray line showed the mean squared prediction error of training trials in Figure 3 as a baseline.

      In conditions i and ii, where two or four trials in the extinction were used for training (Author response image 1A and 1B), the prediction error was generally higher in test trials than in training trials. In conditions iii and iv where ten trials in the extinction were used for training (Author response image 1C and 1D), the difference in prediction error between testing and training trials became smaller. These results suggest that providing more extinction trial data would reduce overfitting. In condition v (Author response image 1E), the results showed that using trials until extinction can predict reinstatement in control mice but not App<sup>NL-G-F</sup> mice. Similarly, in condition vi (Author response image 1F), where test phase trials were left out, the prediction error differences were greater in App<sup>NL-G-F</sup> mice. These results suggest that the test trials should be used for the parameter estimation to minimize prediction error for all groups. Overall, this analysis suggests that using all trials would reduce prediction error with few overfitting. 

      Author response image 1.

      Leaving trials out in parameter estimation in the latent cause model. (A – F) The observed CR (colored line) is the median freezing rate during the CS presentation over the mice within each group, which is the same as that in Figure 3. The colors indicate different groups: orange represents 6-month-old control, light blue represents 6-month-old App<sup>NL-G-F</sup> mice, pink represents 12-month-old control, and dark blue represents 12-month-old App<sup>NL-G-F</sup> mice. Under six different leave-out conditions (i – vi), parameters were estimated and used for generating simulated CR (gray line). In each condition, trials were categorized as acquisition (light-shaded area), training data (white area), and test data (dark-shaded area) based on the error threshold during parameter estimation. Only the error threshold of the test data trial was different from the original method (see Material and Method) and set to 1. In conditions i to vi, the number of test data trials is 27, 25, 19, and 19 in extinction phases. In condition v, the number of test data trials is 2 (trials 35 and 36). In condition vi, test data trials were the 3 test phases (trials 4, 34, and 36). (G) Each subplot shows the mean squared prediction error for the test data trial (gray circles), training data trial (white squares), and acquisition trial (gray triangles) in each group. The left y-axis corresponds to data from test and training trials, and the right y-axis corresponds to data from acquisition trials. The dashed line indicates the results calculated from Figure 3 as a baseline.  

      Reviewer #1 (Recommendations for the authors):

      Minor:

      [#6] (1) I would like the authors to further clarify why 'explaining' the reinstatement deficit in the AD mouse model is important in working towards the understanding of AD i.e., which aspect of AD this could explain etc.

      In this study, we utilized the reinstatement paradigm with the latent cause model as an internal model to illustrate how estimating internal states can improve understanding of cognitive alteration associated with extensive Aβ accumulation in the brain. Our findings suggest that misclassification in the memory modification process, manifesting as overgeneralization and overdifferentiation, underlies the memory deficit in the App<sup>NL-G-F</sup> knock-in model mice. 

      The parameters in the internal model associated with AD pathology (e.g., α and σ<sub>x</sub><sup>2</sup> in this study) can be viewed as computational phenotypes, filling the explanatory gap between neurobiological abnormalities and cognitive dysfunction in AD. This would advance the understanding of cognitive symptoms in the early stages of AD beyond conventional behavioral endpoints alone.

      We further propose that altered internal states in App<sup>NL-G-F</sup> knock-in mice may underlie a wide range of memory-related symptoms in AD as we observed that App<sup>NL-G-F</sup> knock-in mice failed to retain competing memories in the reversal Barnes maze task. We speculate on how overgeneralization and overdifferentiation may explain some AD symptoms in the manuscript:

      - Line 565-569: overgeneralization may explain deficits in discriminating highly similar visual stimuli reported in early-stage AD patients as they misclassify the lure as previously learned object

      - Line 576-579: overdifferentiation may explain impaired ability to transfer previously learned association rules in early-stage AD patients as they misclassify them as separated knowledge. 

      - Line 579-582: overdifferentiation may explain delusions in AD patients as an extended latent cause model could simulate the emergence of delusional thinking

      We provide one more example here that overgeneralization may explain that early-stage AD patients are more susceptible to proactive interference than cognitively normal elders in semantic memory tests (Curiel Cid et al., 2024; Loewenstein et al., 2015, 2016; Valles-Salgado et al., 2024), as they are more likely to infer previously learned material. Lastly, we expect that explaining memory-related symptoms within a unified framework may facilitate future hypothesis generation and contribute to the development of strategies for detecting the earliest cognitive alteration in AD.  

      [#7] (2) The authors state in the abstract/introduction that such computational modelling could be most beneficial for the early detection of memory disorders. The deficits observed here are pronounced in the older animals. It will help to further clarify if these older animals model the early stages of the disease. Do the authors expect severe deficits in this mouse model at even later time points?

      The early stage of the disease is marked by abnormal biomarkers associated with Aβ accumulation and neuroinflammation, while cognitive symptoms are mild or absent. This stage can persist for several years during which the level of Aβ may reach a plateau. As the disease progresses, tau pathology and neurodegeneration emerge and drive the transition into the late stage and the onset of dementia. The App<sup>NL-G-F</sup> knock-in mice recapitulate the features present in the early stage (Saito et al., 2014), where extensive Aꞵ accumulation and neuroinflammation worsen along with ages (Figure 2 – figure supplement 1). Since App<sup>NL-G-F</sup> knock-in mice are central to Aβ pathology without tauopathy and neurodegeneration, it should be noted that it does not represent the full spectrum of the disease even at advanced ages. Therefore, older animals still model the early stages of the diseases and are suitable to study the long-term effect of Aβ accumulation and neuroinflammation. 

      The age tested in previous reports using App<sup>NL-G-F</sup> mice spanned a wide range from 2 months old to 24 months old. Different behavioral tasks have varied sensitivity but overall suggest the dysfunction worsens with aging (Bellio et al., 2024; Mehla et al., 2019; Sakakibara et al., 2018). We have tested the reinstatement experiment with 17-month-old App<sup>NL-G-F</sup> mice before (Author response image 2). They showed more advanced deficits with the same trends observed in 12-month-old App<sup>NL-G-F</sup> mice, but their freezing rates were overall at a lower level. There is a concern that possible hearing loss may affect the results and interpretation, therefore we decided to focus on 12-month-old data.

      Author response image 2.

      Freezing rate across reinstatement paradigm in the 17-month-old App<sup>NL-G-F</sup> mice. Dashed and solid lines indicate the median freezing rate over 34 mice before (preCS) and during (CS) tone presentation, respectively. Red, blue, and yellow backgrounds represent acquisition, extinction, and unsignaled shock in Figure 2A. The dashed vertical line separates the extinction 1 and extinction 2 phases.

      [#8] (3) There are quite a few 'marginal' p-values in the paper at p>0.05 but near it. Should we accept them all as statistically significant? The authors need to clarify if all the experimental groups are sufficiently powered.

      For our study, we decided a priori that p < 0.05 would be considered statistically significant, as described in the Materials and Methods. Therefore, in our Results, we did not consider these marginal values as statistically significant but reported the trend, as they may indicate substantive significance.

      We described our power analysis method in the manuscript Line 897-898 and have provided the results in Tables S21 and S22.

      [#9] (4) The authors emphasize here that such computational modelling enables us to study the underlying 'reasoning' of the patient (in the abstract and introduction), I do not see how this is the case. The model states that there is a latent i.e. another underlying variable that was not previously considered.

      Our use of the term “reasoning” was to distinguish the internal model, which describes how an agent makes sense of the world, from other generative models implemented for biomarker and disease progression prediction. However, we agree that using “reasoning” may be misleading and imprecise, so to reduce ambiguity we have removed this word in our manuscript Line 27: Nonetheless, internal models of the patient remain underexplored in AD; Line 85: However, previous approaches did not suppose an internal model of the world to predict future from current observation given prior knowledge.   

      [#10] (5) The authors combine knock-in mice with controls to compute correlations of parameters of the model with behavior of animals (e.g. Figure 4B and Figure 5B). They run the risk of spurious correlations due to differences across groups, which they have indeed shown to exist (Figure 4A and 5A). It would help to show within-group correlations between DI and parameter fit, at least for the control group (which has a large spread of data).

      We agree that genotype (control, App<sup>NL-G-F</sup>) could be a confounder between the estimated parameters and DI, thereby generating spurious correlations. To address this concern, we have provided withingroup correlation in Figure 4 – figure supplement 2 for the 12-month-old group and Figure 5 – figure supplement 2 for the 6-month-old group.

      In the 12-month-old group, the significant positive correlation between σx2 and DI remained in both control and App<sup>NL-G-F</sup> mice even if we adjusted the genotype effect, suggesting that it is very unlikely that the correlations in Figure 4B are due to the genotype-related confounding. On the other hand, the positive correlation between α and DI was found to be significant in the control mice but not in the App<sup>NL-G-F</sup> mice. Most of α were distributed around the lower bound in App<sup>NL-G-F</sup> mice, which possibly reduced the variance and correlation coefficient. These results support our original conclusion that α and σ<sub>x</sub><sup>2</sup> are parameters associated with a lower magnitude of reinstatement in aged App<sup>NL-G-F</sup> mice.

      In the 6-month-old group, the correlations shown in Figure 5B were not preserved within subgroups, suggesting genotype would be a confounder for α, σ<sub>x</sub><sup>2</sup>, and DI. We recognized that significant correlations in Figure 5B may arise from group differences, increased sample size, or greater variance after combining control and App<sup>NL-G-F</sup> mice. 

      Therefore, we concluded that α and σ<sub>x</sub><sup>2</sup> are associated with the magnitude of reinstatement but modulated by the genotype effect depending on the age. 

      We have added interpretations of within-group correlation in the manuscript Line 307-308, 375-378.

      [#11] (6) It is unclear to me why overgeneralization of internal states will lead to the animals having trouble recalling a memory. Would this not lead to overgeneralization of memory recall instead?

      We assume that the reviewer is referring to “overgeneralization of internal states,” a case in which the animal’s internal state remained the same regardless of the observation, thereby leading to “overgeneralization of memory recall.” We agree that this could be one possible situation and appears less problematic than the case in which this memory is no longer retrievable. 

      However, in our manuscript, we did not deal with the case of “overgeneralization of internal states”. Rather, our findings illustrated how the memory modification process falls into overgeneralization or overdifferentiation and how it adversely affects the retention of competing memories, thereby causing App<sup>NL-G-F</sup> mice to have trouble recalling the same memory as the control mice. 

      According to the latent cause model, retrieval failure is explained by a mismatch of internal states, namely when an agent perceives that the current cue does not match a previously experienced one, the old latent cause is less likely to be inferred due to its low likelihood (Gershman et al., 2017). For example, if a mouse exhibited higher CR in test 2, it would be interpreted as a successful fear memory retrieval due to overgeneralization of the fear memory. However, it reflects a failure of extinction memory retrieval due to the mismatch between the internal states at extinction and test 2. This is an example that overgeneralization of memory induces the failure of memory retrieval. 

      On the other hand, App<sup>NL-G-F</sup> mice exhibited higher CR in test 1, which is conventionally interpreted as a successful fear memory retrieval. When estimating their internal states, they would infer that their observation in test 1 well matches those under the acquisition latent causes, that is the overgeneralization of fear memory as shown by a higher posterior probability in acquisition latent causes in test 1 (Figure 4 – figure supplement 3). This is an example that over-generalization of memory does not always induce retrieval failure as we explained in the reply to comment #1. 

      Reviewer #2 (Public review):

      Summary:

      This manuscript proposes that the use of a latent cause model for the assessment of memory-based tasks may provide improved early detection of Alzheimer's Disease as well as more differentiated mapping of behavior to underlying causes. To test the validity of this model, the authors use a previously described knock-in mouse model of AD and subject the mice to several behaviors to determine whether the latent cause model may provide informative predictions regarding changes in the observed behaviors. They include a well-established fear learning paradigm in which distinct memories are believed to compete for control of behavior. More specifically, it's been observed that animals undergoing fear learning and subsequent fear extinction develop two separate memories for the acquisition phase and the extinction phase, such that the extinction does not simply 'erase' the previously acquired memory. Many models of learning require the addition of a separate context or state to be added during the extinction phase and are typically modeled by assuming the existence of a new state at the time of extinction. The Niv research group, Gershman et al. 2017, have shown that the use of a latent cause model applied to this behavior can elegantly predict the formation of latent states based on a Bayesian approach, and that these latent states can facilitate the persistence of the acquisition and extinction memory independently. The authors of this manuscript leverage this approach to test whether deficits in the production of the internal states, or the inference and learning of those states, may be disrupted in knock-in mice that show both a build-up of amyloid-beta plaques and a deterioration in memory as the mice age.

      Strengths:

      I think the authors' proposal to leverage the latent cause model and test whether it can lead to improved assessments in an animal model of AD is a promising approach for bridging the gap between clinical and basic research. The authors use a promising mouse model and apply this to a paradigm in which the behavior and neurobiology are relatively well understood - an ideal situation for assessing how a disease state may impact both the neurobiology and behavior. The latent cause model has the potential to better connect observed behavior to underlying causes and may pave a road for improved mapping of changes in behavior to neurobiological mechanisms in diseases such as AD.

      Weaknesses:

      I have several substantial concerns which I've detailed below. These include important details on how the behavior was analyzed, how the model was used to assess the behavior, and the interpretations that have been made based on the model.

      [#12] (1) There is substantial data to suggest that during fear learning in mice separate memories develop for the acquisition and extinction phases, with the acquisition memory becoming more strongly retrieved during spontaneous recovery and reinstatement. The Gershman paper, cited by the authors, shows how the latent causal model can predict this shift in latent states by allowing for the priors to decay over time, thereby increasing the posterior of the acquisition memory at the time of spontaneous recovery. In this manuscript, the authors suggest a similar mechanism of action for reinstatement, yet the model does not appear to return to the acquisition memory state after reinstatement, at least based on the examples shown in Figures 1 and 3. Rather, the model appears to mainly modify the weights in the most recent state, putatively the 'extinction state', during reinstatement. Of course, the authors must rely on how the model fits the data, but this seems problematic based on prior research indicating that reinstatement is most likely due to the reactivation of the acquisition memory. This may call into question whether the model is successfully modeling the underlying processes or states that lead to behavior and whether this is a valid approach for AD.

      We thank the reviewer for insightful comments. 

      We agree that, as demonstrated in Gershman et al. (2017), the latent cause model accounts for spontaneous recovery via the inference of new latent causes during extinction and the temporal compression property provided by the prior. Moreover, it was also demonstrated that even a relatively low posterior can drive behavioral expression if the weight in the acquisition latent cause is preserved. For example, when the interval between retrieval and extinction was long enough that acquisition latent cause was not dominant during extinction, spontaneous recovery was observed despite the posterior probability of acquisition latent cause (C1) remaining below 0.1 in Figure 11D of Gershman et al. (2017). 

      In our study, a high response in test 3 (reinstatement) is explained by both acquisition and extinction latent cause. The former preserves the associative weight of the initial fear memory, while the latter has w<sub>context</sub> learned in the unsignaled shock phase. These positive w were weighted by their posterior probability and together contributed to increased expected shock in test 3. Though the posterior probability of acquisition latent cause was lower than extinction latent cause in test 3 due to time passage, this would be a parallel instance mentioned above. To clarify their contributions to reinstatement, we have conducted additional simulations and the discussion in reply to the reviewer’s next comment (see the reply to comment #13).

      We recognize that our results might appear to deviate from the notion that reinstatement results from the strong reactivation of acquisition memory, where one would expect a high posterior probability of the acquisition latent cause. However, we would like to emphasize that the return of fear emerges from the interplay of competing memories. Previous studies have shown that contextual or cued fear reinstatement involves a neural activity switch back to fear state in the medial prefrontal cortex (mPFC), including the prelimbic cortex and infralimbic cortex, and the amygdala, including ventral intercalated amygdala neurons (ITCv), medial subdivision of central nucleus of the amygdala (CeM), and the basolateral amygdala (BLA) (Giustino et al., 2019; Hitora-Imamura et al., 2015; Zaki et al., 2022). We speculate that such transition is parallel to the internal states change in the latent cause model in terms of posterior probability and associative weight change.

      Optogenetic manipulation experiments have further revealed how fear and extinction engrams contribute to extinction retrieval and reinstatement. For instance, Gu et al. (2022) used a cued fear conditioning paradigm and found that inhibition of extinction engrams in the BLA, ventral hippocampus (vHPC), and mPFC after extinction learning artificially increased freezing to the tone cue. Similar results were observed in contextual fear conditioning, where silencing extinction engrams in the hippocampus dentate gyrus (DG) impaired extinction retrieval (Lacagnina et al., 2019). These results suggest that the weakening extinction memory can induce a return of fear response even without a reminder shock. On the other hand, Zaki et al. (2022) showed that inhibition of fear engrams in the BLA, DG, or hippocampus CA1 attenuated contextual fear reinstatement. However, they also reported that stimulation of these fear engrams was not sufficient to induce reinstatement, suggesting these fear engram only partially account for reinstatement. 

      In summary, reinstatement likely results from bidirectional changes in the fear and extinction circuits, supporting our interpretation that both acquisition and extinction latent causes contribute to the reinstatement. Although it remains unclear whether these memory engrams represent latent causes, one possible interpretation is that w<sub>context</sub> update in extinction latent causes during unsignaled shock indicates weakening of the extinction memory, while preservation of w in acquisition latent causes and their posterior probability suggests reactivation of previous fear memory. 

      [#13] (2) As stated by the authors in the introduction, the advantage of the fear learning approach is that the memory is modified across the acquisition-extinction-reinstatement phases. Although perhaps not explicitly stated by the authors, the post-reinstatement test (test 3) is the crucial test for whether there is reactivation of a previously stored memory, with the general argument being that the reinvigorated response to the CS can't simply be explained by relearning the CS-US pairing, because re-exposure the US alone leads to increase response to the CS at test. Of course there are several explanations for why this may occur, particularly when also considering the context as a stimulus. This is what I understood to be the justification for the use of a model, such as the latent cause model, that may better capture and compare these possibilities within a single framework. As such, it is critical to look at the level of responding to both the context alone and to the CS. It appears that the authors only look at the percent freezing during the CS, and it is not clear whether this is due to the contextual US learning during the US re-exposure or to increased response to the CS - presumably caused by reactivation of the acquisition memory. For example, the instance of the model shown in Figure 1 indicates that the 'extinction state', or state z6, develops a strong weight for the context during the reinstatement phase of presenting the shock alone. This state then leads to increased freezing during the final CS probe test as shown in the figure. By not comparing the difference in the evoked freezing CR at the test (ITI vs CS period), the purpose of the reinstatement test is lost in the sense of whether a previous memory was reactivated - was the response to the CS restored above and beyond the freezing to the context? I think the authors must somehow incorporate these different phases (CS vs ITI) into their model, particularly since this type of memory retrieval that depends on assessing latent states is specifically why the authors justified using the latent causal model.

      To clarify the contribution of context, we have provided preCS freezing rate across trials in Figure 2 – figure supplement 2. As the reviewer pointed out, the preCS freezing rate did not remain at the same level across trials, especially within the 12-month-old control and App<sup>NL-G-F</sup> group (Figure 2 – figure supplement 2A and 2B), suggesting the effect context. A paired samples t-test comparing preCS freezing (Figure 2 – figure supplement 2E) and CS freezing (Figure 2E) in test 3 revealed significant differences in all groups: 6-month-old control, t(23) = -6.344, p < 0.001, d = -1.295; 6-month-old App<sup>NL-G-F</sup>, t(24) = -4.679, p < 0.001, d = -0.936; 12-month-old control, t(23) = -4.512, p < 0.001, d = 0.921; 12-month-old App<sup>NL-G-F</sup>, t(24) = -2.408, p = 0.024, d = -0.482. These results indicate that the response to CS was above and beyond the response to context only. We also compared the change in freezing rate (CS freezing rate minus preCS freezing rate) in test 2 and test 3 to examine the net response to the tone. The significant difference was found in the control group, but not in the App<sup>NL-GF</sup> group (Author response image 3). The increased net response to the tone in the control group suggested that the reinstatement was partially driven by reactivation of acquisition memory, not solely by the contextual US learning during the unsignaled shock phase. We have added these results and discussion in the manuscript Line 220-231.

      Author response image 3.

      Net freezing rate in test 2 and test 3. Net freezing rate is defined as the CS freezing rate (i.e., freezing rate during 1 min CS presentation) minus the preCS freezing rate (i.e., 1 min before CS presentation). The dashed horizontal line indicates no freezing rate change from the preCS period to the CS presentation. *p < 0.05 by paired-sample Student’s t-test, and the alternative hypothesis specifies that test 2 freezing rate change is less than test 3. Colors indicate different groups: orange represents 6-month-old control (n = 24), light blue represents 6-month-old App<sup>NL-G-F</sup> mice (n = 25), pink represents 12-month-old control (n = 24), and dark blue represents 12-month-old App<sup>NL-G-F</sup> mice (n = 25). Each black dot represents one animal. Statistical results were as follows: t(23) = -1.927, p = 0.033, Cohen’s d = -0.393 in 6-month-old control; t(24) = -1.534, p = 0.069, Cohen’s d = -0.307 in 6-month-old App<sup>NL-G-F</sup>; t(23) = -1.775, p = 0.045, Cohen’s d = -0.362 in 12-month-old control; t(24) = 0.86, p = 0.801, Cohen’s d = 0.172 in 12-monthold App<sup>NL-G-F</sup>

      According to the latent cause model, if the reinstatement is merely induced by an association between the context and the US in the unsignaled shock phase, the CR given context only and that given context and CS in test 3 should be equal. However, the simulation conducted for each mouse using their estimated parameters confirmed that this was not the case in this study. The results showed that simulated CR was significantly higher in the context+CS condition than in the context only condition (Author response image 4). This trend is consistent with the behavioral results we mentioned above.

      Author response image 4.

      Simulation of context effect in test 3. Estimated parameter sets of each sample were used to run the simulation that only context or context with CS was present in test 3 (trial 36). The data are shown as median with interquartile range, where white bars with colored lines represent CR for context only and colored bars represent CR for context with CS. Colors indicate different groups: orange represents 6-month-old control (n = 15), light blue represents 6-month-old App<sup>NL-G-F</sup> mice (n = 12), pink represents 12-month-old control (n = 20), and dark blue represents 12-month-old App<sup>NL-G-F</sup> mice (n = 18). Each black dot represents one animal. **p < 0.01, and ***p < 0.001 by Wilcoxon signed-rank test comparing context only and context + CS in each group, and the alternative hypothesis specifies that CR in context is not equal to CR in context with CS. Statistical results were as follows: W = 15, p = 0.008, effect size r = -0.66 in 6-month-old control; W = 0, p < 0.001, effect size r = -0.88 in 6-month-old App<sup>NL-G-F</sup>; W = 25, p = 0.002, effect size r = -0.67 in 12-month-old control; W = 9, p = 0.002 , effect size r = -0.75 in 12-month-old App<sup>NL-G-F</sup>

      [#14] (3) This is related to the second point above. If the question is about the memory processes underlying memory retrieval at the test following reinstatement, then I would argue that the model parameters that are not involved in testing this hypothesis be fixed prior to the test. Unlike the Gershman paper that the authors cited, the authors fit all parameters for each animal. Perhaps the authors should fit certain parameters on the acquisition and extinction phase, and then leave those parameters fixed for the reinstatement phase. To give a more concrete example, if the hypothesis is that AD mice have deficits in differentiating or retrieving latent states during reinstatement which results in the low response to the CS following reinstatement, then perhaps parameters such as the learning rate should be fixed at this point. The authors state that the 12-month-old AD mice have substantially lower learning rate measures (almost a 20-fold reduction!), which can be clearly seen in the very low weights attributed to the AD mouse in Figure 3D. Based on the example in Figure 3D, it seems that the reduced learning rate in these mice is most likely caused by the failure to respond at test. This is based on comparing the behavior in Figures 3C to 3D. The acquisition and extinction curves appear extremely similar across the two groups. It seems that this lower learning rate may indirectly be causing most of the other effects that the authors highlight, such as the low σx, and the changes to the parameters for the CR. It may even explain the extremely high K. Because the weights are so low, this would presumably lead to extremely low likelihoods in the posterior estimation, which I guess would lead to more latent states being considered as the posterior would be more influenced by the prior.

      We thank the reviewer for the suggestion about fitting and fixing certain parameters in different phases.

      However, this strategy may not be optimal for our study for the following scientific reasons.

      Our primary purpose is to explore internal states in the memory modification process that are associated with the deficit found in App<sup>NL-G-F</sup> mice in the reinstatement paradigm. We did not restrict the question to memory retrieval, nor did we have a particular hypothesis such that only a few parameters of interest account for the impaired associative learning or structure learning in App<sup>NL-G-F</sup> mice while all other parameters are comparable between groups. We are concerned that restricting questions to memory retrieval at the test is too parsimonious and might lead to misinterpretation of the results. As we explain in reply to comment #5, removing trials in extinction during parameter estimation reduces the model fit performance and runs the risk of overfitting within the individual. Therefore, we estimated all parameters for each animal, with the assumption that the estimated parameter set represents individual internal state (i.e., learning and memory characteristics) and should be fixed within the animal across all trials.  

      Figure 3 is the parameter estimation and simulation results using the median data of each group as an individual. The estimated parameter value is one of the possible cases in that group to demonstrate how a typical learning curve fits the latent cause model. The reviewer mentioned “20-fold reduction in learning rate” is the comparison of two data points, not the actual comparison between groups. The comparison between control and App<sup>NL-G-F</sup> mice in the 12-month-old group for all parameters was provided in Table S7. The Mann-Whitney U test did not reveal a significant difference in learning rate (η): 12-month-old control (Mdn = 0.09, IQR=0.23) vs. 12-month-old App<sup>NL-G-F</sup> (Mdn = 0.12, IQR=0.23), U = 199, p = 0.587.  

      We agree that lower learning rate could bias the learning toward inferring a new latent cause. However, this tendency may depend on the value of other parameters and varied in different phases in the reinstatement paradigm. Here, we used ⍺ as an example and demonstrate their interaction in Appendix 2 – table 2 with relatively extreme values: ⍺ \= {1, 3} and η \= {0.01, 0.5} while the rest of the parameters fixed at the initial guess value. 

      When ⍺ = 1, the number of latent causes across phases (K<sub>acq</sub>, K<sub>ext</sub>, K<sub>rem</sub>) remain unchanged and their posterior probability in test 3 were comparable even if η increased from 0.01 to 0.5. This is an example that lower η does not lead to inferring new latent causes because of low ⍺. The effect of low learning rate manifests in test 3 CR due to low w<sub>context, acq</sub> and w<sub>context, ext</sub>

      When ⍺ = 3, the number of acquisition latent causes (K<sub>acq</sub>) was higher in the case of η = 0.01 than that of η = 0.5, showing the effect mentioned by the reviewer. However, test 1 CR is much lower when η = 0.01, indicating unsuccessful learning even after inferring a new latent cause. This is none of the cases observed in this study. During extinction phases, the effect of η is surpassed by the effect of high ⍺, where the number of extinction latent causes (K<sub>ext</sub>) is high and not affected by η. After the extinction phases, the effect of K kicks in as the total number of latent causes reaches its value (K = 33 in this example), especially in the case of η = 0.01. A new latent cause is inferred after extinction in the condition of η = 0.5, but the CR 3 is still high as the w<sub>context, acq</sub> and w<sub>context, ext</sub> are high. This is an example that a new latent cause is inferred in spite of higher η

      Overall, the learning rate would not have a prominent effect alone throughout the reinstatement paradigm, and it has a joint effect with other parameters. Note that the example here did not cover our estimated results, as the estimated learning rate was not significantly different between control and App<sup>NL-G-F</sup> mice (see above). Please refer to the reply to comment #31 for more discussion about the interaction among parameters when the learning rate is fixed. We hope this clarifies the reviewer’s concern.

      [#15] (4) Why didn't the authors use the latent causal model on the Barnes maze task? The authors mention in the discussion that different cognitive processes may be at play across the two tasks, yet reversal tasks have been suggested to be solved using latent states to be able to flip between the two different task states. In this way, it seems very fitting to use the latent cause model. Indeed, it may even be a better way to assess changes in σx as there are presumably 12 observable stimuli/locations.

      Please refer to our provisional response about the application of the latent cause model to the reversal Barnes maze task. Briefly, it would be difficult to directly apply the latent cause model to the Barnes maze data because this task involves operant learning, and thereby almost all conditions in the latent cause model are not satisfied. Please also see our reply to comment #24 for the discussion of the link between the latent cause model and Barnes maze task. 

      Reviewer #2 (Recommendations for the authors):

      [#16] (1) I had a bit of difficulty finding all the details of the model. First, I had to mainly rely on the Gershman 2017 paper to understand the model. Even then, there were certain aspects of the model that were not clear. For instance, it's not quite clear to me when the new internal states are created and how the maximum number of states is determined. After reading the authors' methods and the Gershman paper, it seems that a new internal state is generated at each time point, aka zt, and that the prior for that state decays onwards from alpha. Yet because most 'new' internal states don't ever take on much of a portion of the posterior, most of these states can be ignored. Is that a correct understanding? To state this another way, I interpret the equation on line 129 to indicate that the prior is determined by the power law for all existing internal states and that each new state starts with a value of alpha, yet I don't see the rule for creating a new state, or for iterating k other than that k iterates at each timestep. Yet this seems to not be consistent with the fact that the max number of states K is also a parameter fit. Please clarify this, or point me to where this is better defined.

      I find this to be an important question for the current paper as it is unclear to me when the states were created. Most notably, in Figure 3, it's important to understand why there's an increase in the posterior of z<sub>5</sub> in the AD 12-month mice at test. Is state z<sub>5</sub> generated at trial 5? If so, the prior would be extremely small by trial 36, making it even more perplexing why z<sub>5</sub> has such a high posterior. If its weights are similar to z<sub>3</sub> and z<sub>4</sub>, and they have been much more active recently, why would z<sub>5</sub> come into play?

      We assume that the “new internal state" the reviewer is referring to is the “new latent cause." We would like to clarify that “internal state" in our study refers to all the latent causes at a given time point and observation. As this manuscript is submitted as a Research Advance article in eLife, we did not rephrase all the model details. Here, we explain when a new latent cause is created (i.e., the prior probability of a new latent cause is greater than 0) with the example of the 12-month-old group (Figure 3C and 3D). 

      Suppose that before the start of each trial, an agent inferred the most likely latent cause with maximum posterior, and it inferred k latent causes so far. A new latent cause can be inferred at the computation of the prior of latent causes at the beginning of each trial.  

      In the latent cause model, it follows a distance-dependent Chinese Restaurant Process (CRP; Blei and Frazier, 2011). The prior of each old latent cause is its posterior probability, which is the final count of the EM update before the current. In addition, the prior of old latent causes is sensitive to the time passage so that it exponentially decreases as a forgetting function modulated by g (see Figure 2 in Gershman et al., 2017). Simultaneously, the prior of a new cause is assigned ⍺. The new latent cause is inferred at this moment. Hence, the prior of latent causes is jointly determined by ⍺, g and its posterior probability. The maximum number of latent causes K is set a priori and does not affect the prior while k < K (see also reply to comment #30 for the discussion of boundary set for K and comment #31 for the discussion of the interaction between ⍺ and K). Note that only one new latent cause can be inferred in each trial, and (k+1)<sup>th</sup> latent cause, which has never been inferred so far, is chosen as the new latent cause.

      In our manuscript, the subscript number in zₖ denotes the order in which they were inferred, not the trial number. In Figures 3C and 3D, z<sub>3</sub> and z<sub>4</sub> were inferred in trials 5 and 6 during extinction; z<sub>5</sub> is a new latent cause inferred in trial 36. Therefore, the prior of z<sub>5</sub> is not extremely small compared to z<sub>4</sub> and z<sub>3</sub>.

      In both control and App<sup>NL-G-F</sup> mice in the 12-month-old (Figures 3C and 3D), z<sub>3</sub> is dominant until trial 35. The unsignaled shock at trial 35 generates a large prediction error as only context is presented and followed by the US. This prediction error reduces posterior of z<sub>3</sub>, while increasing the posterior of z<sub>4</sub> and w<sub>context</sub> in z<sub>3</sub> and z<sub>4</sub>. This decrease of posterior of z<sub>3</sub> is more obvious in the App<sup>NL-G-F</sup> than in the control group, prompting them to infer a new latent cause z<sub>5</sub> (Figure 3C and 3D). Although Figure 3C and 3D are illustrative examples as we explained in the reply to comment #14, this interpretation would be plausible as the App<sup>NL-G-F</sup> group inferred a significantly larger number of latent causes after the extinction with slightly higher posteriors of them than those in the control group (Figure 4E).

      [#17] (2) Related to the above, Are the states z<sub>A</sub> and z<sub>B</sub> defined by the authors to help the reader group the states into acquisition and extinction states, or are they somehow grouped by the model? If the latter is true, I don't understand how this would occur based on the model. If the former, could the authors state that these states were grouped together by the author?

      We used z<sub>A</sub> and z<sub>B</sub> annotations to assist with the explanation, so this is not grouped by the model. We have stated this in the manuscript Line 181-182.

      [#18] (3) This expands on the third point above. In Figure 3D, internal states z<sub>3</sub>, z<sub>4</sub>, and z<sub>5</sub> appear to be pretty much identical in weights in the App group. It's not clear to me why then the posterior of z<sub>5</sub> would all of a sudden jump up. If I understand correctly, the posterior is the likelihood of the observations given the internal state (presumably this should be similar across z<sub>3</sub>, z<sub>4</sub>, and z<sub>5</sub>), multiplied by the prior of the state. Z3 and Z4 are the dominant inferred states up to state 36. Why would z<sub>5</sub> become more likely if there doesn't appear to be any error? I'm inferring no error because there are little or no changes in weights on trial 36, most prominently no changes inz<sub>3</sub> which is the dominant internal state in step 36. If there's little change in weights, or no errors, shouldn't the prior dominate the calculation of the posterior which would lead to z<sub>3</sub> and z<sub>4</sub> being most prominent at trial 36?

      We have explained how z<sub>5</sub> of the 12-month-old App<sup>NL-G-F</sup> was inferred in the reply to comment #16. Here, we explain the process underlying the rapid changes of the posterior of z<sub>3</sub>, z<sub>4</sub>, and z<sub>5</sub> from trial 35 to 36.

      During the extinction, the mice inferred z<sub>3</sub> given the CS and the context in the absence of US. In trial 35, they observed the context and the unsignaled shock in the absence of the CS. This reduced the likelihood for the CS under z<sub>3</sub> and thereby the posterior of z<sub>3</sub>, while relatively increasing the posterior of z<sub>4</sub>. The associative weight between the context and the US , w<sub>context</sub>, indeed increased in both z<sub>3</sub> and z<sub>4</sub>, but w<sub>context</sub> of z<sub>4</sub> was updated more than that of z<sub>3</sub> due to its higher posterior probability. At the beginning of trial 36, a new latent cause z<sub>5</sub> was inferred with a certain prior (see also the reply for comment #16), and w<sub>5</sub> = w<sub>0</sub>, where w<sub>0</sub> is the initial value of weight. After normalizing the prior over latent causes, the emergence of z<sub>5</sub> reduced the prior probability of other latent causes compared to the case where the prior of z<sub>5</sub> is 0. Since the CS was presented while the US was absent in trial 36, the likelihood of the CS and that of the US under z<sub>3</sub>, and especially z<sub>4</sub>, given the cues and w became lower than the case in which z<sub>5</sub> has not been inferred yet. Consequently, the posterior of z<sub>5</sub> became salient (Figure 3D).

      To maintain consistency across panels, we used a uniform y-axis range. However, we acknowledge that this may make it harder to notice the changes of associative weights in Figure 3D. We have provided the subpanel in Figure 3D with a smaller y-axis limit to reveal the weight changes at trial 35 in Author response image 5.

      Author response image 5.

      Magnified view of w<sub>context</sub> and wCS in the last 3 trials in Figure 3D. The graph format is the same as in Figure 3D. The weight for CS (w<sub>CS</sub>) and that for context (w<sub>context</sub>) in each latent cause across trial 34 (test 2), 35 (unsignaled shock), and 36 (test 3) in 12-month-old App<sup>NL-G-F</sup> in Figure 3D was magnified in the upper and lower magenta box, respectively.

      [#19] (8) In Figure 4B - The figure legend didn't appear to indicate at which time points the DIs are plotted.

      We have amended the figure legend to indicate that DI between test 3 and test 1 is plotted.

      [#20] (9) Lines 301-303 state that the posterior probabilities of the acquisition internal states in the 12month AD mice were much higher at test 1 and that this resulted in different levels of CR across the control and 12-month App group. This is shown in the Figure 4A supplement, but this is not apparent in Figure 3 panels C and D. Is the example shown in panel D not representative of the group? The CRs across the two examples in Figure 3 C and D look extremely similar at test 1. Furthermore, the posteriors of the internal states look pretty similar across the two groups for the first 4 trials. Both the App and control have substantial posterior probabilities for the acquisition period, I don't see any additional states at test 1. The pattern of states during acquisition looks strikingly similar across the two groups, whereas the weights of the stimuli are considerably different. I think it would help the authors to use an example that better represents what the authors are referring to, or provide data to illustrate the difference. Figure 4C partly shows this, but it's not very clear how strong the posteriors are for the 3rd state in the controls.

      Figure 3 serves as an example to explain the internal states in each group (see also the third paragraph in the reply to comment #14). Figure 4C to H showed the results from each sample for between-group comparison in selected features. Therefore, the results of direct comparisons of the parameter values and internal states between genotypes in Figure 3 are not necessarily the same as those in Figure 4. Both examples in Figure 3C and 3D inferred 2 latent causes during the acquisition. In terms of posterior till test 1 (trial 4), the two could be the same. However, such examples were not rare, as the proportion of the mice that inferred 2 latent causes during the acquisition was slightly lower than 50% in the control, and around 90% in the App<sup>NL-G-F</sup> mice (Figure 4C). The posterior probability of acquisition latent cause in test 1 showed a similar pattern (Figure 4 – figure supplement 3), with values near 1 in around 50% of the control mice and around 90% of the App<sup>NL-G-F</sup> mice.  

      [#21] (10) Line 320: This is a confusing sentence. I think the authors are saying that because the App group inferred a new state during test 3, this would protect the weights of the 'extinction' state as compared to the controls since the strength of the weight updates depends on the probability of the posterior.

      In order to address this, we have revised this sentence to “Such internal states in App<sup>NL-G-F</sup> mice would diverge the associative weight update from those in the control mice after extinction.” in the manuscript Line 349-351.

      [#22] (11) In lines 517-519 the authors address the difference in generalizing the occurrence of stimuli across the App and control groups. It states that App mice with lower alpha generalized observations to an old cause rather than attributing it as a new state. Going back to statement 3 above, I think it's important to show that the model fit of a reduction in alpha does not go hand-in-hand with a reduction in the learning rates and hence the weights. Again, if the likelihoods are diminished due to the low weights, then the fit of alpha might be reduced as well. To reiterate my point above, if the observations in changes in generalization and differentiation occur because of a reduction in the learning rate, the modeling may not be providing a particularly insightful understanding of AD, other than that poor learning leads to ineffectual generalization and differentiation. Do these findings hold up if the learning rates are more comparable across the control and App group?

      These findings were explained on the basis of comparable learning rates between control and App<sup>NL-GF</sup> mice in the 12-month-old group (see the reply to comment #14). In addition, we have conducted simulation for different ⍺ and σ<sub>x</sub><sup>2</sup> values under the condition of the fixed learning rate, where overgeneralization and overdifferentaiton still occurred (see the reply to comment #26).  

      [#23] (12) Lines 391 - 393. This is a confusing sentence. "These results suggest that App NL-G-F mice could successfully form a spatial memory of the target hole, while the memory was less likely to be retrieved by a novel observation such as the absence of the escape box under the target hole at the probe test 1." The App mice show improved behavior across days of approaching the correct hole. Is this statement suggesting that once they've approached the target hole, the lack of the escape box leads to a reduction in the retention of that memory?

      We speculated that when the mice observed the absence of the escape box, a certain prediction error would be generated, which may have driven the memory modification. In App<sup>NL-G-F</sup> mice, such modification, either overgeneralization or overdifferentiation, could render the memory of the target hole vulnerable; if overgeneralization occurred, the memory would be quickly overwritten as the goal no longer exists in this position in this maze, while if overdifferentiation occurred, a novel memory such that the goal does not exist in the maze different from previous one would be formed. In either case of misclassification, the probability of retrieving the goal position would be reduced. To reduce ambiguity in this sentence, we have revised the description in the manuscript Line 432-434 as follows: “These results suggest that App<sup>NL-G-F</sup> mice could successfully form a spatial memory of the target hole, while they did not retrieve the spatial memory of the target hole as strongly as control mice when they observed the absence of the escape box during the probe test.”

      [#24] (13) The connection between the results of Barnes maze and the fear learning paradigm is weak. How can changes in overgeneralization due to a reduction in the creation of inferred states and differentiation due to a reduced σx lead to the observations in the Barnes maze experiment?

      We extrapolated our interpretation in the reinstatement modeling to behaviors in a different behavioral task, to explore the explanatory power of the latent cause framework formalizing mechanisms of associative learning and memory modification. Here, we explain the results of the reversal Barnes maze paradigm in terms of the latent cause model, while conferring the reinstatement paradigm.

      Whilst we acknowledge that fear conditioning and spatial learning are not fully comparable, the reversal Barnes maze paradigm used in our study shares several key learning components with the reinstatement paradigm. 

      First, associative learning is fundamental in spatial learning (Leising & Blaisdell, 2009; Pearce, 2009). Although we did not make any specific assumptions of what kind of associations were learned in the Barnes maze, performance improvements in learning phases likely reflect trial-and-error updates of these associations involving sensory preconditioning or secondary conditioning. Second, the reversal training phases could resemble the extinction phase in the reinstatement paradigm, challenge previously established memory. In terms of the latent cause model, both the reversal learning phase in the reversal Barnes maze paradigm and the extinction phase in the reinstatement paradigm induce a mismatch of the internal state. This process likely introduces large prediction errors, triggering memory modification to reconcile competing memories.  

      Under the latent cause framework, we posit that the mice would either infer new memories or modify existing memories for the unexpected observations in the Barnes maze (e.g., changed location or absence of escape box) as in the reinstatement paradigm, but learn a larger number of association rules between stimuli in the maze compared to those in the reinstatement. In the reversal Barnes maze paradigm, the animals would infer that a latent cause generates the stimuli in the maze at certain associative weights in each trial, and would adjust behavior by retaining competing memories.

      Both overgeneralization and overdifferentiation could explain the lower exploration time of the target hole in the App<sup>NL-G-F</sup> mice in probe test 1. In the case of overgeneralization, the mice would overwrite the existing spatial memory of the target hole with a memory that the escape box is absent. In the case of overdifferentiation, the mice would infer a new memory such that the goal does not exist in the novel field, in addition to the old memory where the goal exists in the previous field. In both cases, the App<sup>NL-G-F</sup> mice would not infer that the location of the goal is fixed at a particular point and failed to retain competing spatial memories of the goal, leading to relying on a less precise, non-spatial strategy to solve the task.  

      Since there is no established way to formalize the Barnes maze learning in the latent cause model, we did not directly apply the latent cause model to the Barnes maze data. Instead, we used the view above to explore common processes in memory modification between the reinstatement and the Barnes maze paradigm. 

      The above description was added to the manuscript on page 13 (Line 410-414) and page 19-20 (Line 600-602, 626-639).

      [#25] (14) In the fear conditioning task, it may be valuable to separate responding to the context and the cue at the time of the final test. The mice can learn about the context during the reinstatement, but there must be an inference to the cue as it's not present during the reinstatement phase. This would provide an opportunity for the model to perhaps access a prior state that was formed during acquisition. This would be more in line with the original proposal by Gershman et al. 2017 with spontaneous recovery.

      Please refer to the reply to comment #13 regarding separating the response to context in test 3.  

      Reviewer #3 (Public review):

      Summary:

      This paper seeks to identify underlying mechanisms contributing to memory deficits observed in Alzheimer's disease (AD) mouse models. By understanding these mechanisms, they hope to uncover insights into subtle cognitive changes early in AD to inform interventions for early-stage decline.

      Strengths:

      The paper provides a comprehensive exploration of memory deficits in an AD mouse model, covering the early and late stages of the disease. The experimental design was robust, confirming age-dependent increases in Aβ plaque accumulation in the AD model mice and using multiple behavior tasks that collectively highlighted difficulties in maintaining multiple competing memory cues, with deficits most pronounced in older mice.

      In the fear acquisition, extinction, and reinstatement task, AD model mice exhibited a significantly higher fear response after acquisition compared to controls, as well as a greater drop in fear response during reinstatement. These findings suggest that AD mice struggle to retain the fear memory associated with the conditioned stimulus, with the group differences being more pronounced in the older mice.

      In the reversal Barnes maze task, the AD model mice displayed a tendency to explore the maze perimeter rather than the two potential target holes, indicating a failure to integrate multiple memory cues into their strategy. This contrasted with the control mice, which used the more confirmatory strategy of focusing on the two target holes. Despite this, the AD mice were quicker to reach the target hole, suggesting that their impairments were specific to memory retrieval rather than basic task performance.

      The authors strengthened their findings by analyzing their data with a leading computational model, which describes how animals balance competing memories. They found that AD mice showed somewhat of a contradiction: a tendency to both treat trials as more alike than they are (lower α) and similar stimuli as more distinct than they are (lower σx) compared to controls.

      Weaknesses:

      While conceptually solid, the model struggles to fit the data and to support the key hypothesis about AD mice's ability to retain competing memories. These issues are evident in Figure 3:

      [#26] (1) The model misses key trends in the data, including the gradual learning of fear in all groups during acquisition, the absence of a fear response at the start of the experiment, the increase in fear at the start of day 2 of extinction (especially in controls), and the more rapid reinstatement of fear observed in older controls compared to acquisition.

      We acknowledge these limitations and explained why they arise in the latent cause model as follows.

      a. Absence of a fear response at the start of the experiment and the gradual learning of fear during acquisition 

      In the latent cause model, the CR is derived from a sigmoidal transformation from the predicted outcome with the assumption that its mapping to behavioral response may be nonlinear (see Equation 10 and section “Conditioned responding” in Gershman et al., 2017). 

      The magnitude of the unconditioned response (trial 1) is determined by w<sub>0</sub>, θ, and λ. An example was given in Appendix 2 – table 3. In general, a higher w<sub>0</sub> and a lower θ produce a higher trial 1 CR when other parameters are fixed. During the acquisition phase, once the expected shock exceeds θ, CR rapidly approaches 1, and further increases in expected shock produce few changes in CR. This rapid increase was also evident in the spontaneous recovery simulation (Figure 11) in Gershman et al. (2017). The steepness of this rapid increase is modulated by λ such that a higher value produces a shallower slope. This is a characteristic of the latent cause model, assuming CR follows a sigmoid function of expected shock, while the ordinal relationship over CRs is maintained with or without the sigmoid function, as Gershman et al. (2017) mentioned. If one assumes that the CR should be proportional to the expected shock, the model can reproduce the gradual response as a linear combination of w and posteriors of latent causes while omitting the sigmoid transformation (Figure 3). 

      b. Increase in fear at the start of day 2 extinction

      This point is partially reproduced by the latent cause model. As shown in Figure 3, trial 24 (the first trial of day 2 extinction) showed an increase in both posterior probability of latent cause retaining fear memory and the simulated CRs in all groups except the 6-month-old control group, though the increase in CR was small due to the sigmoid transformation (see above). This can be explained by the latent cause model as 24 h time lapse between extinction 1 and 2 decreases the prior of the previously inferred latent cause, leading to an increase of those of other latent causes. 

      Unlike other groups, the 6-month-old control did not exhibit increased observed CR at trial 24

      but at trial 25 (Figure 3A). The latent cause model failed to reproduce it, as there was no increase in posterior probability in trial 24 (Figure 3A). This could be partially explained by the low value of g, which counteracts the effect of the time interval between days: lower g keeps prior of the latent causes at the same level as those in the previous trial. Despite some failures in capturing this effect, our fitting policy was set to optimize prediction among the test trials given our primary purpose of explaining reinstatement.

      c. more rapid reinstatement of fear observed in older controls compared to acquisition

      We would like to point out that this was replicated by the latent cause model as shown in Figure 3 – figure supplement 1C. The DI between test 3 and test 1 calculated from the simulated CR was significantly higher in 12-month-old control than in App<sup>NL-G-F</sup> mice (cf. Figure 2C to E).  

      [#27] (2) The model attributes the higher fear response in controls during reinstatement to a stronger association with the context from the unsignaled shock phase, rather than to any memory of the conditioned stimulus from acquisition. These issues lead to potential overinterpretation of the model parameters. The differences in α and σx are being used to make claims about cognitive processes (e.g., overgeneralization vs. overdifferentiation), but the model itself does not appear to capture these processes accurately. The authors could benefit from a model that better matches the data and that can capture the retention and recollection of a fear memory across phases.

      First, we would like to clarify that the latent cause model explains the reinstatement not only by the extinction latent cause with increased w<sub>context</sub> but also the acquisition latent cause with preserved wCS and w<sub>context</sub> (see also reply to comment #13). Second, the latent cause model primarily attributes the higher fear reinstatement in control to a lower number of latent causes inferred after extinction (Figure 4E) and higher w<sub>context</sub> in extinction latent cause (Figure 4G). We noted that there was a trend toward significance in the posterior probability of latent causes inferred after extinction (Figure 4E), which in turn influences those of acquisition latent causes. Although the posterior probability of acquisition latent cause appeared trivial and no significance was detected between control and App<sup>NL-G-F</sup> mice (Figure 4C), it was suppressed by new latent causes in App<sup>NL-G-F</sup> mice (Author response image 6).

      This indicates that App<sup>NL-G-F</sup> mice retrieved acquisition memory less strongly than control mice. Therefore, we argue that the latent cause model attributed a higher fear response in control during reinstatement not solely to the stronger association with the context but also to CS fear memory from acquisition. Although we tested whether additional models fit the reinstatement data in individual mice, these models did not satisfy our fitting criteria for many mice compared to the latent cause model (see also reply to comment #4 and #28).

      Author response image 6.

      Posterior probability of acquisition, extinction, and after extinction latent causes in test 3. The values within each bar indicate the mean posterior probability of acquisition latent cause (darkest shade), extinction latent cause (medium shade), and latent causes inferred after extinction (lightest shade) in test 3 over mice within genotype. Source data are the same as those used in Figure 4C–E (posterior of z).

      Conclusion:

      Overall, the data support the authors' hypothesis that AD model mice struggle to retain competing memories, with the effect becoming more pronounced with age. While I believe the right computational model could highlight these differences, the current model falls short in doing so.

      Reviewer #3 (Recommendations for the authors):

      [#28] Other computational models may better capture the data. Ideally, I'd look for a model that can capture the gradual learning during acquisition, and, in some mice, the inferring of a new latent cause during extinction, allowing the fear memory to be retained and referenced at the start of day 2 extinction and during later tests.

      We have further evaluated another computational model, the latent state model, and compared it with the latent cause model. The simulation of reinstatement and parameter estimation method of the latent state model were described in the Appendix.

      The latent state model proposed by Cochran and Cisler (2019) shares several concepts with the latent cause model, and well replicates empirical data under certain conditions. We expect that it can also explain the reinstatement. 

      Following the same analysis flow for the latent cause model, we estimated the parameters and simulated reinstatement in the latent state model from individual CRs and median of them. In the median freezing rate data of the 12-month-old control mice, the simulated CR replicated the observed CR well and exhibited the ideal features that the reviewer looked for: gradual learning during acquisition and an increased fear at the start of the second-day extinction (Appendix 1 – figure 1G). However, a lot of samples did not fit well to the latent state model. The number of anomalies was generally higher than that in the latent cause model (Appendix 1 – figure 2). Within the accepted samples, the sum of squared prediction error in all trials was significantly lower in the latent state model, which resulted from lower prediction error in the acquisition trials (Appendix 1 – figure 4A and 4B). In the three test trials, the squared prediction error was comparable between the latent state model and the latent cause model except for the test 2 trials in the control group (Appendix 1 – figure 4A and 4B, rightmost panel). On the other hand, almost all accepted samples continued to infer the acquisition latent states during extinction without inferring new states (Appendix 1 – figure 5B and 5E, left panel), which differed from the ideal internal states the reviewer expected. While the latent state model fit performance seems to be better than the latent cause model, the accepted samples cannot reproduce the lower DI between test 3 and test 1 in aged App<sup>NL-G-F</sup> mice (Appendix 1 – figure 6C). These results make the latent state model less suitable for our purpose and therefore we decided to stay with the latent cause model. It should also be noted that we did not explore all parameter spaces of the latent state model hence we cannot rule out the possibility that alternative parameter sets could provide a better fit and explain the memory modification process well. A more comprehensive parameter search in the LSM may be a valuable direction for future research.

      If you decide not to go with a new model, my preference would be to drop the current modeling. However, if you wish to stay with the current model, I'd like to see justification or acknowledgment of the following:

      [#29] (1) Lower bound on alpha of 1: This forces the model to infer new latent causes, but it seems that some mice, especially younger AD mice, might rely more on classical associative learning (e.g., Rescorla-Wagner) rather than inferring new causes.

      We acknowledge that the default value set in Gershman et al. (2017) is 0.1, and the constraint we set is a much higher value. However, ⍺ = 1 does not always force the model to infer new latent causes.

      In the standard form Chinese restaurant process (CRP), the prior that n<sup>th</sup> observation is assigned to a new cluster is given by ⍺ / (n - 1 + ⍺) (Blei & Gershman, 2012). When ⍺ = 1, the prior of the new cluster for the 2nd observation will be 0.5; when ⍺ = 3, this prior increases to 0.75. Thus, when ⍺ > 1, the prior of the new cluster is above chance early in the sequence, which may relate to the reviewer’s concern. However, this effect diminishes as the number of observations increases. For instance, the prior of the new cluster drops to 0.1 and 0.25 for the 10th observation when ⍺ = 1 and 3, respectively. Furthermore, the prior in the latent cause model is governed by not only α but also g, a scaling parameter for the temporal difference between successive observations (see Results in the manuscript) following “distance-dependent” CRP, then normalized over all latent causes including a new latent cause. Thus, it does not necessarily imply that ⍺ greater than 1 forces agents to infer a new latent cause_. As shown in Appendix 2 – table 4, the number of latent causes does not inflate in each trial when _α = 1. On the other hand, the high number of latent causes due to α = 2 can be suppressed when g = 0.01. More importantly, the driving force is the prediction error generated in each trial (see also comment #31 about the interaction between ⍺ and σ<sub>x</sub><sup>2</sup>). Raising the value of ⍺ per se can be viewed as increasing the probability to infer a new latent cause, not forcing the model to do so by higher α alone. 

      During parameter exploration using the median behavioral data under a wider range of ⍺ with a lower boundary at 0.1, the estimated value eventually exceeded 1. Therefore, we set the lower bound of ⍺ to be 1 is to reduce inefficient sampling. 

      [#30] (2) Number of latent causes: Some mice infer nearly as many latent causes as trials, which seems unrealistic.

      We set the upper boundary for the maximum number of latent causes (K) to be 36 to align with the infinite features of CRP. This allowed some mice to infer more than 20 latent causes in total. When we checked the learning curves in these mice, we found that they largely fluctuated or did not show clear decreases during the extinction (Author response image 7, colored lines). The simulated learning curves were almost flat in these trials (Author response image 7, gray lines). It might be difficult to estimate the internal states of such atypical mice if the sampling process tried to fit them by increasing the number of latent causes. Nevertheless, most of the samples have a reasonable total number of latent causes: 12-month-old control mice, Mdn = 5, IQR = 4; 12-month-old App<sup>NL-G-F</sup> mice, Mdn = 5, IQR = 1.75; 6-month-old control mice, Mdn = 7, IQR = 12.5; 6-month-old App<sup>NL-G-F</sup> mice, Mdn = 5, IQR = 5.25. These data were provided in Tables S9 and S12.  

      Author response image 7.

      Samples with a high number of latent causes. Observed CR (colored line) and simulated CR (gray line) for individual samples with a total number of inferred latent causes exceeding 20. 

      [#31] (3) Parameter estimation: With 10 parameters fitting one-dimensional curves, many parameters (e.g., α and σx) are likely highly correlated and poorly identified. Consider presenting scatter plots of the parameters (e.g., α vs σx) in the Supplement.

      We have provided the scatter plots with a correlation matrix in Figure 4 – figure supplement 1 for the 12-month-old group and Figure 5 – figure supplement 1 for the 6-month-old group. As pointed out by the reviewer, there are significant rank correlations between parameters including ⍺ and σ<sub>x</sub><sup>2</sup> in both the 6 and 12-month-old groups. However, we also noted that there are no obvious linear relationships between the parameters.

      The correlation above raises a potential problem of non-identifiability among parameters. First, we computed the variance inflation index (VIF) for all parameters to examine the risk of multicollinearity, though we did not consider a linear regression between parameters and DI in this study. All VIF values were below the conventional threshold 10 (Appendix 2 – table 5), suggesting that severe multicollinearity is unlikely to bias our conclusions. Second, we have conducted the simulation with different combinations of ⍺, σ<sub>x</sub><sup>2</sup>, and K to clarify their contribution to overgeneralization and overdifferentiation observed in the 12-month-old group. 

      In Appendix 2 – table 6, the values of ⍺ and σ<sub>x</sub><sup>2</sup> were either their upper or lower boundary set in parameter estimation, while the value K was selected heuristically to demonstrate its effect. Given the observed positive correlation between alpha and σ<sub>x</sub><sup>2</sup>, and their negative correlation with K (Figure 4 - figure supplement 1), we consider the product of K \= {4, 35}, ⍺ \= {1, 3} and σ<sub>x</sub><sup>2</sup> \= {0.01, 3}. Among these combinations, the representative condition for the control group is α = 3, σ<sub>x</sub><sup>2</sup> = 3, and that for the App<sup>NL-G-F</sup> group is α = 1, σ<sub>x</sub><sup>2</sup> = 0.01. In the latter condition, overgeneralization and overdifferentiation, which showed higher test 1 CR, lower number of acquisition latent causes (K<sub>acq</sub>), lower test 3 CR, lower DI between test 3 and test 1, and higher number of latent causes after extinction (K<sub>rem</sub>), was extremely induced. 

      We found conditions that fall outside of empirical correlation, such as ⍺ = 3, σ<sub>x</sub><sup>2</sup> = 0.01, also reproduced overgeneralization and overdifferentiation. Similarly, the combination, ⍺ = 1, σ<sub>x</sub><sup>2</sup> = 3, exhibited control-like behavior when K = 4 but shifted toward App<sup>NL-G-F</sup>-like behavior when K = 36. The effect of K was also evident when ⍺ = 3 and σ<sub>x</sub><sup>2</sup> = 3, where K = 36 led to over-differentiation. We note that these conditions were artificially set and likely not representative of biologically plausible. These results underscore the non-identifiability concern raised by the reviewer. Therefore, we acknowledge that merely attributing overgeneralization to lower ⍺ or overdifferentiation to lower σ<sub>x</sub><sup>2</sup> may be overly reductive. Instead, these patterns likely arise from the joint effect of ⍺, σ<sub>x</sub><sup>2</sup>, and K. We have revised the manuscript accordingly in Results and Discussion (page 11-13, 18-19).

      [#32] (4) Data normalization: Normalizing the data between 0 and 1 removes the interpretability of % freezing, making mice with large changes in freezing indistinguishable seem similar to mice with small changes.

      As we describe in our reply to comment #26, the conditioned response in the latent cause model was scaled between 0 and 1, and we assume 0 and 1 mean the minimal and maximal CR within each mouse, respectively. Furthermore, although we initially tried to fit simulated CRs to raw CRs, we found that the fitting level was low due to the individual difference in the degree of behavioral expression: some mice exhibited a larger range of CR, while others showed a narrower one. Thus, we decided to normalize the data. We agree that this processing will make the mice with high changes in freezing% indistinguishable from those with low changes. However, the freezing% changes within the mouse were preserved and did not affect the discrimination index.

      [#33] (5) Overlooking parameter differences: Differences in parameters, like w<sub>0</sub>, that didn't fit the hypothesis may have been ignored.

      Our initial hypothesis is that internal states were altered in App<sup>NL-G-F</sup> mice, and we did not have a specific hypothesis on which parameter would contribute to such a state. We mainly focus on the parameters (1) that are significantly different between control and App</sup>NL-G</sup>- mice and (2) that are significantly correlated to the empirical behavioral data, DI between test 3 and test 1. 

      In the 12-month-old group, besides ⍺ and σ<sub>x</sub><sup>2</sup>, w<sub>0</sub> and K showed marginal p-value in Mann-Whitney U test (Table S7) and moderate correlation with the DI (Table S8). While differences in K were already discussed in the manuscript, we did miss the point that w<sub>0</sub> could contribute to the differences in w between control and App<sup>NL-G-F</sup> (Figure 4G) in the previous manuscript. We explain the contribution of w<sub>0</sub> on the reinstatement results here. When other parameters are fixed, higher w<sub>0</sub> would lead to higher CR in test 3, because higher w<sub>0</sub> would allow increasing w<sub>context</sub> by the unsignaled shock, leading to reinstatement (Appendix 2 – table 7). It is likely that higher w<sub>0</sub> would be sampled through the parameter estimation in the 12-month-old control but not App<sup>NL-G-F</sup>. On the other hand, the number of latent causes is not sensitive to w<sub>0</sub> when other parameters were fixed at the initial guess value (Appendix 2 – table 1), suggesting w<sub>0</sub> has a small contribution to memory modification process. 

      Thus, we speculate that although the difference in w<sub>0</sub> between control and App<sup>NL-G-F</sup> mice may arise from the sampling process, resulting in a positive correlation with DI between test 3 and test 1, its contribution to diverged internal states would be smaller relative to α or σ<sub>x</sub><sup>2</sup> as a wide range of w<sub>0</sub> has no effect on the number of latent causes (Appendix 2 – table 7). We have added the discussion of differences in w<sub>0</sub> in the 12-month-old group in manuscript Line 357-359.

      In the 6-month-old group, besides ⍺ and σ<sub>x</sub><sup>2</sup>, 𝜃 is significantly higher in the AD mice group (Table S10) but not correlated with the DI (Table S11). We have already discussed this point in the manuscript.  

      [#34] (6) Initial response: Higher initial responses in the model at the start of the experiment may reflect poor model fit.

      Please refer to our reply to comment #26 for our explanation of what contributes to high initial responses in the latent cause model.

      In addition, achieving a good fit for the acquisition CRs was not our primary purpose, as the response measured in the acquisition phase includes not only a conditioned response to the CS and context but also an unconditioned response to the novel stimuli (CS and US). This mixed response presumably increased the variance of the measured freezing rate over individuals, therefore we did not cover the results in the discussion.

      Rather, we favor models at least replicating the establishment of conditioning, extinction and reinstatement of fear memory in order to explain the memory modification process. As we mentioned in the reply for comment #4, alternative models, the latent state model and the Rescorla-Wagner model, failed to replicate the observation (cf. Figure 3 – figure supplement 1A-1C). Thus, we chose to stand on the latent cause model as it aligns better with the purpose of this study. 

      [#35] In addition, please be transparent if data is excluded, either during the fitting procedure or when performing one-way ANCOVA. Avoid discarding data when possible, but if necessary, provide clarity on the nature of excluded data (e.g., how many, why were they excluded, which group, etc?).

      We clarify the information of excluded data as follows. We had 25 mice for the 6-month-old control group, 26 mice for the 6-month-old App<sup>NL-G-F</sup> group, 29 mice for the 12-month-old control group, and 26 mice for the 12-month-old App<sup>NL-G-F</sup> group (Table S1). 

      Our first exclusion procedure was applied to the freezing rate data in the test phase. If the mouse had a freezing rate outside of the 1.5 IQR in any of the test phases, it is regarded as an outlier and removed from the analysis (see Statistical analysis in Materials and Methods). One mouse in the 6-month-old control group, one mouse in the 6-month-old App<sup>NL-G-F</sup> group, five mice in the 12-month-old control group, and two mice in the 12-month-old App<sup>NL-G-F</sup> group were excluded.

      Our second exclusion procedure was applied during the fitting and parameter estimation (see parameter estimation in Materials and Methods). We have provided the number of anomaly samples during parameter estimation in Appendix 1 – figure 2.   

      Lastly, we would like to state that all the sample sizes written in the figure legends do not include outliers detected through the exclusion procedure mentioned above.

      [#36] Finally, since several statistical tests were used and the differences are small, I suggest noting that multiple comparisons were not controlled for, so p-values should be interpreted cautiously.

      We have provided power analyses in Tables S21 and S22 with methods described in the manuscript (Line 897-898) and added a note that not all of the multiple comparisons were corrected for in the manuscript (Line 898-899).

      References cited in the response letter only 

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    1. Author Response

      On behalf of my co-authors, I thank you very much for sending our manuscript (# eLifeRP-RA-2023-91223) entitled “Elimination of subtelomeric repeat sequences exerts little effect on telomere functions in Saccharomyces cerevisiae” for review and providing us an opportunity for revision. We also thank the reviewers for their critical and constructive comments and suggestions which have helped us to strengthen our study. We have performed more experiments to address the concerns the reviewers raised, and we have also revised or corrected some of our statements as the reviewers suggested.

      Reviewer #1

      1) The author’s data indicate that cells with many chromosomes are more dependent on possibly homologous recombination than SY12 cells with three chromosomes. Telomerase-deficient cells exhibit the type I and type II telomere structures, whereas telomerase-deficient SY12 cells often generate different telomere structures (named Type X survivors or atypical survivors). Type I survivor depends on Rad51 possessing tandem Y' elements whereas Type II survivor depends on Rad59 carrying long TG sequences (line 60-70). Both types require Rad52 (line 66-70). At the moment, it is not determined how Type X or atypical survivors are generated in telomerase-deficient SY12 cells.

      The authors need to determine whether Type X or atypical survivors depend on other repair pathways from Type I and Type II, and what DNA sequences are retained adjacent to telomeres in Type X or atypical survivors by sequencing analysis (Fig. 2).

      We thank the reviewer’s valuable comments and suggestions. Atypical survivor is a subtype of survivor that exhibits non-uniform telomere patterns, distinct from those observed in Type I, Type II, Type X, or circular survivors. To further determine its genetic requirements, we deleted RAD52 in SY12 tlc1Δ, SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ, and SY12XYΔ+Y tlc1Δ strains. Southern blotting results showed that neither Type I nor Type II survivors were found in the series of strains; circular survivor was in the predomination; beside circular survivor, some survivors exhibiting non-uniform telomere patterns suggested they were atypical survivor. These results have been presented as Figure 2—figure supplement 6B, Figure 5—figure supplement 2B and Figure 6—figure supplement 4B in the revised version. The results showed that atypical survivors still emerged when Rad52 pathway was repressed, indicating that the formation of atypical survivors does not strictly rely on the homologous recombination.

      Given that "atypical" clones exhibit non-uniform telomere patterns, it’s not surprising that their chromosome structures are variable and tanglesome. Consequently, it is hard for us to amplify and sequence the DNA sequences retained adjacent to telomeres.

      Since no Type X survivor was detected in SY12 tlc1Δ rad52Δ strain (Author response image 1A), we deleted RAD50 or RAD51 in SY12 tlc1Δ strain to investigate on which pathway the formation of the Type X survivor relied. Results showed that Type X survivor emerged in the absence of Rad51 but not Rad50, suggesting that the formation of Type X survivor depended on Rad50 pathway. These results have been presented as Figure 2—figure supplement 7.

      To determine the chromosomal end structure of the Type X survivor, we randomly selected a typical Type X survivor, and performed PCR-sequencing analysis. The results revealed the intact chromosome ends for I-L, X-R, XIII-L, XI-R, and XIV-R, albeit with some mismatches compared with the S. cerevisiae S288C genome, which possibly arising from recombination events that occurred during survivor formation. Notably, the sequence of the Y’-element in XVI-L could not be detected, while the X-element remained intact. Figure 2—figure supplement 5 in the revised manuscript.

      2) Survivor generation of each type (Type I, Type II, Type X or atypical and circularization) needs to be accurately quantitated. The authors concluded that X or Y' elements are not strictly necessary for survivor formation (Fig. 5 and Fig. 6). However, their removal appears to increase atypical survivor and chromosome circularization (Fig. 2 vs Fig. 5 and 6).

      We are grateful for the reviewer’s critical and constructive suggestions. According to the reviewer’s requirement, we quantified each type of survivors in SY12 tlc1Δ, SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ and SY12XYΔ+Y tlc1Δ strains (Figure 2D, 5C, 6A and 6B). In SY12 tlc1Δ strain, Type I survivors accounted for 16%, Type II survivors for 2%, Type X survivors for 24%, circular survivors for 20% and atypical survivors for 38%. In SY12YΔ tlc1Δ strain, 4% were Type II survivors, 52% were circular survivors and 44% were atypical survivors.

      For the SY12XYΔ tlc1Δ strain, 8% were Type II survivors, 48% were circular survivors and 44% were atypical survivors. In SY12XYΔ+Y tlc1Δ strain, the proportions of Type II, circular and atypical survivors were 14%, 44%, and 42%, respectively (Author response image 1).

      In comparing SY12YΔ with SY12XYΔ, we observed a similar ratio of circular and atypical survivors. This result indicates that the remove of X-elements exert little effect on the formation of circular and atypical survivors. Similarly, in SY12XYΔ+Y strain, the proportions of circular and atypical survivors were comparable to those in SY12XYΔ strain, indicating that Y’-elements also have little effect on the formation of circular and atypical survivors. However, due to the unknown frequency of survivor formation, alternative explanations of these data are possible. For example, subtelomeric elements previously suggested to have no impact on the formation of any survivor types might influence every type to similar extents, leading to similar ratios across all survivor types. With our present data, it is still unclear whether the absence of X and Y'-elements enhances the formation of circular and atypical survivors. Therefore, we did not present these results in the revised manuscript.

      Author response image 1.

      Quantitation of each survivor type in SY12 subtelomerice engineered strains. The ratio of survivor types in SY12 tlc1Δ, SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ and SY12XYΔ+Y tlc1Δ strains. Type I, pulper; Type II, green; Type X, gray; atypical survivor, orange; circular survivor, blue.

      3)The authors asked whether X and Y' elements are required for cell proliferation, stress response, telomere length control and telomere silencing (Fig. 4). Similar studies have been previously carried out by using synthetic chromosomes (see PMID: 28300123). The authors need to discuss this point.

      Thanks for your suggestion, we have added the information in the revised version. (p.24 line 449-453)

      4) The Fig. 7 data support that circular chromosomes do not require Ku-dependent DNA end protection. This is consistent with the current view that Ku binds and protects DNA ends. This finding by itself does not contribute significantly to our understanding of telomere maintenance. The authors need to more extensively discuss the significance of their findings in SY12 cells compared to wild-type cells with 16 chromosomes.

      We agree with the logic that this reviewer has pointed out. Our results demonstrate that combinatorial deletion of YKU70 and TLC1 caused synthetic lethality in SY12 cells, which possess three linear chromosomes, However, it did not affect the viability of "circular survivors", supporting the notion that telomere deprotection leads to the synthetic lethality in yku70Δ tlc1Δ double mutants. Nevertheless, this conclusion merely confirms the current view observed in wild-type cells that Ku binds and protects DNA ends.

      To avoid confusing readers and maintain the logical flow of the manuscript, we have deleted this section in the revised version.

      Minor issues:

      1) Line 112-113: " for SY13, which contains two chromosomes, could also have a high probability of circularizing all chromosomes for survival": The reference or the supplemental data are required.

      Thank this reviewer for the suggestion. According to the reviewer’s comments, we performed a Southern blotting assay to examine the types of survivors in SY13 tlc1Δ strain. We found that the majority of SY13 tlc1Δ clones exhibited hybridization signal similar to SY14 tlc1Δ circular survivors, pointing to the possibility that two chromosomes in these survivors may undergo intra-chromosomal fusions. This result has been added to figure 1D in the revised version.

      2) Line 349-350: The BY4742 mre11Δ haploid strain serves as a negative control. The authors need to explain why mre11 cells serve as a negative control.

      Thank this reviewer for the comment. We employed mre11Δ as negative control because Mre11 is a member of the RAD52 epistasis group, which is involved in the repair of double-stranded breaks in DNA, and mutants in MRE11 exhibit defects in the repair of DNA damages caused by DNA damage drugs (Krogh and Symington, 2004; Lewis et al., 2004; Symington, 2002). (p.23 line 420-422)

      Reviewer #2

      1) The qualification of survivor types mostly relies on molecular patterns in Southern blots. While this is a valid method for a standard strain, it might be more difficult to apply to the strains used in this study. For example, in SY8, SY11 and SY12, the telomere signal at 1-1.2 kb can be very faint due to the small number of terminal Y' elements left. As another example, for the Y'-less strain, it might seem obvious that no Type I survivor can emerge given that Y' amplification is a signature of Type I, but maybe Type-I-specific molecular mechanisms might still be used. To reinforce the characterization of survivor types, an analysis of the genetic requirements for Type I and Type II survivors (e.g. RAD51, RAD54, RAD59, RAD50) could complement the molecular characterization in specific result sections.

      We thank this reviewer for his/her constructive comments and suggestions. To investigate whether Type-I-specific molecular mechanisms are still utilized in the survivor formation in Y'-less strain, we deleted RAD51 in SY12XYΔ tlc1Δ. SY12XYΔ tlc1Δ rad51Δ strain was able to generate three types of survivors, including Type II survivor, circular survivor and atypical survivor, similar to the observations in SY12XYΔ tlc1Δ strain. However, the ratios of circular and atypical survivors were 36% and 32%, respectively, lower than the 48% and 44% observed in SY12XYΔ tlc1Δ strain (supplementary file 5). This result indicates that Type-I-specific molecular mechanisms contribute to the survivor formation. Given that our work primarily focuses on the function of subtelomeric elements, we chose not to include this result in our revised manuscript to maintain a coherent logical flow.

      To reinforce the characterization of survivor types, we deleted RAD50, RAD51 and RAD52 in SY12 tlc1Δ strain, respectively. Southern blotting assay revealed that in the absence of Rad51, no Type I survivor was detected; in the absence of Rad50, neither Type I nor Type X survivor was detected. However, circular and atypical survivors still emerged in the absence of Rad52, suggesting that the RAD52-mediated homologous recombination is not strictly necessary for the formation of circular and atypical survivors. These results have been presented as Figure 2—figure supplement 6 and Figure 2— figure supplement 7.

      2) In the title, the abstract and throughout the discussion, the authors chose to focus on the effect of X- and Y'-element deletion on different phenotypes and on survivor formation, as the main message to convey. While it is a legitimate and interesting message, other important results of this work might benefit from more spotlight. Namely, the observation that strains with different chromosome numbers show different survivor patterns and that several survival strategies beyond Type I and II exist and can reach substantial frequencies depending on the chromosomal context.

      Thanks for your valuable suggestion. While we value your suggestion to highlight additional aspects of our work, we would like to express our perspective on the current emphasis on the effect of X- and Y'-element deletion. We believe that by maintaining this focus, we can present a more coherent and impactful narrative for our readers. Additionally, we recognize that the relationship between chromosome numbers and survivor type frequencies is complex and warrants further experimental validation. We are considering exploring this aspect in more detail in our future projects. However, we fully acknowledge the importance of the observations you raised concerning strains with different chromosome numbers and the diversity of survival strategies.

      3) In SY12 strain, while X- and Y'-elements are not essential for survivor emergence, they do modulate the frequency of each type of survivors, with more chromosome circularization events observed for SY12YΔ, SY12XYΔ and SY12XYΔ+Y strains. This result should be stated and discussed, maybe alongside the change in survivor patterns in the other SY strains, to more accurately assess the roles of these subtelomeric elements.

      Following the reviewer’s suggestion, we compared the circular survivor ratios in SY12 tlc1Δ, SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ and SY12XYΔ+Y tlc1Δ strains (supplementary file 5). It appears that the formation of circular survivors is less efficient in the SY12 tlc1Δ, with a ratio of 20%, much lower than that in SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ or SY12XYΔ+Y tlc1Δ strains. However, it should be noted that SY12 tlc1Δ can generate Type I and Type X survivors, potentially decreasing the ratio of circular survivors.

      Therefore, we further compared the circular survivor ratios in SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ and SY12XYΔ+Y tlc1Δ strains. In the SY12YΔ tlc1Δ strain, circular survivors accounted for 52% (26/50), comparable to 48% (24/50) in the SY12XYΔ tlc1Δ strain, indicating that X- elements exert little effect on the formation of circular survivor. Additionally, the ratio of circular survivors was 44% (22/50) in SY12XYΔ+Y tlc1Δ strain, also comparable to 48% (24/50) in the SY12XYΔ tlc1Δ strain, suggesting that Y’-element also has little effect on chromosome circularization. However, due to the unknown frequency of survivor formation, alternative explanations of these data are possible. For example, subtelomeric elements previously suggested to have no impact on the formation of any survivor types might influence every type to similar extents, resulting in similar ratios across all survivor types. With our current data, it is still uncertain whether X and Y'-elements modulate the frequency of each type of survivors. Therefore, we did not include these results in the revised manuscript.

      4) The authors might want to update some general information about subtelomere structure and their diversity across yeast strain with the recent paper by O'Donnell et al. 2023 Nature Genetics, "Telomere-to-telomere assemblies of 142 strains characterize the genome structural landscape in Saccharomyces cerevisiae".

      Thanks for your advice. We have added this information in the revised manuscript. (p.3 line 51-54)

      5) Although it is cited in the discussion, the recent work by the Malkova lab (Kockler et al. 2021 Mol Cell) could be mentioned in the introduction as it conceptually changes our views on survivor formation, its dynamics and the categorization into Type I and Type II.

      Thanks for your advice. We have added this information in the revised manuscript. (p.5 line 75-78)

      6) p.7 line 128-130: rather than chromosome number, the ratio of survivor types might be controlled by the fraction of subtelomeres with Y'-elements and their relative configuration across chromosomes. A map of the structure of remaining subtelomeres in the SYn strains might be good to have.

      We have added this information in supplementary file 2 in the revised manuscript.

      7) Fig. 1C: in SY9 tlc1Δ, the lane with triangle mark looks like a type II.

      The hybridization pattern of SY9 tlc1Δ clone 2 has both amplified Y’L-element and long heterogeneous TG1-3 repeats, it might be the “hybrid” survivor mentioned by Kockler’s work (Kockler et al., 2021). Therefore, we classify it as a no-classical survivor.

      8) p.9 line 149: the title of this result section "Y'-element is not essential for the viability of cells carrying linear chromosomes" doesn't reflect well the content of the section, which is more about characterizing the survivor pattern in SY12.

      Thanks for your advice. We have changed the title of this section into “Characterizing the survivor pattern in SY12” in the revised manuscript. (p.9 line 155)

      9) p.10 line 167: that type I can emerge in SY12 indicates that multiple Y'-elements in tandem are not required for type I recombination. I am not sure if this was already known, but it could be noted.

      We appreciate the reviewer’s comment. We have added this information in the revised manuscript. (p.10 175-177)

      10) p.18 line 318-320: the deletion of the Y' element also seems to remove the centromere-proximal telomere sequence adjacent to it. Maybe it should be stated as well. Even more importantly, in lines 327-329, the Y'-element that is reintroduced in the strain does not include the centromere-proximal short telomere sequence. This is important to interpret the Southern blots.

      We thank the reviewer for this critical suggestion. The deletion of Y'-element including both Y’- and X- element sequence in XVI-L (supplementary file 4), and the Y’element in the XVI-L does not contain the centromere-proximal telomere sequence. The Y'-element reintroduced into the left arm of Chr 3 in SY12XYΔ strain was cloned from native left arm of XVI in SY12 strain which does not contain the centromere-proximal short telomere sequence. Besides listing these details in supplementary file 4, we also emphasize it in the revised manuscript (p.21 line 397-398).

      11) p.29 lines 496-497: it seems that X and Y'-elements tend to inhibit formation of circular survivors either directly (by participating in end protection), or by promoting type I and type II, thus reducing the fraction of circular survivors. Maybe this could be added to the conclusion of this section.

      We thank the reviewer for his/her comments and have analyzed survivor types in SY12 tlc1Δ, SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ and SY12XYΔ+Y tlc1Δ strains (supplementary file 5). Circular survivor formation appears less efficient in the SY12 tlc1Δ, with a ratio of 20%, significantly lower than SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ or SY12XYΔ+Y tlc1Δ strains. However, it is noteworthy that SY12 tlc1Δ can generate Type I and Type X survivors, potentially impacting the circular survivor ratio.

      We further compared circular survivor ratios in SY12YΔ tlc1Δ, SY12XYΔ tlc1Δ and SY12XYΔ+Y tlc1Δ strains. SY12YΔ tlc1Δ had 52% circular survivors, similar to SY12XYΔ tlc1Δ with 48%, indicating minimal impact of X- elements. Additionally, SY12XYΔ+Y tlc1Δ had 44% circular survivors, also similar to SY12XYΔ tlc1Δ, suggesting that Y’-element has little effect on chromosome circularization. However, due to unknown frequency of survivor formation, alternative explanations, like subtelomeric elements affecting all the type of survivor similarly, are possible. With our current data, it remains unclear whether X and Y'-elements are involved in end protection and consequently inhibit the formation of circular survivors.

      Therefore, these results were not included in the revised manuscript.

      12) p.32 line 533: this result section doesn't really fit with the rest of the paper, does it?

      Thanks for your valuable advice. To avoid confusing readers and to keep the fluency of logic flow of the manuscript we have deleted this section in the revised version.

      13) The methods section does not describe the experiments sufficiently and it often lacks specific details such as the manufacturer or references. Some sections of the methods are more exhaustive than others. They should all be written with the same level of detail in my opinion.

      Thanks for your advice. We have described the experiments more sufficiently and added the manufacturer or references in the ‘materials and methods’ part in the revised manuscript. (p.41 line741-745, p.42 line 755-756, p.42 line 762-770, p.43 line 788 and p.45 line 812-813)

      Minor comments, typos and grammatical errors:

      p.3 line 33: "INTROUDUCTION" should be "INTRODUCTION".

      We have corrected it in the revised manuscript. (p.3 line 33) p.4 line 54: "S, cerevisiae", use dot instead of comma. R15: We have corrected it in the revised manuscript. (p.4 line 57)

      p.4 line 55: I believe TLC1 as the RNA moiety should be in (non-italicized) capital letters and not written as a protein.

      We have corrected it in the revised manuscript. (p.4 line 58)

      p.7 line 115: please indicate that pRS316 uses URA3 as a marker, otherwise the counterselection with 5'-FOA is not obvious.

      Thank this reviewer for the comment. We have added this statement in the revised manuscript. (p.7 line 121-122)

      p.12 line 206: tlc1Δ should be in italic.

      We have corrected it in the revised manuscript. (p.10 line 184)

      p.13 lines 227-229: "where only one hybridization signal", a verb seems to be missing.

      We thank the reviewer’s kind reminder and have corrected the mentioned errors in the revised manuscript. (p.14 line 254-255)

      Reviewer #3

      1) A weakness of the manuscript is the analysis of telomere transcriptional silencing. They state: "The results demonstrated a significant increase in the expression of the MPH3 and HSP32 upon Sir2 deletion, indicating that telomere silencing remains effective in the absence of X and Y'-elements". However, there are no statistical analyses performed as far as I can see. For some of the strains, the significance of the increased expression in sir2 (especially for MPH3) looks questionable. In addition, a striking observation is that the SY12 strain (with only three chromosomes) express much less of both MPH3 and HSP32 than the parental strain BY4742 (16 chromosomes), both in the presence and absence of Sir2. In fact, the expression of both MPH3 and HSP32 in the SY12 sir2 strain is lower than in the BY4742 SIR2+ strain. In addition, relating this work to previous studies of subtelomeric sequences in other organisms would make the discussion more interesting.

      First, I enjoyed reading your manuscript. It would be great if you performed the statistical analysis on the RT-qPCR data in figure 4B and addressed the issue of the difference of the BY4742 and SY12 strains. A model could be that this is a titration effect of silencing proteins due to fewer telomeres, which could be investigated by performing the analyses on more SY-strains with variable numbers of telomeres.

      We highly appreciate the reviewer’s valuable comments and suggestions, which included a point that has also left us confused. We conducted statistical analyses on the RT-qPCR data, and the t-test result revealed that upon the deletion of Sir2, SY12YΔ, SY12XYΔ and SY12XYΔ+Y strains exhibited a significant increase in MPH3 expression (located on the right arm of chr X) with a P value < 0.05. In the case of SY12, the deletion of Sir2 resulted in an increase in gene expression (P value < 0.1). Similar tendencies were observed in the BY4742 strain. The statistical analyses of RTqPCR results on XVI-L mirrored those of X-R.

      The results demonstrated a significant increase in MPH3 and HSP32 expression upon SIR2 deletion in SY12YΔ, SY12XYΔ and SY12XYΔ+Y strains, leading to the conclusion that telomere silencing remains effective in the absence of X-and Y’-elements. However, as the reviewer has pointed out, no statistically significant differences in MPH3 and HSP32 expression were observed between the SY12 and SY12 sir2Δ strain. For HSP32, this lack of significance may be attributed to the greater distance between HSP32 and telomere XVI-L in SY12 compared to SY12YΔ, SY12XYΔ or SY12XYΔ+Y strains, resulting in a weaker telomere position effect on HSP32 and a non-significant increase in gene expression in SY12. However, this explanation does not apply to MPH3, as SY12YΔ, with a same distance between MPH3 and telomere X-R as in SY12, still exhibits an effective telomere position effect on MPH3. We cannot provide a compelling explanation at this moment, and we suspect that the lack of statistically significant differences may be due to random clonal variation.

      Additionally, the SY12 strain (with three chromosomes) exhibited lower expression levels of both MPH3 and HSP32 compared to the parental strain BY4742 (with 16 chromosomes). Notably, it has been reported that the expression of genes coding silencing proteins in SY14 (with one chromosomes) were nearly identical to that of BY4742 (with 16 chromosomes)(Shao et al., 2018). Consequently, with respect to the reduced chromosome numbers, the silencing proteins appeared to be relatively overexpressed. Therefore, as pointed out by the reviewer, this observed phenomenon may be attributed to a titration effect of silencing proteins due to fewer telomeres. We have added the statistical analyses result in Figure 4B.

      We have related our work with previous studies of subtelomeric sequences in fission yeast in the discussion part. (p.37 line 655-676)

      Minor points are to correct the figure legend for Figure 6 supplement 1 (the strain designations) and line 55, RNAs are written with all caps, i.e. TLC1, and line 537 delete the "which" in the sentence.

      Thanks for your advice. We have corrected them in the revised manuscript.

      1) The strain has been replaced with SY12XYΔ+Y (p.35 line 617, 618 and 620)

      2) “Tlc1” has been replaced with “TLC1” (p.4 line 58).

      3) We have deleted the section of “Circular chromosome maintain stable when double knockout of yku70 and tlc1” according to the suggestions raised by reviewer 1 and 2, the deleted section contain the sentence in line 537 you mentioned.

      Kockler, Z.W., Comeron, J.M., and Malkova, A. (2021). A unified alternative telomerelengthening pathway in yeast survivor cells. Molecular Cell 81, 1816-1829.e1815. Krogh, B.O., and Symington, L.S. (2004). Recombination proteins in yeast. Annu Rev Genet 38, 233-271.

      Lewis, L.K., Storici, F., Van Komen, S., Calero, S., Sung, P., and Resnick, M.A. (2004). Role of the nuclease activity of Saccharomyces cerevisiae Mre11 in repair of DNA double-strand breaks in mitotic cells. Genetics 166, 1701-1713.

      Shao, Y., Lu, N., Wu, Z., Cai, C., Wang, S., Zhang, L.L., Zhou, F., Xiao, S., Liu, L., Zeng, X., et al. (2018). Creating a functional single-chromosome yeast. Nature 560, 331-335. Symington, L.S. (2002). Role of RAD52 epistasis group genes in homologous recombination and double-strand break repair. Microbiol Mol Biol Rev 66, 630-670, table of contents.

    1. Author response:

      The following is the authors’ response to the original reviews

      Reviewer #1:

      The chosen classification scheme for aGPCRs may require reassessment and amendment by the authors in order to prevent confusion with previously issued classification attempts of this family. (…) Can the authors suggest another scheme (mind to avoid the subfamily IIX or the alternative ADGRA-G,L,V subfamily schemes of metazoan aGPCRs), and adapt their numbering throughout the text and all figures/supplementary figures/supplementary files?

      We appreciate the reviewer's comment and agree that a different nomenclature should be used for choanoflagellate aGPCRs to avoid possible confusion. We have now re-labeled the choanoflagellate aGPCR subfamilies, previously numbered from I to XIX, using alphabetical enumeration (from A to S). Changes have been made throughout the main text, in Figure 5, and in Supplementary Figures S6 and S7.

      line 10: The abbreviation 'GPCR-TKL/Ks' is not explained.

      Thank you for pointing this out. We have now revised the text to explain the abbreviation:

      “Adhesion GPCRs and a class of GPCRs fused to kinases (the GPCR-TKL/Ks) are the most abundant GPCRs in choanoflagellates.”

      line 30: "7TM domain is diagnostic for GPCRs": strange wording. Use an alternative expression.

      We changed the wording to: 

      “A conserved seven transmembrane (7TM) domain is a hallmark of GPCRs, while the wide spectrum of extracellular and intracellular domains in some GPCRs reflects the diversification of the gene family and its functions (Schiöth and Lagerström 2008).”

      line 33: In the case of rhodopsins, not the GPCR (i.e., the apoprotein) responds directly to photons, but the retinal, which isomerises upon illumination.

      We thank the reviewer for bringing this to our attention, and we have now removed mention of photons from the list of cues detected by GPCRs.

      “For example, the extracellular N-terminus and the three extracellular loops of the 7TM domain respond to a wide range of cues, including odorant molecules, peptides, amines, lipids, nucleotides, and other molecules (Yang et al. 2021).”

      line 111: What are "genome-enabled choanoflagellates"? Explain the term. As it stands, it doesn't make sense to me.

      We meant only to highlight that these two species have sequenced genomes. We have deleted the phrase “genome enabled.”

      “To assess the predictive power of our protein-detection pipeline, we then compared the new GPCR and cytosolic signaling component datasets from two choanoflagellates – Salpingoeca rosetta and Monosiga brevicollis – with previously published GPCR and downstream GPCR signaling component counts for these two species (Nordström et al. 2009a; Krishnan et al. 2012; De Mendoza et al. 2014; Krishnan et al. 2015; Lokits et al. 2018).”

      line 145: Please give a reasoning for the naming of each of the new families (e.g., RemiSens, Hidden Gold, GPCR-TLK/K, etc.) or at least the explanations of the acronyms/names early in the manuscript, even if they are discussed later in more detail.

      Thank you for identifying this as an area of confusion. While we feel that going into the rationale behind each of the names here would interrupt the flow of the manuscript, we have added a phrase encouraging readers to “hold that thought” with the hope that they can wait for the sections that specifically focus on each of these new GPCR families.

      “This left twelve new GPCR families that had not, to our knowledge, been previously detected in choanoflagellates: Rhodopsin, TMEM145, GPR180, TMEM87, GPR155, GPR157, and six additional GPCR families that appear to fall outside all previously characterized GPCR families in eukaryotes. For reasons that will be discussed further below, we have named these six new GPCR families “Rémi-Sans-Famille” (RSF), “Hidden Gold” (Hi-GOLD), GPCR-TKL/K, GPRch1, GPRch2, and GPRch3. (Fig. 1B; Table 1).”

      lines 297/298 and 2049: Rename tethered agonist "peptide" to "element". Synthetic peptides resembling the TA were used in experiments to test for the sufficiency of the TA for receptor activation, but because the naturally occurring TAs are part of the receptor protein, they are not peptides.

      Thank you for pointing this out. We have revised the text as suggested.

      line 2026: I think the letters in the acronym "CMR" are mixed up and were intended to read "CRM".

      Good catch! We have corrected the text.

      line 2048: "diagnostic" again. Change to "tell-tale", "hallmark", or another similar descriptor.

      We have corrected the text accordingly.

      2058: Strike "motif" in order to avoid confusion with the now obsolete term "GPS motif", which entailed the five most C-terminal β-strands of GAIN subdomain B (not thus neither the full GAIN domain nor the GPS).

      Thank you for pointing this out. We have corrected the text.

      Figure 5: Did the authors also find homologs placed in the aGPCR family based on their 7TM domain sequence but lacking a GAIN domain similar to vertebrate ADGRA/GPR123, the only aGPCR known to lack a GAIN domain (10.1016/j.tips.2013.06.002)? Irrespective of the authors' findings or non-finding on that matter, please insert a note on this in the results text.

      We thank the reviewer for bringing this interesting point to our attention. We have now added a new supplementary figure A in Fig. S9 to answer the reviewer's comment. We also modified the legend of Fig. S9  to take into account this change and uploaded a new supplementary data file 20 to support Fig. S9A. Finally, we revised the main text under the section “Adhesion GPCRs” as requested: 

      Lines 328-331: “ While the GAIN and aGPCR 7TM domains evolved before the origin of opisthokonts (Araç et al.2012; Krishnan et al. 2012; De Mendoza et al. 2014), we detected the fusion of these two domains into a single module (GAIN/7TM) in most, but not all, holozoan aGPCRs (Fig. 5D, Fig.S7B and S9A; Supplementary file 20; Prömel et al, 2013; Krishnan et al. 2014).

      Reviewer #2:

      While the study contributes several interesting observations, it does not radically revise the evolutionary history of the GPCR family. However, in an era increasingly concerned with the reproducibility of scientific findings, this is arguably a strength rather than a weakness. It is encouraging to see that previously established patterns largely hold, and that with expanded sampling and improved methods, new insights can be gained, especially at the level of specific GPCR subfamilies. Then, no functional follow-ups are provided in the model system Salpingoeca rosetta, but I am sure functional work on GPCRs in choanoflagellates is set to reveal very interesting molecular adaptations in the future.

      We agree with the reviewer and anticipate that this work will provide a useful resource to motivate the future functional characterization of GPCRs in choanoflagellates, other CRMs, as well as in metazoans.

      The GPCR-TKL fusion is a particularly interesting finding, especially given the presence of such sequences in sponges. This could potentially represent a synapomorphy shared between sponges and choanoflagellates, later lost in other animals. The authors mention that BLASTP searches using the kinase domain recover the sponge GPCR-TKLs, suggesting the fusion may be ancestral. It would be useful to include phylogenetic trees of both the GPCR and TKL domains to assess this possibility. The authors might also consider examining sponge genomes released by the DTOL project to increase representation from this group.

      We agree and thank the reviewer for this suggestion. We have now added the requested phylogenetic analyses to the new Figure S17, revised the supplementary files and Methods accordingly, and commented on these results in the main text under the section “GPCR-TKL/K and GPCR-TKs“.  

      Lines 579 – 589: “While no metazoan homologs were found when using the 7TM domain of choanoflagellate GPCR-TKs as queries, using the conserved tyrosine kinase domains as queries recovered GPCR-TKs in sponges but not in other metazoan lineages or other holozoans (Fig. S17E). To test whether GPCR-TKs in sponges and choanoflagellates are homologous, we performed phylogenetic analyses of their TK and 7TM domains (Fig. S17F and G). While the TK domains of GPCR-TKs from sponges and choanoflagellates formed a well-supported clade, their 7TM domains did not. These results point to a heterogeneous evolutionary history that may include domain swapping (i.e. ancestral GPCR-TKs in which the 7TM domain was replaced in either the sponge or choanoflagellate lineages) or convergent evolution, in which homologous 7TM domains fused with unrelated 7TM domains in the sponge and choanoflagellate lineages.”

      Added to the Method section “Sequence alignment and phylogenetic analyses”:

      Lines 913 – 933: “Phylogenetic analyses of holozoan aGPCRs, Glutamate Receptors, and Gα subunits, and the 7TM and Kinase domains from GPCR TK/TKL/Ks were performed in this study. (…) To construct the phylogenies of the Kinase domain and 7TM domain from the GPCR TK/TKL/Ks, we first built a dataset including all the GPCR TK/TKL/Ks sequences identified in choanoflagellates and in sponges, as well as the GPCR TKL/Ks previously published in oomycetes and amoebozoans (Van Den Hoogen et al. 2018). We extracted the 7TM domain and Kinase domain from each sequence by combining the transmembrane domain prediction tool TMHMM-2.0 and the protein domain prediction tool InterProScan with the alignment tool MAFFT (E-INS-I algorithm) on Geneious Prime v2024.07 (Supplementary Files 30 and 32). We then aligned the aGPCR, Glutamate and Glutamate GPCR TK/TKL/K Receptor 7TMs, the GPCR TK/TKL/Ks Kinase domain, or the full-length Gα sequences using MAFFT with the E-INS-I algorithm. The resulting alignments were then used for Maximum-likelihood and/or Bayesian inference of phylogenies (Fig. 3B, Fig. 5A, Fig. S3D, and Fig. S6A, and Fig. S17F and G; Supplementary Files 5, 9, 16,18, 31, and 33).”

      Rhodopsin-like receptors are proposed in the discussion to be potential cases of lateral gene transfer (LGT) between eukaryotes. To support or refute this hypothesis, it would be valuable to place the choanoflagellate and ichthyosporean Rhodopsins within a broader phylogeny of this family, including (a few) representatives from animals and other eukaryotes. Even if deep branching relationships remain unresolved, signs such as unusually short branches could point toward recent LGT events.

      Thank you for your suggestion. While we originally considered testing these alternative hypotheses in this manuscript by building a phylogeny, the rapid sequence evolution of the Rhodopsin family has stymied similar efforts in the past and instead motivated others to use clustering approaches like those used in our study (Hu et al. 2017; Thiel et al. 2023). Unfortunately, these types of analyses cannot be used to readily identify instances of LGT.

      Therefore, following the suggestion of the reviewer, we bit the bullet and performed phylogenetic analyses on the sequences in question. Unfortunately, these analyses were completely inconclusive, and we feel they do not warrant inclusion in the manuscript. The topologies of the sequence trees recovered were poorly supported and sensitive to most of the variables we tested – the set of rhodopsin sequences included, the multiple alignment algorithms used, and the probabilistic methods employed to infer the phylogenies. 

      Instead, we have revised the manuscript to highlight the challenge of differentiating between the different hypotheses that are consistent with the phylogenetic distribution of Rhodopsins:

      Lines 670 – 678: “Thus, while it is formally possible that Rhodopsins existed in stem choanoflagellates and were lost in most modern choanoflagellate lineages, either horizontal gene transfer or convergent evolution in the shared ancestor of S. macrocollata and S. punica are similarly plausible explanations for their presence in these species. Differentiating between these alternative evolutionary scenarios is challenging because of rapid rate of sequence evolution within the family and the resultant loss of phylogenetic signal. Our own preliminary investigations of Rhodopsin evolution in non-metazoans were inconclusive. Therefore, ambiguities about the provenance and function of CRM Rhodopsins currently obscure the ancestry of metazoan Rhodopsins and opsins.”

      While the study surveys most available holozoan genomes, it appears that the genomes of Amoebidium spp.-which are cited in the manuscript- were not included. It may not be necessary to repeat all analyses with these two species (A. appalachense and A. parasiticum), but a preliminary search indicates the presence of four candidate 7tm_1 (Rhodopsin-like) proteins in their proteomes. These may warrant closer inspection (e.g., via BLASTP against animal databases) to confirm whether they are genuine GPCRs or false positives.

      Author response image 1.

      We thank the reviewer for bringing these sequences to our attention. To be clear, we did not analyze the Amoebidium spp. genome and we can find no reference to it in our manuscript. If the reviewer had the impression that the genome was analyzed, we would be grateful to know the source of the confusion so that it can be corrected. (We did not intentionally exclude the genome; it simply was not available on the Multicell Genome database from which we retrieved the ichthyosporean genomes and transcriptomes used in this study.)

      Nevertheless, out of curiosity, we have now analyzed the sequences provided by the reviewer and summarize our findings here for the interest of the reviewer. Although the sequences were annotated as 7tm_1 (Rhodopsin-like) proteins in the original genome study, none of these sequences group with metazoan or choanoflagellate Rhodopsins in our clustering analysis; instead, we found that these putative GPCRs form a distinct cluster that only weakly resembles cAMP receptors, both on the basis of their sequence and predicted structures. 

      It is not surprising to find new GPCR clusters as new taxa are folded into the study, and these Amoebidium sequences do not add to our understanding of Rhodopsin evolution. Therefore, we have not added their analysis to the manuscript, but we hope the reviewer finds our quick analysis of interest.

      Author response image 2.

      In Figure 2, perhaps expanding the other holozoan clades would have been nice, as there are not too many species, but I understand if that's beyond the point of the manuscript, focused on choanoflagellates.

      Thank you for this comment. However, given the focus of this study, we feel that an expansion of the other holozoan clades would reduce the clarity of the figure.

      line 87 - "To this end, the 671 validated choanoflagellate GPCRs were sorted by sequence similarity, resulting in 18 clusters. "Some details in the results section would be nice, or at least clear references to where this is explained in more detail. How were the extra choanoflagellate GPCRs added if they failed to be identified with quite sensitive HMM profiles?

      We apologize for the possible confusion and thank the reviewer for the suggestion; we have now added specific references to the related sections from the material and methods for interested readers.

      We believe that the "extra choanoflagellate GPCRs" mentioned by the reviewer refer to the choanoflagellate GPCRs that failed to be detected when the choanoflagellate genomes and transcriptomes were searched with the predominantly metazoan-derived GPCRHMM and HMMs from the GPCR_A Pfam clan (CL0192). We were able to recover these extra choanoflagellate GPCRs by using custom choanoflagellate-specific GPCR HMMs and by blasting the choanoflagellate GPCRs previously identified as queries against the 23 choanoflagellate proteomes. We hope that the referencing of the Methods section "Recovering additional choanoflagellate GPCRs using choanoflagellate GPCR BLAST queries and custom choanoflagellate GPCR HMMs", in lines 91 and 93, will help clarify this point.

      line 108 - Well, from the figure it seems that most eukaryotes have an 'animal-like' G protein signalling, so that's perhaps more of an eukaryotic signature than something that puts choanoflagellates and animals together.

      Excellent point! We have revised the text.

      line 132 - It is unclear what the criteria are to include these taxa as helpers for choanoflagellate classification, and not adding the other unicellular holozoans. Just some text justification could help.

      Thank you for pointing this out. We have added an explanation of the rationale to the methods — section “Clustering of the 918 validated choanoflagellate GPCRs” — and referred to it in the main text.

      New text added to methods:

      “The non-choanoflagellate sequences added to the dataset were either top blast hits recovered after searching the entire Eukprot v3 dataset (993 species) with choanoflagellate GPCRs as queries, or previously published and well-documented GPCR sequences from metazoans.”

      line 145 - These families are listed, but perhaps it would be nice to explicitly mention that they will be covered in more detail later on in the manuscript. I found myself wondering about those exotic names, until I reached the sections in the manuscript where they are explained.

      Thank you for this suggestion. We have now modified our sentence to refer to the related sections.

      “For reasons that will be discussed further below, we have named these six new GPCR families “Rémi-Sans-Famille” (RSF), “Hidden Gold” (Hi-GOLD), GPCR-TKL/K, GPRch1, GPRch2, and GPRch3. (Fig. 1B; Table 1).”

      line 199 - perhaps would be nice to explain domain architecture of validated Dictyostelium GABA-like receptors (ANF domain?).

      Thank you for your suggestion. We have now modified the sentence to mention the protein domain composition of the validated GABA-like receptor, GrlE, in Dictyostelium.

      “The Glutamate Receptors from the amoebozan Dictyostelium discoideum, of which at least one, GrlE, binds both GABA and Glutamate presumably through its conserved ANF domain (Anjard and Loomis 2006; Taniura et al. 2006; Wu and Janetopoulos 2013), grouped separately from metazoan and CRM GPCRs in our analysis.”

      Figure S4 - Perhaps a stacked bar chart would be easier to browse than a bunch of pie charts, notoriously difficult to quantify.

      Thank you for this comment. Opinions differ on how best on whether pie charts or bar charts are more effective in this context (including between the authors of this manuscript). However, we think the point of Figure S4 a minor point, only to be appreciated by a tiny number of readers, and therefore have left the data presentation as it was in the original submission.

    1. Author response:

      The following is the authors’ response to the original reviews

      Public Reviews:

      Reviewer #1 (Public review):

      Li et al. investigate Ca2+ signaling in T. gondii and argue that Ca2+ tunnels through the ER to other organelles to fuel multiple aspects of T. gondii biology. They focus in particular on TgSERCA as the presumed primary mechanism for ER Ca2+ filling. Although, when TgSERCA was knocked out there was still a Ca2+ release in response to TG present.

      Note that we did not generate a complete SERCA knockout, as this gene is essential, and its complete loss would not permit the isolation of viable parasites. Instead, we created conditional mutants that downregulate the expression of SERCA. Importantly, some residual activity is present in the mutant after 24 h of ATc treatment as shown in Fig 4C. This is consistent with our Western blots, which demonstrate the presence of residual SERCA protein at 1, 1.5 and 2 days post ATc treatment (Fig. 3B). We have clarified this point in the revised manuscript (lines 232233). See also lines 97-102.

      Overall the Ca2+ signaling data do not support the conclusion of Ca2+ tunneling through the ER to other organelles in fact they argue for direct Ca2+ uptake from the cytosol. The authors show EM membrane contact sites between the ER and other organelles, so Ca2+ released by the ER could presumably be taken up by other organelles but that is not ER Ca2+ tunneling. They clearly show that SERCA is required for T. gondii function.

      Overall, the data presented to not fully support the conclusions reached

      We agree that the data does not support Ca<sup>2+</sup> tunneling as defined and characterized in mammalian cells. In response to this comment, we have modified the title and the text accordingly.

      However, we respectfully would like to emphasize that the study demonstrates more than just the role of SERCA in T. gondii “function”. Our findings reveal that the ER, through SERCA activity, sequesters calcium following influx through the PM (see reviewer 2 comment). The ER calcium pool is important for replenishing other intracellular compartments.

      The experiments support a model in which the ER actively takes up cytosolic Ca²⁺ as it enters the parasite and contributes to intracellular Ca²⁺ redistribution during transitions between distinct extracellular calcium environments. We believe that the role of the ER in modulating intracellular calcium dynamics is demonstrated in Figures 1H–K, 4G-H, and 5H–K. To highlight the relevance of these findings, we have included an expanded discussion in the revised manuscript. See lines 443-449 and 510-522.

      Data argue for direct Ca2+ uptake from the cytosol

      The ER most likely takes up calcium from the cytosol following its entry through the PM and redistributes it to the other organelles. We deleted any mention of the word “tunneling” and replaced it with transfer and re-distribution as they reflect our experimental findings more accurately.

      We interpret the experiments shown in Figure 1 H and I as re-distribution because the amount of calcium released after nigericin or GPN are greatly enhanced after TG addition. We first add calcium to allow intracellular stores to become filled, followed by the addition of TG, which allows calcium leakage from the ER. This leaked calcium can either enter the cytosol and be pumped out or be taken up by other organelles. Our interpretation is that this process leads to an increased calcium content in acidic compartments.

      We conducted an additional experiment in which SERCA was inhibited prior to calcium addition, allowing cytosolic calcium to be exported or taken up by acidic stores. We observed a change in the GPN response (Fig. S2A), possibly indicating that the PLVAC can sequester calcium when SERCA is inactive. While this may support the reviewer’s view, TG treatment does not reflect physiological conditions and may enhance calcium transfer to other compartments. Although the result is interesting, interpretation is complicated by the use of parasites in suspension and drug exposure in solution. Single-parasite measurements are not feasible due to weak signals, and adhered parasites are even less physiological than those in suspension.

      In support of our view, the experiments shown in Figs 4G and H show that down regulating SERCA reduces significantly the response to GPN indicating diminished acidic store loading. In Fig 5I we observe that mitochondrial calcium uptake is reduced in the iDSERCA (+ATc) mutant in response to GPN. Fig 2B demonstrates that TgSERCA can take up calcium at 55 nM, close to resting cytosolic calcium while in Figures 5E and S5B we show that the mitochondrion is not responsive to an increase of cytosolic calcium. Uptake by the mitochondria requires much higher concentrations (Fig 5B-C), which may be achieved within microdomains at MCS between the ER and mitochondrion. This is also consistent with findings reported by Li et al (Nat Commun. 2021) where similar microdomains mediated transfer of calcium to the apicoplast (Fig. 7 E and F of the mentioned reference) was observed.

      Reviewer 2 (Public review):

      The role of the endoplasmic reticulum (ER) calcium pump TgSERCA in sequestering and redistributing calcium to other intracellular organelles following influx at the plasma membrane.

      T. gondii transitions through life cycle stages within and exterior to the host cells, with very different exposures to calcium, adds significance to the current investigation of the role of the ER in redistributing calcium following exposure to physiological levels of extracellular calcium

      They also use a conditional knockout of TgSERCA to investigate its role in ER calcium store-filling and the ability of other subcellular organelles to sequester and release calcium. These knockout experiments provide important evidence that ER calcium uptake plays a significant role in maintaining the filling state of other intracellular compartments.

      We thank the reviewer.

      While it is clearly demonstrated, and not surprising, that the addition of 1.8 mM extracellular CaCl2 to intact T. gondii parasites preincubated with EGTA leads to an increase in cytosolic calcium and subsequent enhanced loading of the ER and other intracellular compartments, there is a caveat to the quantitation of these increases in calcium loading. The authors rely on the amplitude of cytosolic free calcium increases in response to thapsigargin, GPN, nigericin, and CCCP, all measured with fura2. This likely overestimates the changes in calcium pool sizes because the buffering of free calcium in the cytosol is nonlinear, and fura2 (with a Kd of 100-200 nM) is a substantial, if not predominant, cytosolic calcium buffer. Indeed, the increases in signal noise at higher cytosolic calcium levels (e.g. peak calcium in Figure 1C) are indicative of fura2 ratio calculations approaching saturation of the indicator dye.

      We acknowledge the limitations associated with using Fura-2 for cytosolic calcium measurements. However, according to the literature (Grynkiewicz, Get al. (1985). J. Biol. Chem. 260 (6): 3440–3450. PMID 3838314) Fura-2 is suited for measurements between 100 nM and 1 µM calcium. The responses in our experiments were within that range and the experiments with the SERCA mutant and mitochondrial GCaMPfs supports the conclusions of our work.

      However, we agree with the reviewer that the experiment shown in Fig 1C (now Fig 1D) presents a response that approaches the limit of the linear range of Fura-2. In response to this, we have replaced this panel with a more representative experiment that remains within the linear range of the indicator (revised Fig 1D). Additionally, we have included new experiments adding GPN along with corresponding quantifications, which further support our conclusions regarding calcium dynamics in the parasite.

      Another caveat, not addressed, is that loading of fura2/AM can result in compartmentalized fura2, which might modify free calcium levels and calcium storage capacity in intracellular organelles.

      We are aware of the potential issue of Fura-2 compartmentalization, and our protocol was designed to minimize this effect. We load cells with Fura-2 for 26 min at room temperature, then maintain them on ice, and restrict the use of loaded parasites to 2-3 hours. We have observed evidence of compartmentalization as this is reflected in increasing concentrations of resting calcium with time. We carry out experiments within a time frame in which the resting calcium stays within the 100 nM range. We have included a sentence in the Materials and Methods section. Lines 604-606.

      Additionally, following this reviewer’s suggestion, we performed further experiments to directly assess compartmentalization. See below the full response to reviewer 2.

      The finding that the SERCA inhibitor cyclopiazonic acid (CPA) only mobilizes a fraction of the thapsigargin-sensitive calcium stores in T. gondii coincides with previously published work in another apicomplexan parasite, P. falciparum, showing that thapsigargin mobilizes calcium from both CPA-sensitive and CPA-insensitive calcium pools (Borges-Pereira et al., 2020, DOI: 10.1074/jbc.RA120.014906). It would be valuable to determine whether this reflects the off-target effects of thapsigargin or the differential sensitivity of TgSERCA to the two inhibitors.

      This is an interesting observation, and we now include a discussion of this result considering the Plasmodium study and include the citation. Lines 436-442.

      Figure S1 suggests differential sensitivity, and it shows that thapsigargin mobilizes calcium from both CPA-sensitive and CPA-insensitive calcium pools in T. gondii. Also important is that we used 1 µM TG as we are aware that TG has shown off-target effects at higher concentrations. TG is a well-characterized, irreversible SERCA inhibitor that ensures complete and sustained inhibition of SERCA activity. In contrast, CPA is a reversible inhibitor whose effectiveness is influenced by ATP levels, and it may only partially inhibit SERCA or dissociate over time, allowing residual Ca²⁺ reuptake into the ER.

      Additionally, as suggested by the reviewer we performed experiments using the Mag-Fluo-4 protocol to compare the inhibitory effects of CPA and TG. These results are presented in Fig. S3 (Lines 217-223). Under the conditions of the Mag-Fluo-4 assay with digitonin-permeabilized cells, both TG and CPA showed similar rates of Ca<sup>2+</sup> leakage following the addition of the inhibitor. This may indicate that under the conditions of the Mag-Fluo-4 experiments the rate of Ca<sup>2+</sup> leak is mostly determined by the intrinsic leak mechanism and not by the nature of the inhibitor. By contrast, in intact Fura-2–loaded cells, CPA induces a smaller cytosolic Ca²⁺ increase than TG, consistent with less efficient SERCA inhibition likely due to its reversibility and possibly incomplete inhibition under cellular conditions.

      The authors interpret the residual calcium mobilization response to Zaprinast observed after ATc knockdown of TgSERCA (Figures 4E, 4F) as indicative of a target calcium pool in addition to the ER. While this may well be correct, it appears from the description of this experiment that it was carried out using the same conditions as Figure 4A where TgSERCA activity was only reduced by about 50%.

      We partially agree with the reviewer that 50% knockdown of TgSERCA means that the ER may still be targeted by zaprinast, and that there is no definitive evidence of the involvement of another calcium pool. The Mag-Fluo-4 experiment, while we acknowledge that the fluorescence of MagFluo-4 is not linear to calcium, indicates that SERCA activity is present even after 24 hr of ATc treatment. However, when Zaprinast is added after TG, we observed a significant calcium release in wild type cells. This result suggests the presence of another large calcium pool than the one mobilized by TG (PMID: 2693306).

      We recently published work describing the Golgi as a calcium store in Toxoplasma (PMID: 40043955) and we showed in Fig. S4 D-G of that work, that GPN treatment of tachyzoites loaded with Fura-2 diminished the Zaprinast response indicating that they could be impacting a similar store. In the present study we performed additional experiments in which TG was followed by GPN and Zaprinast showing a similar pattern. GPN significantly diminished the Zaprinast response. These results are shown now in Figure S2B. We address these possibilities in the discussion and interpretation of the result. Lines 451-460.

      The data in Figures 4A vs 4G and Figures 4B vs 4H indicate that the size of the response to GPN is similar to that with thapsigargin in both the presence and absence of extracellular calcium. This raises the question of whether GPN is only releasing calcium from acidic compartments or whether it acts on the ER calcium stores, as previously suggested by Atakpa et al. 2019 DOI: 10.1242/jcs.223883. Nonetheless, Figure 1H shows that there is a robust calcium response to GPN after the addition of thapsigargin.

      The results of the indicated experiments did not exclude the possibility that GPN can also mobilize some calcium from the ER besides acidic organelles. We don’t have any evidence to support that GPN can mobilize calcium from the ER either. Based on our unpublished work, we think GPN mainly release calcium from the PLVAC. We included the mentioned citation and discuss the result considering the possibility that GPN may be acting on more than one store. Lines 451-460.

      An important advance in the current work is the use of state-of-the-art approaches with targeted genetically encoded calcium indicators (GECIs) to monitor calcium in important subcellular compartments. The authors have previously done this with the apicoplast, but now add the mitochondria to their repertoire. Despite the absence of a canonical mitochondrial calcium uniporter (MCU) in the Toxoplasma genome, the authors demonstrate the ability of T. gondii mitochondrial to accumulate calcium, albeit at high calcium concentrations. Although the calcium concentrations here are higher than needed for mammalian mitochondrial calcium uptake, there too calcium uptake requires calcium levels higher than those typically attained in the bulk cytosolic compartment. And just like in mammalian mitochondria, the current work shows that ER calcium release can elicit mitochondrial calcium loading even when other sources of elevated cytosolic calcium are ineffective, suggesting a role for ER-mitochondrial membrane contact sites. With these new tools in hand, it will be of great value to elucidate the bioenergetics and transport pathways associated with mitochondrial calcium accumulation in T. gondii.

      We thank this reviewer praising our work. Studies of bioenergetics and transport pathways associated with mitochondrial calcium accumulation is part of our future plans mentioned in lines 520-522 and 545.

      The current studies of calcium pools and their interactions with the ER and dependence on SERCA activity in T. gondi are complemented by super-resolution microscopy and electron microscopy that do indeed demonstrate the presence of close appositions between the ER and other organelles (see also videos). Thus, the work presented provides good evidence for the ER acting as the orchestrating organelle delivering calcium to other subcellular compartments through contact sites in T. gondi, as has become increasingly clear from work in other organisms.

      Thank you

      Reviewer #3 (Public review):

      This manuscript describes an investigation of how intracellular calcium stores are regulated and provides evidence that is in line with the role of the SERCA-Ca2+ATPase in this important homeostasis pathway. Calcium uptake by mitochondria is further investigated and the authors suggest that ER-mitochondria membrane contact sites may be involved in mediating this, as demonstrated in other organisms.

      The significance of the findings is in shedding light on key elements within the mechanism of calcium storage and regulation/homeostasis in the medically important parasite Toxoplasma gondii whose ability to infect and cause disease critically relies on calcium signalling. An important strength is that despite its importance, calcium homeostasis in Toxoplasma is understudied and not well understood.

      We agree with the reviewer. Thank you

      A difficulty in the field, and a weakness of the work, is that following calcium in the cell is technically challenging and thus requires reliance on artificial conditions. In this context, the main weakness of the manuscript is the extrapolation of data. The language used could be more careful, especially considering that the way to measure the ER calcium is highly artificial - for example utilising permeabilization and over-loading the experiment with calcium. Measures are also indirect - for example, when the response to ionomycin treatment was not fully in line with the suggested model the authors hypothesise that the result is likely affected by other storage, but there is no direct support for that.

      The Mag-Fluo-4-based protocol for measuring intraluminal calcium is well established and has been extensively used in mammalian cells, DT40 cells and other cells for measuring intraluminal calcium, activity of SERCA and response to IP3 (Some examples: PMID: 32179239, PMID: 15963563, PMID: 19668195, PMID: 30185837, PMID: 19920131).

      Furthermore, we have successfully employed this protocol in previous work, including the characterization of the Trypanosoma brucei IP3R (PMID: 23319604) and the assessment of SERCA activity in Toxoplasma (PMID: 40043955 and 34608145). The citation PMID: 32179239 provides a detailed description of the protocol, including references to its prior use. In addition, the schematic at the top of Figure 2 summarizes the experimental workflow, reinforcing that the protocol follows established methodologies. We included more references and an expanded discussion, lines 425-435.

      We respectfully disagree with the concern regarding potential calcium overloading. The cells used in our assays were permeabilized, which is a critical step that allows to precisely control calcium concentrations. All experiments were conducted at 220 nM free calcium, a concentration within the physiological range of cytosolic calcium fluctuations. This concentration was consistently used across all studies described above. Importantly, permeabilization ensures that the dye present in the cytosol becomes diluted, and allows MgATP (which cannot cross intact membranes) to access the ER membrane, in addition to be able to expose the ER to precise calcium concentrations.

      The Mag-Fluo-4 loading conditions are designed to allow compartmentalization of the indicator to all intracellular compartments and the calcium uptake stimulated by MgATP exclusively occurs in the compartment occupied by SERCA as only SERCA is responsive to MgATP-dependent transport in this experimental setup

      Regarding the use of IO, we would like to clarify that its broad-spectrum activity is welldocumented. As a calcium ionophore, IO facilitates calcium release across multiple membranes, and not just the ER leading to a more substantial calcium release compared to the more selective effect of TG. The results observed with IO were consistent with this expected broader activity and support our interpretation.

      Lastly, we emphasize that the experiment in Figure 2 was designed specifically to assess SERCA activity in situ under defined conditions. It was not intended to provide a comprehensive characterization of the role of TgSERCA in the parasite. We now clarify this distinction in the revised Discussion lines 425-435.

      Below we provide some suggestions to improve controls, however, even with those included, we would still be in favour of revising the language and trying to avoid making strong and definitive conclusions. For example, in the discussion perhaps replace "showed" with "provide evidence that are consistent with..."; replace or remove words like "efficiently" and "impressive"; revise the definitive language used in the last few lines of the abstract (lines 13-17); etc. Importantly we recommend reconsidering whether the data is sufficiently direct and unambiguous to justify the model proposed in Figure 7 (we are in favour of removing this figure at this early point of our understanding of the calcium dynamic between organelles in Toxoplasma).

      We thank the reviewer for the suggestions and we modified the language as suggested. We limited the use of the word "showed" to references to previously published work. We deleted the other words

      Figure 7 is intended as a conceptual model to summarize our proposed pathways, and, like all models, it represents a working hypothesis that may not fully capture the complexity of calcium dynamics in the parasite. In light of the reviewer’s comments, we revised the figure and legend to clearly distinguish between pathways for which there is experimental evidence from those that are hypothetical.

      Another important weakness is poor referencing of previous work in the field. Lines 248250 read almost as if the authors originally hypothesised the idea that calcium is shuttled between ER and mitochondria via membrane contact sites (MCS) - but there is extensive literature on other eukaryotes which should be first cited and discussed in this context. Likewise, the discussion of MCS in Toxoplasma does not include the body of work already published on this parasite by several groups. It is informative to discuss observations in light of what is already known.

      The sentence in which we state the hypothesis about the calcium transfer refers specifically to Toxoplasma. To clarify this, we have now added the phrase “In mammalian cells” (Line 311) and included additional citations, as suggested by the reviewer. While only a few studies have described membrane contact sites (MCSs) in Toxoplasma, we do cite several pertinent articles (e.g., lines 479-486). We believe that we cited all articles mentioning MCS in T. gondii

      However, we must clarify to the reviewer that the primary focus of our study is not to characterize or confirm the presence of MCSs in T. gondii, but rather to demonstrate functional calcium transfer between the ER and mitochondria. Our data support the conclusion that this transfer requires close apposition of these organelles, consistent with the presence of MCSs.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      (1) Line 45: change influx to release as Ca2+ influx usually referred to Ca2+ entry from the extracellular space. Same for line 71.

      Corrected, line 47 and 73

      (2) Line 54: consider toning down the strong statement of 'widely' accepted as ER Ca2+ subdomain heterogeneity remains somewhat debated.

      Changed the sentence to “it has been proposed”, Line 56

      (3) Line 119-21: A lower release in response to TG is typical and does not reflect TG specific for SERCA. It is due to the slow kinetics of Ca2+ leak out of the ER allowing other buffering and transport mechanisms to act. Also, could be a reflection of the duration after TG treatment to allow complete store depletion. Figure S1A-B shows that there is still Ca2+ in the stores following TG but the TG signal does not go back to baseline arguing that the leak is still active. Hence the current data does not address the specificity of TG for TgSERCA. Please revise the statement accordingly.

      Thank for the suggestion, we changed the sentence to this: “This result could reflect the slow kinetics of Ca²⁺ leak from the ER, allowing other buffering and transport mechanisms to mitigate the phenomenon. Alternatively, it may indicate the duration after TG treatment allowing time to complete store depletion. As shown in Figure S1A-B, residual Ca²⁺ remains in the stores after TG treatment, and the TG-induced phenomenon does not return to baseline, suggesting that the leak remains active”. Lines 124-128

      (4) Figure 1C: the authors interpret the data 'This Ca2+ influx appeared to be immediately taken up by the ER as the response to TG was much greater in parasites previously exposed to extracellular Ca2+'. I don't understand this interpretation, in Ca2+-containing solution it would expected to have a larger signal as TG is likely to activate store-operated Ca2+ entry which would contribute to a larger cytosolic Ca2+ transient. Does T. gondii have SOCE? It cannot be uptake into the ER as SERCA is blocked. Unless the authors are arguing for another ER Ca2+ uptake pathway? But why are Ca2+ uptake in the ER would lower the signal whereas the data show an increased signal?

      We pre-incubated the suspension with calcium to allow filling of the stores, while SERCA is still active, and added thapsigargin (TG) at 400 seconds to measure calcium release. The experiment was designed to introduce the concept that the ER may have access to extracellular calcium, a phenomenon not yet clearly demonstrated in Toxoplasma. We did not expect to have less release by TG but if the ER is not efficient in filling after extracellular calcium entry it would be expected to have a similar response to TG. Yes, it is very possible that when we add TG we are also seeing more calcium entry through the PM as we previously proposed that the increased cytosolic Ca<sup>2+</sup> may regulate Ca<sup>2+</sup> entry. However, the evidence does not support that this increased entry would be triggered by store depletion. The experiments with the SERCA mutant (Fig. 4D) shows that in the conditional knockout mutant, the ER is partially depleted, yet this does not lead to enhanced calcium entry, suggesting that the depletion alone is not sufficient to trigger increased influx.

      There is no experimental evidence supporting the regulation of calcium entry by store depletion in Toxoplasma (PMID: 24867952). We revised the text to clarify this point and expanded the discussion on store-operated calcium entry (SOCE). While it is possible that a channel similar to Orai exists in Toxoplasma, it is highly unlikely to be regulated by store depletion, as there is no gene homologous to STIM. If store-regulated calcium entry does occur in Toxoplasma, it is likely mediated through a different, still unidentified, mechanism. Lines 461-467.

      (5) The choice of adding Ca2+ first followed by TG is curious as it is more difficult to interpret. Would be more informative to add TG, allow the leak to complete, and then add Ca2+ which would allow temporal separation between Ca2+ release from stores and Ca2+ influx from the extracellular space. Was this experiment done? If not would be useful to have the data.

      Yes, this experiment was already published: PMID: 24867952 and PMID: 38382669.

      It mainly highlighted that increased cytosolic calcium may regulate calcium entry most likely through a TRP channel. See our response to point 4 and the description of the new Fig. S2 in the response to point 7.

      (6) Line 136-39: these experiments as designed - partly because of the issues discussed above - do not address the ability of organelles to access extracellular Ca2+ or the state of refilling of intracellular Ca2+ stores. They can simply be interpreted as the different agents (TG, Nig, GPN, CCCP) inducing various levels of Ca2+ influx.

      Concerning TG, the experiment shown in Fig. 4D shows that depletion of the ER calcium does not result in stimulation of calcium entry, indicating the absence of classical SOCE activation in Toxoplasma.

      To our knowledge, neither mitochondria nor lysosomes (or other acidic compartments) are capable of triggering classical SOCE in mammalian cells.

      Given that the ER in Toxoplasma lacks the canonical components required to initiate SOCE, it is unclear why the mitochondria or acidic compartments would be able to do so. While it is possible that T. gondii utilizes an alternative mechanism for store-operated calcium entry, investigating such a pathway would require a comprehensive study. In mammalian systems, it took almost 15 years and the efforts of multiple research groups to identify the molecular components of SOCE. Expecting this complex question to be resolved within the scope of a single study is unrealistic.

      Our current data show that the mitochondrion is unable to access calcium from the cytosol, as shown in Figure 5E. Performing a similar experiment for the PLVAC would be ideal; however, expression of fluorescent calcium indicators in this organelle has not been successful. This is likely due to the presence of several proteases that degrade expressed proteins, as well as the acidic environment, which quenches fluorescence. These challenges have made studying calcium dynamics in the PLVAC particularly difficult.

      To address the reviewer’s comment, we performed an additional experiment presented in Fig. S2A. In this experiment, we first inhibited SERCA with thapsigargin (TG), preventing calcium uptake into the ER, and subsequently added calcium to the suspension. Under these conditions, calcium cannot be sequestered by the ER. We then applied GPN and quantified the response, comparing it to a similar experimental condition without TG. Indeed, under these conditions, we observed a significant but modest increase in the GPN-induced response, suggesting that the PLVAC may be capable of directly taking up calcium from the cytosol. However, this occurs under conditions of SERCA inhibition which creates nonphysiological conditions with elevated cytosolic calcium levels and the presence of TG may promote additional ER leakage, both of which could artificially enhance PLVAC uptake. Under physiological conditions, with functional SERCA activity, the ER would likely sequester cytosolic calcium more efficiently, thereby limiting calcium availability for PLVAC direct uptake. Thus, while the result is intriguing, it may not reflect calcium handling under normal cellular conditions. See lines 172-178.

      (7) Figure 1H-I: I disagree with the authors' interpretation of the results (lines 144-153). The data argue that by blocking ER Ca2+ uptake by TG, other organelles take up Ca2+ from the cytosol where it accumulates due to the leak and Ca2+ influx as is evident from the data allowing more release. The data does not argue for ER Ca2+ tunneling to other organelles. Tunneling would be reduced in the presence of TG (see PMID: 30046136, 24867608).

      We partially agree with this concern. In our experiments, TG was used to inhibit SERCA and block calcium uptake into the ER, allowing calcium to leak into the cytosol. We propose that this leaked calcium is subsequently taken up by other intracellular compartments. This effect is observed immediately upon TG addition. However, pre-incubation with TG or knockdown of SERCA reduces calcium storage in the ER, thereby diminishing the transfer of calcium to other stores.

      To further support our claim, we performed additional experiments in the absence of extracellular calcium, now presented in Figure 1J-K. We observed that calcium release triggered by GPN or nigericin was significantly enhanced when both agents were added after TG. These results suggest that calcium initially released from the ER can be sequestered by other compartments. As mentioned, we deleted any mention of “tunneling,” but we believe the data support the occurrence of calcium transfer. New results described in lines 166-171.

      The experiment in Fig S2A described in the response to (6) also addresses this concern. Under physiological conditions with functional SERCA, cytosolic calcium would likely be rapidly sequestered by the ER, limiting its availability to other compartments. See lines 172178.

      (8) Line 175: SERCA-dependent Ca2+ uptake is higher at 880 nM as would be expected yet the authors state that it's optimal at 220 nM Ca2+ ?

      Yes, it is true that the SERCA-dependent Ca<sup>2+</sup> uptake rate is higher at elevated Ca²⁺ concentrations. We chose to use 220 nM free calcium because of several reasons: 1) this concentration is close to physiological cytosolic levels fluctuations; 2) it is commonly used in studies of mammalian SERCA; and 3) calcium uptake is readily detectable at this level. While this may not represent the maximal activity conditions for SERCA, we believe it is a reasonable and physiologically relevant choice for assessing calcium transport activity SERCA-dependent. We added one sentence to the results explaining this reasoning (lines 204-207) and we deleted the word optimal.

      (9) Figure 3H: the saponin egress data support the conclusion that organelles Ca2+ take up cytosolic Ca2+ directly without the need for ER tunneling.

      The saponin concentration used permeabilizes the host cell membrane, allowing the intracellular tachyzoite to be surrounded with the added higher extracellular calcium concentration. The saponin concentration used does not affect the tachyzoite membrane as the parasite is still moving and calcium oscillations were clearly seen under similar conditions (PMID: 26374900 ). The resulting calcium increase in the tachyzoite cytosol is what stimulates parasite motility and egress. Since SERCA activity is reduced in the mutant, cytosolic calcium accumulates more rapidly, reaching the threshold for egress sooner and thereby accelerating parasite exit. The result does not support that the other stores contribute to this because of the Ionomycin response, which shows that egress is diminished in the mutant, likely because the calcium stores are depleted. We added an explanation in the results, lines 262-269 and the discussion, lines 532-539.

      (10) Figure S2: the HA and SERCA signals do not match perfectly? Could this reflect issues with HA tagging, potentially off-target effects? Was this tested?

      These are not off-target effects, as we did not observe them in the control cells lacking HA tagging. The HA signal also disappeared after treatment with ATc, further confirming that the IFA signal is specific. We agree with the reviewer that the signals do not align perfectly. This discrepancy could be due to differences in antibody accessibility or the fact that the two antibodies recognize different regions of the protein. We added a sentence about this in the result; lines 240-243.

      Reviewer #2 (Recommendations for the authors):

      The description of the data of Figures 1B and S1A starting on line 108 would be easier to follow if Figure S1A was actually incorporated into Figure 1. It is not clear why these two complementary experiments were separated since they are both equally important in understanding and interpreting the data.

      We re-arranged figure 1 and incorporated S1A now as Fig 1C.

      As noted in the public comments, loading of fura2/AM can result in compartmentalized fura2, which can contaminate the cytosolic calcium measurements and might modify free calcium levels and calcium storage capacity in intracellular organelles. This can be assessed using the digitonin permeabilization method used in the MagFluo4 measurements, but in this case, detecting the fura2 signal remaining after cell permeabilization.

      As suggested by the reviewer, we measured Fura-2 compartmentalization by permeabilizing cells with digitonin as we do for the Mag-Fluo-4 and the fluorescence was reduced almost completely and was unresponsive to any additions (see Author response image 1).

      Author response image 1.

      T. gondii tachyzoites in suspension exposed to Thapsigargin Calcium and GPN. The dashed lines shows and experiments using the same conditions but parasites were permeabilized with digitonin shows a similar experiment with parasites exposed to MgATP.to release the cytosolic Fura. Part B

      Following the public comment regarding the residual calcium mobilization response to Zaprinast observed after 24 h ATc knockdown of SERCA (Figsures 4E, 4F, as explained in the legend to Figure 4), was there still a response to Zaprinast after 48 h knockdown, where the thapsigargin response was apparently fully ablated?

      Unfortunately, we were unable to perform this experiment as it is not possible to obtain sufficient cells at 48 h with ATc. Due to the essential role of TgSERCA, parasites are unable to replicate after 24 h.

      As noted in the public comments, the data in Figure 4A vs 4G and Figure 4B vs 4H appear to show that the calcium responses to GPN are similar to that with thapsigargin, which seems unexpected if the acidic compartment is loaded from the ER. The results with GPN addition after thapsigargin (Figure 1H) argue against this, but the authors should still cite the work of Atakpa et al.

      We think that the reviewer is concerned that GPN may also be acting on the ER. This is a possibility that we considered, and we now included the suggested citation (line 457). However, we believe that it is difficult to directly compare the responses, as the kinetics of calcium release from the ER may differ from those of release from the PLVAC. This could be due to differences in the calcium buffering capacity between the two compartments. Additionally, it is possible that calcium leaked from the ER is more efficiently sequestered by other stores or extruded through the plasma membrane than calcium released from the PLVAC. Besides, GPN is known to have a more disruptive effect on membranes compared to TG, which may also influence their responses. As noted by the reviewer, Figure 1H also supports the idea that the acidic compartment is loaded from the ER.

      The abbreviation for the plant-like vacuolar compartment (PLVAC) only appears in a figure legend but should be defined in the main text on first use.

      Corrected, lanes 140-143

      The authors should cite the previous study of Borges-Pereira et al., 2020 (PMID: 32848018) that also demonstrates the incomplete overlap of the calcium pools mobilized by thapsigargin and CPA in P. falciparum. The ability to measure calcium in intracellular stores using MagFluo4 opens the possibility to further investigate this discrepancy between CPA and thapsigargin, but CPA does not appear to have been used in the permeabilized cell experiments with MagFluo4. I would suggest that this could be added to Figure 2 and/or Figure 4, or at least as a supplementary figure.

      In response to this reviewer’s critique we performed additional experiments with Mag-Fluo4 loaded parasites. These are presented in the new Figure S3. We added CPA and TG and combined them to inhibit SERCA and to allow calcium leak from the loaded organelle. Under these conditions, we observed a very similar leak rate after the addition of the inhibitors as measured by the slope of Ca<sup>2+</sup> leak. We believe that the leak rate is most likely determined by the intrinsic ER mechanism. See the discussion of this result in lines 436442 and the previous response to the same reviewer comment.

      Reviewer #3 (Recommendations for the authors):

      Suggestions for improved or additional experiments, data, or analyses

      (1) Figure 1A is not mentioned in the main text even though it is discussed.

      Corrected

      (2) Figure 1G: Values do not match, how can GPN be so high?

      These figures were replaced by new traces and individual quantification analyses for each experiment.

      (3) Figure 1H and I: Is this type of data/results also available for the mitochondrion?

      Unfortunately, we were not able to include this experiment because we were unable to accurately quantify the mitochondrial calcium release. Instead, we used mitochondrial GECIs and the results are shown in Figure 5 to study mitochondrial calcium uptake.

      (4) Figure 1H: where does the calcium go after GPN addition? Taken up by another calcium store?

      Most likely calcium is extruded through the plasma membrane by the activity of the Calcium ATPase TgA1.

      However, the reviewer’s suggestion is also possible, and calcium could be taken by another store like the mitochondrion. In this regard, we did observe a large mitochondrial calcium increase (parasites expressing SOD2-GCaMp6) after adding GPN (Fig 5I) suggesting that the mitochondrion may take calcium from the organelle targeted by GPN. However, the calcium affinity of the mitochondrion is very low, so the concentration of calcium needs to be very high to activate it and these concentrations are most likely achieved at the microdomains formed between the mitochondrion and other organelles.

      (5) Figure 2B-C: Further explanation of why these particular values were chosen for the follow-up experiments would be helpful for the reader.

      We tested a wide range of MgATP and free calcium concentrations to measure ER Ca<sup>2+</sup> uptake catalyzed by TgSERCA. The concentrations shown fall within the linear range.

      We followed the free calcium concentrations used by studies of mammalian SERCA (https://doi.org/10.1016/j.ceca.2020.102188 ). In this protocol they used 220 nM free calcium, which was close to cytosolic Ca<sup>2+</sup> levels. TgSERCA can take up calcium efficiently at this concentration, as shown in Fig 2. We used less MgATP than the mammalian cell protocols, since we did not observe a significant increase in SERCA activity beyond 0.5 mM MgATP. We added one more sentence explaining in the results, lines 204-207.

      (6) Figure 3E: Revise the error bar? (and note that colours do not match the graph legend).

      The colors do match; the problem visualizing it is because vacuoles containing a single parasite are virtually absent in the control group without ATc treatment.

      (7) Figure 3H: 'Interestingly, when testing egress after the addition of saponin in the presence of extracellular Ca2+, we observed that the tachyzoites egressed sooner (Figure 3H, saponin egress).' This is the only graph showing egress timing, and thus it is not clear what is the comparison. The egressed here is sooner compared to what condition? Egress in the absence of Ca2+? This requires clarification and might require the control data to be added.

      In the saponin experiment we compare time to egress of the mutant grown with or without ATc. The measurement is for time to egress after adding saponin. This experiment is in the presence of extracellular calcium. The protocol was previously used to measure time to egress: PMID: 40043955, PMID: 38382669, PMID: 26374900. See also response to question 9 of reviewer 1.

      (8) Figure 4C: There is a small peak appearing right after TG addition this should be discussed and explained.

      This trace was generated in a different fluorometer, F-4000. This was an artifact due to jumping of the signal when adding TG. Multiple repeats of the same experiment in the newer F7000 did not show the peak. We included in the MM the use of the F-4000 fluorometer for some experiments. We apologize for the omission. Lines 609-610

      (9) Figure 5A: An important control that is missing is co-localisation with a mitochondrial marker.

      The expression of the SOD2-GCaMP6 has been characterized: PMID: 31758454

      (10) Figure 5H: This line was made for this study however the line genetic verification is missing.

      In response to this concern we now include a new Figure S5 showing the fluorescence of GCaMP6 in the mitochondrion of the iDTgSERCA mutant (Fig. S5A). We include several parasites. In addition, we show fluorescence measurements after addition of Calcium showing that the cells are unresponsive indicating that the indicator is not in the cytosol. Lines 650-651 and 344-348.

      (11) Figure 6D: since the membranes are hard to see, it is not clear whether the arrows show structures that are in line with the definition of membrane contact sites. The authors should provide an in-depth analysis of the length of the interaction between the membranes where the distance is less than 30 nM, and discuss how many structures corresponding to the definition were analysed.

      All the requested details are now included in the legend to Figure S3.

      Minor corrections to the text and figures

      (1) Unify statistical labelling throughout the paper replacing *** with p values.

      Corrected. We changed the *** with the actual p value in some figures. For figure 2 and Fig S1, we still use the *** due to the space limitation.

      (2) Unify ATC vs ATc throughout the paper.

      Corrected

      (3) Unify capitalization of line name (iΔTgserca/i ΔTgSERCA) throughout the paper.

      Corrected

      (4) Unify capitalization of p value (p/P) throughout the paper.

      Corrected in figures

      (5) Unify Fig X vs Fig. X throughout the text.

      Corrected

      (6) Add values of scale bars to legends (eg Figure S2).

      Corrected

      (7) What is the time point for the data in Figures 4E-H, 5H, and S3? 24hrs? include in the legend.

      Added 24 h to the legends. Fig S3 is now S4.

      (8) Figure 3F: The second graph is NS thus perhaps no need for the p-value?

      Corrected

      (8) Figure 3G: Worth considering swapping the two around: first attachment and then invasion?

      Corrected. Invasion and attachment bars were swapped.

      (10) Figure 4A/B: Wrong colour match for Figure 4B.

      Corrected

      (11) Figure 4F: In the main text, the authors reference to Figure 1F, correct to 4F.

      Corrected

      (12) Figure 4H: In the main text, authors reference to Figure 1H, correct to 4H.

      Corrected

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary: The authors of this study sought to define a role for IgM in responses to house dust mites in the lung.

      Strengths:

      Unexpected observation about IgM biology

      Combination of experiments to elucidate function

      Weaknesses:

      Would love more connection to human disease

      We thank the reviewer for these comments. At the time of this publication, we have not made a concrete link with human disease. While there is some anecdotal evidence of diseases such as Autoimmune glomerulonephritis, Hashimoto’s thyroiditis, Bronchial polyp, SLE, Celiac disease and other diseases in people with low IgM. Allergic disorders are also common in people with IgM deficiency, other studies have reported as high as 33-47%. The mechanisms for the high incidence of allergic diseases are unclear as generally, these patients have normal IgG and IgE levels. IgM deficiency may represent a heterogeneous spectrum of genetic defects, which might explain the heterogeneous nature of disease presentations. 

      Reviewer #2 (Public Review):

      Summary:

      The manuscript by Hadebe and colleagues describes a striking reduction in airway hyperresponsiveness in Igm-deficient mice in response to HDM, OVA and papain across the B6 and BALB-c backgrounds. The authors suggest that the deficit is not due to improper type 2 immune responses, nor an aberrant B cell response, despite a lack of class switching in these mice. Through RNA-Seq approaches, the authors identify few differences between the lungs of WT and Igm-deficient mice, but see that two genes involved in actin regulation are greatly reduced in IgM-deficient mice. The authors target these genes by CRISPR-Cas9 in in vitro assays of smooth muscle cells to show that these may regulate cell contraction. While the study is conceptually interesting, there are a number of limitations, which stop us from drawing meaningful conclusions.

      Strengths:

      Fig. 1. The authors clearly show that IgMKO mice have striking reduced AHR in the HDM model, despite the presence of a good cellular B cell response.

      Weaknesses:

      Fig. 2. The authors characterize the cd4 t cell response to HDM in IGMKO mice.<br /> They have restimulated medLN cells with antiCD3 for 5 days to look for IL-4 and IL-13, and find no discernible difference between WT and KO mice. The absence of PBS-treated WT and KO mice in this analysis means it is unclear if HDM-challenged mice are showing IL-4 or IL-13 levels above that seen at baseline in this assay.

      We thank the Reviewer for this comment. We would like to mention that a very minimal level of IL-4 and IL-13 in PBS mice was detected. We have indicated with a dotted line on the Figure to show levels in unstimulated or naïve cytokines. Please see Author response image 1 below from anti-CD3 stimulated cytokine ELISA data. The levels of these cytokines are very low and are not changed between WT and IgM<sup>-/-</sup> mice, this is also true for PMA/ionomycin-stimulated cells.

      Author response image 1.

      The choice of 5 days is strange, given that the response the authors want to see is in already primed cells. A 1-2 day assay would have been better.

      We agree with the reviewer that a shorter stimulation period would work. Over the years we have settled for 5-day re-stimulation for both anti-CD3 and HDM. We have tried other time points, but we consistently get better secretion of cytokines after 5 days.

      It is concerning that the authors state that HDM restimulation did not induce cytokine production from medLN cells, since countless studies have shown that restimulation of medLN would induce IL-13, IL-5 and IL-10 production from medLN. This indicates that the sensitization and challenge model used by the authors is not working as it should.

      We thank the reviewer for this observation. In our recent paper showing how antigen load affects B cell function, we used very low levels of HDM to sensitise and challenge mice (1 ug and 3 ug respectively). See below article, Hadebe et al., 2021 JACI. This is because Labs that have used these low HDM levels also suggested that antigen load impacts B cell function, especially in their role in germinal centres. We believe the reason we see low or undetectable levels of cytokines is because of this low antigen load sensitisation and challenge. In other manuscripts we have published or about to publish, we have shown that normal HDM sensitisation load (1 ug or 100 ug) and challenge (10 ug) do induce cytokine release upon restimulation with HDM. See the below article by Khumalo et al, 2020 JCI Insight (Figure 4A).

      Sabelo Hadebe, Jermaine Khumalo, Sandisiwe Mangali, Nontobeko Mthembu, Hlumani Ndlovu, Amkele Ngomti, Martyna Scibiorek, Frank Kirstein, Frank Brombacher. Deletion of IL-4Ra signalling on B cells limits hyperresponsiveness depending on antigen load. doi.org/10.1016/j.jaci.2020.12.635).

      Jermaine Khumalo, Frank Kirstein, Sabelo Hadebe, Frank Brombacher. IL-4Rα signalling in regulatory T cells is required for dampening allergic airway inflammation through inhibition of IL-33 by type 2 innate lymphoid cells. JCI Insight. 2020 Oct 15;5(20):e136206. doi: 10.1172/jci.insight.136206

      The IL-13 staining shown in panel c is also not definitive. One should be able to optimize their assays to achieve a better level of staining, to my mind.

      We agree with the reviewer that much higher IL-13-producing CD4 T cells should be observed. We don’t think this is a technical glitch or non-optimal set-up as we see much higher levels of IL-13-producing CD4 T cells when using higher doses of HDM to sensitise and challenge, say between 7 -20% in WT mice (see Author response image 2, lung stimulated with PMA/ionomycin+Monensin, please note this is for illustration purposes only and it not linked to the current manuscript, its merely to demonstrate a point from other experiments we have conducted in the lab).

      Author response image 2.

      In d-f, the authors perform a serum transfer, but they only do this once. The half life of IgM is quite short. The authors should perform multiple naïve serum transfers to see if this is enough to induce FULL AHR.

      We thank the reviewer for this comment. We apologise if this was not clear enough on the Figure legend and method, we did transfer serum 3x, a day before sensitisation, on the day of sensitisation and a day before the challenge to circumvent the short life of IgM. In our subsequent experiments, we have now used busulfan to deplete all bone marrow in IgM-deficient mice and replace it with WT bone marrow and this method restores AHR (Figure 3).

      This now appears in line 165 to 169 and reads

      “Adoptive transfer of naïve serum

      Naïve wild-type mice were euthanised and blood was collected via cardiac puncture before being spun down (5500rpm, 10min, RT) to collect serum. Serum (200mL) was injected intraperitoneally into IgM-deficient mice. Serum was injected intraperitoneally at day -1, 0, and a day before the challenge with HDM (day 10).”

      The presence of negative values of total IgE in panel F would indicate some errors in calculation of serum IgE concentrations.

      We thank the reviewer for this observation. For better clarity, we have now indicated these values as undetected in Figure , as they were below our detection limit.

      Overall, it is hard to be convinced that IgM-deficiency does not lead to a reduction in Th2 inflammation, since the assays appear suboptimal.

      We disagree with the reviewer in this instance, because we have shown in 3 different models and in 2 different strains and 2 doses of HDM (high and low) that no matter what you do, Th2 remains intact. Our reason for choosing low dose HDM was based on our previous work and that of others, which showed that depending on antigen load, B cells can either be redundant or have functional roles. Since our interest was to tease out the role of B cells and specifically IgM, it was important that we look at a scenario where B cells are known to have a function (low antigen load). We did find similar findings at high dose of HDM load, but effects on AHR were not as strong, but Th2 was not changed, in fact in some instances Th2 was higher in IgM-deficient mice.

      Fig. 3. Gene expression differences between WT and KO mice in PBS and HDM challenged settings are shown. PCA analysis does not show clear differences between all four groups, but genes are certainly up and downregulated, in particular when comparing PBS to HDM challenged mice. In both PBS and HDM challenged settings, three genes stand out as being upregulated in WT v KO mice. these are Baiap2l1, erdr1 and Chil1.

      Noted

      Fig. 4. The authors attempt to quantify BAIAP2L1 in mouse lungs. It is difficult to know if the antibody used really detects the correct protein. A BAIAP2L1-KO is not used as a control for staining, and I am not sure if competitive assays for BAIAP2L1 can be set up. The flow data is not convincing. The immunohistochemistry shows BAIAP2L1 (in red) in many, many cells, essentially throughout the section. There is also no discernible difference between WT and KO mice, which one might have expected based on the RNA-Seq data. So, from my perspective, it is hard to say if/where this protein is located, and whether there truly exists a difference in expression between wt and ko mice.

      We thank the reviewer for this comment. We are certain that the antibody does detect BAIAP2L1, we have used it in 3 assays, which we admit may show varying specificities since it’s a Polyclonal antibody. However, in our western blot, the antibody detects 1 band at 56.7kDa and no other bands, apart from what we think are isoforms. We agree that BAIAP2L1 is expressed by many cell types, including CD45+ cells and alpha smooth muscle negative cells and we show this in our supplementary Figure 9. Where we think there is a difference in expression between WT and IgM-deficient mice is in alpha-smooth muscle-positive cells. We have tested antibodies from different companies, and we find similar findings. We do not have access to BAIAP2L1 KO mice and to test specificity, we have also used single stain controls with or without secondary antibody and isotype control which show no binding in western blot and Immunofluorescence assays and Fluorescence minus one antibody in Flow cytometry, so that way we are convinced that the signal we are seeing is specific to BAIAP2L1.

      Fig. 5 and 6. The authors use a single cell contractility assay to measure whether BAIAP2L1 and ERDR1 impact on bronchial smooth muscle cell contractility. I am not familiar with the assay, but it looks like an interesting way of analysing contractility at the single cell level.

      The authors state that targeting these two genes with Cas9gRNA reduces smooth muscle cell contractility, and the data presented for contractility supports this observation. However, the efficiency of Cas9-mediated deletion is very unclear. The authors present a PCR in supp fig 9c as evidence of gene deletion, but it is entirely unclear with what efficiency the gene has been deleted. One should use sequencing to confirm deletion. Moreover, if the antibody was truly working, one should be able to use the antibody used in Fig 4 to detect BAIAP2L1 levels in these cells. The authors do not appear to have tried this.

      We thank the reviewer for these observations. We are in a process to optimise this using new polyclonal BAIAP2L1 antibodies from other companies, since the one we have tried doesn’t seem to work well on human cells via western blot. So hopefully in our new version, we will be able to demonstrate this by immunofluorescence or western blot.

      Other impressions:

      The paper is lacking a link between the deficiency of IgM and the effects on smooth muscle cell contraction.

      The levels of IL-13 and TNF in lavage of WT and IGMKO mice could be analysed.

      We have measured Th2 cytokine IL-13 in BAL fluid and found no differences between IgM-deficient mice and WT mice challenged with HDM (Author response image 1). We could not detected TNF-alpha in the BAL fluid, it was below detection limit.

      Author response image 3.

      IL-13 levels are not changed in IgM-deficient mice in the lung. Bronchoalveolar lavage fluid in WT or IgM-deficient mice sensitised and challenged with HDM. TNF-a levels were below the detection limit.

      Moreover, what is the impact of IgM itself on smooth muscle cells? In the Fig. 7 schematic, are the authors proposing a direct role for IgM on smooth muscle cells? Does IgM in cell culture media induce contraction of SMC? This could be tested and would be interesting, to my mind.

      We thank the Reviewer for these comments. We are still trying to test this, unfortunately, we have experienced delays in getting reagents such as human IgM to South Africa. We hope that we will be able to add this in our subsequent versions of the article. We agree it is an interesting experiment to do even if not for this manuscript but for our general understanding of this interaction at least in an in vitro system.

      Reviewer #3 (Public Review):

      Summary:

      This paper by Sabelo et al. describes a new pathway by which lack of IgM in the mouse lowers bronchial hyperresponsiveness (BHR) in response to metacholine in several mouse models of allergic airway inflammation in Balb/c mice and C57/Bl6 mice. Strikingly, loss of IgM does not lead to less eosinophilic airway inflammation, Th2 cytokine production or mucus metaplasia, but to a selective loss of BHR. This occurs irrespective of the dose of allergen used. This was important to address since several prior models of HDM allergy have shown that the contribution of B cells to airway inflammation and BHR is dose dependent.

      After a description of the phenotype, the authors try to elucidate the mechanisms. There is no loss of B cells in these mice. However, there is a lack of class switching to IgE and IgG1, with a concomitant increase in IgD. Restoring immunoglobulins with transfer of naïve serum in IgM deficient mice leads to restoration of allergen-specific IgE and IgG1 responses, which is not really explained in the paper how this might work. There is also no restoration of IgM responses, and concomitantly, the phenotype of reduced BHR still holds when serum is given, leading authors to conclude that the mechanism is IgE and IgG1 independent. Wild type B cell transfer also does not restore IgM responses, due to lack of engraftment of the B cells. Next authors do whole lung RNA sequencing and pinpoint reduced BAIAP2L1 mRNA as the culprit of the phenotype of IgM<sup>-/-</sup> mice. However, this cannot be validated fully on protein levels and immunohistology since differences between WT and IgM KO are not statistically significant, and B cell and IgM restoration are impossible. The histology and flow cytometry seems to suggest that expression is mainly found in alpha smooth muscle positive cells, which could still be smooth muscle cells or myofibroblasts. Next therefore, the authors move to CRISPR knock down of BAIAP2L1 in a human smooth muscle cell line, and show that loss leads to less contraction of these cells in vitro in a microscopic FLECS assay, in which smooth muscle cells bind to elastomeric contractible surfaces.

      Strengths:

      (1) There is a strong reduction in BHR in IgM-deficient mice, without alterations in B cell number, disconnected from effects on eosinophilia or Th2 cytokine production

      (2) BAIAP2L1 has never been linked to asthma in mice or humans

      Weaknesses:

      (1) While the observations of reduced BHR in IgM deficient mice are strong, there is insufficient mechanistic underpinning on how loss of IgM could lead to reduced expression of BAIAP2L1. Since it is impossible to restore IgM levels by either serum or B cell transfer and since protein levels of BAIAP2L1 are not significantly reduced, there is a lack of a causal relationship that this is the explanation for the lack of BHR in IgM-deficient mice. The reader is unclear if there is a fundamental (maybe developmental) difference in non-hematopoietic cells in these IgM-deficient mice (which might have accumulated another genetic mutation over the years). In this regard, it would be important to know if littermates were newly generated, or historically bred along with the KO line.

      We thank the reviewer for asking this question and getting us to think of this in a different way. This prompted us to use a different method to try and restore IgM function and since our animal facility no longer allows irradiation, we opted for busulfan. We present this data as new data in Figure 3. We had to go back and breed this strain and then generated bone marrow chimeras. What we have shown now with chimeras is that if we can deplete bone marrow from IgM-deficient mice and replace it with congenic WT bone marrow when we allow these mice to rest for 2 months before challenge with HDM (new Supplementary Figure 6 a-c) We also show that AHR (resistance and elastance) is partially restored in this way (Figure 3 a and b) as mice that receive congenic WT bone marrow after chemical irradiation can mount AHR and those that receive IgM-deficient bone marrow, can’t mount AHR upon challenge with HDM. If the mice had accumulated an unknown genetic mutation in non-hematopoietic cells, the transfer of WT bone marrow would not make a difference. So, we don’t believe the colony could have gained a mutation that we are unaware of. We have also shipped these mice to other groups and in their hands, this strains still only behaves as an IgM only knockout mice. See their publication below.

      Mark Noviski, James L Mueller, Anne Satterthwaite, Lee Ann Garrett-Sinha, Frank Brombacher, Julie Zikherman 2018. IgM and IgD B cell receptors differentially respond to endogenous antigens and control B cell fate. eLife 2018;7:e35074. DOI: https://doi.org/10.7554/eLife.35074 we have also added methods for bone marrow chimaeras and added results sections and new Figures related to this methods.

      Methods (line 171-182).

      “Busulfan Bone marrow chimeras

      WT (CD45.2) and IgM<sup>-/-</sup> (CD45.2) congenic mice were treated with 25 mg/kg busulfan (Sigma-Aldrich, Aston Manor, South Africa) per day for 3 consecutive days (75 mg/kg in total) dissolved in 10% DMSO and Phosphate buffered saline (0.2mL, intraperitoneally) to ablate bone marrow cells. Twenty-four hours after last administration of busulfan, mice were injected intravenously with fresh bone marrow (10x10<sup>6</sup> cells, 100mL) isolated from hind leg femurs of either WT (CD45.1) or IgM<sup>-/-</sup> mice(33). Animals were then allowed to complement their haematopoietic cells for 8 weeks. In some experiments the level of bone marrow ablation was assessed 4 days post-busulfan treatment in mice that did not receive donor cells. At the end of experiment level of complemented cells were also assessed in WT and IgM<sup>-/-</sup> mice that received WT (CD45.1) bone marrow.”

      Results (line 491-521)

      “Replacement of IgM-deficient mice with functional hematopoietic cells in busulfan mice chimeric mice restores airway hyperresponsiveness.

      We then generated bone marrow chimeras by chemical radiation using busulfan(33). We treated mice three times with busulfan for 3 consecutive days and after 24 hrs transferred naïve bone marrow from congenic CD45.1 WT mice or CD45.2 IgM<sup>-/-</sup> mice (Fig. 3a and Supplementary Fig. 5a). We showed that recipient mice that did not receive donor bone marrow after 4 days post-treatment have significantly reduced lineage markers (CD45+Sca-1+) or lineage negative (Lin-) cells in the bone marrow when compared to untreated or vehicle (10% DMSO) treated mice (Supplementary Figure 5b-c). We allowed mice to reconstitute bone marrow for 8 weeks before sensitisation and challenge with low dose HDM (Figure 3a). We showed that WT (CD45.2) recipient mice that received WT (CD45.1) donor bone marrow had higher airway resistance and elastance and this was comparable to IgM<sup>-/-</sup> (CD45.2) recipient mice that received donor WT (CD45.1) bone marrow (Figure 3b). As expected, IgM<sup>-/-</sup> (CD45.2) recipient mice that received donor IgM<sup>-/-</sup> (CD45.2) bone marrow had significantly lower AHR compared to WT (CD45.2) or IgM<sup>-/-</sup> (CD45.2) recipient mice that received WT (CD45.1) bone marrow (Figure 3b). We confirmed that the differences observed were not due to differences in bone marrow reconstitution as we saw similar frequencies of CD45.1 cells within the lymphocyte populations in the lungs and other tissues (Supplementary Fig. 5d). We observed no significant changes in the lung neutrophils, eosinophils, inflammatory macrophages, CD4 T cells or B cells in WT or IgM<sup>-/-</sup> (CD45.2) recipient mice that received donor WT (CD45.1/CD45.2) or IgM<sup>-/-</sup> (CD45.2) bone marrow when sensitised and challenged with low dose HDM (Fig. 3c)

      Restoring IgM function through adoptive reconstitution with congenic CD45.1 bone marrow in non-chemically irradiated recipient mice or sorted B cells into IgM<sup>-/-</sup> mice (Supplementary Fig.  6a) did not replenish IgM B cells to levels observed in WT mice and as a result did not restore AHR, total IgE and IgM in these mice (Supplementary Fig.  6b-c).”

      The 2 new figures are

      Figure 3 which moved the rest of the Figures down and Supplementary Figure 5, which also moved the rest of the supplementary figures down.

      Discussion appears in line 757-766 of the untracked version of the article.

      To resolve other endogenous factors that could have potentially influenced reduced AHR in IgM-deficient mice, we resorted to busulfan chemical irradiation to deplete bone marrow cells in IgM-deficient mice and replace bone marrow with WT bone marrow. While it is well accepted that busulfan chemical irradiation partially depletes bone marrow cells, in our case it was not possible to pursue other irradiation methods due to changes in ethical regulations and that fact that mice are slow to recover after gamma rays irradiation. Busulfan chemical irradiation allowed us to show that we could mostly restore AHR in IgM-deficient recipient mice that received donor WT bone marrow when challenged with low dose HDM.

      (2) There is no mention of the potential role of complement in activation of AHR, which might be altered in IgM-deficient mice 

      We thank the reviewer for this comment. We have not directly looked at complement in this instance, however, from our previous work on C3-/- mice, there have been comparable AHR to WT mice under the HDM challenge.

      (3) What is the contribution of elevated IgD in the phenotype of the IgM-deficient mice. It has been described by this group that IgD levels are clearly elevated

      We thank the reviewer for this question. We believe that IgD is essentially what drives partial class switching to IgG, we certainly have shown that in the case of VSV virus and Trypanosoma congolense and Trypanosoma brucei brucei that elevated IgD drive delayed but effective IgG in the absence of IgM (Lutz et al, 2001, Nature). This is also confirmed by Noviski studies where they show that both IgM and IgD do share some endogenous antigens, so its likely that external antigens can activate IgD in a similar manner to prompt class switching.

      (4) How can transfer of naïve serum in class switching deficient IgM KO mice lead to restoration of allergen specific IgE and IgG1?

      We thank the Reviewer for these comments, we believe that naïve sera transferred to IgM deficient mice is able to bind to the surface of B cells via IgM receptors (FcμR / Fcα/μR), which are still present on B cells and this is sufficient to facilitate class switching. Our IgM<sup>-/-</sup> mouse lacks both membrane-bound and secreted IgM, and transferred serum contains at least secreted IgM which can bind to surfaces via its Fc portion. We measured HDM-specific IgE and we found very low levels, but these were not different between WT and IgM<sup>-/-</sup> adoptively transferred with WT serum. We also detected HDM-specific IgG1 in IgM<sup>-/-</sup> transferred with WT sera to the same level as WT, confirming a possible class switching, of course, we can’t rule out that transferred sera also contains some IgG1. We also can’t rule out that elevated IgD levels can partially be responsible for class switched IgG1 as discussed above.

      In the discussion line 804-812, we also added the following

      “We speculate that IgM can directly activate smooth muscle cells by binding a number of its surface receptors including FcμR, Fcα/μR and pIgR(52-54). IgM binds to FcμR strictly, but shares Fcα/μR and pIgR with IgA(5,52,54). Both Fcα/μR and pIgR can be expressed by non-structural cells at mucosal sites(54,55). We would not rule out that the mechanisms of muscle contraction might be through one of these IgM receptors, especially the ones expressed on smooth muscle cells(54,55). Certainly, our future studies will be directed towards characterizing the mechanism by which IgM potentially activates the smooth muscle.”

      We have discussed this section under Discussion section, line 731 to 757. In addition, since we have now performed bone marrow chimaeras we have further added the following in our discussion in line 757-766.

      To resolve other endogenous factors that could have potentially influenced reduced AHR in IgM-deficient mice, we resorted to busulfan chemical irradiation to deplete bone marrow cells in IgM-deficient mice and replace bone marrow with WT bone marrow. While it is well accepted that busulfan chemical irradiation partially depletes bone marrow cells, in our case it was not possible to pursue other irradiation methods due to changes in ethical regulations and that fact that mice are slow to recover after gamma rays irradiation. Busulfan chemical irradiation allowed us to show that we could mostly restore AHR in IgM-deficient recipient mice that received donor WT bone marrow when challenged with low dose HDM.

      We removed the following lines, after performing bone marrow chimaeras since this changed some aspects.

      Our efforts to adoptively transfer wild-type bone marrow or sorted B cells into IgM-deficient mice were also largely unsuccessful partly due to poor engraftment of wild-type B cells into secondary lymphoid tissues. Natural secreted IgM is mainly produced by B1 cells in the peritoneal cavity, and it is likely that any transfer of B cells via bone marrow transfer would not be sufficient to restore soluble levels of IgM(3,10).

      (5) Alpha smooth muscle antigen is also expressed by myofibroblasts. This is insufficiently worked out. The histology mentions "expression in cells in close contact with smooth muscle". This needs more detail since it is a very vague term. Is it in smooth muscle or in myofibroblasts.

      Response: We appreciate that alpha-smooth muscle actin-positive cells are a small fraction in the lung and even within CD45 negative cells, but their contribution to airway hyperresponsiveness is major. We also concede that by immunofluorescence BAIAP2L1 seems to be expressed by cells adjacent to alpha-smooth muscle actin (Fig. 5b), however, we know that cells close to smooth muscle (such as extracellular matrix and myofibroblasts) contribute to its hypertrophy in allergic asthma.

      James AL, Elliot JG, Jones RL, Carroll ML, Mauad T, Bai TR, et al. Airway Smooth Muscle Hypertrophy and Hyperplasia in Asthma. Am J Respir Crit Care Med [Internet]. 2012;185:1058–64. Available from: https://doi.org/10.1164/rccm.201110-1849OC

      (6) Have polymorphisms in BAIAP2L1 ever been linked to human asthma?

      No, we have looked in asthma GWAS studies, at least summary statics and we have not seen any SNPs can could be associated with human asthma.

      (7) IgM deficient patients are at increased risk for asthma. This paper suggests the opposite. So the translational potential is unclear

      We thank the reviewer for these comments. At the time of this publication, we have not made a concrete link with human disease. While there is some anecdotal evidence of diseases such as Autoimmune glomerulonephritis, Hashimoto’s thyroiditis, Bronchial polyp, SLE, Celiac disease and other diseases in people with low IgM. Allergic disorders are also common in people with IgM deficiency as the reviewer correctly points out, other studies have reported as high as 33-47%. The mechanisms for the high incidence of allergic diseases are unclear as generally, these patients have normal or higher IgG and IgE levels. IgM deficiency may represent a heterogeneous spectrum of genetic defects, which might explain the heterogeneous nature of disease presentations.

    1. Author response:

      The following is the authors’ response to the original reviews.

      We are thankful to the reviewers and the editor for their detailed feedback, insightful suggestions, and thoughtful assessment of our work. The revised manuscript has taken into account all the comments of the three reviewers. We have also undertaken additional analyses and added materials in response to reviewer suggestions. In brief:

      (1) We have conducted a more in-depth analysis of frequency domain HRV metrics to better depict the change of autonomic tone.

      (2) We have revised the manuscript to provide justifications for the chosen taVNS protocol and to clearly articulate the objectives of the current study.

      (3) In response to comments from reviewer #2, we have included two new tables that present the absolute changes in cardiovascular metrics, clinical characteristics for the two trial arms, and effects of taVNS adjusted for age.

      Other significant amendments include:

      (1) An expanded discussion linking our findings to the existing literature on the effects of taVNS on cardiovascular function, biomarkers for taVNS response, the safety of taVNS, and the dose-response relationship of taVNS.

      (2) Revision to the Method section to provide details of QT interval calculation.

      Reviewer #1 (Public Review):

      The authors report the results of a randomized clinical trial of taVNS as a neuromodulation technique in SAH patients. They found that taVNS appears to be safe without inducing bradycardia or QT prolongation. taVNS also increased parasympathetic activity, as assessed by heart rate variability measures. Acute elevation in heart rate might be a biomarker to identify SAH patients who are likely to respond favorably to taVNS treatment. The latter is very important in light of the need for acute biomarkers of response to neuromodulation treatments.

      Comments:

      (1) Frequency domain heart rate variability measures should be analyzed and reported. Given the short duration of the ECG recording, the frequency domain may more accurately reflect autonomic tone.

      We sincerely appreciate this encouraging summary of our paper. We have analyzed and reported frequency-domain heart rate variability measures, including the relative power of the high-frequency band (0.15–0.4 Hz) and the relative power of the low-frequency band (0.04 – 0.15). We showed the distribution of the two frequency-domain HRV measures in supplementary Figure 2C-D. For 24-hour ECG recording, we found that the change in the relative high-frequency power from Day 1 was not significantly different between the treatment groups. As both high-frequency band and low-frequency band power are relative to the total power, the comparison of the relative power of the low-frequency band between groups would be the opposite of the relative power of the high-frequency band. As both time-domain and frequency-domain HRV measures can reflect the autonomic tone, we performed factor analysis to identify the parasympathetic activity component (Figure 2D). Comparing the change in parasympathetic activity component and relative high-frequency power, we observed similarities and discrepancies. Specifically, both the change in parasympathetic activity component and the change in relative high-frequency power were higher in the taVNS group at the early phase (Day 2 - 4).

      We also observed higher high-frequency power in the Sham group at the later phase. If the factor analysis successfully isolates the parasympathetic activity, there should be other factors than the parasympathetic activity affecting the relative power of the high-frequency band. One such factor is the respiration rate. The high-frequency range is between 0.15 to 0.4 Hz, corresponding to respiration's frequency range of approximately 9 to 24 breaths per minute. If the respiration rate increases and exceeds 24 breaths per minute, the respiratory-driven HRV might occur at a frequency higher than the typical high-frequency band. Given that the respiration rate was higher in the taVNS treatment group, a compensatory mechanism to ensure oxygen delivery (Figure 4E), we hypothesized that observed lower high-frequency power in the taVNS treatment group compared to sham at later phases is a result of increased respiration rate in the taVNS treatment group. Indeed, we found the normalized high-frequency power is higher when RR is less than 25 bpm compared to when RR > 25 bpm (Cohen’s d = 0.85, Supplementary Figure 3A). Moreover, an increase in RR in the taVNS treatment group is associated with a decrease in high-frequency power (Supplementary Figure 3B). These control analyses underscored the necessity of performing factor analysis to robustly measure parasympathetic activities and confirm that taVNS treatment mitigated the sympathetic overactivation during the early phase.

      We have now discussed the results of frequency-domain HRV measures in the Discussion section: taVNS and autonomic system (p23): “A key metric that reflects this restored sympathovagal balance is the increase in heart rate variability (Figure 3F). Specifically, the factor analysis showed that the parasympathetic activity was significantly higher in the taVNS treatment group. This difference was most pronounced during the early phase, particularly between Days 2 and 4 following SAH. In addition to analyzing the correlation between the parasympathetic activity factor and established HRV measures that reflect parasympathetic activity such as RMSSD and pNNI_50 (Figure 3C), we also examined changes in a frequency-domain HRV measure—the relative power of the high-frequency band (0.15–0.4 Hz)—to validate the accuracy of the factor analysis. the relative power of the high-frequency band is widely used to indicate respiratory sinus arrhythmia, a process primarily driven by the parasympathetic nervous system (Supplementary Figure 2). We found that both the change in parasympathetic activity factor and relative high-frequency power were higher in the taVNS group at the early phase (Day 2 - 4). Conversely, we observed higher high-frequency power in the Sham group during the later phase. If the factor analysis successfully isolates the parasympathetic activity, there should be other factors than the parasympathetic activity affecting the relative power of the high-frequency band. One such factor is the respiration rate. The high-frequency range is between 0.15 to 0.4 Hz, corresponding to respiration's frequency range of approximately 9 to 24 breaths per minute. If the respiration rate increases and exceeds 24 breaths per minute, the respiratory-driven HRV might occur at a frequency higher than the typical high-frequency band. Given that the respiration rate was higher in the taVNS treatment group, a compensatory mechanism to ensure oxygen delivery (Figure 4E), we hypothesized that observed lower high-frequency power in the taVNS treatment group compared to sham at later phases is a result of increased respiration rate in the taVNS treatment group. Indeed, we found the normalized high-frequency power is higher when RR is less than 25 bpm compared to when RR > 25 bpm (Cohen’s d = 0.85, Supplementary Figure 3A). Moreover, an increase in RR in the taVNS treatment group is associated with a decrease in high-frequency power (Supplementary Figure 3B). These control analyses underscored the necessity of performing factor analysis to robustly measure parasympathetic activities and confirm that taVNS treatment mitigated the sympathetic overactivation during the early phase.”

      We have also reported the changes in the relative power of the high-frequency band between the two treatment groups in Supplementary Figure 6. We did not find a significant change in relative high-frequency band power between the treatment groups (Treatment – pre-treatment difference: p = 0.74, Cohen’s d = -0.08, N(Sham) = 199, N(taVNS) = 188, Mann-Whitney U test). We reported these results in the Results section: Acute effects of taVNS on cardiovascular function (p18): “There were no significant differences in changes in corrected QT interval or heart rate variability, as measured by RMSSD, SDNN, and relative power of high-frequency band between treatment groups (Figure 5D and E and Supplementary Figure 6).”

      How was the "dose" chosen (20 minutes twice daily)?

      The choice of a 20-minute taVNS session twice daily was informed by findings from Addorisio et al. (2019), where the authors administered 5-minute taVNS twice daily to patients with rheumatoid arthritis for two days. They found that the circulating c-reactive protein (CRP) levels significantly reduced after two days of treatment but returned to baseline at the second clinical assessment by day 7. Given the high inflammatory state associated with subarachnoid hemorrhage (SAH) and our intention to maintain a steady reduction in inflammation, we extended the duration of taVNS to 20 minutes per session. We have clarified this stimulation schedule's rationale in the Results section (p5-6): “This treatment schedule was informed by findings from Addorisio et al., where a 5-minute taVNS protocol was administered twice daily to patients with rheumatoid arthritis for two days.29 Their study found that circulating c-reactive protein (CRP) levels significantly reduced after 2 days of treatment but returned to baseline at the second clinical assessment by day 7. Given the high inflammatory state associated with SAH and our intention to maintain a steady reduction in inflammation, we decided to extend the treatment duration to 20 minutes per session.”

      Addorisio, Meghan E., et al. "Investigational treatment of rheumatoid arthritis with a vibrotactile device applied to the external ear." Bioelectronic Medicine 5 (2019): 1-11.

      The use of an acute biomarker of response is very important. A bimodal response to taVNS has been previously shown in patients with atrial fibrillation (Kulkarni et al. JAHA 2021).

      Thank you for this valuable insight and for bringing the study by Kulkarni et al. to our attention. Their study showed that the response to Low-Level Tragus Stimulation (LLTS) varied among patients with atrial fibrillation, which can be predicted by acute P-wave alternans (PWA) to some degree. We have discussed the implication of the bimodal response to taVNS in the Discussion section (p26-27): “Kulkarni et al. showed that the response to low-level tragus stimulation (LLTS) varied among patients with atrial fibrillation.49 Similarly, in our study, not all patients in the taVNS treatment group showed a reduction in mRS scores (improved degree of disability or dependence). This differential response may be inherent to taVNS and potentially influenced by factors such as anatomical variations in the distribution of the vagus nerve at the outer ear. These findings underscore the importance of using acute biomarkers to guide patient selection and optimize stimulation parameters. Furthermore, we found that increased heart rate was a potential acute biomarker for identifying SAH patients who are most likely to respond favorably to taVNS treatment. Translating this finding into clinical practice will require further research to elucidate the mechanisms by which an acute increase in heart rate may predict the outcomes of patients receiving taVNS, including its relationship with neurological evaluations, vasospasm, echocardiography, and inflammatory markers.”

      Reviewer #2 (Public Review):

      Summary:

      This study investigated the effects of transcutaneous auricular vagus nerve stimulation (taVNS) on cardiovascular dynamics in subarachnoid hemorrhage (SAH) patients. The researchers conducted a randomized clinical trial with 24 SAH patients, comparing taVNS treatment to a Sham treatment group (20 minutes per day twice a day during the ICU stay). They monitored electrocardiogram (ECG) readings and vital signs to assess acute as well as middle-term changes in heart rate, heart rate variability, QT interval, and blood pressure between the two groups. The results showed that repetitive taVNS did not significantly alter heart rate, corrected QT interval, blood pressure, or intracranial pressure. However, it increased overall heart rate variability and parasympathetic activity after 5-10 days of treatment compared to the sham treatment. Acute taVNS led to an increase in heart rate, blood pressure, and peripheral perfusion index without affecting corrected QT interval, intracranial pressure, or heart rate variability. The acute post-treatment elevation in heart rate was more pronounced in patients who showed clinical improvement. In conclusion, the study found that taVNS treatment did not cause adverse cardiovascular effects, suggesting it is a safe immunomodulatory treatment for SAH patients. The mild acute increase in heart rate post-treatment could potentially serve as a biomarker for identifying SAH patients who may benefit more from taVNS therapy.

      Strengths:

      The paper is overall well written, and the topic is of great interest. The methods are solid and the presented data are convincing.

      Weaknesses:

      (1) It should be clearly pointed out that the current paper is part of the NAVSaH trial (NCT04557618) and presents one of the secondary outcomes of that study while the declared first outcomes (change in the inflammatory cytokine TNF-α in plasma and cerebrospinal fluid between day 1 and day 13, rate of radiographic vasospasm, and rate of requirement for long-term CSF diversion via a ventricular shunt) are available as a pre-print and currently under review (doi: 10.1101/2024.04.29.24306598.). The authors should better stress this point as well as the potential association of the primary with the secondary outcomes.

      Thank you for this valuable suggestion. The current study indeed focuses on the trial’s secondary outcomes. The main objective is to evaluate the cardiovascular safety of the taVNS protocol and to provide insights that will inform the application of taVNS in SAH patients. Following your comments, we have clarified this in the Introduction section (p6): “The current study is part of the NAVSaH trial (NCT04557618) and focuses on the trial’s secondary outcomes, including heart rate, QT interval, HRV, and blood pressure.32 This interim analysis aims to evaluate the cardiovascular safety of the taVNS protocol and to provide insights that will inform the application of taVNS in SAH patients. The primary outcomes of this trial, including change in the inflammatory cytokine TNF-α and rate of radiographic vasospasm, are available as a pre-print and currently under review.26”

      The negative association between HRV and inflammatory cytokines has been reported in numerous studies such as (Williams et al., Brain, Behavior, and Immunity, 2019; Haensel et al., Psychoneuroendocrinology. 2008). There are some studies suggesting that increased sympathetic tone following SAH is associated with vasospasm (Bjerkne Wenneberg, S. et al., Acta Anaesthesiologica Scandinavica. 2020; Megjhani et al., Neurocrit Care. 2020). Based on the literature, we compared the effects of taVNS on primary and secondary outcomes. The findings from the two parallel analyses are consistent: taVNS treatment reduced pro-inflammatory cytokines and increased HRV. Furthermore, the analyses of the primary outcomes revealed a reduction in the presence of any radiographic vasospasm in the taVNS treatment group compared to the sham. We have now integrated these findings and discussed them in the Discussion section (p25-26): “Given the negative association between pro-inflammatory markers and HRV, our finding that HRV was higher in the taVNS treatment group aligns with the findings of primary outcomes of this clinical trial, which showed that taVNS treatment reduced pro-inflammatory cytokines, including tumor necrosis factor-alpha (TNF-α) and interleukin-6.26,52 The consistency between these findings strengthens the evidence supporting the anti-inflammatory effects of taVNS. In addition, the sympathetic predominance following SAH is implicated in an increased risk of delayed cerebral vasospasm, which is most commonly detected 5-7 days after SAH.12 Given that taVNS treatment mitigated the sympathetic overactivation before the typical onset of cerebral vasospasm, it could potentially reduce the severity of this complication.”

      (2) The references should be implemented particularly concerning other relevant papers (including reviews and meta-analysis) of taVNS safety, particularly from a cardiovascular standpoint, such as doi: 10.1038/s41598-022-25864-1 and doi: 10.3389/fnins.2023.1227858).

      Thank you for providing the relevant papers. We have provided these references in the Introduction section to provide a more comprehensive background of our study (p6): “While some animal studies have reported a potential risk of bradycardia and decreased blood pressure associated with vagus nerve stimulation, two reviews of human studies have considered the cardiovascular effects of taVNS generally safe, with adverse effects reported only in patients with pre-existing heart diseases. 21,22,23

      (3) The dose-response issue that affects both VNS and taVNS applications in different settings should be mentioned (doi: 10.1093/eurheartjsupp/suac036.) as well as the need for more dose-finding preclinical as well as clinical studies in different settings (the best stimulation protocol is likely to be disease-specific).

      Overall, the present work has the important potential to further promote the usage of taVNS even on critically ill patients and might set the basis for future randomized studies in this setting

      Thank you for this valuable insight. Scientific understanding of the dose-response relationship and determining optimal parameters tailored to specific disease contexts has been recognized as an important part of taVNS research and, more generally, in the electrical neuromodulation field. Studies in this direction are often complex and time-intensive due to the multitude of possible parameter combinations. As such, most taVNS studies opted to use parameters that have been established in previous studies. For example, 20 Hz taVNS is extensively used as a therapeutic intervention in stroke (Matyas Jelinek ,2024, https://www.sciencedirect.com/science/article/pii/S0014488623003138). As we pioneer the application of taVNS as an immunomodulation technique in SAH patients, we also adopt parameters reported in similar studies, aiming to provide a basis for future preclinical and clinical studies of taVNS in this patient population. As you noted, the effects of taVNS are dose-dependent, necessitating systematic exploration of the parameter space, including frequency, intensity, and duration. Our findings of the acute biomarker (heart rate) hold the promise of close-loop taVNS. We have now emphasized the importance of investigating how parameters/dose affect taVNS’s effects on immune function and cardiovascular function in SAH patients (p28): “As we pioneer the application of taVNS as an immunomodulation technique in SAH patients, we adopt parameters (20 Hz, 0.4 mA) reported in similar studies.55 The current study provides a basis for future preclinical and clinical studies of taVNS in this patient population. To build on our findings, a systematic evaluation of the relationship between parameters such as frequency, intensity, and duration and taVNS’s effects on the immune system and cardiovascular function is necessary to establish taVNS as an effective therapeutic option for SAH patients.56”

      Reviewer #2 (Recommendations For The Authors):

      The paper is overall well written, and the topic is of great interest. The reviewer has some major comments:

      (1) It should be clearly pointed out that the current paper is part of the NAVSaH trial and presents one of the secondary outcomes of that study while the declared first outcomes (change in the inflammatory cytokine TNF-α in plasma and cerebrospinal fluid between day 1 and day 13, rate of radiographic vasospasm, and rate of the requirement for long-term CSF diversion via a ventricular shunt) are available as a pre-print and currently under review (doi: 10.1101/2024.04.29.24306598.).

      We have revised the manuscript following your comment. Please see comment Reviewer 2 Public Review and our response.

      The authors should assess the relationship between the impact of taVNS on inflammatory markers in plasma and in cerebrospinal fluid and the autonomic responses. The association between inflammatory markers and noninvasive autonomic markers as well as sympathovagal balance should also be assessed. Specifically, the authors should try to assess whether the acute post-treatment elevation in heart rate was more pronounced in patients who experienced a more pronounced reduction in inflammatory biomarkers. Indeed, since all patients in the current study received the same dose of taVNS (20 Hz frequency, 250 μs pulse width, and 0.4 mA intensity), while in several cardiovascular studies (doi: 10.1016/j.jacep.2019.11.008, doi: 10.1007/s10286-023-00997-z) the intensity (amplitude) of taVNS was differentially set based on the subjective pain/sensory threshold, that might be a marker of acute afferent neuronal engagement.

      We agree that analyzing the change in cardiovascular metrics and changes in inflammatory markers is an important next step. In particular, testing whether the acute elevation in heart rate correlates with changes in inflammatory markers could further establish heart rate as a biomarker to guide patient selection and optimize stimulation parameters. (Please refer to comment 1.3 and our responses). However, in this paper, the primary objective is the cardiovascular safety of the current taVNS protocol in SAH patients. This association between inflammatory markers and autonomic responses extends beyond the scope of the current manuscript and would be more appropriately addressed in a separate publication.

      Previous literature has shown a negative association between HRV and inflammatory markers in SAH patients (for example, Adam, J., 2023). It is reasonable to postulate that taVNS modulates the immune system and the autonomic system synergistically. We found that parasympathetic tone was higher in the taVNS treatment group, with the most notable differences observed between Days 2 and 4 following SAH (Figure 3F). In a separate study of the primary outcomes of this trial (Huguenard et al., 2024), serum levels of IL-6 (pro-inflammation cytokine) were also significantly lower in the taVNS treatment group on Day 4 (Figure 3A, in our preprint, https://doi.org/10.1101/2024.04.29.24306598).

      We appreciate your input regarding the potential mechanism behind acute heart rate changes. In this trial, all patients who were able to engage in verbal communication were asked if they felt any prickling or pain during all sessions. We confirmed that the current stimulation setting was sub-perception in all trialed patients, making it unlikely that the observed heart rate increase was due to pain or sensory perception. Our current hypothesis is that successful activation of the afferent vagal pathway by taVNS increased arousal, resulting in increased heart rate. We have revised the Discussion section based on your insight (p29): “All patients who were capable of verbal communication were asked if they felt any prickling or pain during all sessions. We confirmed that the current taVNS protocol is below the perception threshold for all trialed patients. Altogether, successful activation of the afferent vagal pathway by taVNS increased arousal, resulting in increased heart rate.50,51”

      Huguenard, A. L. et al. Auricular Vagus Nerve Stimulation Mitigates Inflammation and Vasospasm in Subarachnoid Hemorrhage: A Randomized Trial. (2024) doi:10.1101/2024.04.29.24306598.

      Adam, J., Rupprecht, S., Künstler, E. C. S. & Hoyer, D. Heart rate variability as a marker and predictor of inflammation, nosocomial infection, and sepsis – A systematic review. Autonomic Neuroscience vol. 249 103116 (2023).

      A new table should be provided with the mean (or median) values of the two arms of the population (taVNS and sham) including baseline clinical characteristics, comorbidities (mean age, % of female, % with known hypertension, diabetes, etc), ongoing medications (% on beta-betablockers, etc), and pre, during and post-treatment absolute values (expressed as mean or median depending on the distribution) of the studied parameters (QT and QTc absolute values, heart rate, SDNN, etc) in order for the reader to have a better understanding of how SAH affects these parameters. Absolute changes in the abovementioned parameters should also be presented in the table. For instance, the reported absolute increase in heart rate, based on Figure 5, panel C, seems very modest, below 2 bpm. This is very important to underlying for several reasons, including the fact that the evaluation of the impact of treatment on heart rate variability as assessed in the time domain might be influenced by concomitant changes in heart rate due to the nonlinearity of neural modulation of sinus node cycle length. Indeed, time-domain indexes of HRV intrinsically increase when heart rate decreases in a nonlinear way, while frequency domain indexes (e.g. the low frequency/high frequency (LF/HF) ratio), appear to be devoid of intrinsic rate-dependency (doi: 10.1016/s0008-6363(01)00240-1).

      Thank you for your suggestion. We have added the new table to the manuscript. In this table, we include clinical characteristics, the median of absolute values of cardiovascular metrics from 24-hour ECG recording, and the median absolute changes in these metrics for both arms. We believe that absolute values of cardiovascular metrics from 24-hour ECG recording are more informative about how SAH affects these parameters than metrics for the pre-, during-, and post-treatment periods.

      In Result (p7), we have added: “Supplementary Table 3 shows the clinical characteristics of the two treatment groups.” In Result, Acute effect of taVNS on cardiovascular function (p20), we have added: “Supplementary Table 3 summarizes the absolute changes in cardiovascular metrics for the treatment groups.”

      Thank you for raising the concern about HRV and providing the reference. We have now reported frequency domain indexes in our results: relative power of high-frequency power, which is negatively correlated with the LF/HF ratio. The high-frequency power is used to capture sinus arrhythmia, reflecting the parasympathetic modulation of the heart. Although the frequency domain metrics might be less susceptible to the rate-dependency (doi: 10.1016/s0008-6363(01)00240-1), there are circumstances when the frequency domain metrics might not accurately reflect the autonomic tone (Please see Reviewer 1 Publice Review and our responses).

      An attempt to correct the effect of taVNS on the evaluated autonomic parameters according to age should be provided, considering that there were no age limits and parasympathetic indexes, particularly at the sinus node level, are known to decrease with age, particularly for those older than 65 years.

      Thank you for the suggestion. We were aware of the influence of age on cardiac heart rate and heart rate variability. In our initial analysis, we compared the change in autonomic parameters from day 1 within each subject across the two treatment groups. This approach controls for individual differences, including those due to age. In addition to your comment, age is a risk factor for subarachnoid hemorrhage. Older individuals often face an increased risk of poor outcomes. To further verify if age influences autonomic changes following SAH, we performed ANCOVA on autonomic function parameters with age included as a covariate. This analysis showed that age was negatively correlated with changes in heart rate, SDNN, and RMSSD from Day 1, but not with changes in QT intervals. After adjusting for age, we found that RMSSD changes and SDNN changes were significantly higher in the taVNS treatment group, while QTc changes were significantly lower in this group. These results align with the main findings (Figures 2 and 3). In addition, autonomic changes following SAH may be influenced by age. Specifically, lower RMSSD and SDNN in older individuals suggest a greater shift toward sympathetic predominance following SAH. We have now reported these results in Supplementary Table 4 and discussed their implication in the Discussion section (p28): “To control for individual differences, including those due to age, our study compared the change in cardiovascular parameters from Day 1 within each subject across treatment groups. To further verify if age influences autonomic changes following SAH, we performed ANCOVA on autonomic function parameters with age included as a covariate. This analysis showed that age was negatively correlated with changes in heart rate, SDNN, and RMSSD from Day 1 but not with changes in QT intervals. After adjusting for age, we found that RMSSD changes and SDNN changes were significantly higher, while QTc changes were significantly lower in the taVNS treatment group (Supplementary Table 4). These results align with the conclusion that repetitive taVNS treatment increased HRV and was unlikely to cause bradycardia or QT prolongation. In addition, autonomic changes following SAH may be influenced by age. Specifically, lower RMSSD and SDNN in older individuals suggest a greater shift toward sympathetic predominance following SAH (Supplementary Table 4).”

      The results of the current study should be discussed considering what was previously demonstrated concerning the cardiovascular effects of taVNS (doi: 10.3389/fnins.2023.1227858).

      We appreciate the suggestion to consider previous findings on the cardiovascular effects of taVNS. However, it is important to note that most studies investigating the cardiovascular effects of taVNS involve healthy individuals, whereas our study focuses on SAH patients who are critically ill. Given the influence of SAH on cardiovascular parameters, we should be cautious when generalizing our findings to the broader population. Previous studies involving stroke populations have reported cardiovascular parameters descriptively as part of their safety assessments (doi: 10.1155/2020/8841752). Our study is currently the only one systematically investigating the cardiovascular safety of taVNS in SAH patients. Furthermore, the review paper (doi: 10.3389/fnins.2023.1227858) includes a highly heterogeneous mix of studies, such as auricular acupressure, auricular acupuncture, and electrical stimulation applied to different parts of the ear. For the subset of studies involving electrical stimulation, there is considerable variation in the parameters used, with frequencies ranging from 0.5 Hz to 100 Hz, currents from 0.1 mA to 45 mA, and durations spanning from 20 minutes to 168 days. These variations make direct comparisons with our findings challenging.

      It looks like QT measurements were performed automatically. It should be specified which method was used for the measurements (threshold, tangent, or superimposed method?).

      In our study, QT intervals were measured based on thresholding after wavelet transforming the ECG signals (Martínez, J. P., IEEE Transactions on Biomedical Engineering, 2004, doi: 10.1109/TBME.2003.821031). The local maxima of the wavelet transform correspond to significant changes in the ECG signal, such as the rapid upward or downward deflections associated with the QRS complex. The algorithm searches modulus maxima, that is, peaks of wavelet transform coefficients that exceed specific thresholds, to identify the QRS complex. R peaks are found as the zeros crossing between the positive-negative modulus maxima pair. After localizing the R peak, the Q onset is detected as the beginning of the first modulus maximum before the modulus maximum pair created by the R wave. To identify the T wave, the algorithm searches for local maxima in the absolute wavelet transform in a search window defined relative to the QRS complex. Thresholding is used to identify the offset of the T wave. Please refer to comments 3.4 and 3.5 and our responses for details. We have clarified the method for measuring QT in the Method section (p35): “This algorithm identifies the QRS complex by searching for modulus maxima, which are peaks in the wavelet transform coefficients that exceed specific thresholds. The onset of the QRS complex is determined as the beginning of the first modulus maximum before the modulus maximum pair created by the R wave. To identify the T wave, the algorithm searches for local maxima in the absolute wavelet transform in a search window defined relative to the QRS complex. Thresholding is used to identify the offset of the T wave.”

      QTc dispersion was not evaluated, and this should be listed as a limitation of the current study.

      We have added this limitation in the Discussion section: Limitations and outlook (p31): “The current study did not explore the effects of taVNS on less commonly used cardiovascular metrics, such as QTc dispersion.”

      It has been recently suggested (doi: 10.1016/j.brs.2018.12.510) that QTc, as a potential indirect marker of HRV, might be used as a biomarker for VNS response in the treatment of resistant depression. The author should try to assess whether in the current study baseline QTc before taVNS is associated with outcome and with taVNS response.

      Thank you for the suggestion. The conference abstract in the provided doi stated that QTc as an indirect marker of HRV before implantation was correlated with changes in the depression rating scale. The mechanism seems to be that QTc has information about the pathophysiology of the depression (10.1097/YCT.0000000000000684). The current study focused on the comparison between taVNS treatment and sham treatment. Our future study will further test if SAH patients’ response to taVNS can be predicted by baseline QTc.

      The dose-response issue that affects both VNS and taVNS in different settings should be mentioned (doi: 10.1093/eurheartjsupp/suac036.) as well as the need for more dose-finding preclinical as well as clinical studies in different settings (the best stimulation protocol is likely to be disease-specific).

      Please refer to our responses to comment 3.

      Minor Comments

      Some typos or commas instead of affirmative points and vice versa.

      Thank you for pointing this out. We have carefully proofread the manuscript and made the necessary corrections to ensure proper punctuation and grammar throughout.

      Table 1: why age is expressed as a range for each person?

      MedRxiv asks authors to remove all identifying information. Precise ages are direct identifiers, as opposed to age ranges. We have now revised the age column to ‘decade of life’ in the updated table. We believe this modification reduces confusion while adhering to MedRxiv’s guidelines.

      Although already reported in the study protocol (doi: 10.1101/2024.03.18.24304239), the heart rate limits for inclusion should be reported (sustained bradycardia on arrival with a heart rate < 50 beats per minute for > 5 minutes, implanted pacemaker or another electrical device).

      We have now added the specific inclusion and exclusion criteria in the Method details section (p33): “Inclusion criteria were: (1) Patients with SAH confirmed by CT scan; (2) Age > 18; (3) Patients or their legally authorized representative are able to give consent. Exclusion criteria were: (1) Age < 18; (2) Use of immunosuppressive medications; (3) Receiving ongoing cancer therapy; (4) Implanted electrical device; (5) Sustained bradycardia on admission with a heart rate < 50 beats per minute for > 5 minutes; (6) Considered moribund/at risk of imminent death.”

      Why did the authors choose a taVNS schedule of two times per day of 30 minutes each as compared for instance to one hour per day? Please comment on that also referring to other taVNS studies in the acute setting such as the one by Dasari T et al (doi: 10.1007/s10286-023-00997-z.) where taVNS was applied for 4 hours twice daily. For instance, Yum Kim et al (doi: 10.1038/s41598-022-25864-1) recently reported in a systematic review and meta-analysis of taVNS, safety, that repeated sessions and sessions lasting 60 min or more were shown to be more likely to lead to adverse events.

      The International Consensus-Based Review and Recommendations for Minimum Reporting Standards in Research on Transcutaneous Vagus Nerve Stimulation should be referred to and contextualized (doi: 10.3389/fnhum.2020.568051).

      Thank you for raising this question and providing relevant references. We have reviewed the proposed checklist for minimum reporting items in taVNS research (10.3389/fnhum.2020.568051) and have ensured that our manuscript complies with the recommended reporting items.

      The current taVNS schedule was based on findings from Addorisio et al. (2019). We have revised the manuscript to clarify the rationale behind the current taVNS protocol. Please refer to our response to comment 1.2. The two studies mentioned in the comments were published after our trial was designed and initiated (https://clinicaltrials.gov/study/NCT04557618). Based on the meta-analysis by Yum Kim et al., the short duration of treatment sessions might explain the cardiovascular safety of the current taVNS protocol. We are also currently assessing the effects of our taVNS protocol on inflammatory markers.

      Reviewer #3 (Public Review):

      Summary:

      The authors aimed to characterize the cardiovascular effects of acute and repetitive taVNS as an index of safety. The authors concluded that taVNS treatment did not induce adverse cardiovascular effects, such as bradycardia or QT prolongation.

      Strengths:

      This study has the potential to contribute important information about the clinical utility of taVNS as a safe immunomodulatory treatment approach for SAH patients.

      Weaknesses:

      A number of limitations were identified:

      (1) A primary hypothesis should be clearly stated. Even though the authors state the design is a randomized clinical trial, several aspects of the study appear to be exploratory. The method of randomization was not stated. I am assuming it is a forced randomization given the small sample size and approximately equal numbers in each arm.

      Thank you for the suggestion. The current study is part of the NAVSaH trial (NCT04557618), aiming to define the effects of taVNS on inflammatory markers, vasospasm, hydrocephalus, and continuous physiology data. This study focuses on the effects of repetitive and acute taVNS on continuous physiology data to evaluate the cardiovascular safety of the current taVNS protocol. The primary hypothesis tested in our study is that repetitive taVNS increased HRV but did not cause bradycardia and QT prolongation. Following your comments, we have clarified this in the Introduction section (p6): “This interim analysis aims to evaluate the cardiovascular safety of the taVNS protocol and to provide insights that will inform the application of taVNS in SAH patients. The primary outcomes of this trial, including change in the inflammatory cytokine TNF-α and rate of radiographic vasospasm, are available as a pre-print and currently under review.26 Based on a meta-analysis, repeated sessions lasting 60 min or more are likely to lead to aversive effects; therefore, we hypothesized that repetitive taVNS increased HRV but did not cause bradycardia and QT prolongation.23”

      (2) The authors "first investigated whether taVNS treatment induced bradycardia or QT prolongation, both potential adverse effects of vagus nerve stimulation. This analysis showed no significant differences in heart rate calculated from 24-hour ECG recording between groups." A justification should be provided for why a difference is expected from 20 minutes of taVNS over a period of 24 hours. Acute ECG changes are a concern for increasing arrhythmic risk, for example, due to cardiac electrical restitution properties.

      A human study (Clancy, L. A. et al., Brain Stimulation, 2017, https://doi.org/10.1016/j.brs.2014.07.031) has found that 15-min taVNS led to reduced sympathetic activity measured by low-frequency/high-frequency (LF/HF) ratio. The sympathetic activity remained lower than baseline levels during the recovery period, suggesting potential long-term effects of taVNS on cardiovascular function. In addition, the repetitive taVNS treatment in this clinical trial was intended to maintain a steady low-inflammatory state. Given the potential life-threatening implications of bradycardia and QT prolongation in these critically ill patients, we deemed it crucial to evaluate heart rate and QT interval both acutely and from 24-hour ECG monitoring. We have now provided the justification in the Result section (p11): “A study has shown that 15 minutes of taVNS reduced sympathetic activity in healthy individuals, with effects that persist during the recovery period.33 This finding suggests that taVNS may exert long-term effects on cardiovascular function. Therefore, we investigated whether repetitive taVNS treatment affects heart rate and QT interval, key indicators of bradycardia or QT prolongation, using 24-hour ECG recording.”

      An additional value of analyzing 24-hour ECG recording is that we can detect bradycardia or QT prolongation that happen outside the period of the stimulation, which could caused by repetitive taVNS. To this end, we reanalyzed the data and calculated the percentage of prolonged QT intervals using 500ms criterion (Giudicessi, J. R., Noseworthy, P. A. & Ackerman, M. J. The QT Interval. Circulation, 2019). When comparing the percentage of prolonged QT intervals between the treatment groups, we found that changes in prolonged QT intervals percentage from Day 1 were higher in the Sham group (Figure 3F, Mann–Whitney U test, N(taVNS) = 94, N(Sham)=95, p-value < 0.001, Cohen’s d = -0.72). We have now reported the results in the Result section (p11): “To ensure that repetitive taVNS did not lead to QT prolongation happening outside the period of stimulation, we calculated the percentage of prolonged QT intervals. Prolonged QT intervals were defined as corrected QT interval >= 500 ms. We found that changes in prolonged QT intervals percentage from Day 1 were higher in the Sham group (Figure 3F, Mann–Whitney U test, N(taVNS) = 94, N(Sham)=95, p-value < 0.001, Cohen’s d = -0.72).

      The concern regarding acute ECG changes related to increased arrhythmic risk is valid. We have improved the reasoning behind analyzing acute ECG change, which now reads (p20): “Assessing the acute effect of taVNS on cardiovascular is crucial for its safe translation into clinical practice. We compared the acute change of heart rate, corrected QT interval, and heart rate variability between treatment groups, as abrupt changes in the pacing cycle may increase the risk of arrhythmias.”

      (3) More rigorous evaluation is necessary to support the conclusion that taVNS did not change heart rate, HRV, QTc, etc. For example, shifts in peak frequencies of the high-frequency vs. low-frequency power may be effective at distinguishing the effects of taVNS. Further, compensatory sympathetic responses due to taVNS should be explored by quantifying the changes in the trajectory of these metrics during and following taVNS.

      We appreciate your concerns regarding the potential effects on the autonomic system associated with taVNS treatment. We would like to clarify that the primary objective of our study was to evaluate the cardiovascular safety of the taVNS protocol in SAH, with a specific focus on detecting any acute changes in heart rate and QT interval. As you highlighted, such acute ECG changes are a concern for increasing arrhythmic risk. By directly studying the trend of heart rate, HRV, and QT over the acute treatment periods, we found no significant change in these metrics between treatment groups. In addition, these metrics remained within 0.5 standard deviations of their daily fluctuations during and following taVNS treatment (Figure 5 and Supplementary Figure 6). These findings support the conclusion that the current protocol is unlikely to cause cardiac complications.

      In response to your suggestion to conduct a more rigorous analysis, particularly concerning peak frequencies within the high-frequency (HF) and low-frequency (LF) bands, we pursued this analysis to explore more nuanced effects of taVNS on the autonomic system. We compared the shifts in peak frequencies within these bands between the treatment groups and found no significant changes that would suggest a sympathetic or parasympathetic shift following acute taVNS.

      In detail, we have made the following revisions following your comments:

      (1) We have clarified the motivation behind studying the acute change of cardiac metrics following taVNS treatment – monitoring the cardiovascular safety of current taVNS protocol in SAH patients (p18): please refer to response to comment 3.2.

      (2) We compared the peak frequencies of the high-frequency and low-frequency bands following taVNS. added the results in the supplementary materials:

      We note that neurophysiology underlying peak frequencies has not been thoroughly studied in the literature compared to the LF-band power or HF-band power. Therefore, we report this result as an exploratory analysis.

      (3) We have added the changes of QTc during and following taVNS in Figure 5 and showed that they were within 0.5 standard deviations of their daily fluctuations during and following taVNS treatment. We have now shown the changes of HRV during and following taVNS in Supplementary Figure 6 A-D. We added the change of high-frequency power following Reviewer #1’s comment 1.1. Overall, our results suggest that repetitive taVNS increased parasympathetic activities, while there is no evidence that acute taVNS significantly affected heart rate or QT.

      (4) The authors do not state how the QT was corrected and at what range of heart rates. Because all forms of corrections are approximations, the actual QT data should be reported along with the corrected QT.

      The corrected QT interval (QTc) estimates the QT interval at a standard heart rate of 60 bpm. In practice, we removed RR intervals outside of the 300 – 2000 ms range. Further, we removed ectopic beats, defined as RR intervals differing by more than 20% from the one proceeding. We used the Bazett formula to correct the QT intervals: . We have now clarified how QT was corrected in the Method section – Data processing (p35-36): “R-peaks were detected as local maxima in the QRS complexes. P-waves, T-waves, and QRS waves were delineated based on the wavelet transform (Figure 2A-C).34  RR intervals were preprocessed to exclude outliers, defined as RR intervals greater than 2 s or less than 300 ms. RR intervals with > 20% relative difference to the previous interval were considered ectopic beats and excluded from analyses. After preprocessing, RR intervals were used to calculate heart rate, heart rate variability, and corrected QT (QTc) based on Bazett's formula: .44 The corrected QT interval (QTc) estimates the QT interval at a standard heart rate of 60 bpm.”

      We have reported the actual QT data in the Result section (p10 and p 19):” Moreover, changes in corrected QT interval from Day 1 were significantly higher in the Sham group compared to the taVNS group (Figure 3B, Mann–Whitney U test, N(taVNS) = 94, N(Sham)=95, p-value < 0.001, Cohen’s d = -0.57). Similarly, uncorrected QT intervals from Day 1 were higher in the Sham group (Supplementary Figure 10A, Cohen’s d = -0.42).”

      “Supplementary Figure 10B-C shows the acute changes in uncorrected QT interval.”

      (5) The QT extraction method needs to be more robust. For example, in Figure 2C, the baseline voltage of the ECG is shifting while the threshold appears to be fixed. If indeed the threshold is not dynamic and does not account for baseline fluctuations (e.g., due to impedance changes from respiration), then the measures of the QT intervals were likely inaccurate.

      A robust method to estimate the QT interval is essential in our study. To this end, we used the state-of-the-art method to calculate QT intervals. We first applied a 0.5 Hz fifth-order high-pass Butterworth filter and a 60 Hz powerline filter on the ECG recording. The high-pass filtering is used to correct potential baseline fluctuations. Subsequently, a wavelet-based algorithm was used to delineate the QRS complex and T wave (Martínez, J. P., IEEE Transactions on Biomedical Engineering, 2004). In short, this algorithm identifies QRS based on modulus maxima of the wavelet transform of ECG signals. After localizing the R peak, the Q onset is detected as the beginning of the first modulus maximum before the modulus maximum pair created by the R wave. The detection is performed on wavelet transform at a small scale rather than on the original signal, minimizing the effect of baseline shift (see III Detection methods, (5), Cuiwei Li et al., IEEE TBME, 1995, Detection of ECG Characteristic Points Using Wavelet Transforms). T wave is detected similarly based on wavelet transform. Please refer to our response to comment 2.9.

      Martínez, J. P., Almeida, R., Olmos, S., Rocha, A. P., & Laguna, P. (2004). A wavelet-based ECG delineator: evaluation on standard databases. IEEE Transactions on Biomedical Engineering, 51(4), 570-581.

      In Figure 2C, the purple and green lines take the value of 1 at the QRS onset or the T wave offset; otherwise, 0, which might appear to be a threshold. We have now used verticle lines to denote the detected QRS onsets and T wave offsets. Please see below for a comparison of the annotation:

      We have clarified the details of extracting QT intervals from ECG recordings in the Method section (p31): “To calculate cardiac metrics, we first applied a 0.5 Hz fifth-order high-pass Butterworth filter and a 60 Hz powerline filter on ECG data to reduce artifacts. 35 We detected QRS complexes based on the steepness of the absolute gradient of the ECG signal using the Neurokit2 software package.35 R-peaks were detected as local maxima in the QRS complexes. P waves, T waves, and QRS complexes were delineated based on the wavelet transform of the ECG signals proposed by Martinez J. P. et al. (Figure 2A-C).36 This algorithm identifies the QRS complex by searching for modulus maxima, which are peaks in the wavelet transform coefficients that exceed specific thresholds. The onset of the QRS complex is determined as the beginning of the first modulus maximum before the modulus maximum pair created by the R wave. To identify the T wave, the algorithm searches for local maxima in the absolute wavelet transform in a search window defined relative to the QRS complex. Thresholding is used to identify the offset of the T wave.”

      We have modified Figure 2C for better clarity:

      More statistical rigor is needed. For example, in Figure 2D, the change in heart rate for days 5-7, 8-10, and 11-13 is clearly a bimodal distribution and as such, should not be analyzed as a single distribution. Similarly, Figure 2E also shows a bimodal distribution. Without the QT data, it is unclear whether this is due to the application of the heart rate correction method.

      Thank you for raising this concern. Several factors could contribute to the observed distribution of changes in heart rate for days 5-7, 8-10, and 11-13, as shown in Figure 2D. One such factor is the smaller sample size in the later days. The mean duration of hospitalization for the 24 subjects included in this study was 11.29 days, with a standard deviation of 6.43, respectively. Other factors include variations in medical history, SAH pathology, and clinical outcomes during hospitalization. Further analysis revealed that heart rate was lower in patients with improved mRS scores (Supplementary Figure 4B), suggesting that clinical outcomes might impact changes in heart rate. Understanding the association between cardiovascular metrics and clinical assessments, such as vasospasm and inflammation, could help decide whether future taVNS trials should control for these factors when evaluating the effects of taVNS on cardiovascular function. We are currently continuing to recruit SAH patients in this clinical trial, and we plan to perform such analyses in future studies.

      In the manuscript, we reported the effect size between the treatment groups for days 5-7, 8-10, and 11-13. This should be interpreted in conjunction with the characteristics of the distribution. To provide a rigorous interpretation of our results, we have now discussed these considerations in the discussion section (p28): “We noticed a high variance of change in heart rate for days 5 – 7, 8 – 10, and 11 – 13 for both treatment groups (Figure 2D). This may be due to the small sample size in the later days, given that the mean duration of hospitalization for the 24 subjects included in this study was 11.3 days with a standard deviation of 6.4. Differences in medical history and clinical outcomes during hospitalization may also explain the variance of change in heart rate for the later days. For example. heart rate was lower in patients with improved mRS scores (Supplementary Figure 4B). Understanding the association between cardiovascular metrics and clinical assessments, such as vasospasm and inflammation, could help decide whether future taVNS trials should control for these factors when evaluating the effects of taVNS on cardiovascular function.”

      To test our hypothesis that repetitive taVNS does not induce significant heart rate change, we performed a two-tailed equivalence test of heart rate change between the two treatment groups, including data from days 2-13 (Figure 2D, left panel). To verify the validity of this approach, we calculated the Bimodality Coefficient (BC) and performed the Dip Test for unimodality for the distribution of heart rate change for the two treatment groups. The Bimodality Coefficient (BC) is a measure that combines skewness and kurtosis to assess whether a distribution is bimodal or unimodal. A BC value greater than 0.555 typically indicates a bimodal distribution, whereas a BC value less than or equal to 0.555 suggests an unimodal distribution. The Dip Test is a statistical test that assesses the unimodality of a distribution. A non-significant p-value (p-value ≥ 0.05) indicates that the distribution is likely unimodal. This analysis suggests that the distributions of heart rate changes in both treatment groups (days 2 - 13) are unimodal (BC = 0.457 and p = 0.374 for the taVNS treatment group; BC = 0.421 and p = 0.656 for the sham treatment group). This finding provides justification for our statistical approaches.

      Figure 3A shows a number of outliers. A SDNN range of 200 msec should raise concern for a non-sinus rhythm such as arrhythmia or artifact, instead of sinus arrhythmia. Moreover, Figure 3B shows that the Sham RMSSD data distribution is substantially skewed by the presence of at least 3 outliers, resulting in lower RMSSD values compared to taVNS. What types of artifact or arrhythmia discrimination did the authors employ to ensure the reported analysis is on sinus rhythm? The overall results seem to be driven by outliers.

      Mild cardiac abnormalities are common in SAH patients. Therefore, change in cardiovascular metrics was expected to differ from healthy individuals, which makes studying the cardiovascular effect on taVNS extremely important in this context. Following your comment, we investigated whether the large SDNN change was due to arrhythmia or artifacts. Except for a single instance where one subject exhibited an SDNN change of 200 ms on a particular day, all other SDNN changes were less than 150 msec. We identified the subject and day associated with the largest SDNN change, which is Day 7. As shown in Author response image 1A and B, SDNN of this subject increased on day 7 while the heart rate (HR) of this subject decreased. Changes in HRV were inversely related to HR changes, suggesting shifts in sympathetic and parasympathetic tone. We checked the ECG recording and the extracted NN intervals (processed RR intervals) on that day. The NN intervals are more variate on day 7 compared to day 1 (Author response image 1C and D). To determine whether the significant variance observed between 5:01 am and 5:02 am was due to arrhythmia or artifacts, we closely examined the corresponding ECG signals (Author response image 1E and F). Based on our analysis, the elevated SDNN is unlikely to be attributed to artifacts.

      Author response image 1.

      Similarly, we identified the subjects and days corresponding to the most prominent RMSSD decrease in the sham treatment group. We verified the ECG quality for this subject and the accuracy of RR interval identification, and that there was no significant cardiovascular event during the subject’s stay in the ICU. Based on the inclusion and exclusion criteria defined in our protocol (Huguenard A et al.m PLOS ONE, 2024), we did not exclude these data from our analysis.

      Huguenard A, Tan G, Johnson G, Adamek M, Coxon A, et al. (2024) Non-invasive Auricular Vagus nerve stimulation for Subarachnoid Hemorrhage (NAVSaH): Protocol for a prospective, triple-blinded, randomized controlled trial. PLOS ONE 19(8): e0301154. https://doi.org/10.1371/journal.pone.0301154

      To ensure accurate inferences about sympathetic and parasympathetic tone from these cardiovascular metrics, we have rigorously refined our methodologies, including correcting RR intervals outliers, correcting ectopic peaks, using state-of-art algorithms to identify QRS complex, P wave, and T wave (please refer to response to comment 3.5), and performing factor analysis. In addition, no significant cardiac complications have been reported by the attending physicians for the subjects included in this study. Nonetheless, it is important to note that ECG patterns in patients with SAH differ from those in healthy individuals, potentially impacting the accuracy of R peak identification. For example, one identified R peak (out of 73) was Q peak (F in the above figure). The pathology associated with SAH complicates the precise calculation of cardiovascular metrics and the interpretation of the results. We are committed to continually improving our methodologies for assessing autonomic function in SAH patients. We have now discussed these limitations in the Discussion section (p31-32): “Mild cardiac abnormalities are common in SAH patients5, complicating the precise calculation of cardiovascular metrics from ECG signals and the interpretation of the results. Systematic verification of methods for calculating cardiovascular metrics to ensure their applicability in SAH patients is crucial.”

      The above concern will also affect the power analysis, which was reported by authors to have been performed based on the t-test assuming the medium effect size, but the details of sample size calculations were not reported, e.g., X% power, t-test assumed Bonferroni correction in the power analysis, etc.

      Thank you for raising this concern. The current study is part of the NAVSaH trial (NCT04557618), focusing on the trial’s secondary outcomes (Please refer to comment 2.1 and our responses). The main objective of this interim analysis is to evaluate the cardiovascular safety of the current taVNS protocol. Goal enrollment for the pilot NAVSaH trial is 50 patients, based on power calculations to detect significant differences in inflammatory cytokines, radiographic vasospasm, and chronic hydrocephalus. The detailed power analysis is described in the protocol (Huguenard A et al.m PLOS ONE, 2024):

      “Under a 2-by-2 repeated measures design consisting of two groups of patients, each measured at two time points, our goal is to compare the change across time in the taVNS group to the change across time in the Sham group. Based upon previous work from Koopman et al. [67], we assume our study will observe 1.1 standardized inflammatory cytokines mean change difference between the two groups. Using a two-sided, two-sample t-test, assuming both time points have equal variance and there is a weak correlation (i.e., 0.15) between measurement pairs, a sample size of 25 in each group achieves at least 80% power to detect a standardized difference of 1.1 in mean changes, with a significance level (alpha) of 0.05 [68].

      Based on our preliminary data, we assume this study will observe 25% and 55% severe vasospasm in the taVNS and Sham groups, respectively. Under a design with 2 repeated measurements (i.e., 2 raters), assuming a compound symmetry covariance structure with a Rho of 0.2, at a significance level (alpha) of 0.05, a sample size of 25 in each group achieves at least 80% power when the null proportion is 0.55, and the alternative proportion is 0.25 [69–71].

      As previously described, LV et al. [8] studied the relationship between cytokine levels and clinical endpoints in SAH, including hydrocephalus. From their outcomes, we predict a needed enrollment of approximately 50 to detect these endpoints. From our own preliminary data, with an incidence of chronic hydrocephalus 0% in treated patients and 28.6% in control (despite grade of hemorrhage), alpha = 0.05 and power = 0.80, the projected sample size to capture that change is approximately 44 patients.”

      In this study, we used power analysis to report the achieved power of insignificant findings. For example, a Mann-Whitney U test on heart rate change between the treatment groups revealed no significant differences. We then used power analysis to calculate the achieved power. We have added the details of power analysis in the Method section (p34): “We calculated the achieved power of tests on heart rate change between the treatment groups assuming a medium effect size (Cohen’s d of 0.5) and a Type I error probability (a) of 0.05. Given that the Mann-Whitney U test is a non-parametric counterpart to the t-test and that the asymptotic relative efficiency of the U test relative to the t-test is 0.95 with normal distributions, we estimated the achieved power based on the power of a two-sample t-test, which is 0.93. We have clarified this in the introduction section and in the method section (p6 and p38):

      “The current study is part of the NAVSaH trial (NCT04557618) and focuses on the trial’s secondary outcomes, including heart rate, QT interval, HRV, and blood pressure.30 This interim analysis aims to evaluate the cardiovascular safety of the taVNS protocol and to provide insights that will inform the application of taVNS in SAH patients. The primary outcomes of this trial, including change in the inflammatory cytokine TNF-α and rate of radiographic vasospasm, are available as a pre-print and currently under review.24”

      “In this study, we reported the statistical power achieved for tests that yielded non-significant results. The achieved power is calculated based on a two-sample t-test assuming a medium effect size (Cohen’s d of 0.5) and a Type I error probability (a) of 0.05.”

      If the study was designed to show a cardiovascular effect, I am surprised that N=10 per group was considered to be sufficiently powered given the extensive reports in the literature on how HRV measures (except when pathologically low) vary within individuals. Moreover, HRV measures are especially susceptible to noise, artifacts, and outliers.

      If the study was designed to show a lack of cardiovascular effect (as the conclusions and introduction seem to suggest), then a several-fold larger sample size is warranted.

      The primary goal of this study is to assess the cardiovascular safety of the current taVNS protocol in SAH patients (please refer to comments 2.1 and 3.8 and our responses). More specifically, we want to assess whether the current taVNS protocol is associated with bradycardia or QT prolongation. The data in this study included ECG signals and vital signals from 24 subjects recruited between 2021 and 2024. The total number of days in the ICU is 271 days, which corresponds to 542 taVNS/sham treatment sessions. These data allow us to detect significant cardiovascular effects of acute taVNS with high power. For example, the comparison of heart rate from pre- to post-treatment sessions between treatment groups had power > 99% (N1 = 188, N2 = 199, assuming 0.05 type I error probability, medium effect size two sample t-test).

      To safely conclude that there is no significant cardiovascular effect of repetitive taVNS on any given day following SAH, we would need to perform statistical tests between treatment groups on Day 1, Day 2, and Day N. In this context, 64 subjects per treatment group are required to achieve 80% power assuming medium effect size and 0.05 type I error probability (two-sample t-test). We have acknowledged this limitation in the Discussion section. Thank you for raising this concern!

      The results reported in this study treat each day as an independent sample for several reasons. First, heart rate and HRV metrics exhibited great daily variations (Figure in comment 3.7, for example). Their value on one day was not predictive of the metrics on another day, which could be due to medications, interventions, or individualized SAH recovery process during the patient’s stay in the ICU. Second, SAH patients in the ICU often experience rapid/daily changes in clinical status, including fluctuations in intracranial pressure, blood pressure, neurological status, and other vital signs. Also, the recovery process from SAH is highly individualized, with different patients exhibiting distinct trajectories of recovery or complications. Day-to-day cardiovascular function changes varied as the patient recovered or encountered setbacks. Moreover, we verified ECG signal quality, corrected outliers and artifacts in ECG processing, and employed a state-of-the-art QRS delineation method (Please refer to comment 3.5). All these ensure the accuracy of our reported results.

      The revised Discussion section now reads (31): ” Our study considers each day as an independent sample for the following considerations: 1. heart rate and HRV metrics exhibited great daily variations. Their value on one day was not predictive of the metrics on another day, which could be due to medications, interventions, or individualized SAH recovery process during the patient’s stay in the ICU. 2. SAH patients in the ICU often experience daily changes in clinical status, including fluctuations in intracranial pressure, blood pressure, neurological status, and other vital signs. 3. Day-to-day cardiovascular function changes varied as the patient recovered or encountered setbacks. To conclusively establish that there is no significant cardiovascular effect of repetitive taVNS on any given day following SAH, we would need to perform statistical tests between treatment groups for each day. In this context, 64 subjects per treatment group are required to achieve 80% power assuming medium effect size and 0.05 type I error probability (two-sample t-test).”

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      (1) It is a nice study but lacks some functional data required to determine how useful these alleles will be in practice, especially in comparison with the figure line that stimulated their creation.

      We are grateful for this comment. For the usefulness of these alleles, figure 3 shows that specific and efficient genetic manipulation of one cell subpopulation can be achieved by mating across the DreER mouse strain to the rox-Cre mouse strain. In addition, figure 6 shows that R26-loxCre-tdT can effectively ensure Cre-loxP recombination on some gene alleles and for genetic manipulation. The expression of the tdT protein is aligned with the expression of the Cre protein (Alb roxCre-tdT and R26-loxCre-tdT, figure 2 and figure 5), which ensures the accuracy of the tracing experiments. We believe more functional data can be shown in future articles that use mice lines mentioned in this manuscript.

      (2) The data in Figure 5 show strong activity at the Confetti locus, but the design of the newly reported R26-loxCre line lacks a WPRE sequence that was included in the iSure-Cre line to drive very robust protein expression.

      Thank you for bringing up this point in the manuscript. In the R26-loxCre-tdT mice knock-in strategy, the WPRE sequence is added behind the loxCre-P2A-tdT sequence, as shown in Supplementary Figure 9.

      (3) The most valuable experiment for such a new tool would be a head-to-head comparison with iSure (or the latest iSure version from the Benedito lab) using the same CreER and target foxed allele. At the very least a comparison of Cre protein expression between the two lines using identical CreER activators is needed.

      Thank you for your valuable and insightful comment. The comparison results of R26-loxCre-tdT with iSuRe-Cre using Alb-CreER and targeting R26-Confetti can be found in Supplementary Figure 7 C-E, according to the reviewer’s suggestion.

      (4) Why did the authors not use the same driver to compare mCre 1, 4, 7, and 10? The study in Figure 2 uses Alb-roxCre for 1 and 7 and Cdh5-roxCre for 4 and 10, with clearly different levels of activity driven by the two alleles in vivo. Thus whether mCre1 is really better than mCre4 or 10 is not clear.

      Thank you for raising this concern. After screening out four robust versions of mCre, we generated these four roxCre knock-in mice. It is unpredictable for us which is the most robust mCre in vivo. It might be one or two mCre versions that work efficiently. For example, if Alb-mCre1 was competitive with Cdh5-mCre10, we can use them for targeting genes in different cell types, broadening the potential utility of these mice.

      (5) Technical details are lacking. The authors provide little specific information regarding the precise way that the new alleles were generated, i.e. exactly what nucleotide sites were used and what the sequence of the introduced transgenes is. Such valuable information must be gleaned from schematic diagrams that are insufficient to fully explain the approach.

      We appreciate your thoughtful suggestions. The schematic figures, along with the nucleotide sequences for the generation of mice, can be found in the revised Supplementary Figure 9.

      Reviewer #2 (Public Review):

      (1) The scenario where the lines would demonstrate their full potential compared to existing models has not been tested.

      Thank you for your thoughtful and constructive comment. The comparative analysis of R26-loxCre-tdT with iSuRe-Cre, employing Alb-CreER to target R26-Confetti, is provided in Supplementary Figure 7 C-E.

      (2) The challenge lies in performing such experiments, as low doses of tamoxifen needed for inducing mosaic gene deletion may not be sufficient to efficiently recombine multiple alleles in individual cells while at the same time accurately reporting gene deletion. Therefore, a demonstration of the efficient deletion of multiple floxed alleles in a mosaic fashion would be a valuable addition.

      Thank you for your constructive comments. Mosaic analysis using sparse labeling and efficient gene deletion would be our future direction using roxCre and loxCre strategies.

      (3) When combined with the confetti line, the reporter cassette will continue flipping, potentially leading to misleading lineage tracing results.

      Thank you for your professional comments. Indeed, the confetti used in this study can continue flipping, which would lead to potentially misleading lineage tracing results. Our use of R26-Confetti is to demonstrate the robustness of mCre for recombination. Some multiple-color mice lines that don’t flip have been published, for example, R26-Confetti2(10.1038/s41588-019-0346-6) and Rainbow (10.1161/CIRCULATIONAHA.120.045750). These reporters could be used for tracing Cre-expressing cells, without concerns of flipping of reporter cassettes.

      (4) Constitutive expression of Cre is also associated with toxicity, as discussed by the authors in the introduction.

      Thank you for your professional comments. The toxicity of constitutive expression of Cre and the toxicity associated with tamoxifen treatment in CreER mice line (10.1038/s44161-022-00125-6) are known to the field. This study can’t solve the toxicity of the constitutive expression of Cre in this work. Many mouse lines with constitutive Cre driven by different promoters are present across various fields, representing similar toxicity. To solve this issue, it would be possible to construct a new strategy that enables the removal of Cre after its expression.

      Reviewer #3 (Public Review):

      (1) Although leakiness is rather minor according to the original publication and the senior author of the study wrote in a review a few years ago that there is no leakiness(https://doi.org/10.1016/j.jbc.2021.100509).

      Thank you so much for your careful check. In this review (https://doi.org/10.1016/j.jbc.2021.100509), the writer’s comments on iSuRe-Cre are on the reader's side, and all summary words are based on the original published paper (10.1038/s41467-019-10239-4). Currently, we have tested iSuRe-Cre in our hands. We did detect some leakiness in the heart and muscle, but hardly in other tissues as shown in Author response image 1.

      Author response image 1.

      Leakiness in Alb CreER;iSuRe-Cre mouse line Pictures are representative results for 5 mice. Scale bars, white 100 µm.

      (2) I would have preferred to see a study, which uses the wonderful new tools to address a major biological question, rather than a primarily technical report, which describes the ongoing efforts to further improve Cre and Dre recombinase-mediated recombination.

      We gratefully appreciate your valuable comment. The roxCre and loxCre mice mentioned in this study provide more effective methods for inducible genetic manipulation in studying gene function. We hope that the application of our new genetic tools could help address some major biological questions in different biomedical fields in the future.

      (3) Very high levels of Cre expression may cause toxic effects as previously reported for the hearts of Myh6-Cre mice. Thus, it seems sensible to test for unspecific toxic effects, which may be done by bulk RNA-seq analysis, cell viability, and cell proliferation assays. It should also be analyzed whether the combination of R26-roxCre-tdT with the Tnni3-Dre allele causes cardiac dysfunction, although such dysfunctions should be apparent from potential changes in gene expression.

      We are sorry that we mistakenly spelled R26-loxCre-tdT into R26-roxCre-tdT in our manuscript. We have not generated the R26-roxCre-tdT mouse line. We also thank the reviewer for concerns about the toxicity of high Cre expression. The toxicity of constitutive expression of Cre and the toxicity of tamoxifen treatment of CreER mice line (10.1038/s44161-022-00125-6) are known to the field. This study can’t solve the toxicity of the constitutive expression of Cre in this work. Many mouse lines with constitutive Cre driven by different promoters are present across various fields, representing similar toxicity. To solve this issue, it would be possible to construct a new strategy that enables the removal of Cre after its expression.

      (4) Is there any leakiness when the inducible DreER allele is introduced but no tamoxifen treatment is applied? This should be documented. The same also applies to loxCre mice.

      In this study, we come up with new mice tool lines, including Alb roxCre1-tdT, Cdh5 roxCre4-tdT, Alb roxCre7-GFP, Cdh5 roxCre10-GFP and R26-loxCre-tdT. As the data shown in supplementary figure 1, supplementary figure 2, and figure 4D, Alb roxCre1-tdT, Cdh5 roxCre4-tdT, Alb roxCre7-GFP, Cdh5 roxCre10-GFP and R26-loxCre-tdT are not leaky. Therefore, if there is any leakiness driven by the inducible DreER or CreER allele, the leakiness is derived from the DreER or CreER. Additional pertinent experimental data can be referenced in Figure S4C, Figure S7A-B, and Figure S8A.

      (5) It would be very helpful to include a dose-response curve for determining the minimum dosage required in Alb-CreER; R26-loxCre-tdT; Ctnnb1flox/flox mice for efficient recombination.

      Thank you for your suggestion. We value your feedback and have incorporated your suggestion to strengthen our study. Relevant experimental data can be referenced in Figure S8E-G.

      (6) In the liver panel of Figure 4F, tdT signals do not seem to colocalize with the VE-cad signals, which is odd. Is there any compelling explanation?

      The staining in Figure 4F in the revision is intended to deliver optimized and high-resolution images.

      (7) The authors claim that "virtually all tdT+ endothelial cells simultaneously expressed YFP/mCFP" (right panel of Figure 5D). Well, it seems that the abundance of tdT is much lower compared to YFP/mCFP. If the recombination of R26-Confetti was mainly triggered by R26-loxCre-tdT, the expression of tdT and YFP/mCFP should be comparable. This should be clarified.

      Thank you so much for your careful check. We checked these signals carefully and didn't find the “much lower” tdT signal. As the file-loading website has a file size limitation, the compressed image results in some signal unclear. We attached clear high-resolution images here. Author response image 2 shows how we split the tdT signal and compared it with YFP/mCFP.

      Author response image 2.

      (8) In several cases, the authors seem to have mixed up "R26-roxCre-tdT" with "R26-loxCre-tdT". There are errors in #251 and #256.Furthermore, in the passage from line #278 to #301. In the lines #297 and #300 it should probably read "Alb-CreER; R26-loxCretdT;Ctnnb1flox/flox"" rather than "Alb-CreER;R26-tdT2;Ctnnb1flox/flox".

      We are grateful for these careful observations. We have corrected these typos accordingly.

      Recommendations for the authors:

      Reviewer #1:

      (1) However, for it to be useful to investigators a more direct comparison with the Benedito iSure line (or the latest version) is required as that is the crux of the study.

      Thank you for emphasizing this point, which we have now addressed in the revised manuscript and in Figure S7D-G.

      (2) I would like to know how the authors will make these new lines available to outside investigators.

      Please contact the lead author by email to consult about the availability of new mouse lines developed in this study.

      (3) The discussion is overly long and fails to address potential weaknesses. Much of it reiterates what was already said in the results section.

      We are thankful for your critical evaluation, which has helped us improve our discussion.

      Reviewer #2:

      (1) Assessing the efficiency and accuracy of the lines in mosaic deletions of multiple alleles and reporting them in single cells after low-dose tamoxifen exposure would be highly beneficial to demonstrate the full potential of the models.

      We appreciate your careful consideration of this issue. Our future endeavors will focus on mosaic analysis utilizing sparse labeling and efficient gene deletion, employing both roxCre and loxCre strategies.

      (2) Performing FACS analysis to confirm that all targeted (Cre reporter-positive) cells are also tdT-positive would provide more precise data and avoid vague statements like 'virtually all' or 'almost complete' in the results section:

      Line 166: Although mCre efficiently labeled virtually all targeted cells (Figure S3A-E)…

      Line 293: ... and not a single tdT+ hepatocyte 293 expressed Cyp2e1 (Figure 6D)... However, the authors do not provide any quantification. FACS would be ideal here.

      Line 244: ...expression of beta-catenin and GS almost disappeared in the 4W mutant sample... The resolution in the provided PDF is not adequate for assessment.

      Line 296: ... revealed almost complete deletion of Ctnnb1 in the Alb-CreER;R26-tdT2;Ctnnb1flox/flox mice...

      Thank you for suggesting these improvements, which have strengthened the robustness of our conclusions. In the revised version, we have incorporated FACS results that correspond to related sections. Additionally, a quantification statement has been included in the statistical analysis section. We appreciate your meticulous review and comments, which have significantly improved the clarity of our manuscript.

      (3) In the beginning of the results section, it is not clear which results are from this study and which are known background information (like Figure 1A). For example, it is not clear if Figure 1C presents data from R26-iSuRe-Cre. Please revise the text to more clearly present the experimental details and new findings.

      Thank you for this observation. Figure 1C belongs to this study, and the revised version has been modified to the related statement for improved clarity.

      (4) Experimental details regarding the genetic constructs and genotyping of the new knock-in lines are missing. Are R26 constructs driven by the endogenous R26 promoter or were additional enhancers used?

      Thank you for emphasizing this point. The schematic figures and nucleotide sequences for the generation of mice can be found in the revised Supplementary Figure 9, which can help to address this issue.

      (5) The method used to quantify mCre activity in terms of reporter+ target cells is not specified. From images or by FACS?

      Additionally, if images were used for quantification, it would be important to provide details on the number of images analyzed, the number of cells counted per image, and how individual cells were identified.

      Thank you for your comment. We have included the quantification statement in the statistical analysis section. Analyzing R26-Confetti+ target cells using FACS is challenging due to the limitations of the sorting instrument. Consequently, we quantified the related data by images. Each dot on the chart represents one sample, and the quantification for each mouse was conducted by averaging the data from five 10x fields taken from different sections.

      (6) Line 160: These data demonstrate that roxCre was functionally efficient yet non-leaky. Functional efficiency in vivo was not shown in the preceding experiments.

      Functional efficiency in vivo can be referred to in Figures S1-S2 and S4C.

      (7) It would be useful to provide a reference for easy vs low-efficiency recombination of different reporter alleles (lines 56-58).

      We are grateful for this comment, as it has allowed us to improve the clarity of our explanation. Consequently, we have made the necessary modifications.

      (8) Discussion on the potential drawbacks and limitations of the lines would be useful.

      We are thankful for your evaluation, which has significantly contributed to the enhancement of our discourse.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      TMC7 knockout mice were generated by the authors and the phenotype was analyzed. They found that Tmc7 is localized to Golgi and is needed for acrosome biogenesis.

      Strengths:

      The phenotype of infertility is clear, and the results of TMC7 localization and the failed acrosome formation are highly reliable. In this respect, they made a significant discovery regarding spermatogenesis.

      Weaknesses:

      There are also some concerns, which are mainly related to the molecular function of TMC7 and Figure 5.

      (1) It is understandable that TMC7 exhibits some channel activity in the Golgi and somehow affects luminal pH or Ca2+, leading to the failure of acrosome formation. On the other hand, since they are conducting the pH and calcium imaging from the cytoplasm, I do not think that the effect of TMC7 channel function in Golgi is detectable with their methods.

      We agree with the reviewer that there are no direct evidences showing the effect of TMC7 channel function in Golgi. We have changed the description in the revised manuscript.

      (2) Rather, it is more likely that they are detecting apoptotic cells that have no longer normal ion homeostasis.

      We thank the reviewer for raising this concern. We apologize for not labeling the postnatal stage in original Figure 5. We measured intracellular Ca2+, pH and ROS in PD30 testes (revised Fig. S6a-c), no apoptotic cells were observed at this stage (revised Fig. S6e, f). Apoptotic cells were found in the seminiferous tubules and cauda epididymis of 9-week-old Tmc7–/– mice (revised Fig. 5e-f). We have included TUNEL data in testis of PD21, PD30 and 9-week-old mice (revised Fig. 5e, f and Fig. S6e, f). In accordance with our findings, Tmc1 mutation has also been shown to result in reduced Ca2+ permeability, thus triggering hair cell apoptosis (Fettiplace, R, PNAS. 2022) [1].

      (3) Another concern is that n is only 3 for these imaging experiments.

      As suggested by the reviewer, more replicates were included in imaging experiments.

      Reviewer #2 (Public Review):

      Summary:

      This study presents a significant finding that enhances our understanding of spermatogenesis. TMC7 belongs to a family of transmembrane channel-like proteins (TMC1-8), primarily known for their role in the ear. Mutations to TMC1/2 are linked to deafness in humans and mice and were originally characterized as auditory mechanosensitive ion channels. However, the function of the other TMC family members remains poorly characterized. In this study, the authors begin to elucidate the function of TMC7 in acrosome biogenesis during spermatogenesis. Through analysis of transcriptomics datasets, they identify TMC7 as a transmembrane channel-like protein with elevated transcript levels in round spermatids in both mouse and human testis. They then generate Tmc7-/- mice and find that male mice exhibit smaller testes and complete infertility. Examination of different developmental stages reveals spermatogenesis defects, including reduced sperm count, elongated spermatids, and large vacuoles. Additionally, abnormal acrosome morphology is observed beginning at the early-stage Golgi phase, indicating TMC7's involvement in proacrosomal vesicle trafficking and fusion. They observed localization of TMC7 in the cis-Golgi and suggest that its presence is required for maintaining Golgi integrity, with Tmc7-/- leading to reduced intracellular Ca2+, elevated pH, and increased ROS levels, likely resulting in spermatid apoptosis. Overall, the work delineates a new function of TMC7 in spermatogenesis and the authors suggest that its ion channel activity is likely important for Golgi homeostasis. This work is of significant interest to the community and is of high quality.

      Strengths:

      The biggest strength of the paper is the phenotypic characterization of the TMC7-/- mouse model, which has clear acrosome biogenesis/spermatogenesis defects. This is the main claim of the paper and it is supported by the data that are presented.

      Weaknesses:

      The claim is that TMC7 functions as an ion channel. It is reasonable to assume this given what has been previously published on the more well-characterized TMCs (TMC1/2), but the data supporting this is preliminary here, and more needs to be done to solidify this hypothesis. The authors are careful in their interpretation and present this merely as a hypothesis supporting this idea.

      We appreciate the insightful comment. It is indeed a limitation of our study that we lack strong evidences to support that TMC7 functions as an ion channel. We have planned to conduct cellular electrophysiology in GC-1 cells heterologous expression of TMC7. However, TMC7 was trapped in the endoplasmic reticulum like TMC1 and TMC2 (Yu X, PNAS. 2020)[2], and failed to localize to the Golgi. According to the reviewer’s suggestion, we have made careful and more detailed interpretation the molecular function of TMC7 in the revised manuscript.

      Reviewer #3 (Public Review):

      Summary:

      In this study, Wang et al. have demonstrated that TMC7, a testis-enriched multipass transmembrane protein, is essential for male reproduction in mice. Tmc7 KO male mice are sterile due to reduced sperm count and abnormal sperm morphology. TMC7 co-localizes with GM130, a cis-Golgi marker, in round spermatids. The absence of TMC7 results in reduced levels of Golgi proteins, elevated abundance of ER stress markers, as well as changes of Ca2+ and pH levels in the KO testis. However, further confirmation is required because the analyses were performed with whole testis samples in spite of the differences in the germ cell composition in WT and KO testis. In addition, the causal relationships between the reported anomalies await thorough interrogation.

      Strengths:

      The microscopic images are of great quality, all figures are properly arranged, and the entire manuscript is very easy to follow.

      Weaknesses:

      (1) Tmc7 KO male mice show multiple anomalies in sperm production and morphogenesis, such as reduced sperm count, abnormal sperm head, and deformed midpiece. Thus, it is confusing that the authors focused solely on impaired acrosome biogenesis.

      We are grateful to your comments and suggestions. We agree and have added these defects in spermiogenesis of Tmc7–/– mice in the abstract and discussion sections of revised manuscript.

      (2) Further investigations are warranted to determine whether the abnormalities reported in this manuscript (e.g., changes in protein, Ca2+, and pH levels) are directly associated with the molecular function of TMC7 or are the byproducts of partially arrested spermiogenesis. Please find additional comments in "Recommendations for the authors".

      Thank you for raising this concern. Per your comments, we have included data of intracellular Ca2+, pH and ROS in PD21 testes. The intracellular homeostasis was impaired as early as PD21, indicating TMC7 depletion impairs cellular homeostasis which in turn results in arrested spermiogenesis.

      Recommendations for the authors:

      Reviewing Editor (Recommendations For The Authors):

      As noted by all three reviewers, current flow cytometry data does not necessarily support the 'ion channel' hypothesis, thus the phenotypic analysis is compelling but the molecular mechanism of how TMC7 facilitates acrosome biogenesis remains incomplete. It is highly recommended for the authors to at least discuss or test alternative hypotheses (as reviewer #2 suggested) such as the possibility of acting as 'lipid scramblase'. Also, the authors need to provide further explanation for other morphological defects if TMC7 is truly a functional ion channel in Golgi (and thus later at acrosome), which is also related to the key question of whether TMC7 is a functional ion channel.

      We thank the reviewing editor for the comments and suggestions. We agree that our study lack strong evidences to support that TMC7 functions as an ion channel. We have discussed the possibility of TMC7 acting as 'lipid scramblase' as suggested. We have also included data of intracellular Ca2+, pH and ROS in PD21, PD30 testes.

      Indeed, Tmc7–/– mice exhibits other defects including abnormal head morphology and disorganized mitochondrial sheaths. As TMC7 is localized to the cis-Golgi apparatus and is required for maintaining Golgi integrity. Previous studies on Golgi localized proteins including GOPC (Yao R, PNAS. 2002)[2], HRB (Kang-Decker N. Science. 2001)[3] and PICK1(Xiao N, JCI. 2009)[4] exhibit similar defects in spermiogenesis with Tmc7–/– mice. It is possible that defects morphologies in Tmc7–/– mice might be due to impaired function of Golgi.

      Reviewer #1 (Recommendations For The Authors):

      (1) The authors should provide more details about the imaging experiments using FACS. Since they only describe catalog numbers (Beyotime, S1056, S1006, S0033S) for imaging reagents, it is not immediately clear what reagents they actually used. Since they used Fluo3, BCECF, and DCFH, it would be better to mention their names.

      Thanks. We have provided more detailed antibody information as suggested.

      (2) I am also concerned that in the FACS there is no information at all about laser wavelength and filter properties. This is especially important for BCECF because the wavelength spectrum changes with pH. Also, if there are any positive controls for these imaging reagents, such as ionophores, it would be more convincing to include them.

      Thank you for your comment. Excitation wavelength is 488nm for detecting Ca2+, pH and ROS in FACS. BCECF is the most popular pH probe to monitor cellular pH and the reagent from Beyotime (S1006) has been used by other studies (Chen S, Blood. 2016)[5], (Liu H, Cell Death Dis. 2022)[6]. To make the results more reliable, we have repeated these experiments in PD21 testes (revised Figure 5a-c). No positive controls for these reagents were used in our experiments.

      (3) As noted above, it is better to avoid directly linking the cell's abnormal ion homeostasis to TMC7 ion channel function in the text. The discussion should be changed to emphasize that the TMC7-deficient cells are apoptotic and that these physiological phenomena are occurring as a side effect of this apoptosis.

      Thank you for raising this concern. We agree with the reviewer that there are no direct evidences showing the effect of TMC7 channel function in Golgi and we have changed the description in the revised manuscript.

      We performed new experiment to measure apoptosis and intracellular Ca2+, pH and ROS in PD21 testes. No apoptotic cells were observed at this stage. However, impaired cellular homeostasis was still found in testis of PD21 Tmc7-/- mice. These data suggest that TMC7 depletion impairs cellular homeostasis and hence induces spermatid apoptosis.

      (4) While I understand that it appears to be difficult to experimentally verify the ion channel function of TMC7, it may be supportive to compare its amino acid sequence and/or 3D predicted structure with that of TMC1/2. Including a supplemental figure for this purpose would emphasize the possibility that TMC7 functions as an ion channel.

      We thank the reviewer for making this great suggestion. We compared the amino acid sequence and structure of TMC1, TMC2 with TMC7 respectively. TMC1 had 81% sequence similarity with TMC7 and the RMSD (Root Mean Square Deviation) was 3.079. TMC2 had 82% sequence similarity with TMC7, the RMSD was 2.176. These data suggest that TMC7 has similar amino acid sequence and predicted structure with TMC1/2 and might functions as an ion channel. We have included the predicted structures in revised Fig. S7.

      Author response image 1.

      Reviewer #2 (Recommendations For The Authors):

      I do not have any experimental comments or concerns to address, but I do ask that the authors consider an alternative hypothesis. Based on prior data demonstrating that TMC1 is a mechanosensitive ion channel, the authors reasonably assume that TMC7 may also function as an ion channel. Although the authors observe alterations in cytosolic Ca2+ and pH upon loss of TMC7 by flow cytometry, which begins to support this hypothesis, these data do not directly demonstrate ion channel activity.

      I was wondering if the authors had considered whether TMC7 could also function as a lipid scramblase. TMC1 has also been proposed to function as a Ca2+-inhibited scramblase, where knockout of TMC1 leads to a loss of phosphatidylserine (PS) exposure and membrane blebbing at the apical region of hair cells (Ballesteros, A. and Swartz, K., Science Advances, 2022). Furthermore, TMC proteins are structurally related to the Anoctamin/TMEM16 family of chloride channels and lipid scramblases, where TMEM16A-B are bona fide Ca2+-activated chloride channels, and TMEM16C-H are characterized as Ca2+-dependent scramblases. Based on their structural similarity and the observation that TMC1 may also exhibit lipid scrambling properties based on the PS exposure, I wonder if the authors may have data that support a TMC7 scramblase hypothesis. I was intrigued by this idea, especially given the authors' observations of large vacuoles in the seminiferous tubules and cauda epididymis and the vesicle accumulation phenotype in their TEM data. Incorporating this hypothesis into the discussion section, at minimum, could provide a valuable perspective, and this line of thought may lead to interesting data interpretation throughout the paper.

      We thank the reviewer for the valuable suggestion. We have discussed the possibility of TMC7 acting as 'lipid scramblase' as suggested.

      Reviewer #3 (Recommendations For The Authors):

      (1) Gene symbols should be italicized, and protein symbols should be capitalized.

      Thanks. We have made changes to the manuscript as recommended.

      (2) Tmc7 KO males show reduced sperm count, which alters the germ cell composition in the testis (Figure 2g). Thus, it is inappropriate to compare protein levels using whole testis lysates (Figure 3e, 4h, 5d, 5f). Instead, the same immunoblotting analyses could be done with purified round spermatids or 3-wk-old testis. Likewise, the significance of the intracellular Ca2+ and pH measurements is potentially diminished by the differences in the germ cell composition in WT and KO mice.

      We appreciate this constructive suggestion. We agree with the reviewer that whole testis lysates diminished the differences between WT and _Tmc7-/-_mice. However, we are unable purify round spermatids due to the lack of specific markers.

      (3) Figures 2i, 2j: How sperm motility was measured should be specified in the Methods.

      We thank you for your significant reminding and have added sperm motility assessment in Methods section.

      (4) Figure 4g: It does not make sense to compare the fluorescence intensity of these proteins without making sure that the seminiferous tubules are in the same stage. As shown in Figures S5a and S5b, TMC7 exhibits varied abundance in spermatids at different steps.

      We thank the reviewer for the insightful comment. We have replaced images in the same stage seminiferous tubules and compared the fluorescence intensity of new images as suggested.

      (5) Figure 4h: How were the band intensities measured? The third band from the left is visually stronger than the first one, but it does not seem to be so according to the column graph. The reviewer measured the intensity of GRASP65 bands relative to alpha-tubulin by ImageJ and obtained relative intensities of 0.35, 0.87, 0.6, and 0.08 for the bands from left to right. Additional replicates of the western blots should be included in the supplementary figures.

      Thank you for this insightful comment. The density and size of the blots were quantified by Image J. We have checked the first band from the left of GRASP65 and it seems that the protein was not fully transferred onto the PVDF membrane. We have performed new experiments and replaced the original bands (Revised Fig. 4h). Additional replicates of the western blots have been included in revised Fig. S8.

      (6) Figures 5a, 5b: Based on the observation of abnormal intracellular Ca2+ and pH levels in the KO germ cells, the authors concluded that TMC7 maintains the homeostasis of Golgi pH and ion (Lines 223-224, 263-264). However, intracellular Ca2+ and pH levels do not directly reflect those in the Golgi apparatus.

      We thank the reviewer for this important comment. We agree and have changed “Golgi” to “intracellular” as suggested.

      (7) Figure 5c: ROS is produced during apoptosis. Thus, it is not appropriate to conclude that the increased ROS levels in Tmc7 KO germ cells lead to apoptosis.

      According to the reviewer’s comment, we measured ROS and apoptosis in testis of PD21 and PD30 mice. ROS levels were increased, but no apoptotic cells were observed in testis of PD21 and PD30 Tmc7–/– mice. Apoptotic cells were observed in testis of 9-week-old Tmc7–/– mice (Revised Fig. 5e-f). These data suggest that TMC7 depletion results in the accumulation of ROS, thereby leads to apoptosis.

      (1) Fettiplace, R., D.N. Furness, and M. Beurg, The conductance and organization of the TMC1-containing mechanotransducer channel complex in auditory hair cells. Proc Natl Acad Sci U S A, 2022. 119(41): p. e2210849119.

      (2) Yu, X., et al., Deafness mutation D572N of TMC1 destabilizes TMC1 expression by disrupting LHFPL5 binding. Proc Natl Acad Sci U S A, 2020. 117(47): p. 29894-29903.

      (3) Kang-Decker, N., et al., Lack of acrosome formation in Hrb-deficient mice. Science, 2001. 294(5546): p. 1531-3.

      (4) Xiao, N., et al., PICK1 deficiency causes male infertility in mice by disrupting acrosome formation. J Clin Invest, 2009. 119(4): p. 802-12.

      (5) Chen, S., et al., Sympathetic stimulation facilitates thrombopoiesis by promoting megakaryocyte adhesion, migration, and proplatelet formation. Blood, 2016. 127(8): p. 1024-35.

      (6) Liu, H., et al., PRMT5 critically mediates TMAO-induced inflammatory response in vascular smooth muscle cells. Cell Death Dis, 2022. 13(4): p. 299.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This research advance arctile describes a valuable image analysis method to identify individual cells (neurons) within a population of fluorescently labeled cells in the nematode C. elegans. The findings are solid and the method succeeds to identify cells with high precision. The method will be valuable to the C. elegans research community.

      Public Reviews:

      Reviewer #1 (Public Review):

      In this paper, the authors developed an image analysis pipeline to automatically identify individual neurons within a population of fluorescently tagged neurons. This application is optimized to deal with multi-cell analysis and builds on a previous software version, developed by the same team, to resolve individual neurons from whole-brain imaging stacks. Using advanced statistical approaches and several heuristics tailored for C. elegans anatomy, the method successfully identifies individual neurons with a fairly high accuracy. Thus, while specific to C. elegans, this method can become instrumental for a variety of research directions such as in-vivo single-cell gene expression analysis and calcium-based neural activity studies.

      The analysis procedure depends on the availability of an accurate atlas that serves as a reference map for neural positions. Thus, when imaging a new reporter line without fair prior knowledge of the tagged cells, such an atlas may be very difficult to construct. Moreover, usage of available reference atlases, constructed based on other databases, is not very helpful (as shown by the authors in Fig 3), so for each new reporter line a de-novo atlas needs to be constructed.

      We thank the reviewer for pointing out a place where we can use some clarification. While in principle that every new reporter line would need fair prior knowledge, atlases are either already available or not difficult to construct. If one can make the assumption that the anatomy of a particular line is similar to existing atlases (Yemini 2021,Nejatbakhsh 2023,Toyoshima 2020), the cell ID can be immediately performed. Even in the case that one suspects the anatomy may have changes from existing atlases (e.g. in the case of examining mutants), existing atlases can serve as a starting point to provide a draft ID, which facilitates manual annotation. Once manual annotations on ~5 animals are available as we have shown in this work (which is a manageable number in practice), this new dataset can be used to build an updated atlas that can be used for future inferences. We have added this discussion in the manuscript: “If one determines that the anatomy of a particular animal strain is substantially different from existing atlases, new atlases can be easily constructed using existing atlases as starting points.” (page 18).

      I have a few comments that may help to better understand the potential of the tool to become handy.

      1. I wonder the degree by which strain mosaicism affects the analysis (Figs 1-4) as it was performed on a non-integrated reporter strain. As stated, for constructing the reference atlas, the authors used worms in which they could identify the complete set of tagged neurons. But how senstiive is the analysis when assaying worms with different levels of mosaicism? Are the results shown in the paper stem from animals with a full neural set expression? Could the authors add results for which the assayed worms show partial expression where only 80%, 70%, 50% of the cells population are observed, and how this will affect idenfication accuracy? This may be important as many non-integrated reporter lines show high mosaic patterns and may therefore not be suitable for using this analytic method. In that sense, could the authors describe the mosaic degree of their line used for validating the method.

      We appreciate the reviewer for this comment. We want to clarify that most of the worms used in the construction of the atlas are indeed affected by mosaicism and thus do not express the full set of candidate neurons. We have added such a plot as requested (Figure 3 – figure supplement 2, copied below). Our data show that there is no correlation between the fraction of cells expressed in a worm and neuron ID correspondence. We agree with the reviewer this additional insight may be helpful; we have modified the text to include this discussion: “Note that we observed no correlation between the degree of mosaicism and neuron ID correspondence (Figure 3- figure supplement 2).” (page 10).

      Author response image 1.

      No correlation between the degree of mosaicism (fraction of cells expressed in the worm) and neuron ID correspondence.

      1. For the gene expression analysis (Fig 5), where was the intensity of the GFP extracted from? As it has no nuclear tag, the protein should be cytoplasmic (as seen in Fig 5a), but in Fig 5c it is shown as if the region of interest to extract fluorescence was nuclear. If fluorescence was indeed extracted from the cytoplasm, then it will be helpful to include in the software and in the results description how this was done, as a huge hurdle in dissecting such multi-cell images is avoiding crossreads between adjacent/intersecting neurons.

      For this work, we used nuclear-localized RFP co-expressed in the animal, and the GFP intensities were extracted from the same region RFP intensities were extracted. If cytosolic reporters are used, one would imagine a membrane label would be necessary to discern the border of the cells. We clarified our reagents and approach in the text: “The segmentation was done on the nuclear-localized mCherry signals, and GFP intensities were extracted from the same region.” (page21).

      1. In the same mater: In the methods, it is specified that the strain expressing GCAMP was also used in the gene expression analysis shown in Figure 5. But the calcium indicator may show transient intensities depending on spontaneous neural activity during the imaging. This will introduce a significant variability that may affect the expression correlation analysis as depicted in Figure 5.

      We apologize for the error in text. The strain used in the gene expression analysis did not express GCaMP. We did not analyze GCaMP expression in figure 5. We have corrected the error in the methods.

      Reviewer #2 (Public Review):

      The authors succeed in generalizing the pre-alignment procedure for their cell idenfication method to allow it to work effectively on data with only small subsets of cells labeled. They convincingly show that their extension accurately identifies head angle, based on finding auto fluorescent tissue and looking for a symmetric l/r axis. They demonstrate that the method works to identify known subsets of neurons with varying accuracy depending on the nature of underlying atlas data. Their approach should be a useful one for researchers wishing to identify subsets of head neurons in C. elegans, for example in whole brain recording, and the ideas might be useful elsewhere.

      The authors also strive to give some general insights on what makes a good atlas. It is interesting and valuable to see (at least for this specific set of neurons) that 5-10 ideal examples are sufficient. However, some critical details would help in understanding how far their insights generalize. I believe the set of neurons in each atlas version are matched to the known set of cells in the sparse neuronal marker, however this critical detail isn't explicitly stated anywhere I can see.

      This is an important point. We have made text modifications to make it clear to the readers that for all atlases, the number of entities (candidate list) was kept consistent as listed in the methods. In the results section under “CRF_ID 2.0 for automatic cell annotation in multi-cell images,” we added the following sentence: “Note that a truncated candidate list can be used for subse-tspecific cell ID if the neuronal expression is known” (page 3). In the methods section, we added the following sentence: “For multi-cell neuron predictions on the glr-1 strain, a truncated atlas containing only the above 37 neurons was used to exclude neuron candidates that are irrelevant for prediction” (Page 20).

      In addition, it is stated that some neuron positions are missing in the neuropal data and replaced with the (single) position available from the open worm atlas. It should be stated how many neurons are missing and replaced in this way (providing weaker information).

      We modified the text in the result section as follows: “Eight out of 37 candidate neurons are missing in the neuroPAL atlas, which means 40% of the pairwise relationships of neurons expressing the glr-1p::NLS-mcherry transgene were not augmented with the NeuroPAL data but were assigned the default values from the OpenWorm atlas” (page 10).

      It also is not explicitly stated that the putative identities for the uncertain cells (designated with Greek letters) are used to sample the neuropal data. Large numbers of openworm single positions or if uncertain cells are misidentified forcing alignment against the positions of nearby but different cells would both handicap the neuropal atlas relative to the matched florescence atlas. This is an important question since sufficient performance from an ideal neuropal atlas (subsampled) would avoid the need for building custom atlases per strain.

      The putative identities are not used to sample the NeuroPAL data. They were used in the glr-1 multi-cell case to indicate low confidence in manual identification/annotation. For all steps of manual annotation and CRF_ID predictions, we used real neuron labels, and the Greek labels were used for reporting purposes only. It is true that the OpenWorm values (40% of the atlas) would be a handicap for the neuroPAL atlas. This is mainly due to the difficulty of obtaining NeuroPAL data as it requires 3-color fluorescence microscopy and significant time and labor to annotate the large set of neurons. This is one reason to take a complementary approach as we do in this paper.

      Reviewer #1 (Recommendations For The Authors):

      1. Figure 3, there is a confusion in the legend relating to panels c-e (e.g. panel c is neuron ID accuracy but it is described per panel e in the legend.

      We made the necessary changes.

      1. Figure 3, were statistical tests performed for panels d-e? if so, and the outcome was not significant, then it might be good to indicate this in the legend.

      We have added results of statistical tests in the legend as the following sentence: “All distributions in panel d and e had a p-value of less than 0.0001 for one sample t-test against zero.” One sample t-tests were performed because what is plotted already represents each atlas’ differences to the glr-1 25 dataset atlas, we didn’t think the statistical analyses between the other atlases would add significant value.

      1. Figure 4, no asterisks are shown in the figure so it is possible to remove the sentence in the legend describing what the asterisk stands for.

      Thank you. We made the necessary changes.

      Reviewer #2 (Recommendations For The Authors):

      Comparison with deep learning approaches could be more nuanced and structured, the authors (prior) approach extended here combines a specific set of comparative relationship measurements with a general optimization approach for matching based on comparative expectations. Other measurements could be used whether explicit (like neighbor expectations) or learned differences in embeddings. These alternate measurements would both need to be extensively re-calibrated for different sets of cells but might provide significant performance gains. In addition deep learning approaches don't solve the optimization part of the matching problem, so the authors approach seems to bring something strong to the table even if one is committed to learned methods (necessary I suspect for human level performance in denser cell sets than the relatively small number here). A more complete discussion of these themes might better frame the impact of the work and help readers think about the advantages and disadvantages or different methods for their own data.

      We thank the reviewer for bringing up this point. We apologize perhaps not making the point clearer in the original submission. This extension of the original work (Chaudhary et al) is not changing the CRF-based framework, but only augmenting the approach with a better defined set of axes (solely because in multicell and not whole-brain datasets, the sparsity of neurons degrades the axis definition and consequently the neuron ID predictions). We are not fundamentally changing the framework, and therefore all the advantages (over registration-based approaches for example) also apply here. The other purpose of this paper is to demonstrate a couple of use-cases for gene expression analysis, which is common in studies in C. elegans (and other organisms). We hope that by showing a use-case others can see how this approach is useful for their own applications.

      We have clarified these points in the paper (page 18). “The fundamental framework has not been changed from CRF_ID 1.0, and therefore the advantages of CRF_ID outlined in the original work apply for CRF_ID 2.0 as well.”

      The atribution of anatomical differences to strain is interesting, but seems purely speculative, and somewhat unlikely. I would suspect the fundamentally more difficult nature of aligning N items to M>>N items in an atlas accounts for the differences in using the neuroPAL vs custom atlas here. If this is what is meant, it could be stated more clearly.

      It is important to note that the same neuron candidate list (listed in methods) was used for all atlases, so there is no difference among the atlases in terms of the number of cells in the query vs. candidate list. In other words, the same values for M and for N are used regardless of the reference atlas used.

      We have preliminary data indicating differences between the NeuroPAL and custom atlas. For instance, the NeuroPAL atlas scales smaller than the custom glr-1 atlas. Since direct comparisons of the different atlases are beyond the scope of this paper, we will leave the exact comparisons for future work. We suspect that the differences are from a combination of differences in anatomy and imaging conditions. While NeuroPAL atlas may not be exactly fitting for the custom dataset, it can serve as a good starting point for guesses when no custom atlases are available, as we have discussed earlier (response to Public Comments from Reviewer 1 Point 1). As explained earlier, we have added these discussions in the paper (see page 18).

      I was also left wondering if the random removal of landmarks had to be adjusted in this work given it is (potentially) helping cope with not just occasional weak cells but the systematic loss of most of the cells in the atlas. If the parameters of this part of the algorithm don't influence the success for N to M>>N alignment (here when the neuroPAL or OpenWorm atlas is used) this seems interesting in itself and worth discussing. Conversely, if these parameters were opitmized for the matched atlas and used for the others, this would seem to bias performance results.

      We may have failed to make this clear in the main text. As we have stated in our responses in the public review section, we do systematically limit the neuron labels in the candidate list to neurons that are known to be expressed by the promotor. The candidate list, which is kept consistent for all atlases, has more neurons than cells in the query, so it is always an N-to-M matching where M>N. We did not use landmarks, but such usage is possible and will only improve the matching.

      We have attempted to clarify these points in the manuscript. In the results section under “CRF_ID 2.0 for automatic cell annotation in multi-cell images,” we added the following sentence: “Note that a truncated candidate list can be used for subset-specific cell ID if the neuronal expression is known” (page 3). In the methods section, we added the following sentence: “For multi-cell neuron predictions on the glr-1 strain, a truncated atlas containing only the above 37 neurons was used to exclude neuron candidates that are irrelevant for prediction” (Page 20).

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment

      This manuscript presents useful findings on several phage from deep sea isolates of Lentisphaerae strains WC36 and zth2 that further our understanding of deep sea microbial life. The manuscript's primary claim is that phage isolates augment polysaccharide use in Pseudomonas bacteria via auxiliary metabolic genes (AMGs). However, the strength of the evidence is incomplete and does not support the primary claims. Namely, there are not data presented to rule out phage contamination in the polysaccharide stock solution, AMGs are potentially misidentified, and there is missing evidence of successful infection.

      Thanks for the Editor’s and Reviewers’ positive and constructive comments, which help us improve the quality of our manuscript entitled “Deep-sea bacteriophages facilitate host utilization of polysaccharides” (paper#eLife-RP-RA-2023-92345). The comments are valuable, and we have studied the comments carefully and have made corresponding revisions according to the suggestions. We removed some uncertain results and strengthened other parts of the manuscript, which evidently improved the accuracy and impact of the revised version. Revised portions are marked in blue in the modified manuscript. Please find the detailed responses as following.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary: This manuscript describes the identification and isolation of several phage from deep sea isolates of Lentisphaerae strains WC36 and zth2. The authors observe induction of several putative chronic phages with the introduction of additional polysaccharides to the media. The authors suggest that two of the recovered phage genomes encode AMGs associated with polysaccharide use. The authors also suggest that adding the purified phage to cultures of Pseudomonas stutzeri 273 increased the growth of this bacterium due to augmented polysaccharide use genes from the phage. While the findings were of interest and relevance to the field, it is my opinion that several of the analysis fall short of supporting the key assertions presented.

      Thanks for your comments. We removed some uncertain results and strengthened other parts of the manuscript, which evidently improved the accuracy and impact of the revised version. Please find the detailed responses as following.

      Strengths: Interesting isolate of deep sea Lentisphaerae strains which will undoubtedly further our understanding of deep sea microbial life.

      Thanks for your positive comments.  

      Weaknesses:

      (1) Many of the findings are consistent with a phage contamination in the polysaccharide stock solution. 

      Thanks for your comments. We are very sure that the phages are specifically derived from the Lentisphaerae strain WC36 but not the polysaccharide stock solution. The reasons are as following: (1) the polysaccharide stock solution was strictly sterilized to remove any phage contamination; (2) we have performed multiple TEM checks of the rich medium supplemented with 10 g/L laminarin alone (Supplementary Fig. 1A) or in 10 g/L starch alone (Supplementary Fig. 1B), and there were not any phage-like structures, which confirmed that the polysaccharides (laminarin/starch) we used were not contaminated with any phage-like structures; in addition, we also observed the polysaccharides (laminarin/starch) directly by TEM and did not find any phage-like structures (Supplementary Fig. 2); (3) the polysaccharide (starch) alone could not promote the growth of Pseudomonas stutzeri 273, however, the supplement of starch together with the extracted Phages-WC36 could effectively facilitate the growth of Pseudomonas stutzeri 273 (Author response image 1). The above results clearly indicated the phages were derived from the Lentisphaerae strain WC36 but not the polysaccharide stock solution. 

      Author response image 1.

      Growth curve and status of Pseudomonas stutzeri 273 cultivated in basal medium, basal medium supplemented with 20 μl/mL Phages-WC36, basal medium supplemented with 5 g/L starch, basal medium supplemented with 5 g/L starch and 20 μl/mL Phages-WC36. 

       

      (2) The genes presented as AMGs are largely well known and studied phage genes which play a role in infection cycles.

      Thanks for your comments. Indeed, these AMGs may be only common in virulent phages, while have never been reported in chronic phages. In virulent phages, these genes typically act as lysozymes, facilitating the release of virions from the host cell upon lysis, or injection of viral DNA upon infection. However, the chronic phages do not lyse the host. Therefore, the persistence of these genes in chronic phages may be due to their ability to assist the host in metabolizing polysaccharides. Finally, according to your suggestions, we have weakened the role of AMGs and added “potential” in front of it. The detailed information is shown below.

      (3) The evidence that the isolated phage can infect Pseudomonas stutzeri 273 is lacking, putting into question the dependent results.

      Thanks for your comments. Actually, we selected many marine strains (Pseudomonadota, Planctomycetes, Verrucomicrobia, Fusobacteria, and Tenericutes isolates) to investigate whether Phages-WC36 could assist them in degradation and utilization of polysaccharides, and found that Phages-WC36 could only promote the growth of strain 273. It is reported that filamentous phages could recognize and bind to the host pili, which causes the pili to shrink and brings the filamentous phages closer to and possibly through the outer membrane of host cells. The possible mechanism of other chronic phages release without breaking the host might be that it was enclosed in lipid membrane and released from the host cells by a nonlytic manner. Thus, these chronic phages may have a wider host range. However, we were unable to further reveal the infection mechanism due to some techniques absence. Therefore, according to your suggestions, we have deleted this section in the revised manuscript.

      Reviewer #1 (Recommendations For The Authors):

      I have previously reviewed this manuscript as a submission to another journal in 2022. My recommendations here mirror those of my prior suggestions, now with further added details.

      Thanks for your great efforts for reviewing our manuscript and valuable suggestions for last and this versions.

      Specific comments:

      Comment 1: Line 32. Rephrase to "polysaccharides cause the induction of multiple temperate phages infecting two strains of Lentisphaerae (WC36 and zth2) from the deep sea."

      Thanks for your positive suggestion. We have modified this description as “Here, we found for the first time that polysaccharides induced the production of multiple temperate phages infecting two deep-sea Lentisphaerae strains (WC36 and zth2).” in the revised manuscript (Lines 31-33). 

      Comment 2: Line 66. "Chronic" infections are not "lysogenic" as described here, suggesting the former is a subcategory of the latter. If you are going to introduce lifecycles you need a brief sentence distinguishing "chronic" from "lysogenic"

      Thanks for your positive suggestion. We added this sentence as “Currently, more and more attention has been paid to chronic life cycles where bacterial growth continues despite phage reproduction (Hoffmann Berling and Maze, 1964), which was different from the lysogenic life cycle that could possibly lyse the host under some specific conditions.” in the revised manuscript (Lines 66-69).

      Comment 3: Line 72. Please avoid generalized statements like "a hand-full" (or "plenty" line 85). Try to be at least somewhat quantitative regarding how many chronic phages are known. This is a fairly common strategy among archaeal viruses. 

      Thanks for your suggestion. Given that some filamentous phages also have a chronic life cycle that is not explicitly reported, we cannot accurately estimate their numbers. According to your suggestions, we have modified these descriptions as “however, to our best knowledge, only few phages have been described for prokaryotes in the pure isolates up to date (Roux et al., 2019; Alarcón-Schumacher et al., 2022; Liu et al., 2022).” in the revised manuscript (Lines 73-75). In addition, the number of chronic phages in the biosphere cannot be accurately estimated, according to the latest report (Chevallereau et al., 2022), which showed that “a large fraction of phages in the biosphere are produced through chronic life cycles”. Therefore, we have modified this description as “Therefore, a large percentage of phages in nature are proposed to replicate through chronic life cycles” in the revised manuscript (Lines 87-88). 

      Comment 4: Line 93. While Breitbart 2012 is a good paper to cite here, there have been several, much more advanced analysis of the oceans virome. https://doi.org/10.1016/j.cell.2019.03.040 is one example, but there are several others. A deeper literature review is required in this section.  

      Thanks for your valuable suggestions. We have added some literatures and modified this description as “A majority of these viruses are bacteriophages, which exist widely in oceans and affect the life activities of microbes (Breitbart, 2012; Roux et al., 2016; Gregory et al., 2019; Dominguez-Huerta et al., 2022).” in the revised manuscript (Lines 94-97). 

      References related to this response:

      Roux, S., Brum, J.R., Dutilh, B.E., Sunagawa, S., Duhaime, M.B., Loy, A., Poulos, B.T., Solonenko, N., Lara, E., Poulain, J., et al. (2016) Ecogenomics and potential biogeochemical impacts of globally abundant ocean viruses. Nature 537:689-693. 

      Gregory, A.C., Zayed, A.A., Conceição-Neto, N., Temperton, B., Bolduc, B., Alberti, A., Ardyna, M., Arkhipova, K., Carmichael, M., Cruaud, C., et al. (2019) Marine DNA Viral Macro- and Microdiversity from Pole to Pole. Cell 177:1109-1123.e1114. 

      Dominguez-Huerta, G., Zayed, A.A., Wainaina, J.M., Guo, J., Tian, F., Pratama, A.A., Bolduc, B., Mohssen, M., Zablocki, O., Pelletier, E., et al. (2022) Diversity and ecological footprint of Global Ocean RNA viruses. Science 376:1202-1208.

      Comment 5: Line 137. I see the phage upregulation in Figure 1, however in the text and figure it would be good to also elaborate on what the background expression generally looks like. Perhaps a transcriptomic read normalization and recruitment to the genome with a display of the coverage map, highlighting the prophage would be helpful. Are the polysacharides directly influencing phage induction or is there some potential for another cascading effect?  

      Thanks for your comments. We have elaborated all expressions of phage-associated genes under different conditions in the Supplementary Table 1, which showed that the background expressions were very low. The numbers in Fig. 1C were the gene expressions (by taking log2 values) of strain WC36 cultured in rich medium supplemented with 10 g/L laminarin compared with the rich medium alone.

      In addition, our RT-qPCR results (Fig. 1D) also confirmed that these genes encoding phage-associated proteins were significantly upregulated when 10 g/L laminarin was added in the rich medium. According to your suggestions, we have modified this description as “In addition to the up-regulation of genes related to glycan transport and degradation, when 10 g/L laminarin was added in the rich medium, the most upregulated genes were phage-associated (e. g. phage integrase, phage portal protein) (Fig. 1C and Supplementary Table 1), which were expressed at the background level in the rich medium alone.” in the revised manuscript (Lines 136-140). Based on the present results, we speculate that polysaccharides might directly induce phage production, which needs to be verified by a large number of experiments in the future.

      Comment 6: Line 179. We need some assurance that phage was not introduced by your laminarin or starch supplement. Perhaps a check on the TEM/sequencing check of supplement itself would be helpful? This may be what is meant on Line 188 "without culturing bacterial cells" however this is not clearly worded if that is the case. Additional note, further reading reinforces this as a key concern. Many of the subsequent results are consistent with a contaminated starch stock. 

      Thanks for your comments. We are very sure that the phages are specifically derived from the Lentisphaerae strain WC36 but not the polysaccharide stock solution. The reasons are as following: (1) we have performed multiple TEM checks of the rich medium supplemented with 10 g/L laminarin alone (Supplementary Fig. 1A) or in 10 g/L starch alone (Supplementary Fig. 1B), and there were not any phage-like structures, which confirmed that the polysaccharides (laminarin/starch) we used are not contaminated with any phage-like structures. In addition, we also observed the polysaccharides (laminarin/starch) directly by TEM and did not find any phage-like structures (Supplementary Fig. 2). According to your suggestions, we have modified this description as “We also tested and confirmed that there were not any phage-like structures in rich medium supplemented with 10 g/L laminarin alone (Supplementary Fig. 1A) or in 10 g/L starch alone (Supplementary Fig. 1B), ruling out the possibility of phage contamination from the polysaccharides (laminarin/ starch).” in the revised manuscript (Lines 158-162) and “Meanwhile, we also checked the polysaccharides (laminarin/ starch) in rich medium directly by TEM and did not find any phage-like structures (Supplementary Fig. 2).” in the revised manuscript (Lines 178-180). (2) the polysaccharide stock solution was strictly sterilized to remove any phage contamination. (3) the polysaccharide (starch) alone could not promote the growth of Pseudomonas stutzeri 273, however, the supplement of starch together with the extracted Phages-WC36 could effectively facilitate the growth of Pseudomonas stutzeri 273 (Response Figure 1). The above results clearly indicated the phage was derived from the Lentisphaerae strain WC36 but not the polysaccharide stock solution. 

      In addition, given that polysaccharide was a kind of critical energy source for most microorganisms, we sought to ask whether polysaccharide also induces the production of bacteriophages in other deep-sea bacteria. To this end, we cultured deep-sea representatives from other four other phyla (including Chloroflexi, Tenericutes, Proteobacteria, and Actinobacteria) in the medium supplemented with laminarin/starch, and checked the supernatant of cells suspension through TEM as described above. We could not find any phage-like structures in these cells suspension (Author reaponse image 2), which also confirmed that there was no phage contamination in the polysaccharides.

      Author response image 2.

      Growth curve and status of Pseudomonas stutzeri 273 cultivated in basal medium, basal medium supplemented with 20 μl/mL Phages-WC36, basal medium supplemented with 5 g/L starch, basal medium supplemented with 5 g/L starch and 20 μl/mL Phages-WC36.   

      Author response image 3.

      TEM observation of the supernatant of cells suspension of a Chloroflexi strain, a Tenericutes strain, a Proteobacteria strain and an Actinobacteria strain that cultivated in the rich medium supplemented with 10 g/L laminarin and 10 g/L starch. No phage-like particles could be observed.  

      Comment 7: Line 223. Correct generalized wording "long time". 

      Thanks for your comments. We have changed “after for a long time” to “after 30 days” in the revised manuscript (Line 197).

      Comment 8: Line 229. Please more explicitly describe what these numbers are (counts of virion like structures - filamentous and hexagonal respectively?), the units (per µL?), and how these were derived. The word "around" should be replaced with mean and standard deviation values for each count from replicates, without which these are not meaningful.

      Thanks for your comments. The average numbers per microliter (µL) of filamentous and hexagonal phages in each condition were respectively calculated by randomly choosing ten TEM images. According to your suggestions, we have modified this description as “Specifically, the average number per microliter of filamentous phages (9.7, 29 or 65.3) extracted from the supernatant of strain WC36 cultured in rich medium supplemented with 10 g/L laminarin for 5, 10 or 30 days was higher than that cultured in rich medium supplemented with 5 g/L laminarin (4.3, 13.7 or 35.3) (Fig. 3B). The average number per microliter of hexagonal phages (9, 30, 46.7) extracted from the supernatant of strain WC36 cultured in rich medium supplemented with 10 g/L laminarin for 5, 10 or 30 days was higher than that cultured in rich medium supplemented with 5 g/L laminarin (4, 11.3 or 17.7) (Fig. 3C).” in the revised manuscript (Lines 203-210).

      Comment 9: Line 242. This section should be included in the discussion of Figure 2 - around line 194.

      Thanks. According to your suggestion, we have moved this section to the discussion corresponding to Figure 2 (Lines 183-191).

      Comment 10: Figure 3. Stay consistent in the types of figures generated per strain. Figure 3A should be a growth curve.

      Thanks for your comments. Actually, figure 3A was a growth curve, the corresponding description “(A) Growth curve of strain WC36 cultivated in either rich medium alone or rich medium supplemented with 5 g/L or 10 g/L laminarin for 30 days.” was shown in the Figure 3A legend in this manuscript.

      Comment 11: Line 312. Move the discussion of AMGs to after the discussion of the phage genome identification.

      Thanks for your valuable comments. According to your suggestions, we have moved the discussion of AMGs to after the discussion of the phage genome identification.

      Comment 12: Line 312. It would be informative to sequence in-bulk each of your treatments as opposed to just sequencing the viral isolates (starch and no host included) to see what viruses can be identified in each. ABySS is also not a common assembler for viral analysis. Is there literature to support it as a sufficient tool in assembling viral genomes? What sequencing depths were obtained in your samples?

      Thanks for your comments. In previous studies, we did sequence the starch or laminarin alone (no host included) and did not detect any phage-related sequences. The introduction of ABySS software was shown in these literatures (Jackman SD, Vandervalk BP, Mohamadi H, Chu J, Yeo S, Hammond SA, Jahesh G, Khan H, Coombe L, Warren RL, Birol I. ABySS 2.0: resource-efficient assembly of large genomes using a Bloom filter. Genome Res. 2017 May;27(5):768-777; Simpson JT, Wong K, Jackman SD, Schein JE, Jones SJ, Birol I. ABySS: a parallel assembler for short read sequence data. Genome Res. 2009 Jun;19(6):1117-23.), which were also used to assemble viral genomes in these literatures (Guo Y, Jiang T. First Report of Sugarcane Mosaic Virus Infecting Goose Grass in Shandong Province, China. Plant Dis. 2024 Mar 21. doi: 10.1094/PDIS-11-23-2514-PDN; Tang M, Chen Z, Grover CE, Wang Y, Li S, Liu G, Ma Z, Wendel JF, Hua J. Rapid evolutionary divergence of Gossypium barbadense and G. hirsutum mitochondrial genomes. BMC Genomics. 2015 Oct 12;16:770.). The sequencing depth of the phages of strain WC36 and zth2 were 350x and 365x, respectively.

      Comment 13: Line 323. Replace "eventually" with more detail about what was done to derive the genomes. Were these the only four sequences identified as viral?

      Thanks for your comments. We have used the ABySS software (http://www.bcgsc.ca/platform/bioinfo/software/abyss) to perform genome assembly with multiple-Kmer parameters. VIBRANT v1.2.1 (Kieft et al., 2020), DRAM-v (Shaffer et al., 2020), VirSorter v1.0.5 (with categories 1 (“pretty sure”) and 2 (“quite sure”)) (Roux et al., 2015) and VirFinder v1.1 (with statistically significant viral prediction: score > 0.9 and P-value < 0.05) (Ren et al., 2017) with default parameters were used to identify viral genomes from these assembly sequences by searching against the both cultured and non-cultured viral NCBI-RefSeq database (http://blast.ncbi.nlm.nih.gov/) and IMG/VR database (Camargo et al., 2023). The GapCloser software (https://sourceforge.net/projects/soapdenovo2/files/GapCloser/) was subsequently applied to fill up the remaining local inner gaps and correct the single base polymorphism for the final assembly results. All the detailed processes were described in the supplementary information. The virus sequences with higher scores are only these four, but they are not complete genomes. Some virus sequences with shorter sequences and lower scores were excluded.

      Comment 14: Line 328. We need some details about the host genomes here. How were these derived? What is their completeness/contamination? What is their size? If the bins are poor, these would not serve as a reliable comparison to identify integrated phage.

      Thanks for your comments. For genomic sequencing, strains WC36 and zth2 were grown in the liquid rich medium supplemented with 5 g/L laminarin and starch and harvested after one week of incubation at 28 °C. Genomic DNA was isolated by using the PowerSoil DNA isolation kit (Mo Bio Laboratories Inc., Carlsbad, CA). Thereafter, the genome sequencing was carried out with both the Illumina NovaSeq PE150 (San Diego, USA) and Nanopore PromethION platform (Oxford, UK) at the Beijing Novogene Bioinformatics Technology Co., Ltd. A complete description of the library construction, sequencing, and assembly was performed as previously described (Zheng et al., 2021). We used seven databases to predict gene functions, including Pfam (Protein Families Database, http://pfam.xfam.org/), GO (Gene Ontology, http://geneontology.org/) (Ashburner et al., 2000), KEGG (Kyoto Encyclopedia of Genes and Genomes, http://www.genome.jp/kegg/) (Kanehisa et al., 2004), COG (Clusters of Orthologous Groups, http://www.ncbi.nlm.nih.gov/COG/) (Galperin et al., 2015), NR (Non-Redundant Protein Database databases), TCDB (Transporter Classification Database), and Swiss-Prot (http://www.ebi.ac.uk/uniprot/) (Bairoch and Apweiler, 2000). A whole genome Blast search (E-value less than 1e-5, minimal alignment length percentage larger than 40%) was performed against above seven databases.

      The completeness of the genomes of strains WC36 and zth2 were 100%, which were checked by the CheckM v1.2.2. The size of the genome of strains WC36 and zth2 were 3,660,783 bp and 3,198,720bp, respectively. The complete genome sequences of strains WC36 and zth2 presented in this study have been deposited in the GenBank database with accession numbers CP085689 and CP071032, respectively. 

      Moreover, to verify whether the absence of microbial contamination in phage sequencing results, we used the new alignment algorithm BWA-MEM (version 0.7.15) to perform reads mapping of host WGS to these phages. We found that all the raw reads of host strains (WC36 and zth2) were not mapping to these phages sequences (Author response image 3, shown as below). In addition, we also performed the evaluation of the assembly graph underlying the host consensus assemblies. Clean reads were mapped to the bacterial complete genome sequences by the Bowtie 2 (version 2.5.0), BWA (version 0.7.8) and SAMTOOLS (version 0.1.18). The results showed that the total mismatch rate of strains WC36 and zth2 were almost 0% and 0.03%, respectively (Author response table 1, shown as below). In addition, we also collected the cells of strains WC36 and zth2, and then sent them to another company for whole genome sequencing (named WC36G and ZTH, GenBank accession numbers CP151801 and CP119760, respectively). The completeness of the genomes of strains WC36G and ZTH were also 100%. The size of the genome of strains WC36G and ZTH were 3,660,783bp and 3,198,714bp, respectively. The raw reads of strains WC36G and zth2 were also not mapping to the phages sequences. Therefore, we can confirm that these bacteriophage genomes were completely outside of the host chromosomes. 

      Author response image 4.

      The read mapping from WGS to phage sequences.

      Author response table 1.

      Sequencing depth and coverage statistics.

      References related to this response:

      Zheng, R., Liu, R., Shan, Y., Cai, R., Liu, G., and Sun, C. (2021b) Characterization of the first cultured free-living representative of Candidatus Izemoplasma uncovers its unique biology ISME J 15:2676-2691. 

      Ashburner, M., Ball, C.A., Blake, J.A., Botstein, D., Butler, H., Cherry, J.M., Davis, A.P., Dolinski, K., Dwight, S.S., Eppig, J.T., et al. (2000) Gene ontology: tool for the unification of biology. The Gene Ontology Consortium Nat Genet 25:25-29. 

      Kanehisa, M., Goto, S., Kawashima, S., Okuno, Y., and Hattori, M. (2004) The KEGG resource for deciphering the genome Nucleic Acids Res 32:D277-280. 

      Galperin, M.Y., Makarova, K.S., Wolf, Y.I., and Koonin, E.V. (2015) Expanded microbial genome coverage and improved protein family annotation in the COG database Nucleic Acids Res 43:D261-269. 

      Bairoch, A., and Apweiler, R. (2000) The SWISS-PROT protein sequence database and its supplement TrEMBL in 2000 Nucleic Acids Res 28:45-48.

      Comment 15: Line 333. This also needs some details. What evidence do you have that these are not chromosomal? If not chromosomal where can they be found? Sequencing efforts should also be able to yield extrachromosomal elements such as plasmids etc... If you were to sequence your purified isolate cultures from the rich media alone and include all assemblies (not just those binned for example) as a reference, would you be able to recruit viral reads? The way this reads suggests that Chevallereau et al., worked specifically with these phage, which is not the case - please rephrase.

      Thanks for your comments. We carefully compared the bacteriophage genomes with those of the corresponding hosts (strains WC36 and zth2) using Galaxy Version 2.6.0 (https://galaxy.pasteur.fr/) (Afgan et al., 2018) with the NCBI BLASTN method and used BWA-mem software for read mapping from host whole genome sequencing (WGS) to these bacteriophages. These analyses both showed that the bacteriophage genomes are completely outside of the host chromosomes. Therefore, we hypothesized that the phage genomes might exist in the host in the form similar to that of plasmid.

      Comment 16: Line 335. More to the point here that we need confirmation that these phages were not introduced in the polysaccharide treatment

      Thanks for your comments. Please find our answers for this concern in the responses for comment 1 of “weakness” part and comment 6 of “Recommendations For The Authors” part.

      Comment 17: Line 342. Lacking significant detail here. Phylogeny based on what gene(s), how were the alignments computed/refined, what model used etc..?

      Thanks for your comments. According to your suggestions, all the related information was shown in this section “Materials and methods” of this manuscript. The maximum likelihood phylogenetic tree of Phage-WC36-2 and Phage-zth2-2 was constructed based on the terminase large subunit protein (terL). These proteins used to construct the phylogenetic trees were all obtained from the NCBI databases. All the sequences were aligned by MAFFT version 7 (Katoh et al., 2019) and manually corrected. The phylogenetic trees were constructed using the W-IQ-TREE web server (http://iqtree.cibiv.univie.ac.at) with the “GTR+F+I+G4” model (Trifinopoulos et al., 2016). Finally, we used the online tool Interactive Tree of Life (iTOL v5) (Letunic and Bork, 2021) to edit the tree. 

      Comment 18: Line 346. How are you specifically defining AMGs in this study? Most of these are well-known and studied phage genes with specific life cycle functions and could not be considered as polysaccharide processing AMGs even though in host cells many do play a role in polysaccharide processing systems. A substantially deeper literature review is needed in this section, which would ultimately eliminate most of these from the potential AMG pools. Further, the simple HMM/BLASTp evalues are not sufficient to support the functional annotation of these genes. At a minimum, catalytic/conserved regions should be identified, secondary structures compared, and phylogenetic analysis (where possible) developed etc... My recommendation is to eliminate this section entirely from the manuscript. 

      Categorically:

      - Glycoside hydrolase (various families), glucosaminidases, and transglycosylase are all very common to phage and operate generally as a lysins, facilitating the release of virions from the host cell upon lysis, or injection of viral DNA upon infection https://doi.org/10.3389/fmicb.2016.00745 (and citations therein) https://doi.org/10.1016/j.cmi.2023.10.018 etc... In order to confirm these as distinct AMGs we would need a very detailed analysis indicating that these are not phage infection cycle/host recognition related, however I strongly suspect that under such interrogation, these would prove to be as such.

      -TonB related systems including ExbB are well studied among phages as part of the trans-location step in infection. These could not be considered as AMGs. https://doi.org/10.1128/JB.00428-19. Other TonB dependent receptors play a role in host recognition.

      -Several phage acetyltransferases play a role in suppressing host RNA polymerase in order to reserve host cell resources for virion production, including polysaccharide production. https://doi.org/10.3390/v12090976. Further it has been shown that the E. coli gene neuO (O-acetyltransferase) is a homologue of lambdoid phage tail fiber genes https://doi.org/10.1073/pnas.0407428102. I suspect the latter is also the case here and this is a tail fiber gene.

      Thanks for your valuable comments. According to your suggestions, we have reanalyzed these AMGs and made some modifications (the new version Fig. 5A, shown as below). These genes encoding proteins associated with polysaccharide transport and degradation may be only common in virulent phages, and have never been reported in chronic phages. Unlike virulent phages, these genes typically act as lysozymes, facilitating the release of virions from the host cell upon lysis, or injection of viral DNA upon infection, chronic phages do not lyse the host. It is reported that, filamentous phages could recognize and bind to the host pili, which causes the pili to shrink and brings the filamentous phages closer to and possibly through the outer membrane of host cells (Riechmann et al., 1997; Sun et al., 1987). The possible mechanism of other chronic phage release without breaking the host might be that it was enclosed in lipid membrane and released from the host cells by a nonlytic manner. It has recently been reported that the tailless Caudoviricetes phage particles are enclosed in lipid membrane and are released from the host cells by a nonlytic manner (Liu et al., 2022), and the prophage induction contributes to the production of membrane vesicles by Lacticaseibacillus casei BL23 during cell growth (da Silva Barreira et al., 2022). Therefore, the persistence of these genes in chronic phages may be due to their ability to assist the host in metabolizing polysaccharides. 

      Finally, according to your suggestions, we have weakened the role of AMGs and added “potential” in front of it.

      References related to this response:

      Riechmann L, Holliger P. (1997) The C-terminal domain of TolA is the coreceptor for filamentous phage infection of E. coli Cell 90:351-60.

      Sun TP, Webster RE. (1987) Nucleotide sequence of a gene cluster involved in entry of E colicins and single-stranded DNA of infecting filamentous bacteriophages into Escherichia coli J Bacteriol 169:2667-74. 

      Liu Y, Alexeeva S, Bachmann H, Guerra Martníez J.A, Yeremenko N, Abee T et al. (2022) Chronic release of tailless phage particles from Lactococcus lactis Appl Environ Microbiol 88: e0148321. da Silva Barreira, D., Lapaquette, P., Novion Ducassou, J., Couté, Y., Guzzo, J., and Rieu, A. Spontaneous prophage induction contributes to the production of membrane vesicles by the gram-positive bacterium Lacticaseibacillus casei BL23. mBio_._ 2022;13:e0237522.

      Comment 19: Line 354. To make this statement that these genes are missing from the host, we would need to know that these genomes are complete.

      Thanks for your comments. The completeness of the genomes of strains WC36 and zth2 were 100%, which were checked by the CheckM v1.2.2. The size of the genome of strains WC36 and zth2 were 3,660,783 bp and 3,198,720bp, respectively. The complete genome sequences of strains WC36 and zth2 presented in this study have been deposited in the GenBank database with accession numbers CP085689 and CP071032, respectively. In addition, we also collected the cells of strains WC36 and zth2, and then sent it to another company for whole genome sequencing (named WC36G and ZTH, GenBank accession numbers CP151801 and CP119760, respectively). The completeness of the genomes of strains WC36G and ZTH were also 100%. The size of the genome of strains WC36G and ZTH were 3,660,783bp and 3,198,714bp, respectively. Therefore, these genomes of strains WC36 and zth2 were complete and circular.    

      Comment 20: Figure 5. Please see https://peerj.com/articles/11447/ and https://doi.org/10.1093/nar/gkaa621 for a detailed discussion on vetting AMGs. Several of these should be eliminated according to the standards set in the field. More specifically, and by anecdotal comparison with other inoviridae genomes, for Phage-WC36-1 and Phage-zth2-1, I am not convinced that the transactional regulator and glycoside hydrolase are a part of the phage genome. The phage genome probably ends at the strand switch.

      Thanks for your comments. According to your suggestions, we have analyzed these two articles carefully and modified the genome of Phage-WC36-1 and Phage-zth2-1 by anecdotal comparison with other inoviridae genomes. As you said, the transactional regulator and glycoside hydrolase are not a part of the phage genome.

      The new version Fig. 5A was shown.

      References related to this response:

      Shaffer, M., Borton, M.A., McGivern, B.B., Zayed, A.A., La Rosa, S.L., Solden, L.M., Liu, P., Narrowe, A.B., Rodrgíuez-Ramos, J., Bolduc, B., et al. (2020) DRAM for distilling microbial metabolism to automate the curation of microbiome function Nucleic Acids Res 48:8883-8900 

      Pratama, A.A., Bolduc, B., Zayed, A.A., Zhong, Z.P., Guo, J., Vik, D.R., Gazitúa, M.C., Wainaina, J.M., Roux, S., and Sullivan, M.B. (2021) Expanding standards in viromics: in silico evaluation of dsDNA viral genome identification, classification, and auxiliary metabolic gene curation PeerJ 9:e11447

      Comment 21: Line 380. This section needs to start with detailed evidence that this phage can even infect this particular strain. Added note, upon further reading the serial dilution cultures are not sufficient to prove these phage infect this Pseudomonas. We need at a minimum a one-step growth curve and wet mount microscopy. It is much more likely that some carry over contaminant is invading the culture and influencing OD600. With the given evidence, I am not at all convinced that these phages have anything to do with Pseudomonas polysaccharide use and I recommend either drastically revising this section or eliminating it entirely.

      Line 386-389. Could this be because you are observing your added phage in the starch enriched media while no phage were introduced with the "other types of media" so none would be observed? This could have nothing to do with infection dynamics. Further, this would also be consistent with your starch solution being contaminated by phage.

      Line 399. Again consistent with the starch media being contaminated.

      Line 401-408. This is more likely to do with the augmentation of the media with an additional carbon source and not involving the phage. 

      Line 410. I am not convinced that these viruses infect the Pseudomonas strain. Extensive further evidence of infection is needed to make these assertions.  Figure 6A. We need confirmation that the isolate culture remains pure and there are no other contaminants introduced with the phage.

      Thanks for your comments. We have proved that the polysaccharides (laminarin/ starch) didn't contaminate any phages above. Actually, we selected many marine strains (Pseudomonadota, Planctomycetes, Verrucomicrobia, Fusobacteria, and Tenericutes isolates) to investigate whether Phages-WC36 could assist them in degradation and utilization of polysaccharides, and found that Phages-WC36 could only promote the growth of strain 273. The presence of filamentous phages and hexagonal phages was detected in the supernatant of strain 273 cultured in basal medium supplemented with 5 g/L starch and 20 μl/mL Phages-WC36. After 3 passages of serial cultivation in basal medium supplemented with 5 g/L starch, we found that filamentous phages and hexagonal phages were also present in basal medium supplemented with starch, but not in the basal medium, which may mean that Phages-WC36 could infect strain 273 and starch is an important inducer. In addition, the Phages-WC36 used in the growth assay of strain 273 were multiple purified and eventually suspended in SM buffer (0.01% gelatin, 50 mM Tris-HCl, 100 mM NaCl and 10 mM MgSO4). Thus, these phages are provided do not contain some extracellular enzymes and/or nutrients. In addition, we set up three control groups in the growth assay of strain 273: basal medium, basal medium supplemented with Phages-WC36 and basal medium supplemented with starch. If the Phages-WC36 contains some extracellular enzymes and/or nutrients, strain 273 could also grow well in the basal medium supplemented only with Phages-WC36. However, the poor growth results of strain 273 cultivated in the basal medium supplemented with Phages-WC36 further confirmed that there were not some extracellular enzymes and/or nutrients in these phages.

      Finally, the possible mechanism of the chronic phage release without breaking the host might be that it was enclosed in lipid membrane and released from the host cells by a nonlytic manner. Thus, these chronic phages may have a wider host range. However, we were unable to further disclose the infection mechanism in this paper. Therefore, according to your suggestions, we have deleted this section entirely.

      Comment 27: Line 460. Details about how these genomes were reconstructed is needed here.  

      Thanks for your comments. According to your suggestions, we have added the detailed information about the genome sequencing, annotation, and analysis as “Genome sequencing, annotation, and analysis of strains WC36 and zth2 For genomic sequencing, strains WC36 and zth2 were grown in the liquid rich medium supplemented with 5 g/L laminarin and starch and harvested after one week of incubation at 28 °C. Genomic DNA was isolated by using the PowerSoil DNA isolation kit (Mo Bio Laboratories Inc., Carlsbad, CA). Thereafter, the genome sequencing was carried out with both the Illumina NovaSeq PE150 (San Diego, USA) and Nanopore PromethION platform (Oxford, UK) at the Beijing Novogene Bioinformatics Technology Co., Ltd. A complete description of the library construction, sequencing, and assembly was performed as previously described (Zheng et al., 2021b). We used seven databases to predict gene functions, including Pfam (Protein Families Database, http://pfam.xfam.org/), GO (Gene Ontology, http://geneontology.org/) (Ashburner et al., 2000), KEGG (Kyoto Encyclopedia of Genes and Genomes, http://www.genome.jp/kegg/) (Kanehisa et al., 2004), COG (Clusters of Orthologous Groups, http://www.ncbi.nlm.nih.gov/COG/) (Galperin et al., 2015), NR (Non-Redundant Protein Database databases), TCDB (Transporter Classification Database), and Swiss-Prot (http://www.ebi.ac.uk/uniprot/) (Bairoch and Apweiler, 2000). A whole genome Blast search (E-value less than 1e-5, minimal alignment length percentage larger than 40%) was performed against above seven databases.” in the revised manuscript (Lines 333-351).

      Comment 28: Line 462. Accession list of other taxa in the supplement would help here.  

      Thanks for your comments. The accession numbers of these strains were displayed behind these strains in Figure 1A. According to your suggestions, we have added an accession list of these taxa (Supplementary Table 6) in the revised manuscript.

      Comment 29: Line 463. Is there any literature to support that these are phylogenetically informative genes for Inoviridae?  

      Thanks for your comments. There are some literatures (Zeng et al, 2021; Evseev et al, 2023) to support that these are phylogenetically informative genes for Inoviridae. We have added these literatures in the revised manuscript. 

      References related to this response:

      Zeng, J., Wang, Y., Zhang, J., Yang, S., and Zhang, W. (2021) Multiple novel filamentous phages detected in the cloacal swab samples of birds using viral metagenomics approach Virol J 18:240

      Evseev, P., Bocharova, J., Shagin, D., and Chebotar, I. (2023) Analysis of Pseudomonas aeruginosa isolates from patients with cystic fibrosis revealed novel groups of filamentous bacteriophages. Viruses 15: 2215

      Reviewer #2 (Public Review):

      Summary: This paper investigates virus-host interactions in deep-sea bacteriophage systems which employ a seemingly mutualistic approach to viral replication in which the virus aids host cell polysaccharide import and utilization via metabolic reprogramming. The hypothesis being tested is supported with solid and convincing evidence and the findings are potentially generalizable with implications for our understanding of polysaccharide-mediated virus-host interactions and carbon cycles in marine ecosystems more broadly.

      Thanks for your positive comments.

      Strengths: This paper synthesizes sequencing and phylogenic analyses of two Lentisphaerae bacteria and three phage genomes; electron microscopy imaging of bacterial/phage particles; differential gene expression analyses; differential growth curve analyses, and differential phage proliferation assays to extract insights into whether laminarin and starch can induce both host growth and phage proliferation. The data presented convincingly demonstrate that both host culture density and phage proliferation increase as a result having host, phage, and polysaccharide carbon source together in culture.

      Thanks for your positive comments.  

      Weaknesses (suggestions for improvement): 

      (1) The article would be strengthened by the following additional experiment: providing the phage proteins hypothesized to be aiding host cell growth (red genes from Figure 5...TonB system energizer ExbB, glycosidases, etc) individually or in combination on plasmids rather than within the context of the actual phage itself to see if such additional genes are necessary and sufficient to realize the boosts in host cell growth/saturation levels observed in the presence of the phages tested.

      Thanks for your valuable comments. It is a really good idea to express individually or in combination on plasmids to see the effects of those polysaccharide-degradation proteins in the host cell. However, at present, we failed to construct the genetic and expression system for the strictly anaerobic strain WC36, which hindering our further detailed investigation of the functions of those polysaccharide-degradation proteins. In our lab, we are trying our best to build the genetic and expression system for strain WC36. We will definitely test your idea in the future. 

      (2) The paper would also benefit from additional experiments focused on determining how the polysaccharide processing, transport, and metabolism genes are being used by the phages to either directly increase viral infection/replication or else to indirectly do so by supporting the growth of the host in a more mutualistic manner (i.e. by improving their ability to import, degrade, and metabolize polysaccharides).  

      Thanks for your valuable comments. Indeed, due to the chronic phage genome is not within the chromosome of the host, it is very hard to disclose the exact auxiliary process and mechanism of chronic phages. At present, we are trying to construct a genetic manipulation system for the strictly anaerobic host WC36, and we will gradually reveal this auxiliary mechanism in the future. In addition, combined with the reviewer 1’s suggestions, the focus of revised manuscript is to emphasize that polysaccharides induce deep-sea bacteria to release chronic phages, and most of the content of phage assisting host metabolism of polysaccharides has been deleted.

      (3) The introduction would benefit from a discussion of what is known regarding phage and/or viral entry pathways that utilize carbohydrate anchors during host entry. The discussion could also be improved by linking the work presented to the concept of "selfishness" in bacterial systems (see for instance Giljan, G., Brown, S., Lloyd, C.C. et al. Selfish bacteria are active throughout the water column of the ocean. ISME COMMUN. 3, 11 (2023) https://doi.org/10.1038/s43705-023-00219-7). The bacteria under study are gram negative and it was recently demonstrated (https://www.nature.com/articles/ismej201726) that "selfish" bacteria sequester metabolizable polysaccharides in their periplasm to advantage. It is plausible that the phages may be hijacking this "selfishness" mechanism to improve infectivity and ENTRY rather than helping their hosts to grow and profilerate so they can reap the benefits of simply having more hosts to infect. The current work does not clearly distinguish between these two distinct mechanistic possibilities. The paper would be strengthened by at least a more detailed discussion of this possibility as well as the author's rationale for interpreting their data as they do to favor the "mutualistic" interpretation. In the same light, the paper would benefit from a more careful choice of words which can also help to make such a distinction more clear/evident/intentional. As currently written the authors seem to be actively avoiding giving insights wrt this question.  

      Thanks for your valuable comments. According to your suggestions, we have added the related discussion as “Moreover, it was recently demonstrated that selfish bacteria, which were common throughout the water column of the ocean, could bind, partially hydrolyze, and transport polysaccharides into the periplasmic space without loss of hydrolysis products (Reintjes et al., 2017; Giljan et al., 2023). Based on our results, we hypothesized that these chronic phages might also enter the host through this “selfishness” mechanism while assisting the host in metabolizing polysaccharides, thus not lysing the host. On the other hand, these chronic phages might hijack this “selfishness” mechanism to improve their infectivity and entry, rather than helping their hosts to grow and proliferate, so they could reap the benefits of simply having more hosts to infect. In the future, we need to construct a genetic operating system of the strictly anaerobic host strain WC36 to detailedly reveal the relationship between chronic phage and host.” in the revised manuscript (Lines 305-316). 

      References related to this response:

      Reintjes, G., Arnosti, C., Fuchs, B.M., and Amann, R. (2017) An alternative polysaccharide uptake mechanism of marine bacteria ISME J 11:1640-1650

      Giljan, G., Brown, S., Lloyd, C.C., Ghobrial, S., Amann, R., and Arnosti, C. (2023) Selfish bacteria are active throughout the water column of the ocean ISME Commun 3:11

      (4) Finally, I would be interested to know if the author’s sequencing datasets might be used to inform the question raised above by using bacterial immunity systems such as CRISPR/Cas9. For example, if the phage systems studied are truly beneficial/mutualistic for the bacteria then it’s less likely that there would be evidence of targeted immunity against that particular phage that has the beneficial genes that support polysaccharide metabolism.

      Thanks for your comments. According to your suggestions, we have carefully analyzed the genome of strain WC36, and found that there were no CRISPR/Cas9-related genes. Considering our results that the number of chronic phages was increased with the prolongation of culture time, we speculated that host might have no targeted immunity against these chronic phages.

      Reviewer #2 (Recommendations For The Authors):

      There are some minor grammatical errors and unclear statements (lines 99-100, 107-109, 163, 222, 223, 249-250, 254) which should also be fixed before final publication. 

      Thanks for your valuable comments. We have fixed these minor grammatical errors and unclear statements in the revised manuscript.

      Lines 99-100: we have modified this description as “For instance, AMGs of marine bacteriophages have been predicted to be involved in photosynthesis (Mann et al., 2003), nitrogen cycling (Ahlgren et al., 2019; Gazitúa et al., 2021), sulfur cycling (Anantharaman et al., 2014; Roux et al., 2016), phosphorus cycling (Zeng and Chisholm, 2012), nucleotide metabolism (Sullivan et al., 2005; Dwivedi et al., 2013; Enav et al., 2014), and almost all central carbon metabolisms in host cells (Hurwitz et al., 2013).” in the revised manuscript (Lines 100-105).

      Lines 107-109: we have modified this description as “However, due to the vast majority of deep-sea microbes cannot be cultivated in the laboratory, most bacteriophages could not be isolated.” in the revised manuscript (Lines 110-111).

      Line 163: we have modified this description as “Based on the growth curve of strain WC36, we found that the growth rate of strictly anaerobic strain WC36 was relatively slow.” in the revised manuscript (Lines 149-151).

      Lines 222-223: we have modified this description as “Regardless of whether the laminarin was present, the bacterial cells kept their cell shape intact, indicating they were still healthy after 30 days” in the revised manuscript (Lines 195-197).

      Lines 249-250: we have modified this description as “However, the entry and exit of the hexagonal phages into the WC36 cells were not observed.” in the revised manuscript (Lines 190-191).

      Line 254: we have modified this description as “To explore whether the production of bacteriophages induced by polysaccharide is an individual case, we further checked the effect of polysaccharides on another cultured deep-sea Lentisphaerae strain zth2.” in the revised manuscript (Lines 213-215).

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      Galanti et al. present an innovative new method to determine the susceptibility of large collections of plant accessions towards infestations by herbivores and pathogens. This work resulted from an unplanned infestation of plants in a greenhouse that was later harvested for sequencing. When these plants were extracted for DNA, associated pest DNA was extracted and sequenced as well. In a standard analysis, all sequencing reads would be mapped to the plant reference genome and unmapped reads, most likely originating from 'exogenous' pest DNA, would be discarded. Here, the authors argue that these unmapped reads contain valuable information and can be used to quantify plant infestation loads.

      For the present manuscript, the authors re-analysed a published dataset of 207 sequenced accessions of Thlaspi arvense. In this data, 0.5% of all reads had been classified as exogenous reads, while 99.5% mapped to the T. arvense reference genome. In a first step, however, the authors repeated read mapping against other reference genomes of potential pest species and found that a substantial fraction of 'ambiguous' reads mapped to at least one such species. Removing these reads improved the results of downstream GWAs, and is in itself an interesting tool that should be adopted more widely.

      The exogenous reads were primarily mapped to the genomes of the aphid Myzus persicae and the powdery mildew Erysiphe cruciferarum, from which the authors concluded that these were the likely pests present in their greenhouse. The authors then used these mapped pest read counts as an approximate measure of infestation load and performed GWA studies to identify plant gene regions across the T. arvense accessions that were associated with higher or lower pest read counts. In principle, this is an exciting approach that extracts useful information from 'junk' reads that are usually discarded. The results seem to support the authors' arguments, with relatively high heritabilities of pest read counts among T. arvense accessions, and GWA peaks close to known defence genes. Nonetheless, I do feel that more validation would be needed to support these conclusions, and given the radical novelty of this approach, additional experiments should be performed.

      A weakness of this study is that no actual aphid or mildew infestations of plants were recorded by the authors. They only mention that they anecdotally observed differences in infestations among accessions. As systematic quantification is no longer possible in retrospect, a smaller experiment could be performed in which a few accessions are infested with different quantities of aphids and/or mildew, followed by sequencing and pest read mapping. Such an approach would have the added benefit of allowing causally linking pest read count and pest load, thereby going beyond correlational associations.

      On a technical note, it seems feasible that mildew-infested leaves would have been selected for extraction, but it is harder to explain how aphid DNA would have been extracted alongside plant DNA. Presumably, all leaves would have been cleaned of live aphids before they were placed in extraction tubes. What then is the origin of aphid DNA in these samples? Are these trace amounts from aphid saliva and faeces/honeydew that were left on the leaves? If this is the case, I would expect there to be substantially more mildew DNA than aphid DNA, yet the absolute read counts for aphids are actually higher. Presumably read counts should only be used as a relative metric within a pest organism, but this unexpected result nonetheless raises questions about what these read counts reflect. Again, having experimental data from different aphid densities would make these results more convincing.

      We agree with the reviewer that additional aphid counts at the time of (or prior to) sequencing would have been ideal, but unfortunately we do not have these data. However, compared to such counts one strength of our sequencing-based approach is that it (presumably) integrates over longer periods than a single observation (e.g. if aphid abundances fluctuated, or winged aphids visited leaves only temporarily), and that it can detect pathogens even when invisible to our eyes, e.g. before a mildew colony becomes visible. Moreover, the key point of our study is that we can detect variation in pest abundance even in the absence of count data, which are really time consuming to collect.

      Conducting a new experiment, with controlled aphid infestations and continuous monitoring of their abundances, to test for correlation between pest abundance and the number of detected reads would require resequencing at least 30-50% of the collection for the results to be reliable. It would be a major experimental study in itself.

      Regarding the origin of aphid reads and the differences in read-counts between e.g. aphids and mildew, we believe this should not be of concern. DNA contamination is very common in all kinds of samples, but these reads are simply discarded in other studies. For example, although we collected and handled samples using gloves, MG-RAST detected human reads (Hominidae, S2 Table), possibly from handling the plants during transplanting or phenotyping 1-2 weeks before sequencing. Therefore, although we did remove aphids from the leaves at collection, aphid saliva or temporary presence on leaves must have been enough to leave detectable DNA traces. Additionally, the fact that the M. persicae load strongly correlates with the Buchnera aphidicola load (R2\=0.86, S6 Table), is reassuring. This obligate aphid symbiont is expected to be found in high amounts when sequencing aphids (see e.g. The International Aphid Genomics Consortium (2010))

      The higher amount of aphid compared to mildew reads, can probably be explained by aphids having expanded more than mildew at the time of plant collection, but most importantly, as already mentioned by the reviewer, the read-counts were meant to compare plant accessions rather then pests to one another. We are interested in relative not absolute values. Comparisons between pest species are a challenge because they can be influenced by several factors such as the availability of sequences in the MG-RAST database and the DNA extraction kit used, which is plant-specific and might bias towards certain groups. All these potential biases are not a concern when comparing different plants as they are equally subject to these biases.

      Reviewer #2 (Public Review):

      Summary:

      Galanti et al investigate genetic variation in plant pest resistance using non-target reads from whole-genome sequencing of 207 field lines spontaneously colonized by aphids and mildew. They calculate significant differences in pest DNA load between populations and lines, with heritability and correlation with climate and glucosinolate content. By genome-wide association analyses they identify known defence genes and novel regions potentially associated with pest load variation. Additionally, they suggest that differential methylation at transposons and some genes are involved in responses to pathogen pressure. The authors present in this study the potential of leveraging non-target sequencing reads to estimate plant biotic interactions, in general for GWAS, and provide insights into the defence mechanisms of Thlaspi arvense.

      Strengths:

      The authors ask an interesting and important question. Overall, I found the manuscript very well-written, with a very concrete and clear question, a well-structured experimental design, and clear differences from previous work. Their important results could potentially have implications and utility for many systems in phenotype-genotype prediction. In particular, I think the use of unmapped reads for GWAS is intriguing.

      Thank you for appreciating the originality and potential of our work.

      Weaknesses:

      I found that several of the conclusions are incomplete, not well supposed by the data and/or some methods/results require additional details to be able to be judged. I believe these analyses and/or additional clarifications should be considered.

      Thank you very much for the supportive and constructive comments. They helped us to improve the manuscript.

      Recommendations for the authors:

      Reviewing Editor (Recommendations For The Authors):

      The authors address an interesting and significant question, with a well-written manuscript that outlines a clear experimental design and distinguishes itself from previous work. However, some conclusions seem incomplete, lacking sufficient support from the data, or requiring additional methodological details for proper evaluation. Addressing these limitations through additional analyses or clarifications is recommended.

      Reviewer #2 (Recommendations For The Authors):

      Major comments:

      - So far it is not clear to me how read numbers were normalised and quantified. For instance, Figure 1C only reports raw read numbers. In L149: "Prior to these analyses, to avoid biases caused by different sequencing depths, we corrected the read counts for the total numbers of deduplicated reads in each library and used the residuals as unbiased estimates of aphid, mildew and microbe loads". Was library size considered? Is the load the ratio between exogenous vs no exogenous reads? It is described in L461, but according to this, read counts were normalised and duplicated reads were removed. Now, why read counts were used? As opposite to total coverage / or count of bases per base? I cannot follow how variation in sequencing quality was considered. I can imagine that samples with higher sequencing depth will tend to have higher exogenous reads (just higher resolution and power to detect something in a lower proportion).

      Correcting for sequencing depth/library size is indeed very important. As the reviewer noted, we had explained how we did this in the methods section (L464), and we now also point to it in the results (L151):

      “Finally, we log transformed all read counts to approximate normality, and corrected for the total number of deduplicated reads by extracting residuals from the following linear model, log(read_count + 1) ∼ log(deduplicated_reads), which allowed us to quantify non-Thlaspi loads, correcting for the sequencing depth of each sample.”

      We showed the uncorrected read-counts only in Fig 1 to illustrate the orders of magnitude but used the corrected read-counts (also referred to as “loads”) for all subsequent analyses.

      In our view, theoretically, the best metric to correct the number of reads of a specific contaminant organism, is the total number of DNA fragments captured. Importantly, this is not well reflected by the total number of raw reads because of PCR and optical duplicates occurring during library prep and sequencing. For this reason we estimated the total number of reads captured multiplying total raw reads (after trimming) by the deduplication rate obtained from FastQC (methods L409-411). This metric reflects the amount of DNA fragments sampled better than the raw reads. Also it better reflects MG-RAST metrics as this software also deduplicates reads (Author response image 1 below). We also removed duplicates in our strict mappings to the M. persicae and B. aphidicola genomes.

      Coverage is not a good option for correction, because it is defined for a specific reference genome and many of the read-counts output by MG-RAST do not have a corresponding full assembly. Moreover, coverage and base counts are influenced by read size, which depends on library prep and is not included in the read-counts produced by MG-RAST.

      Author response image 1.

      Linear correlations between the number of MG-RAST reads post-QC and either total (left) or deduplicated (right) reads from fastq files of four full samples (not only unmapped reads).

      - The general assumption is that plants with different origins will have genetic variants or epigenetic variations associated with pathogen resistance, which can be tracked in a GWAS. However, plants from different regions will also have all variants associated with their origin (isolation by state as presented in the manuscript). In line 169: "Having established that our method most likely captured variation in plant resistance, we were interested in the ecological drivers of this variation". It is not clear to me how variation in plant resistance is differentiated from geographical variation (population structure). in L203: "We corrected for population structure using an IBS matrix and only tested variants with Minor Allele Frequency (MAF) > 0.04 (see Methods).". However, if resistant variants are correlated with population structure as shown in Table 1, how are they differentiated? In my opinion, the analyses are strongly limited by the correlation between phenotype and population structure.

      The association of any given trait with population structure is surely a very important aspect in GWAS studies and when looking at correlations of traits with environmental variables. If a trait is strongly associated with population structure, then disentangling variants associated with population structure vs. the ones associated with the trait can indeed be challenging, a good example being flowering time in A. thaliana (e.g. Brachi et al. 2013).

      In our case, although the pest and microbiome loads are associated with population structure to some extent, this association is not very strong. This can be observed for example in Fig. 1C, where there is no clear separation of samples from different regions. This means that we can correct for population structure (in both GWAS and correlations with climatic variables) without removing the signals of association. It is possible that other associations were missed if specific variants were indeed strongly associated with structure, but these would be unreliable within our dataset, so it is prudent to exclude them.

      - Similarly, in L212: "we still found significant GWA peaks for Erysiphales but not for other types of exogenous reads (excluding isolated, unreliable variants) (Figure 3A and S3 Figure)." In a GWA analysis, multiple variants will constitute an association pick (as shown for instance in main Figure 3A) only when the pick is accentuated by lockage disequilibrium around the region under selection (or around the variant explaining phenotypic variation in this case). However, in this case, I suspect there is a strong component of population structure (which still needs to be corroborated as suggested in the previous comment). But if variants are filtered by population structure, the only variants considered are those polymorphic within populations. In this case, I do not think clear picks are expected since most of the signal, correlated with population has been removed. Under this scenario, I wonder how informative the analyses are.

      As mentioned above, the traits we analyse (aphid and mildew loads) are only partially associated with population structure. This is evident from Fig. 1C (see answer above) but also from the SNP-based heritability (Table 1, last column) which measures indeed the proportion of variance explained by genetic population structure. Although some variance is explained (i.e. the reviewer is correct that there is some association) there is still plenty of leftover variance to be used for GWAS and correlations with environmental variables. The fact that we still find GWAS peaks confirms this, as otherwise they would be lost by the population structure correction included in our mixed model.

      - How were heritability values calculated? Were related individuals filtered out? I suggest adding more detail in both the inference of heritability and the kinship matrix (IBS matrix). Currently missing in methods (for heritability I only found the mention of an R package in the caption of Table 1).

      We somehow missed this in the methods and thank the reviewer for noticing. We now added this paragraph to the chapter “Exogenous reads heritability and species identification”:<br /> “To test for variation between populations we used a general linear model with population as a predictor. To measure SNP-based heritability, i.e. the proportion of variance explained by kinship, we used the marker_h2() function from the R package heritability (Kruijer and Kooke 2019), which uses a genetic distance matrix as predictor to compute REML-estimates of the genetic and residual variance. We used the same IBS matrix as for GWAS and for the correlations with climatic variables.”

      We also added the reference to the R package heritability to the Table 1 caption.

      - Figure 2C. in line 188: "Although the baseline levels of benzyl glucosinolates were very low and probably sometimes below the detection level, plant lines where benzyl glucosinolate was detected had significantly lower aphid loads (over 70% less reads) in the glasshouse (Figure 3C)". It is not clear to me how to see these values in Figure 2C. From the boxplot, the difference in aphid loads between detected and not detected benzyl seems significantly lower. From the boxplot distribution is not clear how this difference is statistically significant. It rather seems like a sampling bias (a lot of non-detected vs low detected values). Is the difference still significant when random subsampling of groups is considered?

      Here the “70% less reads” refers to the uncorrected read-counts directly (difference in means between samples where benzyl-GS were detected vs. not). We agree with the reviewer that this is confusing when referred to figure 2C which depicts the corrected M. persicae load (residuals). We therefore removed that information.

      Regarding the significance of the difference, we re-calculated the p value with the Welch's t-test, which accounts for unequal variances, and with a bootstrap t-test. Both tests still found a significant difference. We now report the p value of the Welch’s t-test.

      - I think additional information regarding the read statistics needs to be improved. At the moment some sections are difficult to follow. I found this information mainly in Supplementary Table 1. I could not follow the difference in the manuscript and supplementary materials between read (read count), fragment, ambiguous fragments, target fragments, etc. I didn't find information regarding mean coverage per sample and relative plant vs parasite coverage. This lack of clarity led me to some confusion. For instance, in L207: "We suspected that this might be because some non-Thlaspi reads were very similar to these highly conserved regions and, by mapping there, generated false variants only in samples containing many non-Thlaspi reads". I find it difficult to follow how non-Thlaspi reads will interfere with genotyping. I think the fact that the large pick is lost after filtering reads is already quite insightful. However, in principle I would expect the relative coverage between non-Thlaspi:Thlaspi reads to be rather low in all cases. I would say below 1%. Thus, genotyping should be relatively accurate for the plant variants for the most part. In particular, considering genotyping was done with GATK, where low-frequency variants (relative coverage) should normally be called reference allele for the most part.

      We agree with the reviewer that some clarification over these points is necessary! We modified Supplementary Table 1 to include coverage information for all samples before and after removal of ambiguous reads and explained thoroughly how each value in the table was obtained. Regarding reads and fragments, we define each fragment as having two reads (R1 and R2). The classification into Target, Ambiguous and Unmapped reads was based on fragments, so we used that term in the table, but referring to reads has the same meaning in this context as for example an unmapped read is a read whose fragment was classified as unmapped.

      We did not include the pest coverage specifically, because this cannot be calculated for any of the read counts obtained with MG-RAST as this tool is mapping to online databases where genome size is not necessarily known. What is more meaningful instead are the read counts, which are in Supplementary tables 2 and 6. Importantly as mentioned in other answers, if different taxa are differently represented in the databases this does not affect the comparison of read counts across different samples, but only the comparison of different taxa which was not used for any further analyses.

      Regarding the ambiguous reads causing unreliable variants, these occur only in very few regions of the Thlaspi genome that are highly conserved in evolution or of very low complexity. In these regions reads generated from both plant or for instance aphid DNA, can map, but the ones from aphid might contain variants when mapping to the Thlaspi reference genome (L207 and L300). The reviewer is right that there is only a very small difference in average coverage when removing those ambiguous reads (~1X, S1 Table), but that is not true for those few regions where coverage changes massively when removing ambiguous reads as shown on the right side Y axes of S2 Figure. Therefore these unreliable variants are not low-frequency and therefore not removed by GATK.

      - L215. I am not very convinced with the enrichment analyses, justified with a reference (52). For instance, how many of the predicted picks are not close to resistance genes? How was the randomisation done? At the moment, the manuscript reads rather anecdotally by describing only those picks that effectively are "close" to resistance genes. For instance, if random windows (let's say 20kb windows) are sampled along the genome, how often there are resistant genes in those random windows, and how is the random sampling compared with observed picks (windows).

      Enrichment is by definition an increase in the proportion of true positives (observed frequency: proportion of significant SNPs located close to a priori candidate genes) compared to the background frequency (number of all SNPs located close to a priori candidate genes). So the background likelihood of SNPs to fall into a priori candidate SNPs (i.e. the occurrence of a priori candidate genes in randomly sampled windows, as suggested by the reviewer) is already taken into account as the background frequency. We now explained more extensively how enrichment is calculated in the relevant methods section (L545-549), but it is an extensively used method, established in a large body of literature, so it can be found in many papers (e.g. Atwell et al. 2010, Brachi et al. 2010, Kawakatsu et al. 2016, Kerdaffrec et al. 2017, Sasaki et al. 2015-2019-2022, Galanti et al. 2022, Contreras-Garrido et al. 2024).

      Although we had already calculated an upper bound for the FDR based on the a priori candidates, as in previous literature, we now further calculated the significance of the enrichment for the Bonferroni-corrected -log(p) threshold for Erysiphales. Calculating significance requires adopting a genome rotation scheme that preserves the LD structure of the data, as described in the previously mentioned literature (eg. Kawakatsu et al. 2016, Sasaki et al. 2022). Briefly, we calculated a null distribution of enrichments by randomly rotating the p values and a priori candidate status of the genetic variants within each chromosome, for 10 million permutations. We then assessed significance by comparing the observed enrichment to the null distribution. We found that the enrichment at the Bonferroni corrected -log(p) threshold is indeed significant for Erysiphales (p = 0.016). We added this to the relevant methods section and the code to the github page.

      In addition, many other genes very close (few kb max) to significant SNPs were not annotated with the “defense response” GO term but still had functions relatable to it. Some examples are CAR8, involved in ABA signalling, PBL7 in stomata closure and SRF3 in cell wall building and stress response  (Fig 3D). This means that our enrichment is actually most likely underestimated compared to if we had a more complete functional annotation.

      - L247. Additional information is needed regarding sampling. It is not clear to me why methylation analyses are restricted to 20 samples, contrary to whole genome analyses.

      The sampling is best described in the original paper (on natural DNA methylation variation; Galanti et al. 2022), although the most important parts are repeated in the first chapter of the methods.<br /> Regarding methylation analysis, they are not restricted to 20 samples. Only the DMR calling was restricted to the 20 vs. 20 samples with the most divergent values (of pest loads) to identify regions of variation. This analysis was used to subset the genome to potential regions associated with pest presence rather than thoroughly testing actual methylation variants associated with pest presence. The latter was done in the second step, EWAS, which was based on the whole dataset with the exclusions of samples with high non-conversion rate. This left 188 samples for EWAS. We added this number in the new manuscript (L251 and L571).

      To clarify, we made a few additions to the results (L250) and methods (last two subchapters) sections, where we explain the above.

      - No clear association with TEs: in L364: "Erysiphales load was associated with hypomethylated Copia TEs upstream of MAPKKK20, a gene involved in ABA-mediated signaling and stomatal closure. Since stomatal closure is a known defense mechanism to block pathogen access (21), it is tempting to conclude that hypomethylation of the MAPKKK20 promoter might induce its overexpression and consequent stomatal closure, thereby preventing mildew access to the leaf blade. Overall, we found associations between pathogen load and TE methylation that could act both in cis (eg. Copia TE methylation in MAPKKK20 promoter) and in trans, possibly through transposon reactivation (eg. LINE, Helitron, and Ty3/Gypsi TEs isolated from genes)." I find the whole discussion related to transposable elements, first, rather anecdotical, and second very speculative. To claim: "Overall, we found associations between pathogen load and TE methylation", I believe a more detailed analysis is needed. For instance, how often there is an association? In general, there are some rather anecdotical examples, several of which are presented as association with pathogen load on the basis of being "in proximity" to a particular region/pick. The same regions contain multiple other genes and annotations, but the authors limit the discussion to the particular gene or TE concordant with the hypothesis. This is for both the discussion and results sections.

      Here we are referring to associations in a purely statistical sense. The fact that “Overall, we found associations between pathogen load and TE methylation” is simply a conclusion drawn from Fig. 4b, without implying any causality. Some methylation variants are statistically associated with the traits (aphid or mildew loads), and whether they are true positives or causal is of course more difficult to assess.

      Regarding the methylation variants associated with mildew load in proximity of MAPKKK20, those are the only two significant ones, located close to each other and close to many other variants that, although not significant, have low P-values (Author response image 2 below), so it is the most obvious association warranting further exploration. The reviewer is correct that there are other genes flanking the large DMR that covers the TEs (Fig. 4D), but the DMR is downstream of these genes, so less likely to affect their transcription.

      Author response image 2.

      Regarding all other associations found with M. persicae load, we stated that these are not really reliable due to a skewed P-value distribution (L269, S5B Fig), but we think that for future reference it is still worth reporting the closeby genes and TEs.

      We slightly changed the wording of the passage the reviewer is citing above to make it clearer that we are only offering potential explanations for the associations we observe with TE methylation, but by no means we state that TE reactivation is surely what is happening.

      - One conclusion in the manuscript is that DMRs have been mostly the result of hypomethylation. This is shown for instance in supplementary Figure 4. However, no general statistic is shown of methylation distribution (not only restricted to DMRs). Was the ratio methylation over de-methylation proportional along the genome? Thus the finding in DMRs is out of the genome-wide distribution? Or on the contrary, the DMRs are just a random sampling of the global distribution. The same for different annotated regions. For instance, I would expect that in general coding regions would be less methylated (not restricted to DMRs).

      Complete and exhaustive analyses of the methylomes were already published in the original manuscript (Galanti et al 2022). However, the variation among these methylomes is complex and influenced by multiple factors including genetic background and environment of origin, and talking about these things would have been beyond the scope of our paper. In this paper, we just took advantage of the existing methylome information to identify the few genomic regions that are consistently differentially methylated between samples with extreme values of pest loads. As for the GWAS, the phenotypes are only partially associated with population structure, so the 20 samples with the lowest and the 20 with the highest pathogen loads are not e.g. all Swedish vs. all German but they are a mixture, which allowed us to correct for population structure running EWAS with a mixed model that includes a genetic distance matrix.

      In this study we called DMRs between two defined groups: samples with the lowest amounts of pathogen DNA (not-infected; the “control” group) vs. samples with the highest amounts of pathogens (infected or the “treatment” group), so we could define a directionality (“hyper vs. “hypo” methylation). However, this is not the case for population DMRs called between many different combinations of populations. This is why the hyper- and hypomethylated regions found here cannot be compared to the genome-wide averages, which are influenced by other factors than the pathogens. Even with relaxed thresholds we indeed found very few DMRs associated to pathogen presence here.

      Specifically about coding regions, the reviewer is correct that they are less methylated, especially because T. arvense has largely lost gene body methylation (Nunn et al. 2021, Galanti et al. 2022), but this is unrelated and was discussed in the original publication (Galanti et al. 2022).

      Minor comments:- Figure 1B: it would be good to add also percentage values.

      As the figure is already tightly packed, we rather keep it simple. As the chart gives a good impression of frequencies of different kingdoms, and the frequences of several relevant groups. Also, as explained in a previous answer, comparing different taxonomic groups could be imprecise (as opposed to comparing the same group between different samples), so exact percentages seem unnecessary. If needed, the exact percentages can still be calculated from S2 Table.

      - L159: It is not clear to me what "enemy variation" is referring to here.

      We are referring to variation in enemy densities (attack rates) in the field, that could potentially be carried over to the greenhouse to cause the patterns of infection we observed. We changed it to “variation in enemy densities” to make it more clear.

      - L259: "In accordance with previous studies (8,9), most DMRs were hypomethylated in the affected samples, indicating that genes needed for defense might be activated through demethylation". Not clear to me what "affected samples" is referring to. Samples with lower load?

      Affected samples have a higher load of pathogen reads. We changed it to “infested” to make it more clear.

      - L336. Figure should be Fig 3E.

      We fixed it, thanks for noticing.

      ADDITIONAL CHANGES

      We updated reference 43 to point to the published paper rather than the preprint.

      We corrected the phenotype names in S3 Fig, to make them consistent with the rest of the manuscript and increased font size on the axes to make it more readable.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      This manuscript introduced a new behavioral apparatus to regulate the animal's behavioral state naturally. It is a thermal maze where different sectors of the maze can be set to different temperatures; once the rest area of the animal is cooled down, it will start searching for a warmer alternative region to settle down again. They recorded with silicon probes from the hippocampus in the maze and found that the incidence of SWRs was higher at the rest areas and place cells representing a rest area were preferentially active during rest-SWRs as well but not during non-REM sleep.

      We thank the reviewer for carefully reading our manuscript and providing useful and constructive comments.

      Strengths:

      The maze can have many future applications, e.g., see how the duration of waking immobility can influence learning, future memory recall, or sleep reactivation. It represents an out-of-the-box thinking to study and control less-studies aspects of the animals' behavior.

      Weaknesses:

      The impact is only within behavioral research and hippocampal electrophysiology.

      We agree with this assessment but would like to add that the intersection of electrophysiological recordings in behaving animals is a very large field. Behavioral thermoregulation is a hotly researched area also by investigators using molecular tools as well. The ThermoMaze can be used for juxtacellular/intracellular recordings in behaving animals. Restricting the animal’s movement during these recordings can improve the length of recording time and recorded single unit yield in these experiments. 

      Moreover, the fact that animals can sleep within the task can open up new possibilities to compare the role of sleep in learning without having to move the animal from a maze back into its home cage. The cooling procedure can be easily adapted to head-fixed virtual reality experiments as well.

      I have only a few questions and suggestions for future analysis if data is available.

      Comment-1: Could you observe a relationship between the duration of immobility and the preferred SWR activation of place cells coding for the current (SWR) location of the animal? In the cited O'Neill et al. paper, they found that the 'spatial selectivity' of SWR activity gradually diminished within a 2-5min period, and after about 5min, SWR activity was no longer influenced by the current location of the animal. Of course, I can imagine that overall, animals are more alert here, so even over more extended immobility periods, SWRs may recruit place cells coding for the current location of the animal.

      We thank the reviewer for raising this question, which is a fundamental issue that we attempted to address using the ThermoMaze. First, we indeed observed persistent place-specific firing of CA1 neurons for up to around 5 minutes, which was the maximal duration of each warm spot epoch, as shown by the decoding analysis (based on firing rate map templates constructed during SPW-Rs) in Figure 5C and D. However, we did not observe above-chance-level decoding of the current position of the animal during sharp-wave ripples using templates constructed during theta, which aligns with previous observation that CA1 neurons during “iSWRs” (15–30 s time windows surrounding theta oscillations) did not show significant differences in their peak firing rate inside versus outside the place field (O’Neil et al., 2006). We reasoned that this could be potentially explained by a different (although correlated, see Figure 5E) neuronal representation of space during theta and during awake SPW-R.

      Comment-2: Following the logic above, if possible, it would be interesting to compare immobility periods on the thermal maze and the home cage beyond SWRs, as it could give further insights into differences in rest states associated with different alertness levels. E.g., power spectra may show a stronger theta band or reduced delta band compared to the home cage.

      If we are correct the Reviewer would like to know whether the brain state of the animal was similar in the ThermoMaze (warm spot location) and in the home cage during immobility. A comparison of the time-evolved power spectra shows similar changes from walking to immobility in both situations without notable differences. This analysis was performed on a subset of animals (n = 17 sessions in 7 mice) that were equipped with an accelerometer (home cage behavior was not monitored by video). We detected rest epochs that lasted at least 2 seconds during wakefulness in both the home cage and ThermoMaze. Using these time points we calculated the event-triggered power spectra for the delta and theta band (±2 s around the transition time) and found no difference between the home cage and ThermoMaze (Suppl. Fig. 4D).

      Prompted by the Reviewer’s question, we further quantified the changes in LFP in the two environments. We did not find any significant change in the frequencies between 1-40 Hz during Awake periods, but we did find higher delta power (1-4 Hz) in some animals in the ThermoMaze (Suppl. Fig. 4A, B). 

      We have also quantified the delta and theta power spectra in the few cases, when the warm spot was maintained, and the animal fell asleep. The time-resolved spectra classified the brain state as NREM, similar to sleeping in the home cage. Both delta and theta power were higher in the ThermoMaze following Awake-NREM transitions (±30 seconds around the transition, Suppl. Fig. 4C). It might well be that immobility/sleep outside the mouse’s nest might reflect some minor (but important) differences but our experiments with only a single camera recording do not have the needed resolution to reveal minor differences in posture.

      We added these results to the revised Supplementary material (Suppl. Fig. 4).

      Comment-3: Was there any behavioral tracking performed on naïve animals that were placed the first time in the thermal maze? I would expect some degree of learning to take place as the animal realizes that it can find another warm zone and that it is worth settling down in that area for a while. Perhaps such a learning effect could be quantified.

      Unfortunately, we did not record videos during the first few sessions in the ThermoMaze. Typically, we transferred a naïve animal into the ThermoMaze for an hour on the first day to acclimatize them to the environment. This was performed without video analysis. In addition, because the current version of the maze is relatively small (20 x 20 cm), the animal usually walked around the edges of the maze before settling down at a heated warm spot. It appeared to us that there was only a very weak drive to learn the sequence and location of the warm spot, and therefore we did not quantified learning in the current experiment. We agree with the reviewer that in future studies, it will be interesting to explore whether the ThermoMaze could be adapted to a land-version of the Morris water maze by increasing the size of the maze and performing more controlled behavioral training and testing.

      Comment-4: There may be a mislabeling in Figure 6g because the figure does not agree with the result text - the figure compares the population vector similarly of waking SWR vs sleep SWRs to exploration vs waking SWR and exploration vs sleep SWRs.

      We thank the reviewer for raising the point, we have updated the labels accordingly.

      Reviewer #2 (Public Review):

      In this manuscript, Vöröslakos and colleagues describe a new behavioural testing apparatus called ThermoMaze, which should facilitate controlling when a mouse is exploring the environment vs. remaining immobile. The floor of the apparatus is tiled with 25 plates, which can be individually heated, whereas the rest of the environment is cooled. The mouse avoids cooled areas and stays immobile on a heated tile. The authors systematically changed the location of the heated tile to trigger the mouse's exploratory behaviours. The authors showed that if the same plate stays heated longer, the mouse falls into an NREM sleep state. The authors conclude their apparatus allows easy control of triggering behaviours such as running/exploration, immobility and NREM sleep. The authors also carried out single-unit recordings of CA1 hippocampal cells using various silicone probes. They show that the location of a mouse can be decoded with above-chance accuracy from cell activity during sharp wave ripples, which tend to occur when the mouse is immobile or asleep. The authors suggest that consistent with some previous results, SPW-Rs encode the mouse's current location and any other information they may encode (such as past and future locations, usually associated with them).

      We thank the reviewer for carefully reading our manuscript and providing useful and constructive comments.

      Strengths:

      Overall, the apparatus may open fruitful avenues for future research to uncover the physiology of transitions from different behavioural states such as locomotion, immobility, and sleep. The setup is compatible with neural recordings. No training is required.

      Weaknesses:

      I have a few concerns related to the authors' methodology and some limitations of the apparatus's current form. Although the authors suggest that switching between the plates forces animal behaviour into an exploratory mode, leading to a better sampling of the enclosure, their example position heat maps and trajectories suggest that the behaviour is still very stereotypical, restricted mostly to the trajectories along the walls or the diagonal ones (between two opposite corners). This may not be ideal for studying spatial responses known to be affected by the stereotypicity of the animal's trajectories. Moreover, given such stereotypicity of the trajectories mice take before and after reaching a specific plate, it may be that the stable activity of SWR-P ripples used for decoding different quadrants may be representing future and/or past trajectories rather than the current locations suggested by the authors. If this is the case, it may be confusing/misleading to call such activity ' place-selective firing', since they don't necessarily encode a given place per se (line 281).

      We agree with the reviewer that the current version of the ThermoMaze does not necessarily motivate the mice to sample the entire maze during warm spot transitions. However, we did show correlational evidence that neuronal firing during awake sharp-wave ripples is place-selective. Both firing rate ratios and population vectors of CA1 neurons showed a reliable correlation between those during movement and awake sharp-wave ripples (Figure 5 E and F), indicating that spatial coding during movement persists into awake SWR-P state. This finding rejects the hypothesis that neuronal firing during ripples throughout the Cooling sub-session encodes past/future trajectories, which could be explained by a lack of goal-directed behavior in order to perform the task. We hope to test whether such place-specific firing during ripples can be causally involved in maintaining an egocentric representation of space in a future study.

      Besides, we have attempted to motivate the animal to visit the center of the maze during the Cooling sub-session. Moving the location of warm spots from the corners can shape the animals’ behavior and promote more exploration of the environment as we show in Suppl. Fig. 5. We agree with the Reviewer that the current size of the ThermoMaze poses these limitations. However, an example future application could be to warm the floor of a radial-arm maze by heating Peltier elements at the ends of maze arms and center in an otherwise cold room, allowing the experimenter to induce ambulation in the 1-dimensional arms, followed by extended immobility and sleep at designated areas.

      Another main study limitation is the reported instability of the location cells in the Thermomaze. This may be related to the heating procedure, differences in stereotypical sampling of the enclosure, or the enclosure size (too small to properly reveal the place code). It would be helpful if the authors separate pyramidal cells into place and non-place cells to better understand how stable place cell activity is. This information may also help to disambiguate the SPW-R-related limitations outlined above and may help to solve the poor decoding problem reported by the authors (lines 218-221).

      The ThermoMaze is a relatively small enclosure (20 x 20 cm) compared to typical 2D arenas (60 x 60 cm) used in hippocampal spatial studies. Due to the small environment, one possibility is that CA1 neurons encode less spatial information and only a small number of place cells could be found. Therefore, we identified place cells in each sub-session. We found 40.90%, 45.32%, and 41.26% of pyramidal cells to be place cells in the Pre-cooling, Cooling, and Post-cooling sub-sessions, respectively. Furthermore, we found on average 17.36% of pyramidal neurons pass the place cell criteria in all three sub-sessions in a daily session. Therefore, the strong decorrelation of spatial firing maps across sub-sessions cannot be explained by poor recording quality or weak neuronal encoding of spatial information but is potentially due to changes in environmental conditions.

      Some additional points/queries:

      Comment-1: Since the authors managed to induce sleeping on the warm pads during the prolonged stays, can they check their hypothesis that the difference in the mean ripple peak frequency (Fig. 4D) between the home cage and Thermomaze was due to the sleep vs. non-sleep states?

      In response to the reviewer’s comment, we compared the ripple peak frequency that occurred during wakefulness and NREM epochs in the home cage and ThermoMaze (n = 7 sessions in 4 mice). We found that the peak frequency of the awake ripples was higher compared to both home cage and ThermoMaze NREM sleep (one-way ANOVA with Tukey’s posthoc test, ripple frequencies were: 171.63 ± 11.69, 172.21 ± 11.86, 168.19 ± 11.10 and 168.26 ± 11.08 Hz mean±SD for home cage awake, ThermoMaze awake, home cage NREM and ThermoMaze NREM conditions, p < 0.001 between awake and NREM states). We added this quantification to the revised manuscript.

      Author response image 1.

      NREM sleep either in home cage or in ThermoMaze affects ripple mean peak frequency similarly.

      Comment-2: How many cells per mouse were recorded? How many of them were place cells? How many place cells at the same time on average? What are the place field size, peak, and mean firing rate distributions in these various conditions? It would be helpful if they could report this.

      For each animal on a given day, the average number of cells recorded was 57.5, which depended on the electrodes and duration after implantation. We first applied peak firing rate and spatial information thresholds to identify place cells in each sub-session (see more details in the revised Methods section for place cell definition). We found 40.90%, 45.32%, and 41.26% of pyramidal cells to be place cells in the Pre-cooling, Cooling, and Post-cooling sub-sessions respectively. Furthermore, we found on average 17.36% of pyramidal neurons pass the place cell criteria in all three sub-sessions in a daily session.

      For place cells identified in each sub-session, their place fields size is on average 61.03, 79.86, and 57.51 cm2 (standard deviation = 60.13, 69.98, and 49.64 cm2; Pre-cooling, Cooling, and Post-cooling correspondingly). A place field was defined to be a contiguous region of at least 20 cm2 (20 spatial bins) in which the firing rate was above 60% of the peak firing rate of the cell in the maze (Roux and Buzsaki et al., 2017). A place field also needs to contain at least one bin above 80% of the peak firing rate in the maze. With such definition, the average place field peak firing rate is 5.84, 5.22, and 6.48 Hz (standard deviation = 5.11, 4.65, and 5.83 Hz) and the average mean firing rate within the place fields is 4.54, 4.05, and 5.07 Hz (standard deviation = 4.00, 3.60, and 4.60).

      We would like to point out that these values depend strongly on the definition of place fields, which vary widely across studies. We reason that the ThermoMaze paradigm induced place field remapping which has been reported to occur upon changes in the environment such as visual cues (Leutgeb et al., 2009). We hypothesize that temperature gradient is an important aspect among the environmental cues, thus remapping is expected. Overall, we did not aim for biological discoveries in the first presentation of the ThermoMaze. Instead, our limited goal was the detailed description of the method and its validation for behavioral and physiological experiments.

      References

      (1) Mizuseki K, Royer S, Diba K, Buzsáki G. Activity dynamics and behavioral correlates of CA3 and CA1 hippocampal pyramidal neurons. Hippocampus. 2012 Aug;22(8):1659-80. doi: 10.1002/hipo.22002. Epub 2012 Feb 27. PMID: 22367959; PMCID: PMC3718552.

      (2) Skaggs WE,McNaughton BL,Gothard KM,Markus EJ. 1993. An information-theoretic approach to deciphering the hippocampal code. In: SJ Hanson, JD Cowan, CL Giles, editors. Advances in Neural Information Processing Systems, Vol. 5. San Francisco, CA: Morgan Kaufmann. pp 1030–1037.

      (3) Roux L, Hu B, Eichler R, Stark E, Buzsáki G. Sharp wave ripples during learning stabilize the hippocampal spatial map. Nat Neurosci. 2017 Jun;20(6):845-853. doi: 10.1038/nn.4543. Epub 2017 Apr 10. PMID: 28394323; PMCID: PMC5446786.

      (4) Markus, E.J., Barnes, C.A., McNaughton, B.L., Gladden, V.L. & Skaggs, W.E. Spatial information content and reliability of hippocampal CA1 neurons: effects of visual input. Hippocampus 4, 410–421 (1994).

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      We thank the reviewers for the detailed assessment of our work as well as their praise and constructive feedback which helped us to significantly improve our manuscript.

      Reviewer #1 (Public Review):

      The inferior colliculus (IC) is the central auditory system's major hub. It integrates ascending brainstem signals to provide acoustic information to the auditory thalamus. The superficial layers of the IC ("shell" IC regions as defined in the current manuscript) also receive a massive descending projection from the auditory cortex. This auditory cortico-collicular pathway has long fascinated the hearing field, as it may provide a route to funnel "high-level" cortical signals and impart behavioral salience upon an otherwise behaviorally agnostic midbrain circuit.

      Accordingly, IC neurons can respond differently to the same sound depending on whether animals engage in a behavioral task (Ryan and Miller 1977; Ryan et al., 1984; Slee & David, 2015; Saderi et al., 2021; De Franceschi & Barkat, 2021). Many studies also report a rich variety of non-auditory responses in the IC, far beyond the simple acoustic responses one expects to find in a "low-level" region (Sakurai, 1990; Metzger et al., 2006; Porter et al., 2007). A tacit assumption is that the behaviorally relevant activity of IC neurons is inherited from the auditory cortico-collicular pathway. However, this assumption has never been tested, owing to two main limitations of past studies:

      (1) Prior studies could not confirm if data were obtained from IC neurons that receive monosynaptic input from the auditory cortex.

      (2) Many studies have tested how auditory cortical inactivation impacts IC neuron activity; the consequence of cortical silencing is sometimes quite modest. However, all prior inactivation studies were conducted in anesthetized or passively listening animals. These conditions may not fully engage the auditory cortico-collicular pathway. Moreover, the extent of cortical inactivation in prior studies was sometimes ambiguous, which complicates interpreting modest or negative results.

      Here, the authors' goal is to directly test if auditory cortex is necessary for behaviorally relevant activity in IC neurons. They conclude that surprisingly, task relevant activity in cortico-recipient IC neuron persists in absence of auditory cortico-collicular transmission. To this end, a major strength of the paper is that the authors combine a sound-detection behavior with clever approaches that unambiguously overcome the limitations of past studies.

      First, the authors inject a transsynaptic virus into the auditory cortex, thereby expressing a genetically encoded calcium indicator in the auditory cortex's postsynaptic targets in the IC. This powerful approach enables 2-photon Ca2+ imaging from IC neurons that unambiguously receive monosynaptic input from auditory cortex. Thus, any effect of cortical silencing should be maximally observable in this neuronal population. Second, they abrogate auditory cortico-collicular transmission using lesions of auditory cortex. This "sledgehammer" approach is arguably the most direct test of whether cortico-recipient IC neurons will continue to encode task-relevant information in absence of descending feedback. Indeed, their method circumvents the known limitations of more modern optogenetic or chemogenetic silencing, e.g. variable efficacy.

      I also see three weaknesses which limit what we can learn from the authors' hard work, at least in the current form. I want to emphasize that these issues do not reflect any fatal flaw of the approach. Rather, I believe that their datasets likely contain the treasure-trove of knowledge required to completely support their claims.

      (1) The conclusion of this paper requires the following assumption to be true: That the difference in neural activity between Hit and Miss trials reflects "information beyond the physical attributes of sound." The data presentation complicates asserting this assumption. Specifically, they average fluorescence transients of all Hit and all Miss trials in their detection task. Yet, Figure 3B shows that mice's d' depends on sound level, and since this is a detection task the smaller d' at low SPLs presumably reflects lower Hit rates (and thus higher Miss rates). As currently written, it is not clear if fluorescence traces for Hits arise from trials where the sound cue was played at a higher sound level than on Miss trials. Thus, the difference in neural activity on Hit and Miss trials could indeed reflect mice's behavior (licking or not licking). But in principle could also be explained by higher sound-evoked spike rates on Hit compared to Miss trials, simply due to louder click sounds. Indeed, the amplitude and decay tau of their indicator GCaMP6f is non-linearly dependent on the number and rate of spikes (Chen et al., 2013), so this isn't an unreasonable concern.

      (2) The authors' central claim effectively rests upon two analyses in Figures 5 and 6. The spectral clustering algorithm of Figure 5 identifies 10 separate activity patterns in IC neurons of control and lesioned mice; most of these clusters show distinct activity on averaged Hit and Miss trials. They conclude that although the proportions of neurons from control and lesioned mice in certain clusters deviates from an expected 50/50 split, neurons from lesioned mice are still represented in all clusters. A significant issue here is that in addition to averaging all Hits and Miss trials together, the data from control and lesioned mice are lumped for the clustering. There is no direct comparison of neural activity between the two groups, so the reader must rely on interpreting a row of pie charts to assess the conclusion. It's unclear how similar task relevant activity is between control and lesioned mice; we don't even have a ballpark estimate of how auditory cortex does or does not contribute to task relevant activity. Although ideally the authors would have approached this by repeatedly imaging the same IC neurons before and after lesioning auditory cortex, this within-subjects design may be unfeasible if lesions interfere with task retention. Nevertheless, they have recordings from hundreds to thousands of neurons across two groups, so even a small effect should be observable in a between-groups comparison.

      (3) In Figure 6, the authors show that logistic regression models predict whether the trial is a Hit or Miss from their fluorescence data. Classification accuracy peaks rapidly following sound presentation, implying substantial information regarding mice's actions. The authors further show that classification accuracy is reduced, but still above chance in mice with auditory cortical lesions. The authors conclude from this analysis task relevant activity persists in absence of auditory cortex. In principle I do not disagree with their conclusion.

      The weakness here is in the details. First, the reduction in classification accuracy of lesioned mice suggests that auditory cortex does nevertheless transmit some task relevant information, however minor it may be. I feel that as written, their narrative does not adequately highlight this finding. Rather one could argue that their results suggest redundant sources of task-relevant activity converging in the IC. Secondly, the authors conclude that decoding accuracy is impaired more in partially compared to fully lesioned mice. They admit that this conclusion is at face value counterintuitive, and provide compelling mechanistic arguments in the Discussion. However, aside from shaded 95% CIs, we have no estimate of variance in decoding accuracy across sessions or subjects for either control or lesioned mice. Thus we don't know if the small sample sizes of partial (n = 3) and full lesion (n = 4) groups adequately sample from the underlying population. Their result of Figure 6B may reflect spurious sampling from tail ends of the distributions, rather than a true non-monotonic effect of lesion size on task relevant activity in IC.

      Our responses to the ‘recommendations for the authors’ below lay out in detail how we addressed each comment and concern. Besides filling in key information about how our original analysis aimed at minimizing any potential impact of differences in sound level distributions - namely that trials used for decoding were limited to a subset of sound levels - and which was accidentally omitted in the original manuscript, we have now carried out several additional analyses.

      We would like to highlight one of these because it supplements both the clustering and decoding analysis that we conducted to compare hit and miss trial activity, and directly addresses what the reviewer identified as our work’s main weakness (a possible confound between animal behavior and sound level distributions) and the request for an analysis that operates at the level of single units rather than the population level. Specifically, we assessed, separately for each recorded neuron, whether there was a statistically significant difference in the magnitude of neural activity between hit and miss trials. This approach allowed us to fully balance the numbers of hit and miss trials at each sound level that were entered into the analysis. The results revealed that a large proportion (close to 50%) of units were task modulated, i.e. had significantly different response magnitudes between hit and miss trials, and that this proportion was not significantly different between lesioned and non-lesioned mice. We hope that this, together with the rest of our responses, convincingly demonstrates that the shell of the IC encodes mouse sound detection behavior even when top-down input from the auditory cortex is absent.

      Reviewer #2 (Public Review):

      Summary:

      This study takes a new approach to studying the role of corticofugal projections from auditory cortex to inferior colliculus. The authors performed two-photon imaging of cortico-recipient IC neurons during a click detection task in mice with and without lesions of auditory cortex. In both groups of animals, they observed similar task performance and relatively small differences in the encoding of task-response variables in the IC population. They conclude that non-cortical inputs to the IC provide can substantial task-related modulation, at least when AC is absent. Strengths:

      This study provides valuable new insight into big and challenging questions around top-down modulation of activity in the IC. The approach here is novel and appears to have been executed thoughtfully. Thus, it should be of interest to the community.

      Weaknesses: There are, however, substantial concerns about the interpretation of the findings and limitations to the current analysis. In particular, Analysis of single unit activity is absent, making interpretation of population clusters and decoding less interpretable. These concerns should be addressed to make sure that the results can be interpreted clearly in an active field that already contains a number of confusing and possibly contradictory findings.

      Our responses to the ‘recommendations for the authors’ below lay out in detail how we addressed each comment and concern. Several additional analyses have now been carried out including ones that operate at the level of single units rather than the population level, as requested by the reviewer. We would like to briefly highlight one here because it supplements both the clustering and decoding analysis that we conducted to compare hit and miss trial activity and directly addresses what the other reviewers identified as our work’s main weakness (a possible confound between animal behavior and sound level distributions). Specifically, we assessed, separately for each recorded neuron, whether there was a statistically significant difference in the magnitude of neural activity between hit and miss trials. This approach allowed us to fully balance the numbers of hit and miss trials at each sound level that were entered into the analysis. The results revealed that a large proportion (close to 50%) of units were task modulated, i.e. had significantly different response magnitudes between hit and miss trials, and that this proportion was not significantly different between lesioned and non-lesioned mice. We hope that this, together with the rest of our responses, convincingly demonstrates that the shell of the IC encodes mouse sound detection behavior even when top-down input from the auditory cortex is absent.

      Reviewer #3 (Public Review):

      Summary:

      This study aims to demonstrate that cortical feedback is not necessary to signal behavioral outcome to shell neurons of the inferior colliculus during a sound detection task. The demonstration is achieved by the observation of the activity of cortico-recipient neurons in animals which have received lesions of the auditory cortex. The experiment shows that neither behavior performance nor neuronal responses are significantly impacted by cortical lesions except for the case of partial lesions which seem to have a disruptive effect on behavioral outcome signaling. Strengths:

      The experimental procedure is based on state of the art methods. There is an in depth discussion of the different effects of auditory cortical lesions on sound detection behavior. Weaknesses:

      The analysis is not documented enough to be correctly evaluated. Have the authors pooled together trials with different sound levels for the key hit vs miss decoding/clustering analysis? If so, the conclusions are not well supported, as there are more misses for low sound levels, which would completely bias the outcome of the analysis. It would possible that the classification of hit versus misses actually only reflects a decoding of sound level based on sensory responses in the colliculus, and it would not be surprising then that in the presence or absence of cortical feedback, some neurons responds more to higher sound levels (hits) and less to lower sound levels (misses). It is important that the authors clarify and in any case perform an analysis in which the classification of hits vs misses is done only for the same sound levels. The description of feedback signals could be more detailed although it is difficult to achieve good temporal resolution with the calcium imaging technique necessary for targeting cortico-recipient neurons.

      Our responses to the ‘recommendations for the authors’ below lay out in detail how we addressed each comment and concern. Besides filling in key information about how our original analysis aimed at minimizing any potential impact of differences in sound level distributions - namely that trials used for decoding were limited to a subset of sound levels - and which was accidentally omitted in the original manuscript, we have now carried out several additional analyses to directly address what the reviewer identified as our work’s main weakness (a possible confound between animal behavior and sound level distributions). This includes an analysis in which we were able to demonstrate for one imaging session with a sufficiently large number of trials that limiting the trials entered into the decoding analysis to those from a single sound level did not meaningfully impact decoding accuracy. We would like to highlight another new analysis here because it supplements both the clustering and decoding analyses that we conducted to compare hit and miss trial activity and addresses the other reviewers’ request for an analysis that operates at the level of single units rather than the population level. Specifically, we assessed, separately for each recorded neuron, whether there was a statistically significant difference in the magnitude of neural activity between hit and miss trials. This approach allowed us to fully balance the numbers of hit and miss trials at each sound level that were entered into the analysis. The results revealed that a large proportion (close to 50%) of units were task modulated, i.e. had significantly different response magnitudes between hit and miss trials, and that this proportion was not significantly different between lesioned and non-lesioned mice. We hope that this, together with the rest of our responses, convincingly demonstrates that the shell of the IC encodes mouse sound detection behavior even when top-down input from the auditory cortex is absent.

      Reviewer #1 (Recommendations For The Authors):

      Thank you for the opportunity to read your paper. I think the conclusion is exciting. Indeed, you indicate that perhaps contrary to many of our (untested) assumptions, task-relevant activity in the IC may persist in absence of auditory cortex.

      As mentioned in my public review: Despite my interest in the work, I also think that there are several opportunities to significantly strengthen your conclusions. I feel this point is important because your work will likely guide the efforts of future students and post-docs working on this topic. The data can serve as a beacon to move the field away from the (somewhat naïve) idea that the evolved forebrain imparts behavioral relevance upon an otherwise uncivilized midbrain. This knowledge will inspire a search for alternative explanations. Indeed, although you don't highlight it in your narrative, your results dovetail nicely with several studies showing task-relevant activity in more ventral midbrain areas that project to the IC (e.g., pedunculopontine nuclei; see work from Hikosaka in monkeys, and more recently in mice from Karel Svoboda's lab).

      Thanks for the kind words.

      These studies, in particular the work by Inagaki et al. (2022) outlining how the transformation of an auditory go signal into movement could be mediated via a circuit involving the PPN/MRN (which might rely on the NLL for auditory input) and the motor thalamus, are indeed highly relevant.

      We made the following changes to the manuscript text.

      Line 472:”...or that the auditory midbrain, thalamus and cortex are bypassed entirely if simple acousticomotor transformations, such as licking a spout in response to a sound, are handled by circuits linking the auditory brainstem and motor thalamus via pedunculopontine and midbrain reticular nuclei (Inagaki et al., 2022).”

      The beauty of the eLife experiment is that you are free to incorporate or ignore these suggestions. After all, it's your paper, not mine. Nevertheless, I hope you find my comments useful.<br /> First, a few suggestions to address my three comments in the public review.

      Suggestion for public comment #1: An easy way to address this issue is to average the neural activity separately for each trial outcome at each sound level. That way you can measure if fluorescence amplitude (or integral) varies as a function of mice's action rather than sound level. This approach to data organization would also open the door to the additional analyses for addressing comment #2, such as directly comparing auditory and putatively non-auditory activity in neurons recorded from control and lesioned mice.

      We have carried out additional analyses for distinguishing between the two alternative explanations of the data put forward by the reviewer: That the difference in neural activity between hit and miss trials reflects a) behavior or b) sound level (more precisely: differences in response magnitude arising from a higher proportion of high-sound-level trials in the hit trial group than in the miss trial group). If the data favored b), we would expect no difference in activity between hit and miss trials when plotted separately for each sound level. The new Figure 4 - figure supplement 1 indicates that this is not the case. Hit and miss trial activity are clearly distinct even when plotted separately for different sound levels, confirming that this difference in activity reflects the animals’ behavior rather than sensory information.

      Changes to manuscript.

      Line 214: “While averaging across all neurons cannot capture the diversity of responses, the averaged response profiles suggest that it is mostly trial outcome rather than the acoustic stimulus and neuronal sensitivity to sound level that shapes those responses (Figure 4 – figure supplement 1).”

      Additionally, we assessed for each neuron separately whether there was a significant difference between hit and miss trial activity and therefore whether the activity of the neuron could be considered “task-modulated”. To achieve this, we used equal numbers of hit and miss trials at each sound level to ensure balanced sound level distributions and thus rule out any potential confound between sound level distributions and trial outcome. This analysis revealed that the proportion of task-modulated neurons was very high (close to 50%) and not significantly different between lesioned and non-lesioned mice (Figure 6 - figure supplement 3).

      Changes to the manuscript.

      Line 217: “Indeed, close to half (1272 / 2649) of all neurons showed a statistically significant difference in response magnitude between hit and miss trials…”

      Line 307: “Although the proportion of individual neurons with distinct response magnitudes in hit and miss trials in lesioned mice did not differ from that in non-lesioned mice, it was significantly lower when separating out mice with partial lesions (Figure 6 – figure supplement 3).”

      Differences in the distributions of sound levels in the different trial types could also potentially confound the decoding into hit and miss trials. Our original analysis was actually designed to take this into account but, unfortunately, we failed to include sufficient details in the methods section.

      Changes to the manuscript.

      Line 710: “Rather than including all the trials in a given session, only trials of intermediate difficulty were used for the decoding analysis. More specifically, we only included trials across five sound levels, comprising the lowest sound level that exceeded a d’ of 1.5 plus the two sound levels below and above that level. That ensured that differences in sound level distributions would be small, while still giving us a sufficient number of trials to perform the decoding analysis.“

      In this context, it is worth bearing in mind that a) the decoding analysis was done on a frame-byframe basis, meaning that the decoding score achieved early in the trial has no impact on the decoding score at later time points in the trial, b) sound-driven activity predominantly occurs immediately after stimulus onset and is largely over about 1 s into the trial (see cluster 3, for instance, or average miss trial activity in Figure 4 – figure supplement 1), c) decoding performance of the behavioral outcome starts to plateau 500-1000 ms into the trial and remains high until it very gradually begins to decline after about 2 s into the trial. In other words, decoding performance remains high far longer than the stimulus would be expected to have an impact on the neurons’ activity. Therefore, we would expect any residual bias due to differences in the sound level distribution that our approach did not control for to be restricted to the very beginning of the trial and not to meaningfully impact the conclusions derived from the decoding analysis.

      Finally, we carried out an additional decoding analysis for one imaging session in which we had a sufficient number of trials to perform the analysis not only over the five (59, 62, 65, 68, 71 dB SPL) original sound levels, but also over a reduced range of three (62, 65, 68 dB SPL) sound levels, as well as a single (65 dB SPL) sound level (Figure 6 - figure supplement 1). The mean sound level differences between the hit trial distributions and miss trial distributions for these three conditions were 3.08, 1.01 and 0 dB, respectively. This analysis suggests that decoding performance is not meaningfully impacted by changing the range of sound levels (and sound level distributions), other than that including fewer sound levels means fewer trials and thus noisier decoding.

      Changes to manuscript.

      Line 287: ”...and was not meaningfully affected by differences in sound level distributions between hit and miss trials (Figure 6 – figure supplement 1).”

      Suggestion for public comment #2: Perhaps a solution would be to display example neuron activity in each cluster, recorded in control and lesioned mice. The reader could then visually compare example data from the two groups, and immediately grasp the conclusion that task relevant activity remains in absence of auditory cortex. Additionally, one possibility might be to calculate the difference in neural activity between Hit and Miss trials for each task-modulated neuron. Then, you could compare these values for neurons recorded in control and lesion mice. I feel like this information would greatly add to our understanding of cortico-collicular processing.

      I would also argue that it's perhaps more informative to show one (or a few) example recordings rather than averaging across all cells in a cluster. Example cells would give the reader a better handle on the quality of the imaging, and this approach is more standard in the field. Finally, it would be useful to show the y axis calibration for each example trace (e.g. Figure 5 supp 1). That is also pretty standard so we can immediately grasp the magnitude of the recorded signal.

      We agree that while the information we provided shows that neurons from lesioned and nonlesioned groups are roughly equally represented across the clusters, it does not allow the reader to appreciate how similar the activity profiles of neurons are from each of the two groups. However, picking examples can be highly subjective and thus potentially open to bias. We therefore opted instead to display, separately for lesioned and non-lesioned mice, the peristimulus time histograms of all neurons in each cluster, as well as the cluster averages of the response profiles (Figure 5 - figure supplement 3). This, we believe, convincingly illustrates the close correspondence between neural activity in lesioned and non-lesioned mice across different clusters. All our existing and new figures indicate the response magnitude either on the figures’ y-axis or via scale/color bars.

      Changes to manuscript.

      Line 254: “Furthermore, there was a close correspondence between the cluster averages of lesioned and non-lesioned mice (Figure 5 – figure supplement 3).”

      Furthermore, we’ve now included a video of the imaging data which, we believe, gives the reader a much better handle on the data quality than further example response profiles would.

      Changes to manuscript.

      Line 197: ”...using two-photon microscopy (Figure 4B, Video 1).”

      Suggestion for public comment #3: In absence of laborious and costly follow-up experiments to boost the sample size of partial and complete lesion groups, it may be more prudent to simply tone down the claims that lesion size differentially impacts decoding accuracy. The results of this analysis are not necessary for your main claims.

      Our new results on the proportions of ‘task-modulated’ neurons (Figure 6 - figure supplement 3) across different experimental groups show that there is no difference between non-lesioned and lesioned mice as a whole, but mice with partial lesions have a smaller proportion of taskmodulated neurons than the other two groups. While this corroborates the results of the decoding analysis, we certainly agree that the small sample size is a caveat that needs to be acknowledged.

      Changes to manuscript.

      Line 477: ”Some differences were observed for mice with only partial lesions of the auditory cortex.

      Those mice had a lower proportion of neurons with distinct response magnitudes in hit and miss trials than mice with (near-)complete lesions. Furthermore, trial outcomes could be read out with lower accuracy from these mice. While this finding is somewhat counterintuitive and is based on only three mice with partial lesions, it has been observed before that smaller lesions…”

      A few more suggestions unrelated to public review:

      Figure 1: This is somewhat of an oddball in this manuscript, and its inclusion is not necessary for the main point. Indeed, the major conclusion of Fig 1 is that acute silencing of auditory cortex impairs task performance, and thus optogenetic methods are not suitable to test your hypothesis. However, this conclusion is also easily supported from decades of prior work, and thus citations might suffice.

      We do not agree that these data can easily be substituted with citations of prior published work. While previous studies (Talwar et al., 2001, Li et al., 2017) have demonstrated the impact of acute pharmacological silencing on sound detection in rodents, pharmacological and optogenetic silencing are not equivalent. Furthermore, we are aware of only one published study (Kato et al., 2015) that investigated the impact of optogenetically perturbing auditory cortex on sound detection (others have investigated its impact on discrimination tasks). Kato et al. (2015) examined the effect of acute optogenetic silencing of auditory cortex on the ability of mice to detect the offsets of very long (5-9 seconds) sounds, which is not easily comparable to the click detection task employed by us. Furthermore, when presenting our work at a recent meeting and leaving out the optogenetics results due to time constraints, audience members immediately enquired whether we had tried an optogenetic manipulation instead of lesions. Therefore, we believe that these data represent a valuable piece of information that will be appreciated by many readers and have decided not to remove them from the manuscript.

      A worst case scenario is that Figure 1 will detract from the reader's assessment of experimental rigor. The data of 1C are pooled from multiple sessions in three mice. It is not clear if the signed-rank test compares performance across n = 3 mice or n = 13 sessions. If the latter, a stats nitpicker could argue that the significance might not hold up with a nested analysis considering that some datapoints are not independent of one another. Finally, the experiment does not include a control group, gad2-cre mice injected with a EYFP virus. So as presented, the data are equally compatible with the pessimistic conclusion that shining light into the brain impairs mice's licking. My suggestion is to simply remove Figure 1 from the paper. Starting off with Figure 3 would be stronger, as the rest of the study hinges upon the knowledge that control and lesion mice's behavior is similar.

      Instead of reporting the results session-wise and doing stats on the d’ values, we now report results per mouse and perform stats on the proportions of hits and false alarms separately for each mouse. The results are statistically significant for each mouse and suggest that the differences in d’ are primarily caused by higher false alarm rates during the optogenetic perturbation than in the control condition.

      Changes to manuscript.

      New Figure 1.

      We agree that including control mice not expressing ChR2 would be important for fully characterizing the optogenetic manipulation and that the lack of this control group should be acknowledged. However, in the context of this study, the outcome of performing this additional experiment would be inconsequential. We originally considered using an optogenetic approach to explore the contribution of cortical activity to IC responses, but found that this altered the animals’ sound detection behavior. Whether that change in behavior is due to activation of the opsin or simply due to light being shone on the brain has no bearing on the conclusion that this type of manipulation is unsuitable for determining whether auditory cortex is required for the choice-related activity that we recorded in the IC.

      Changes to manuscript.

      Line 106: ”Although a control group in which the auditory cortex was injected with an EYFP virus lacking ChR2 would be required to confirm that the altered behavior results from an opsindependent perturbation of cortical activity, this result shows that this manipulation is also unsuitable… ”

      Figure 2, comment #1: The micrograph of panel B shows the densest fluorescence in the central IC. You interpret this as evidence of retrograde labeling of central IC neurons that project to the shell IC. This is a nice finding, but perhaps a more relevant micrograph would be to show the actual injection site in the shell layers. The rest of Figure 2 documents the non-auditory cortical sources of forebrain feedback. Since non-auditory cortical neurons may or may not target distinct shell IC sub-circuits, it's important to know where the retrograde virus was injected. Stylistic comment: The flow of the panels is somewhat unorthodox. Panel A and B follow horizontally, then C and D follow vertically, followed by E-H in a separate column. Consider sequencing either horizontally or vertically to maximize the reader's experience.

      Figure 2, comment # 2: It would also be useful to show more rostral sections from these mice, perhaps as a figure supplement, if you have the data. I think there is a lot of value here given a recent paper (Olthof et al., 2019 Jneuro) arguing that the IC receives corticofugal input from areas more rostral to the auditory cortex. So it would be beneficial for the field to know if these other cortical sources do or do not represent likely candidates for behavioral modulation in absence of auditory cortex.

      Figure 2, comment #3: You have a striking cluster of retrogradely labeled PPC neurons, and I'm not sure PPC has been consistently reported as targeting the IC. It would be good to confirm that this is a "true" IC projection as opposed to viral leakage into the SC. Indeed, Figure 2, supplement 2 also shows some visual cortex neurons that are retrogradely labeled. This has bearing on the interpretations, because choice-related activity is rampant in PPC, and thus could be a potential source of the task relevant activity that persists in your recordings. This could be addressed as the point above, by showing the SC sections from these same mice.

      All IC injections were made under visual guidance with the surface of the IC and adjacent brain areas fully exposed after removal of the imaging window. Targeting the IC and steering clear of surrounding structures, including the SC, was therefore relatively straightforward.

      We typically observed strong retrograde labeling in the central nucleus after viral injections into the dorsal IC and, given the moderate injection volume (~50 nL at each of up to three sites), it was also typical to see spatially fairly confined labeling at the injection sites. For the mouse shown in Figure 2, we do not have further images of the IC. This was one of the earliest mice to be included in the study and we did not have access to an automatic slide scanner at the time. We had to acquire confocal images in a ‘manual’ and very time-consuming manner and therefore did not take further IC images for this mouse. We have now included, however, a set of images spanning the whole IC and the adjacent SC sections for the mouse for which we already show sections in Figure 2 - figure supplement 2. These were added as Figure 2 - figure supplement 3A to the manuscript. These images show that the injections were located in the caudal half of the IC and that there was no spillover into the SC - close inspection of those sections did not reveal any labeled cell bodies in the SC. Furthermore, we include as Figure 2 - figure supplement 3B a dozen additional rostral cortical sections of the same mouse illustrating corticocollicular neurons in regions spanning visual, parietal, somatosensory and motor cortex. Given the inclusion of the IC micrographs in the new supplementary figure, we removed panel B from Figure 2. This should also make it easier for the reader to follow the sequencing of the remaining panels.

      Changes to manuscript.

      New Figure 2 - figure supplement 3.

      Line 159: “After the experiments, we injected a retrogradely-transported viral tracer (rAAV2-retrotdTomato) into the right IC to determine whether any corticocollicular neurons remained after the auditory cortex lesions (Figure 2, Figure 2 – figure supplement 2, Figure 2 – figure supplement 3). The presence of retrogradely-labeled corticocollicular neurons in non-temporal cortical areas (Figure 2) was not the result of viral leakage from the dorsal IC injection sites into the superior colliculus (Figure 2 – figure supplement 3).”

      Line 495: “...projections to the IC, such as those originating from somatosensory cortical areas (Lohse et al., 2021; Lesicko et al., 2016) and parietal cortex may have contributed to the response profiles that we observed.

      Figure 5 (see also public review point #2): I am not convinced that this unsupervised method yields particularly meaningful clusters; a grain of salt should be provided to the reader. For example, Clusters 2, 5, 6, and 7 contain neurons that pretty clearly respond with either short latency excitation or inhibition following the click sound on Hits. I would argue that neurons with such diametrically opposite responses should not be "classified" together. You can see the same issue in some of Namboodiri/Stuber's clustering (their Figure 1). It might be useful to make it clear to the reader that these clusters can reflect idiosyncrasies of the algorithm, the behavior task structure, or both.

      We agree.

      Changes to manuscript.

      Line 666: “While clustering is a useful approach for organizing and visualizing the activity of large and heterogeneous populations of neurons, we need to be mindful that, given continuous distributions of response properties, the locations of cluster boundaries can be somewhat arbitrary and/or reflect idiosyncrasies of the chosen method and thus vary from one algorithm to another. We employed an approach very similar to that described in Namboodiri et al. (2019) because it is thought to produce stable results in high-dimensional neural data (Hirokawa et al. 2019).”

      Methods:

      How was a "false alarm" defined? Is it any lick happening during the entire catch trial, or only during the time period corresponding to the response window on stimulus trials?

      The response window was identical for catch and stimulus trials and a false alarm was defined as licking during the response window of a catch trial.

      Changes to manuscript.

      Line 598: “During catch trials, neither licking (‘false alarm’) during the 1.5-second response window …”

      L597 and so forth: What's the denominator in the conversion from the raw fluorescence traces into DF/F? Did you take the median or mode fluorescence across a chunk of time? Baseline subtract average fluorescence prior to click onset? Similarly, please provide some more clarification as to how neuropil subtraction was achieved. This information will help us understand how the classifier can decode trial outcome from data prior to sound onset.

      Signal processing did not involve the subtraction of a pre-stimulus period.

      Changes to manuscript.

      Line 629: ”Neuropil extraction was performed using default suite2p parameters (https://suite2p.readthedocs.io/en/latest/settings.html), neuropil correction was done using a coefficient of 0.7, and calcium ΔF/F signals were obtained by using the median over the entire fluorescence trace as F0. To remove slow fluctuations in the signal, a baseline of each neuron’s entire trace was calculated by Gaussian filtering in addition to minimum and maximum filtering using default suite2p parameters. This baseline was then subtracted from the signal.”

      Was the experimenter blinded to the treatment group during the behavior experiments? If not, were there issues that precluded blinding (limited staffing owing to lab capacity restrictions during the pandemic)? This is important to clarify for the sake of rigor and reproducibility.

      Changes to manuscript.

      Line 574: “The experimenters were not blinded to the treatment group, i.e. lesioned or non-lesioned, but they were blind to the lesion size both during the behavior experiments and most of the data processing.”

      Minor:

      L127-128: "In order to test...lesioned the auditory cortex bilaterally in 7 out of 16 animals". I would clarify this by changing the word animals to "mice" and 7 out of 16 by stating n = 9 and n = 7 are control and lesion groups, respectively.

      Agreed.

      Changes to manuscript.

      Line 129: “...compared the performance of mice with bilateral lesions of the auditory cortex (n = 7) with non-lesioned controls (n = 9)”

      L225-226: You rule out self-generated sounds as a likely source of behavioral modulation by citing Nate Sawtell's paper in the DCN. However, Stephen David's lab suggested that in marmosets, post sound activity in central IC may in fact reflect self-generated sounds during licking. I suggest addressing this with a nod to SVD's work (Singla et al., 2017; but see Shaheen et al., 2021).

      Agreed.

      Changes to manuscript.

      Line 243: “(Singla et al., 2017; but see Shaheen et al., 2021)”

      Line 238 - 239: You state that proportions only deviate greater than 10% for one of the four statistically significant clusters. Something must be unclear here because I don't understand: The delta between the groups in the significant clusters of Fig 5C is (from left to right) 20%, 20%, 38%, and 12%. Please clarify.

      Our wording was meant to convey that a deviation “from a 50/50 split” of 10% means that each side deviates from 50 by 10% resulting in a 40/60 (or 60/40) split. We agree that that has the potential to confuse readers and is not as clear as it could be and have therefore dropped the ambiguous wording.

      Changes to manuscript.

      Line 253: ”,..the difference between the groups was greater than 20% for only one of them.”

      L445: I looked at the cited Allen experiment; I'd be cautious with the interpretation here. A monosynaptic IC->striatum projection is news to me. I think Allen Institute used an AAV1-EGFP virus for these experiments, no? As you know, AAV1 is quite transsynaptic. The labeled fibers in striatum of that experiment may reflect disynaptic labeling of MGB neurons (which do project to striatum).

      Agreed. We deleted the reference to this Allen experiment.

      L650: Please define "network activity". Is this the fluorescence value for each ROI on each frame of each trial? Averaged fluorescence of each ROI per frame? Total frame fluorescence including neuropil? Depending on who you ask, each of these measures provides some meaningful readout of network activity, so clarification would be useful.

      Changes to manuscript.

      Line 707: “Logistic regression models were trained on the network activity of each session, i.e., the ΔF/F values of all ROIs in each session, to classify hit vs miss trials. This was done on a frame-by-frame basis, meaning that each time point (frame) of each session was trained separately.

      Figure 3 narrative or legend: Listing the F values for the anova would be useful. There is pretty clearly a main effect of training session for hits, but what about for the false alarms? That information is important to solidify the result, and would help more specialized readers interpret the d-prime plot in this figure.

      Agreed. There were significant main effects of training day for both hit rates and false alarm rates (as well as d’).

      Changes to manuscript.

      Line 165: “The ability of the mice to learn and perform the click detection task was evident in increasing hit rates and decreasing false alarm rates across training days (Figure 3A, p < 0.01, mixed-design ANOVAs).”

      In summary, thank you for undertaking this work. Your conclusions are provocative, and thus will likely influence the field's direction for years to come.

      Thank you for those kind words and valuable and constructive feedback, which has certainly improved the manuscript.

      Reviewer #2 (Recommendations For The Authors):

      MAJOR CONCERNS

      (1) (Fig. 5) What fraction of individual neurons actually encode task-related information in each animal group? How many neurons respond to sound? The clustering and decoding analyses are interesting, but they obscure these simple questions, which get more directly at the main questions of the study. Suggested approach: For a direct comparison of AC-lesioned and -non-lesioned animals, why not simply compare the mean difference between PSTH response for each neuron individually? To test for trial outcome effects, compare Hit and Miss trials (same stimulus, different behavior) and for sound response effects, compare Hit and False alarm trials (same behavior, different response). How do you align for time in the latter case when there's no stimulus? Align to the first lick event. The authors should include this analysis or explain why their approach of jumping right to analysis of clusters is justified.

      We have now calculated the fraction of neurons that encode trial outcome by comparing hit and miss trial activity. That fraction does not differ between non-lesioned animals and lesioned animals as a whole, but is significantly smaller in mice with partial lesions. The author’s suggestion of comparing hit and false alarm trial activity to assess sound responsiveness is problematic because hit trials involve reward delivery and consumption. Consequently, they are behaviorally very different from false alarm trials (not least because hit trials tend to contain much more licking). Therefore, we calculated the fraction of neurons that respond to the acoustic stimulus by comparing activity before and after stimulus onset in miss trials. We found no significant difference between the non-lesioned and lesioned mice or between subgroups.

      We have addressed these points with the following changes to the manuscript:

      Line 217: “Indeed, close to half (1272 / 2649) of all neurons showed a statistically significant difference in response magnitude between hit and miss trials, while only a small fraction (97 / 2649) exhibited a significant response to the sound.”

      Line 307: “Although the proportion of individual neurons with distinct response magnitudes in hit and miss trials in lesioned mice did not differ from that in non-lesioned mice, it was significantly lower when separating out mice with partial lesions (Figure 6 – figure supplement 3).”

      Line 648: “Analysis of task-modulated and sound-driven neurons. To identify individual neurons that produced significantly different response magnitudes in hit and miss trials, we calculated the mean activity for each stimulus trial by taking the mean activity over the 5 seconds following stimulus presentation and subtracting the mean activity over the 2 seconds preceding the stimulus during that same trial. A Mann-Whitney U test was then performed to assess whether a neuron showed a statistically significant difference (Benjamini-Hochberg adjusted p-value of 0.05) in response magnitude between hit and miss trials. The analysis was performed using equal numbers of hit and miss trials at each sound level to ensure balanced sound level distributions. If, for a given sound level, there were more hit than miss trials, we randomly selected a sample of hit trials (without substitution) to match the sample size for the miss trials and vice versa. Sounddriven neurons were identified by comparing the mean miss trial activity before and after stimulus presentation. Specifically, we performed a Mann-Whitney U test to assess whether there was a statistically significant difference (Benjamini-Hochberg adjusted p-value of 0.05) between the mean activity over the 2 seconds preceding the stimulus and the mean activity over the 1 second period following stimulus presentation.”

      Some more specific concerns about focusing only on cluster-level and population decoding analysis are included below.

      (2) (L 234) "larger field of view". Do task-related or lesion-dependent effects depend on the subregion of IC imaged? Some anatomists would argue that the IC shell is not a uniform structure, and concomitantly, task-related effects may differ between fields. Did coverage of IC subregions differ between experimental groups? Is there any difference in task related effects between subregions of IC? Or maybe all this work was carried out only in the dorsal area? The differences between lesioned and non-lesioned animals are relatively small, so this may not have a huge impact, but a more nuanced discussion that accounts for observed or potential (if not tested) differences between regions of the IC.

      The specific subregion coverage could also impact the decoding analysis (Fig 6), and if possible it might be worth considering an interaction between field of view and lesion size on decoding.

      Each day we chose a new imaging location to avoid recording the same neurons more than once and aimed to sample widely across the optically accessible surface of the IC. We typically stopped the experiment only when there were no more new areas to record from. In terms of the depth of the imaged neurons, we were limited by the fact that corticorecipient neurons become sparser with depth and that the signal available from the GCaMP6f labeling of the Ai95 mice becomes rapidly weaker with increasing distance from the surface. This meant that we recorded no deeper than 150 µm from the surface of the IC. Consequently, while there may have been some variability in the average rostrocaudal and mediolateral positioning of imaging locations from animal to animal due to differences between mice in how much of the IC surface was visible, cranial window positioning, and in neuronal labeling etc, our dataset is anatomically uniform in that all recorded neurons receive input from the auditory cortex and are located within 150 µm of the surface of the IC. Therefore, we think it highly unlikely that small sampling differences across animals could have a meaningful impact on the results.

      Given that there is no consensus as to where the border between the dorsal and external/lateral cortices of the IC is located and that it is typically difficult to find reliable anatomical reference points (the location of the borders between the IC and surrounding structures is not always obvious during imaging, i.e. a transition from a labeled area to a dark area near the edge of the cranial window could indicate a border with another structure, but also the IC surface sloping away from the window or simply an unlabeled area within the IC), we made no attempt to assign our recordings from corticorecipient neurons to specific subdivisions of the IC.

      Changes to manuscript.

      Line 195: “We then proceeded to record the activity of corticorecipient neurons within about 150 µm of the dorsal surface of the IC using two-photon microscopy (Figure 4B, Video 1).”

      Line 375: “We imaged across the optically accessible dorsal surface of the IC down to a depth of about 150 µm below the surface. Consequently, the neurons we recorded were located predominantly in the dorsal cortex. However, identifying the borders between different subdivisions of the IC is not straightforward and we cannot rule out the possibility that some were located in the lateral cortex.”

      (3) (L 482-483) "auditory cortex is not required for the task-related activity recording in IC neurons of mice performing a sound detection task". Most places in the text are clearer, but this statement is confusing. Yes, animals with lesions can have a "normal"-looking IC, but does that mean that AC does not strongly modulate IC during this behavior in normal animals? The authors have shown convincingly that subcortical areas can both shape behavior and modulate IC normally, but AC may still be required for IC modulation in non-lesioned animals. Given the complexity of this system, the authors should make sure they summarize their results consistently and clearly throughout the manuscript.

      The reviewer raises an important point. What we have shown is that corticorecipient dorsal IC neurons in mice without auditory cortex show neural activity during a sound detection task that is largely indistinguishable from the activity of mice with an intact auditory cortex. In lesioned mice, the auditory cortex is thus not required. Whether the IC activity of the non-lesioned group can be shaped by input from the auditory cortex in a meaningful way in other contexts, such as during learning, is a question that our data cannot answer.

      Changes to manuscript.

      Line 508: "While modulation of IC activity by this descending projection has been implicated in various functions, most notably in the plasticity of auditory processing, we have shown in mice performing a sound detection task that IC neurons show task-related activity in the absence of auditory cortical input."

      LESSER CONCERNS

      (L. 106-107) "Optogenetic suppression of cortical activity is thus also unsuitable..." It appears that behavior is not completely abolished by the suppression. One could also imagine using a lower dose of muscimol for partial inactivation of AC feedback. When some behavior persists, it does seem possible to measure task-related changes in the IC. This may not be necessary for the current study, but the authors should consider how these transient methods could be applied usefully in the Discussion. What about inactivation of cortical terminals in the IC? Is that feasible?

      Our argument is not that acute manipulations are unsuitable because they completely abolish the behavior, but because they significantly alter the behavior. Although it would not be trivial to precisely measure the extent of pharmacological cortical silencing in behaving mice that have been fitted with a midbrain window, it should be possible to titrate the size of a muscimol injection to achieve partial silencing of the auditory cortex that does not fully abolish the ability to detect sounds. However, such an outcome would likely render the data uninterpretable. If no effect on IC activity was observed, it would not be possible to conclude whether this was due to the fact that the auditory cortex was only partially silenced or that projections from the auditory cortex have no influence on the recorded IC activity. Similarly, if IC activity was altered, it would not be possible to say whether this was due to altered descending modulation resulting from the (partially) silenced auditory cortex or to the change in behavior, which would likely be reflected in the choice-related activity measured in the IC.

      Silencing of corticocollicular axons in the IC is potentially a more promising approach and we did devote a considerable amount of time and effort to establishing a method that would allow us to simultaneously image IC neurons while silencing corticocollicular axons, trying both eNpHR3.0 and Jaws with different viral labeling approaches and mouse lines. However, we ultimately abandoned those attempts because we were not convinced that we had achieved sufficient silencing or that we would be able to convincingly verify this. Furthermore, axonal silencing comes with its own pitfalls and the interpretation of its consequences is not straightforward. Given that our discussion already contains a section (line 421) on axonal silencing, we do not feel there would be any benefit in adding to that.

      (Figure 1). Can the authors break down the performance for FA and HR, as they do in Fig. 3? It would be helpful to know what aspect of behavior is impaired by the transient inactivation.

      Good point. Figure 1 has been updated to show the results separately for hit rates, false alarms and d’. The new figure indicates that the change in d’ is primarily a consequence of altered false alarm rates. Please also see our response to a related comment by reviewer #1.

      Changes to manuscript.

      New figure 1.

      (Figure 4 legend). Minor: Please clarify, what is time 0 in panel C? Time of click presentation?

      Yes, that is correct.

      Changes to manuscript.

      Line 209: ”Vertical line at time 0 s indicates time of click presentation.”

      (L. 228-229). There has been a report of lick and other motor related activity in the IC - e.g., see Shaheen, Slee et al. (J Neurosci 2021), the timing of which suggests that some of it may be acoustically driven.

      Thanks for pointing this out. Shaheen et al., 2021 should certainly have been cited by us in this context as well as in other parts of the manuscript.

      Changes to manuscript.

      Line 243: “(Singla et al., 2017; but see Shaheen et al., 2021)”

      Also, have the authors considered measuring a peri-lick response? The difference between hit and miss trials could be perceptual or it could reflect differences in motor activity. This may be hard to tease apart, but, for example, one can test whether activity is stronger on trials with many licks vs. few licks?

      (L. 261) "Behavior can be decoded..." similar or alternative to the previous question of evoked activity, can you decode lick events from the population activity?

      The difference between hit and miss trial activity almost certainly partially reflects motor activity associated with licking. This was stated in the Discussion, but to make that point more explicitly, we now include a plot of average false alarm trial activity, i.e. trials without sound (catch trials) in which animals licked (but did not receive a reward).

      Given a sufficient number of catch trials, it should be possible to decode false alarm and correct rejection trials. However, our experiment was not designed with that in mind and contains a much smaller number of catch trials than stimulus trials (approximately one tenth the number of stimulus trials), so we have not attempted this.

      Changes to manuscript.

      New Figure 4 - figure supplement 1.

      (L. 315) "Pre-stimulus activity..." Given reports of changes in activity related to pupil-indexed arousal in the auditory system, do the authors by any chance have information about pupil size in these datasets?

      Given that all recordings were performed in the dark, fluctuations in pupil diameter were relatively small. Therefore, we have not made any attempt to relate pupil diameter to any of the variables assessed in this manuscript.

      (L. 412) "abolishes sound detection". While not exactly the same task, the authors might comment on Gimenez et al (J Neurophys 2015) which argued that temporary or permanent lesioning of AC did not impair tone discrimination. More generally, there seems to be some disagreement about what effects AC lesions have on auditory behavior.

      Thank you for this suggestion. Gimenez et al. (2015) investigated the ability of freely moving rats to discriminate sounds (and, in addition, how they adapt to changes in the discrimination boundary). Broadly consistent with later reports by Ceballo et al. (2019) (mild impairment) and O’Sullivan et al. (2019) (no impairment), Gimenez et al. (2015) reported that discrimination performance is mildly impaired after lesioning auditory cortex. Where the results of Gimenez et al. (2015) stand out is in the comparatively mild impairments that were seen in their task when they used muscimol injections, which contrast with the (much) larger impairments reported by others (e.g. Talwar et al., 2001; Li et al., 2017; Jaramillo and Zador, 2014).

      Changes to manuscript.

      Line 433: ”However, transient pharmacological silencing of the auditory cortex in freely moving rats (Talwar et al., 2001), as well as head-fixed mice (Li et al., 2017), completely abolishes sound detection (but see Gimenez et al., 2015).”

      (L. 649) "... were generally separable" Is the claim here that the clusters are really distinct from each other? This is unexpected, and it might be helpful if the authors could show this result in a figure.

      The half-sentence that this comment refers to has been removed from the methods section. Please also see a related comment by reviewer #1 which prompted us to add the following to the methods section.

      Changes to manuscript.

      Line 666: “While clustering is a useful approach for organizing and visualizing the activity of large and heterogeneous populations of neurons we need to be mindful that, given continuous distributions of response properties, the locations of cluster boundaries can be somewhat arbitrary and/or reflect idiosyncrasies of the chosen method and thus vary from one algorithm to another. We employed an approach very similar to that described in Namboodiri et al. (2019) because it is thought to produce stable results in high-dimensional neural data (Hirokawa et al. 2019).”

      Reviewer #3 (Recommendations For The Authors):

      (1) The authors must absolutely clarify if the hit versus misses decoding and clustering analysis is done for a single sound level or for multiple sound levels (what is the fraction of trials for each sound leve?). If the authors did it for multiple sound levels they should redo all analyses sound-level by sound-level, or for a single sound level if there is one that dominates. No doubt that there is information about the trial outcome in IC, but it should not be over-estimated by a confound with stimulus information.

      This is an important point. The original clustering analysis was carried out across different sound levels. We have now carried out additional analysis for distinguishing between two alternative explanations of the data, which were also raised by reviewer #1. – that the difference in neural activity between hit and miss trials could reflect a) the animals’ behavior or b) relatively more hit trials at higher sound levels, which would be expected to produce stronger responses. If the data favored b), we would expect no difference in activity between hit and miss trials when plotted separately for different sound levels. The new figure 4 - figure supplement 1 indicates that that is not the case. Hit and miss trial activity are clearly distinct even when plotted separately for different sound levels, confirming that this difference in activity reflects the animals’ behavior rather than sensory information.

      We made the following changes to manuscript.

      Line 214: “While averaging across all neurons cannot capture the diversity of responses, the averaged response profiles suggest that it is mostly trial outcome rather than the acoustic stimulus and neuronal sensitivity to sound level that shapes those responses (Figure 4 – figure supplement 1).”

      Differences in the distributions of sound levels in the different trial types could also potentially confound the decoding into hit and miss trials. Our analysis actually aimed to take this into account but, unfortunately, we failed to include sufficient details in the methods section.

      Changes to manuscript.

      Line 710: “Rather than including all the trials in a given session, only trials of intermediate difficulty were used for the decoding analysis. More specifically, we only included trials across five sound levels, comprising the lowest sound level that exceeded a d’ of 1.5 plus the two sound levels below and above that level. That ensured that differences in sound level distributions would be small, while still giving us a sufficient number of trials to perform the decoding analysis.“

      In this context, it is worth bearing in mind that a) the decoding analysis was done on a frame-byframe basis, meaning that the decoding score achieved early in the trial has no impact on the decoding score at later time points in the trial, b) sound-driven activity predominantly occurs immediately after stimulus onset and is largely over about 1 s into the trial (see cluster 3, for instance, or average miss trial activity in figure 4 - figure supplement 1), c) decoding performance of the behavioral outcome starts to plateau 500-1000 ms into the trial and remains high until it very gradually begins to decline after about 2 s into the trial. In other words, decoding performance remains high far longer than the stimulus would be expected to have an impact on the neurons’ activity. Therefore, we would expect any residual bias due to differences in the sound level distribution that our approach did not control for to be restricted to the very beginning of the trial and not to meaningfully impact the conclusions derived from the decoding analysis.

      Furthermore, we carried out an additional decoding analysis for one imaging session in which we had a sufficient number of trials to perform the analysis not only over the five (59, 62, 65, 68, 71 dB SPL) original sound levels, but also over a reduced range of three (62, 65, 68 dB SPL) sound levels, as well as a single (65 dB SPL) sound level (Figure 6 - figure supplement 1). The mean sound level difference between the hit trial distributions and miss trial distributions for these three conditions were 3.08, 1.01 and 0 dB, respectively. This analysis suggests that decoding performance is not meaningfully impacted by changing the range of sound levels (and sound level distributions) other than that including fewer sound levels means fewer trials and thus noisier decoding.

      Changes to manuscript.

      Line 287: ”...and was not meaningfully affected by differences in sound level distributions between hit and miss trials (Figure 6 – figure supplement 1).”

      Finally, in order to supplement the decoding analysis, we determined for each individual neuron whether there was a significant difference between the average hit and average miss trial activity. Note that this was done using equal numbers of hit and miss trials at each sound level to ensure balanced sound level distributions and to rule out any potential confound of sound level. This revealed that the proportion of neurons containing “information about trial outcome” was generally very high, close to 50% on average, and not significantly different between lesioned and non-lesioned mice.

      Changes to manuscript.

      Line 307: “Although the proportion of individual neurons with distinct response magnitudes in hit and miss trials in lesioned mice did not differ from that in non-lesioned mice, it was significantly lower when separating out mice with partial lesions (Figure 6 – figure supplement 3).”

      Line 648: “Analysis of task-modulated and sound-driven neurons. To identify individual neurons that produced significantly different response magnitudes in hit and miss trials, we calculated the mean activity for each stimulus trial by taking the mean activity over the 5 seconds following stimulus presentation and subtracting the mean activity over the 2 seconds preceding the stimulus during that same trial. A Mann-Whitney U test was then performed to assess whether a neuron showed a statistically significant difference (Benjamini-Hochberg adjusted p-value of 0.05) in response magnitude between hit and miss trials. The analysis was performed using equal numbers of hit and miss trials at each sound level to ensure balanced sound level distributions. If, for a given sound level, there were more hit than miss trials we randomly selected a sample of hit trials (without substitution) to match the sample size for the miss trials and vice versa. ”

      (2) I have the feeling that the authors do not exploit fully the functional data recorded with two-imaging. They identify several cluster but do not describe their functional differences. For example, cluster 3 is obviously mainly sensory driven as it is not modulated by outcome. This could be mentioned. This could also be used to rule out that trial outcome is the results of insufficient sensory inputs. Could this cluster be used to predict trial outcome at the onset response? Could it be used to predict the presence of the sound, and with which accuracy. The authors discuss a bit the different cluster type, but in a very elusive manner. I recognize that one should be careful with the use of signal analysis methods in calcium imaging but a simple linear deconvolution of the calcium dynamic who help to illustrate the conclusions that the authors propose based on peak responses. It would also be very interesting to align the clusters responses (deconvolved) to the timing of licking and rewards event to check if some clusters do not fire when mice perform licks before the sound comes. It would help clarify if the behavioral signals described here require both the presence of the sound and the behavioral action or are just the reflection of the motor command. As noted by the authors, some clusters have late peak responses (2 and 5). However, 2 and 5 are not equivalent and a deconvolution would evidence that much better. 2 has late onset firing. 5 has early onset but prolonged firing.

      We agree with the reviewer’s statement that “cluster 3 is obviously mainly sensory driven”. In the Discussion we refer to cluster 3 as having a “largely behaviorally invariant response profile to the auditory stimulus” (line X), which is consistent with the statement of the reviewer. With regard to the reviewer’s suggestion to describe the “functional differences” between the clusters, we would like to refer to the subsequent three sentences of the same paragraph in which we speculate on the cognitive and behavioral variables that may underlie the response profiles of different clusters. Given the limitations imposed by the task structure, we do not think it is justified to expand on this.

      We have added an additional analysis in order to explicitly address the question of which neurons are sound responsive (please also see response to point 3 below and to point 1 of reviewer #2). That trial outcome could be predicted on the basis of only the sound-responsive neurons’ activity during the initial period of the trial (“predict trial outcome at the onset response”) is unlikely given their small number (only 97 of 2649 neurons show a statistically significant sound-evoked response) and given that only a minority (42/98) of those sound-driven neurons are also modulated by trial outcome within that initial trial period (i.e. 0-1s after stimulus onset; data not shown).

      Changes to manuscript.

      Line 219: “..., while only a small fraction (97 / 2649) exhibited a significant response to the sound.”

      Line 658: “Sound-driven neurons were identified by comparing the mean miss trial activity before and after stimulus presentation. Specifically, we performed a Mann-Whitney U test to assess whether there was a statistically significant difference (Benjamini-Hochberg adjusted p-value of 0.05) between the mean activity over the 2 seconds preceding the stimulus and the mean activity over the 1 second period following stimulus presentation. This analysis was performed using miss trials with click intensities from 53 dB SPL to 65 dB SPL (many sessions contained very few or no miss trials at higher sound levels).”

      While calcium traces represent an indirect measure of neural activity, deconvolution does not necessarily provide an accurate picture of the spiking underlying those traces and has the potential to introduce additional problems. For instance, deconvolution algorithms tend to perform poorly at inferring the spiking of inhibited neurons (Vanwalleghem et al., 2021). Given that suppression is such a prominent feature of IC activity and is evident both in our calcium data as well as in the electrophysiology data of others (Franceschi and Barkat, 2021), we decided against using deconvolved spikes in our analyses. See also the side-by-side comparison below of the hit and miss trial activity of one example neuron based on either the calcium trace (left) or deconvolved spikes (right) (extracted using the OASIS algorithm (Friedrich et al., 2017) incorporated into suite2p (Pachitariu et al., 2016).

      Author response image 1.

      (3) Along the same line, the very small proportion of really sensory driven neurons (cluster 3) is not discussed. Is it what on would expect in typical shell or core IC neurons?

      As requested by reviewer #2 and mentioned in response to the previous point, we have now quantified the number of neurons in the dataset that produced significant responses to sound (97 / 2649). For a given imaging area, the fraction of neurons that show a statistically significant change in neural activity following presentation of a click of between 53 dB SPL and 65 dB SPL rarely exceeded ten percent. While that number is low, it is not necessarily surprising given the moderate intensity and very short duration of the stimuli. For comparison: Using the same transgenics, labeling approach and imaging setup and presenting 200-ms long pure tones at 60 dB SPL with frequencies between 2 kHz and 64 kHz, we typically find that between a quarter and a third of neurons in a given imaging area exhibit a statistically significant response (data not shown).

      Changes to manuscript.

      Line 219: “..., while only a small fraction (97 / 2649) exhibited a significant response to the sound.”

      Line 658: “Sound-driven neurons were identified by comparing the mean miss trial activity before and after stimulus presentation. Specifically, we performed a Mann-Whitney U test to assess whether there was a statistically significant difference (Benjamini-Hochberg adjusted p-value of 0.05) between the mean activity over the 2 seconds preceding the stimulus and the mean activity over the 1 second period following stimulus presentation. This analysis was performed using miss trials with click intensities from 53 dB SPL to 65 dB SPL (many sessions contained very few or no miss trials at higher sound levels).”

      Line 220: “While the number of sound-responsive neurons is low, it is not necessarily surprising given the moderate intensity and very short duration of the stimuli. For comparison: Using the same transgenics, labeling approach and imaging setup and presenting 200-ms long pure tones at 60 dB SPL with frequencies between 2 kHz and 64 kHz, we typically find that between a quarter and a third of neurons in a given imaging area exhibit a statistically significant response (data not shown).”

      (4) In the discussion, the interpretation of different transient and permanent cortical inactivation experiment is very interesting and well balanced given the complexity of the issue. There is nevertheless a comment that is difficult to follow. The authors state:

      If cortical lesioning results in a greater weight being placed on the activity in spared subcortical circuits for perceptual judgements, we would expect the accuracy with which trial-by-trial outcomes could be read out from IC neurons to be greater in mice without auditory cortex. However, that was not the case.

      However, there is no indication that the activity they observe in shell IC is causal to the behavioral decision and likely it is not. There is also no indication that the behavioral signals seen by the authors reflect the weight put on the subcortical pathway for behavior. I find this argument handwavy and would remove it.

      While we are happy to amend this section, we would not wish to remove it because a) we believe that the point we are trying to make here is an important and reasonable one and b) because it is consistent with the reviewer’s comment. Hopefully, the following will make this clearer: In order for the mouse to make a perceptual judgment and act upon it - in the context of our task, hearing a sound and then licking a spout - auditory information needs to be read out and converted into a motor command. If the auditory cortex normally plays a key role in such perceptual judgments, cortical lesions would require the animal to base its decisions on the information available from the remaining auditory structures, potentially including the auditory midbrain. This might result in a greater correspondence between the mouse’s behavior and the neural activity in those structures. That we did not observe this outcome for the IC could mean that the auditory cortex did not contribute to the relevant perceptual judgments (sound detection) in the first place. Therefore, no reweighting of signals from the other structures is necessary. Alternatively, greater weight might be placed exclusively on structures other than the auditory midbrain, e.g. the thalamus. The latter would imply that the contribution of the IC remains the same. This includes the possibility that the IC shell does not play a causal role in the behavioral decision – in either control mice or mice with cortical lesions – as suggested by the reviewer.

      Changes to manuscript.

      Line 471: “This could imply that, following cortical lesions, greater weight is placed on structures other than the IC, with the thalamus being the most likely candidate, ..”

      (5) In Fig. 5 the two colors used in B and C are the same although they describe different categories.

      The dark green and ‘deep orange’ we used to distinguish between non-lesioned and lesioned in Figure 5C are slightly lighter than the colors used to distinguish between these two categories in other figures and therefore might be more easily confused with the blue and red in Figure 5B. This has been changed.

    1. Author response:

      The following is the authors’ response to the current reviews.

      We thank the Reviewers and Editors for the constructive comments, which we believe have significantly improved the quality of our manuscript.


      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      (1) With respect to the predictions, the authors propose that the subjects, depending on their linguistic background and the length of the tone in a trial, can put forward one or two predictions. The first is a short-term prediction based on the statistics of the previous stimuli and identical for both groups (i.e. short tones are expected after long tones and vice versa). The second is a long-term prediction based on their linguistic background. According to the authors, after a short tone, Basque speakers will predict the beginning of a new phrasal chunk, and Spanish speakers will predict it after a long tone.

      In this way, when a short tone is omitted, Basque speakers would experience the violation of only one prediction (i.e. the short-term prediction), but Spanish speakers will experience the violation of two predictions (i.e. the short-term and long-term predictions), resulting in a higher amplitude MMN. The opposite would occur when a long tone is omitted. So, to recap, the authors propose that subjects will predict the alternation of tone durations (short-term predictions) and the beginning of new phrasal chunks (long-term predictions).

      The problem with this is that subjects are also likely to predict the completion of the current phrasal chunk. In speech, phrases are seldom left incomplete. In Spanish is very unlikely to hear a function-word that is not followed by a content-word (and the opposite happens in Basque). On the contrary, after the completion of a phrasal chunk, a speaker might stop talking and a silence might follow, instead of the beginning of a new phrasal chunk.

      Considering that the completion of a phrasal chunk is more likely than the beginning of a new one, the prior endowed to the participants by their linguistic background should make us expect a pattern of results actually opposite to the one reported here.

      We thank the Reviewer #1 for this pertinent comment and the opportunity to address this issue. A very similar concern was also raised by Reviewer #2. Below we try to clarify the motivations that led us to predict that the hypothesized long-term predictions should manifest at the onset (and not within or the end) of a perceptual chunk. 

      Reviewers #1 and #2 contest a critical assumption of our study i.e., the fact that longterm predictions should occur at the beginning of a rhythmic chunk as opposed to its completion. They also contest the prediction deriving from this view i.e., omitting the first sound in a perceptual chunk (short for Spanish, long for Basque) would lead to larger error responses than omitting a later element. They suggest an alternative view: the omission of tones at the end of a perceptual rhythmic chunk would evoke larger error responses than omissions at its onset, as subjects are more likely to predict the completion of the chunk than its beginning. This view predicts an interaction effect in the opposite direction of our findings. 

      While we acknowledge this as a plausible hypothesis, we believe that the current literature provides strong support for our view. Indeed, many studies in the rhythm and music perception literature have investigated the ERP responses to deviant sounds and omissions placed at different positions within rhythmic patterns (e.g., Ladinig et al., 2009; Bouwer et al., 2016; Brochard et al., 2003; Potter et al., 2009; Yabe et al., 2001). For instance, Lading et al., 2009 presented participants with metrical rhythmical sound sequences composed of eight tones. In some deviant sequences, the first or a later tone was omitted. They found that earlier omissions elicited earlier and higher-amplitude MMN responses than later omissions (irrespective of attention). Overall, this and other studies showed that the amplitude of ERP responses are larger when deviants occur at positions that are expected to be the “start” of a perceptual group - “on the beat” in musical terms - and decline toward the end of the chunk. According to some of these studies, the first element of a chunk is particularly important to track the boundaries of temporal sequences, which is why more predictive resources are invested at that position. We believe that this body of evidence provides robust bases for our hypotheses and the directionality of our predictions.

      An additional point that should be considered concerns the amplitude of the prediction error response elicited by the omission. From a predictive coding perspective, the omission of the onset of a chunk should elicit larger error responses because the system is expecting the whole chunk (i.e., two tones/more acoustic information). On the other hand, the omission of the second tone - in the transition between two tones within the chunk - should elicit a smaller error response because the system is expecting only the missing tone (i.e. less acoustic information). 

      Given the importance of these points, we have now included them in the updated version of the paper, in which we try to better clarify the rationale behind our hypothesis (see Introduction section, around the 10th paragraph).

      (2) The authors report an interaction effect that modulates the amplitude of the omission response, but caveats make the interpretation of this effect somewhat uncertain. The authors report a widespread omission response, which resembles the classical mismatch response (in MEG) with strong activations in sensors over temporal regions. Instead, the interaction found is circumscribed to four sensors that do not overlap with the peaks of activation of the omission response.

      We thank the Reviewer for this comment. As mentioned in the provisional response, the approach employed to identify the presence of an interaction effect was conservative: We utilized a non-parametric test on combined gradiometers data, without making a priori assumptions about the location of the effect, and employed small cluster thresholds (cfg.clusteralpha = 0.05) to increase the chances of detecting highly localized clusters with large effect sizes. The fact that the interaction effect arises in a relatively small cluster of sensors does not alter its statistical robustness. It should be also considered that in the present analyses we focused on planar gradiometer data that, compared to magnetometers and axial gradiometers, present more fine-grained spatial resolution and are more suited for picking up relatively small effects. 

      The partial overlap of the cluster with the activation peaks may simply reflect the fact that different sources contribute to the generation of the omission-MMN, which has been reported in several studies (e.g., Zhang et al., 2018; Ross & Hamm, 2020).  We value the Reviewer’s input and are grateful for the opportunity to address these considerations.

      Furthermore, the boxplot in Figure 2E suggests that part of the interaction effect might be due to the presence of two outliers (if removed, the effect is no longer significant). Overall, it is possible that the reported interaction is driven by a main effect of omission type which the authors report, and find consistently only in the Basque group (showing a higher amplitude omission response for long tones than for short tones). Because of these points, it is difficult to interpret this interaction as a modulation of the omission response.

      We thank the Reviewer for the comment and appreciate the opportunity to address these concerns. We have re-evaluated the boxplot in Figure 2E and want to clarify that the two participants mentioned by Reviewer #1, despite being somewhat distant from the rest of the group, are not outliers according to the standard Tukey’s rule. As shown in the figure below, no participant fell outside the upper (Q3+1.5xIQR) and lower whiskers (Q1-1.5xIQR) of the boxplot. 

      Moreover, we believe that the presence of a main effect of omission type does not impact the interpretation of the interaction, especially considering that these effects emerge over distinct clusters of channels (see Fig. 1 C; Supplementary Fig. 2 A). 

      Based on these considerations - and along with the evidence collected in the control study and the source reconstruction data reported in the new version of the manuscript - we find it unlikely that the interaction effect is driven by outliers or by a main effect of omission type. We appreciate the opportunity provided by the Reviewer to address these concerns, as we believe they strengthen the claim that the observed effect is driven by the hypothesized long-term linguistic priors rather than uncontrolled group differences.

      Author response image 1.

      It should also be noted that in the source analysis, the interaction only showed a trend in the left auditory cortex, but in its current version the manuscript does not report the statistics of such a trend.

      We  appreciate  the  Reviewer’s  suggestion  to  incorporate  more comprehensive source analyses. In the new version of the paper, we perform new analyses on the source data using a new Atlas with more fine-grained parcellations of the regions of interests (ROIs) (Brainnetome atlas; Fan et al., 2016) and focusing on peak activity to increase response’s sensitivity in space and time. We therefore invite the Reviewer to read the updated part on source reconstruction included in the Results and Methods sections of the paper.  

      Reviewer #1 (Recommendations For The Authors):

      While I have described my biggest concerns with respect to this work in the public review, here I list more specific points that I hope will help to improve the manuscript. Some of these are very minor, but I hope you will still find them constructive. 

      (1) I understand the difficulties implied in recruiting subjects from two different linguistic groups, but with 20 subjects per group and a between-groups design, the current study is somewhat underpowered. A post-hoc power analysis shows an achieved power of 46% for medium effect sizes (d = 0.5, and alpha = 0.05, one-sided test). A sensitivity analysis shows that the experiment only has 80% power for effect sizes of d = 0.8 and above. It would be important to acknowledge this limitation in the manuscript. 

      We thank the Reviewer for reporting these analyses. It must be noted that our effect of interest was based on Molnar et al.’s (2016) behavioral experiment, in which a sample size of 16 subjects per group was sufficient to detect the perceptual grouping effect. In Yoshida et al., (2010), the perceptual grouping effect emerged with two groups of 20 7–8-month-old Japanese and English-learning infants. Based on these previous findings, we believe that a sample size of 20 participants per group can be considered appropriate for the current MEG study. We clarified these aspects in the Participants section of the manuscript, in which we specified that previous behavioral studies detected the perceptual grouping with similar sample sizes. Moreover, to acknowledge the limitation highlighted by the Reviewer, we also include the power and sensitivity analysis in a note in the same section (see note 2 in the Participants section).

      (2) All the line plots in the manuscript could be made much more informative by adding 95% CI bars. For example, in Figure 4A, the omission response for the long tone departs from the one for the short tone very early. Adding CIs would help to assess the magnitude of that early difference. Error bars are present in Figure 3, but it is not specified what these bars represent. 

      Thanks for the comments. We added the explanation of the error bars in the new version of Figure 3. For the remaining figures, we prefer maintaining the current version of the ERF, as the box-plots accompanying them provide information about the distribution of the effect across participants.

      (3) In the source analysis, there is only mention of an interaction trend in the left auditory cortex, but no statistics are presented. If the authors prefer to mention such a trend, I think it would be important to provide its stats to allow the reader to assess its relevance. 

      We performed new analysis on the source data, all reported in the updated version of the manuscript.

      (4) In the discussion section, the authors refer to the source analysis and state that "the interaction is evident in the left". But if only a statistical trend was observed, this statement would be misleading. 

      We agree with this comment. We invite the Reviewer to check the new part on source reconstruction, in which contrasts going in the same direction of the sensor level data are performed.

      (5) In the discussion the authors argue that "This result highlights the presence of two distinct systems for the generation of auditory" that operate at different temporal scales, but the current work doesn't offer evidence for the existence of two different systems. The effects of long-term priors and short-term priors presented here are not dissociated and instead sum up. It remains possible that a single system is in place, collecting statistics of stimuli over a lifetime, including the statistics experienced during the experiment. 

      Thanks for pointing that out. We changed the sentence above as follows: “This result highlights the presence of an active predictive system that relies on natural sound statistics learned over a lifetime to process incoming auditory input”.

      (6) In the discussion, the authors acknowledge that the omission response has been interpreted both as pure prediction and as pure prediction error. Then they declare that "Overall, these findings are consistent with the idea that omission responses reflect, at least in part, prediction error signals.". However an argument for this statement is not provided. 

      Thanks for pointing out this lack of argument. In the new version of the manuscript, we explained our rationale as follows: “Since sensory predictive signals primarily arise in the same regions as the actual input, the activation of a broader network of regions in omission responses compared to tones suggests that omission responses reflect, at least in part, prediction error signals”.

      (7) In the discussion the authors present an alternative explanation in which both groups might devote more resources to the processing of long events, because these are relevant content words. Following this, they argue that "Independently on the interpretation, the lack of a main effect of omission type in the control condition suggests that the long omission effect is driven by experience with the native language." However as there was no manipulation of duration in the control experiment, a lack of the main effect of omission type there does not rule out the alternative explanation that the authors put forward. 

      This is correct; thanks for noticing it. We removed the sentence above to avoid ambiguities.

      Minor points: 

      (8) The scale of the y-axis in Figure 2C might be wrong, as it goes from 9 to 11 and then to 12. If the scale is linear, the top value should be 13, or the bottom value should be 10. 

      Figure 2C has been modified accordingly, thanks for noticing the error.

      (9) There is a very long paragraph starting on page 7 and ending on page 8. Toward the end of the paragraph, the analysis of the control condition is presented. That could start a new paragraph.

      Thanks for the suggestion. We modified the manuscript as suggested.

      Reviewer #2 (Public Review):

      (1) Despite the evidence provided on neural responses, the main conclusion of the study reflects a known behavioral effect on rhythmic sequence perceptual organization driven by linguistic background (Molnar et al. 2016, particularly). Also, the authors themselves provide a good review of the literature that evidences the influence of longterm priors in neural responses related to predictive activity. Thus, in my opinion, the strength of the statements the authors make on the novelty of the findings may be a bit far-fetched in some instances.

      Thanks for the suggestion. A similar point was also advanced by Reviewer 1. In general, we believe our work speaks about the predictive nature of such experiencedependent  effects, and show that these linguistic priors shape sensory processes at very early stages. This is discussed in the sixth and seventh paragraphs of the Discussion section. In the new version of the article, we modified some statements and tried to make them more coherent with the scope of the present work. For instance, we changed "This result highlights the presence of two distinct systems for the generation of auditory predictive models, one relying on the transition probabilities governing the recent past, and another relying on natural sound statistics learned over a lifetime“ with “This result highlights the presence of an active predictive system that relies on natural sound statistics learned over a lifetime to process incoming auditory input”.

      (2) Albeit the paradigm is well designed, I fail to see the grounding of the hypotheses laid by the authors as framed under the predictive coding perspective. The study assumes that responses to an omission at the beginning of a perceptual rhythmic pattern will be stronger than at the end. I feel this is unjustified. If anything, omission responses should be larger when the gap occurs at the end of the pattern, as that would be where stronger expectations are placed: if in my language a short sound occurs after a long one, and I perceptually group tone sequences of alternating tone duration accordingly, when I hear a short sound I will expect a long one following; but after a long one, I don't necessarily need to expect a short one, as something else might occur.

      A similar point was advanced by Reviewer #1. We tried to clarify the rationale behind our hypothesis. Please refer to the response provided to the first comment of Reviewer #1 above.

      (3) In this regard, it is my opinion that what is reflected in the data may be better accounted for (or at least, additionally) by a different neural response to an omission depending on the phase of an underlying attentional rhythm (in terms of Large and Jones rhythmic attention theory, for instance) and putative underlying entrained oscillatory neural activity (in terms of Lakatos' studies, for instance). Certainly, the fact that the aligned phase may differ depending on linguistic background is very interesting and would reflect the known behavioral effect.

      We thank the Reviewer for this comment. We explored in more detail the possibility that the aligned phase may differ depending on linguistic background, which is indeed a very interesting hypothesis. In the phase analyses reported below we focused on the instantaneous phase angle time locked to the onset of short and long tones presented in the experiment.

      In short, we extracted time intervals of two seconds centered on the onset of the tones for each participant (~200 trials per condition) and using a wavelet transform (implemented in Fieldtrip ft_freqanalysis) we targeted the 0.92 Hz frequency that corresponds to the rhythm of presentation of our pairs of tones. We extracted the phase angle for each time point and using the circular statistics toolbox implemented in Matlab we computed the Raleigh z scores across all the sensor space for each tone (long and short tone) and group (Spanish (Spa) dominants and Basque (Eus) dominants). This method evaluates the instantaneous phase clustering at a specific time point, thus evaluating the presence of a specific oscillatory pattern at the onset of the specific tone. 

      Author response image 2.

      Here we observe that the phase clustering was stronger in the right sensors for both groups. The critical point is to evaluate the phase angle (estimated in phase radians) for the two groups and the two tones and see if there are statistical differences. We focused first on the sensor with higher clustering (right temporal MEG1323) and observed very similar phase angles for the two groups both for long and short tones (see image below). We then focused on the four left fronto-temporal sensor pairs who showed the significant interaction: here we observed one sensor (MEG0412) with different effects for the two groups (interaction group by tone was significant, p=0.02): for short tones the “Watson (1961) approximation U2 test” showed a p-value of 0.11, while for long tones the p-value was 0.03 (after correction for multiple comparisons). 

      Overall, the present findings suggest the tendency to phase aligning differently in the two groups to long and short tones in the left fronto-temporal hemisphere. However, the effect could be detected only in one gradiometer sensor and it was not statistically robust. The effect in the right hemisphere was statistically more robust, but it was not sensitive to group language dominance. 

      Due to the inconclusive nature of these analyses regarding the role of language experience in shaping the phase alignment to rhythmic sound sequences, we prefer to keep these results in the public review rather than incorporating them in the article.  Nonetheless, we believe that this decision does not undermine the main finding that the group differences in the MMN amplitude are driven by long-term predictions – especially in light of the many studies indicating the MMN as a putative index of prediction error (e.g., Bendixen et al., 2012; Heilbron and Chait, 2018). Moreover, as suggested in the preliminary reply, despite evoked responses and oscillations are often considered distinct electrophysiological phenomena, current evidence suggests that these phenomena are interconnected (e.g., Studenova et al., 2023). In our view, the hypotheses that the MMN reflects differences in phase alignment and long-term prediction errors are not mutually exclusive.

      Author response image 3.

      (4) Source localization is performed on sensor-level significant data. The lack of  sourcelevel statistics weakens the conclusions that can be extracted. Furthermore, only the source reflecting the interaction pattern is taken into account in detail as supporting their hypotheses, overlooking other sources. Also, the right IFG source activity is not depicted, but looking at whole brain maps seems even stronger than the left. To sum up, source localization data, as informative as it could be, does not strongly support the author's claims in its current state. 

      A similar comment was also advanced by Reviewer #1 (comment 2). We appreciate the suggestion to incorporate more comprehensive source analyses. In the new version of the paper, we perform new analyses on the source data using a new Atlas with more fine-grained parcellations of the ROIs, and focusing on peak activity to increase response’s sensitivity in space and time. We therefore invite the Reviewer to read the updated part on source reconstruction included in the Results and Methods sections of the paper. 

      In the article, we report only the source reconstruction data from ROIs in the left hemisphere, because it is there that the interaction effect arises at the sensor level. However, we also explored the homologous regions in the right hemisphere, as requested by the Reviewer. A cluster-based permutation test focusing on the interaction between language group and omission type was performed on both the right STG and IFG data. No significant interaction emerged in any of these regions. Below a plot of the source activity time series over ROIs in the right STG and IFG. 

      Author response image 4.

      Reviewer #2 (Recommendations For The Authors):

      In this set of private recommendations for the authors, I will outline a couple of minor comments and try to encourage additional data analyses that, in my opinion, would strengthen the evidence provided by the study. 

      (1) As I noted in the public review, I believe an oscillatory analysis of the data would, on one hand, provide stronger support for the behavioral effect of rhythmic perceptual organization given the lack of behavioral direct evidence; and, on the other hand, provide evidence (to be discussed if so) for a role of entrained oscillation phase in explaining the different pattern of omission responses. One analysis the authors could try is to measure the phase angle of an oscillation, the frequency of which relates to the length of the binary pattern, at the onset of short and long tones, separately, and compare it across groups. Also, single trials of omission responses could be sorted according to that phase. 

      Thanks for the suggestion. Please see phase analyses reported above.

      (2) I wonder why source activity for the right IFG was not shown. I urge the authors to provide and discuss a more complete picture of the source activity found. Given the lack of source statistics (which could be performed), I find it a must to give an overall view. I find it so because I believe the distinction between perceptual grouping effects due to inherent acoustic differences across languages or semantic differences is so interesting. 

      Thanks again for the invitation to provide a more complete picture of the source activity data. As mentioned in the response above, we invite the Reviewer to read the new related part included in the Results and Methods sections of the paper. In our updated source reconstruction analysis, we find that some regions around the left STG show a pattern that resembles the one found at the sensor-level, providing further support for the “acoustic” (rather than syntactic/semantic) nature of the effect. 

      We did not report ROI analysis on the right hemisphere because the interaction effect at sensor level emerged on the left hemisphere. Yet, we included a summary of this analysis in the public response above. 

      (3) Related to this, I have to acknowledge I had to read the whole Molnar et al. (2016) study to find the only evidence so far that, acoustically, in terms of sound duration, Basque and Spanish differ. This was hypothesized before but only at Molnar, an acoustic analysis is performed. I think this is key, and the authors should give it a deeper account in their manuscript. I spend my review of this study thinking, well, but when we speak we actually bind together different words and the syllabic structure does not need to reflect the written one, so maybe the effect is due to a high-level statistical prior related to the content of the words... but Molnar showed me that actually, acoustically, there's a difference in accent and duration: "Taken together, Experiments 1a and 1b show that Basque and Spanish exhibit the predicted differences in terms of the position of prosodic prominence in their phonological phrases (Basque: trochaic, Spanish: iambic), even though the acoustic realization of this prominence involves not only intensity in Basque but duration, as well. Spanish, as predicted, only uses duration as a cue to mark phrasal prosody." 

      Thanks for the suggestion, the distinction in terms of sound duration in Spanish and Basque reported by Molnar is indeed very relevant for the current study. 

      We add a few sentences to highlight the acoustic analysis by Molnar and the consequent acoustic nature of the reported effect.

      In the introduction: “Specifically, the effect has been proposed to depend on the quasiperiodic alternation of short and long auditory events in the speech signal – reported in previous acoustic analyses (Molnar et al., 2016) – which reflect the linearization of function words (e.g., articles, prepositions) and content words (e.g., nouns, adjectives, verbs).”

      In the discussion, paragraph 3, we changed “We hypothesized that this effect is linked to a long-term “duration prior” originating from the syntactic function-content word order of language, and specifically, from its acoustic consequences on the prosodic structure” with “We hypothesized that this effect is linked to a long-term “duration prior” originating from the acoustic properties of the two languages, specifically from the alternation of short and long auditory events in their prosody”.

      In the discussion, end of paragraph eight: “The reconstruction of cortical sources associated with the omission of short and long tones in the two groups showed that an interaction effect mirroring the one at the sensor level was present in the left STG, but not in the left IFG (fig. 3, B, C, D). Pairwise comparisons within different ROIs of the left STG indicated that the interaction effect was stronger over primary (BA 41/42) rather than associative (BAs 22) portions of the auditory cortex. Overall, these results suggest that the “duration prior” is linked to the acoustic properties of a given language rather than its syntactic configurations”.

      Now, some minor comments: 

      (1) Where did the experiments take place? Were they in accordance with the Declaration of Helsinki? Did participants give informed consent? 

      All the requested information has been added to the updated version of the manuscript. Thanks for pointing out this.

      (2) The fixed interval should be called inter-stimulus interval. 

      Thanks for pointing this out. We changed the wording as suggested.

      (3) The authors state that "Omission responses allow to examine the presence of putative error signals decoupled from bottom-up sensory input, offering a critical test for predictive coding (Walsh et al 2020, Heilbron and Chait, 2018).". However the way omission responses are computed in their study is by subtracting the activity from the previous tone. This necessarily means that in the omission activity analyzed, there's bottom-up sensory input activity. As performing another experiment with a control condition in which a sequence of randomly presented tones with different durations to compare directly the omission activity in both sequences (experimental and control) is possibly too demanding, I at least urge the authors to incorporate the fact that their omission responses do reflect also tone activity. And consider, for future experiments, the inclusion of further control conditions. 

      Thanks for the opportunity to clarify this aspect. Actually, the way we computed the omission MMN is not by subtracting the activity of the previous tone from the omission, but by subtracting the activity of randomly selected tones across the whole experiment. That is, we randomly selected around 120 long and short tones (i.e., about the same number as the omissions); we computed the ERF for the long and short tones; we subtracted these ERF from the ERF of the corresponding short and long omissions. We clarified these aspects in both the Materials and Methods (ERF analysis paragraph) and Results section.

      Moreover, the subtraction strategy - which is the standard approach to calculate the MMN - allows to handle possible neural carryover effects arising from the perception of the tone preceding the omission.

      The sentence "Omission responses allow to examine the presence of putative error signals decoupled from bottom-up sensory input, offering a critical test for predictive coding (Walsh et al 2020, Heilbron and Chait, 2018)." simply refer to the fact that the error responses resulting from an omission are purely endogenous, as omissions are just absence of an expected input (i.e., silence). On the other hand, when a predicted sequence of tones is disrupted by an auditory deviants (e.g., a tone with a different pitch or duration than the expected one), the resulting error response is not purely endogenous, but it partially includes the response to the acoustic properties of the deviant.

      (4) When multiple clusters emerged from a comparison, only the most significant cluster was reported. Why? 

      We found more than one significant cluster only in the comparison between pure omissions vs tones (figure 2 A, B). The additional significant cluster from this comparison is associated with a P-value of 0.04, emerges slightly earlier in time, and goes in the same direction as the cluster reported in the paper i.e., larger ERF responses for omission vs tones. We added a note specifying the presence of this second cluster, along with a figure on the supplementary material (Supplementary Fig. 1 A, B).

      (5) Fig 2, if ERFs are baseline corrected -50 to 0ms, why do the plots show pre-stimulus amplitudes not centered at 0? 

      This is because we combined the latitudinal and longitudinal gradiometers on the ERF obtained after baseline correction, by computing the root mean square of the signals at each sensor position (see also  https://www.fieldtriptoolbox.org/example/combineplanar_pipelineorder/). This information is reported in the methods part of the article.

      (6) Fig 2, add units to color bars. 

      Sure.

      (7) Fig 2 F and G, put colorbar scale the same for all topographies. 

      Sure, thanks for pointing this out.

      (8) The interaction effect language (Spanish; Basque) X omission type (short; long) appears only in a small cluster of 4 sensors not located at the locations with larger amplitudes to omissions. Authors report it as left frontotemporal, but it seems to me frontocentral with a slight left lateralization.

      (1) the fact that the cluster reflecting the interaction effect does not overlap with the peaks of activity is not surprising in our view. Many sources contribute to the generation of the MMN. The goal of our work was to establish whether there is also evidence for a long-term system (among the many) contributing to this. That is why we perform a first analysis on the whole omission response network (likely including many sources and predictive/attentional systems), and then we zoom in and focus on our hypothesized interaction. We never claim that the main source underlying the omissionMMM is the long-term predictive system. 

      (2) The exact location of those sensors is at the periphery of the left-hemisphere omission response, which mainly reflects activity from the left temporal regions. The sensor location of this cluster could be influenced by multiple factors, including (i) the direction of the source dipoles determining an effect; (ii) the combination of multiple sources contributing to the activity measured at a specific sensor location, whose unmixing could be solved only with a beamforming source approach. Based on the whole evidence we collected also in the source analyzes we concluded that the major contributors to the sensor-level interaction are emerging from both frontal and temporal regions.

      Reviewer #3 (Public Review):

      (1) The main weaknesses are the strength of the effects and generalisability. The sample size is also relatively small by today's standards, with N=20 in each group. Furthermore, the crucial effects are all mostly in the .01>P<.05 range, such as the crucial interaction P=.03. It would be nice to see it replicated in the future, with more participants and other languages. It would also have been nice to see behavioural data that could be correlated with neural data to better understand the real-world consequences of the effect.

      We appreciate the positive feedback from Reviewer #3. We agree that it would be nice to see this study replicated in the future with larger sample sizes and a behavioral counterpart. Below are a few comments concerning the weakness highlighted: 

      (i) Concerning the sample size: a similar point was raised by Reviewer #1. We report our reply as presented above: “Despite a sample size of 20 participants per group can be considered relatively small for detecting an effect in a between-group design, it must be noted that our effect of interest was based on Molnar et al.’s (2016) experiment, where a sample size of 16 subjects per group was sufficient to detect the perceptual grouping effect. In Yoshida et al., 2010, the perceptual grouping effect arose with two groups of 20 7–8-month-old Japanese and English-learning infants. Based on these findings, we believe that a sample size of 20 participants per group can be considered appropriate for the current study”. We clarified these aspects in the new version of the manuscript.

      (ii) We believe that the lack of behavioral data does not undermine the main findings of this study, given the careful selection of the participants and the well-known robustness of the perceptual grouping effect (e.g., Iversen 2008; Yoshida et al., 2010; Molnar et al. 2014; Molnar et al. 2016). As highlighted by Reviewer #2, having Spanish and Basque dominant “speakers as a sample equates that in Molnar et al. (2016), and thus overcomes the lack of direct behavioral evidence for a difference in rhythmic grouping across linguistic groups. Molnar et al. (2016)'s evidence on the behavioral effect is compelling, and the evidence on neural signatures provided by the present study aligns with it”. (iii) Regarding the fact that the “crucial effects are all mostly in the .01>P<.05 range”: we want to stress that the approach we used to detect the interaction effect was conservative, using a cluster-based permutation approach with no a priori assumptions about the location of the effect. The robustness of our approach has also been highlighted by Reviewer 2: “Data analyses. Sound, state-of-the-art methodology in the event-related field analyses at the sensor level.” In sum, despite some crucial effects being in the .01>P<.05 range, we believe that the statistical soundness of our analysis, combined with the lack of effect in the control condition, provides compelling evidence for our H1.

      Reviewer #3 (Recommendations For The Authors):

      Figures - Recommend converting all diagrams and plots to vector images to ensure they remain clear when zoomed in the PDF format. 

      Sure, thanks. 

      Figure 1: To improve clarity, the representation of sound durations in panels C and D should be revisited. The use of quavers/eighth notes can be confusing for those familiar with musical notation, as they imply isochrony. If printed in black and white, colour distinctions may be lost, making it difficult to discern the different durations. A more universal representation, such as spectrograms, might be more effective. 

      Thanks for the suggestion. It’s true that the quavers/eighth notes might be confusing in that respect. However, we find this notation as a relatively standard approach to define paradigms in auditory neuroscience, see for instance the two papers below. In the new version of the manuscript, we specified in the captions under the figure that the notes refer to individual tones, in order to avoid ambiguities.

      - Wacongne, C., Labyt, E., Van Wassenhove, V., Bekinschtein, T., Naccache, L., & Dehaene, S. (2011). Evidence for a hierarchy of predictions and prediction errors in human cortex. Proceedings of the National Academy of Sciences, 108(51), 20754-20759.

      - Dehaene, S., Meyniel, F., Wacongne, C., Wang, L., & Pallier, C. (2015). The neural representation of sequences: from transition probabilities to algebraic patterns and linguistic trees. Neuron, 88(1), 2-19.

      Figure 2 : In panel C of Figure 2, please include the exact p-value for the interaction observed. Refrain from using asterisks or "n.s." and opt for exact p-values throughout for the sake of clarity. 

      Thank you for your suggestion. We have included the exact p-value for the interaction in panel C of Figure 2. However, for the remaining figures, we have chosen to maintain the use of asterisks and "n.s.". We would like our pictures to convey the key findings concisely, while the numerical details can be found in the article text. The caption below the image also provides guidance on the interpretation of the p-values: (statistical significance: **p < 0.01, *p < 0.05, and ns p > 0.05).  

      Figure 3 Note typo "Omission reponse"

      Fixed. Thanks for noticing the typo. 

      A note: we moved the figure reflecting the main effect of long tone omission and the lack of main effect of language background (Figure 4 in the previous manuscript) in the supplementary material (Supplementary Figure 2).

      References

      Bendixen, A., SanMiguel, I., & Schröger, E. (2012). Early electrophysiological indicators for predictive processing in audition: a review. International Journal of Psychophysiology, 83(2), 120-131.

      Heilbron, M., & Chait, M. (2018). Great expectations: is there evidence for predictive coding in auditory cortex?. Neuroscience, 389, 54-73.

      Iversen, J. R., Patel, A. D., & Ohgushi, K. (2008). Perception of rhythmic grouping depends on auditory experience. The Journal of the Acoustical Society of America, 124(4), 22632271.

      Molnar, M., Lallier, M., & Carreiras, M. (2014). The amount of language exposure determines nonlinguistic tone grouping biases in infants from a bilingual environment. Language Learning, 64(s2), 45-64.

      Molnar, M., Carreiras, M., & Gervain, J. (2016). Language dominance shapes non-linguistic rhythmic grouping in bilinguals. Cognition, 152, 150-159.

      Ross, J. M., & Hamm, J. P. (2020). Cortical microcircuit mechanisms of mismatch negativity and its underlying subcomponents. Frontiers in Neural Circuits, 14, 13.

      Simon, J., Balla, V., & Winkler, I. (2019). Temporal boundary of auditory event formation: An electrophysiological marker. International Journal of Psychophysiology, 140, 53-61.

      Studenova, A. A., Forster, C., Engemann, D. A., Hensch, T., Sander, C., Mauche, N., ... & Nikulin, V. V. (2023). Event-related modulation of alpha rhythm explains the auditory P300 evoked response in EEG. bioRxiv, 2023-02.

      Yoshida, K. A., Iversen, J. R., Patel, A. D., Mazuka, R., Nito, H., Gervain, J., & Werker, J. F. (2010). The development of perceptual grouping biases in infancy: A Japanese-English cross-linguistic study. Cognition, 115(2), 356-361.

      Zhang, Y., Yan, F., Wang, L., Wang, Y., Wang, C., Wang, Q., & Huang, L. (2018). Cortical areas associated with mismatch negativity: A connectivity study using propofol anesthesia. Frontiers in Human Neuroscience, 12, 392.

      Ladinig, O., Honing, H., Háden, G., & Winkler, I. (2009). Probing attentive and preattentive emergent meter in adult listeners without extensive music training. Music Perception, 26(4), 377-386. 

      Brochard, R., Abecasis, D., Potter, D., Ragot, R., & Drake, C. (2003). The “ticktock” of our internal clock: Direct brain evidence of subjective accents in isochronous sequences. Psychological Science, 14(4), 362-366.

      Potter, D. D., Fenwick, M., Abecasis, D., & Brochard, R. (2009). Perceiving rhythm where none exists: Event-related potential (ERP) correlates of subjective accenting. Cortex, 45(1), 103-109.

      Bouwer, F. L., Werner, C. M., Knetemann, M., & Honing, H. (2016). Disentangling beat perception from sequential learning and examining the influence of attention and musical abilities on ERP responses to rhythm. Neuropsychologia, 85, 80-90.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Joint Public Review:

      Summary

      This manuscript explores the transcriptomic identities of olfactory ensheathing cells (OECs), glial cells that support life-long axonal growth in olfactory neurons, as they relate to spinal cord injury repair. The authors show that transplantation of cultured, immunopurified rodent OECs at a spinal cord injury site can promote injury-bridging axonal regrowth. They then characterize these OECs using single-cell RNA sequencing, identifying five subtypes and proposing functional roles that include regeneration, wound healing, and cell-cell communication. They identify one progenitor OEC subpopulation and also report several other functionally relevant findings, notably, that OEC marker genes contain mixtures of other glial cell type markers (such as for Schwann cells and astrocytes), and that these cultured OECs produce and secrete Reelin, a regrowth-promoting protein that has been disputed as a gene product of OECs.

      This manuscript offers an extensive, cell-level characterization of OECs, supporting their potential therapeutic value for spinal cord injury and suggesting potential underlying repair mechanisms. The authors use various approaches to validate their findings, providing interesting images that show the overlap between sprouting axons and transplanted OECs, and showing that OEC marker genes identified using single-cell RNA sequencing are present in vivo, in both olfactory bulb tissue and spinal cord after OEC transplantation.

      Despite the breadth of information presented, however, further quantification of results and explanation of experimental approaches would be needed to support some of the authors' claims. Additionally, a more thorough discussion is needed to contextualize their findings relative to previous work.

      (1) a. Important quantification is lacking for the data presented. For example, multiple figures include immunohistochemistry or immunocytochemistry data (Figures 1, 5, 6), but they are presented without accompanying measures like fractions of cells labeled or comparisons against controls.

      We would like to clarify that the immunohistochemistry or immunocytochemistry data presented are meant to be qualitative rather than quantitative. The main purpose of the images is to show the presence or absence of markers of OEC subtypes rather than how much is present. That being said, in the revision we now add quantitative estimates of cell fractions for OECs along with other major cell types in Supplemental Table 1 and each OEC subtype marker in Supplemental Table 2. 

      b. As a result, for axons projecting via OEC bridges in Figure 1, it is unclear how common these bridges are in the presence or absence of OECs.

      We note that the number of spinal cord transected rats with bridges of axons crossing the lesion core are extremely rare following a severe spinal cord injury in adult mammals. Our first example of axon bridging following a complete spinal cord transection followed by OEC transplants was reported in Thornton et al., (2018) and compared to an incomplete transection in a fibroblast-transplanted control in his Figure 4. That figure also appeared the cover of Experimental Neurology when the paper was published. Figure 1 in the current paper was from an independent experiment which replicated the previously observed rare bridge formation. We noted this in the revised manuscript.

      Page 6: “We note, however, that such bridge formation is rare following a severe spinal cord injury in adult mammals.”

      c. For Figure 6., it is unclear whether cells having an alternative OEC morphology coincide with progenitor OEC subtype marker genes to a statistically significant degree. (see top paragraph on page 11)

      Franceschini & Barnett (1996) suggested that there were 2 distinct types of OECs that could be distinguished by their different morphology: one type resembling a Schwann cell and the other, an astrocyte. The purpose of Figure 6 is to determine if there is a link between our OEC subtypes based on scRNAseq with those previously described based on morphology alone (Franceschini and Barnett, 1996). There could be agreement between large, flat or small fusiform OECs morphological and their progenitor status, but it is not required that the two classification types would significantly overlap. Here we report the percentage of morphology-based cell subtypes that show expression of our OEC subtype markers to estimate the overlap between the two. Our results indicate the two types of OEC morphologies share a certain degree of overlap, a finding that indicates similarities as well as differences between the two classification methods.

      In our results section we show that ~3/4ths of the Ki67-expressing OEC progenitor cells sampled were astrocyte-like, i.e., flat in shape and weakly Ngfr<sup>p75</sup>-labeled. The remaining ~1/4th of the Ki67-labeled  OECs were fusiform in shape and expressed Ngfr<sup>p75</sup> strongly. We feel that this is important to include as it is the only previous report of OB-OEC subtypes. The statistics of these results were in our original manuscript on page 11 and we further revise the text as follows:

      Page 12: “To determine if the proliferative OECs differ in appearance from adult OECs, and whether there is concordance between our OEC subtypes based on gene expression markers and previously described morphology-based OEC subtyping (Franceschini & Barnett, 1996), we analyzed OECs identified with the anti-Ki67 nuclear marker and anti-Ngfr<sup>p75</sup>  (Figure 6g-h). Of the Ki67-positive OECs in our cultures, 24% ± 8% were strongly Ngfr<sup>p75</sup>-positive and spindle-shaped, whereas 76% ± 8% were flat and weakly Ngfr<sup>p75</sup>-labeled (n=4 cultures, p\= 0.023). Here we show that a large percentage (~3/4ths) of proliferative OECs are characterized by large, flat morphology and weak Ngfr<sup>p75</sup> expression resembling the previously described morphology-based astrocyte-like subtype. Our results indicate the two types of OEC classifications share a certain degree of overlap, indicating similarities but also differences between the two classification methods.”

      d. Similar quantification is missing in other types of data such as Western blot images (Fig. 9) and OEC marker gene data (for which p-values are not reported; Table S2). 

      Response on Western blots: The Western blot signals shown in Figure 9 are from experiments that were designed to be qualitative rather than quantitative, by addressing the question, “Can we detect Reelin signals or not? in the different samples.” Both Western blots show that Reln<sup>+/+</sup> mouse olfactory bulbs (d) or cortices (e) contain Reelin whereas Reln<sup>-/-</sup>  samples do not and therefore provide positive and negative controls, respectively. The rat olfactory nerve layer (ONL, laminae I-II of olfactory bulb, d lane 1; e lane 3) contains mainly OECs wrapped around the axons of the olfactory sensory neurons that transmit olfactory signals into the olfactory bulb. To address your request for quantification, Dr. Khankan measured the density of the three isoforms of Reelin, 400 kD, 300 kD and 180 kD in Fig. 9e and normalized them against the GADPH control (37 kD). The graph below shows the normalized band density in arbitrary units on the Y-axis relative to the first 3 conditions, i.e., Reln<sup>+/+</sup> and Reln<sup>-/-</sup> mouse cerebral cortices and rat  Reln<sup>+/+</sup> ONL. Because the conditioned medium was collected from tissue culture medium rather than cells or tissue, the GAPDH control was not present and therefore these data cannot be normalized in a similar analysis.  

      Author response image 1.

      Response for OEC marker gene data: We now add new full supplementary Table S1 (for major cell types) and Table S2 (for OEC subtypes) to report statistical p values and adjusted p values, as well as additional statistics information including percent cell expressing a subtype marker in a given subtype versus in other subtypes. 

      e. The addition of quantitative measures and, where appropriate, statistical comparisons with p-values or other significance measures, would be important for supporting the authors' claims and more rigorously conveying the results.

      As detailed in the above responses, we now add quantifications and statistics to support the claims and enhance the rigor of our analysis.

      (2) a. Some aspects of the experimental design that are relevant to the interpretation of the results are not explained. For example, OECs appear to be collected from only female rats, but the potential implications of this factor are not discussed.

      We added a short explanation in the Discussion and Methods section regarding why spinal cord injury studies are carried out on female rats.

      Page 24, Discussion: “Due to the extensive urinary tract dysfunction in spinal cord transected rats, most studies prefer females as their short urethra facilitates daily manual bladder expression. Our study, therefore, was carried out only on adult female rats, so sex differences and the generalizability of our findings to adult male rats would require further investigation.”

      Page 26, Methods: “Only females were used in order to match the sex of previous SCI studies conducted exclusively on female rats (Dixie, 2019; Khankan et al., 2016; Takeoka et al., 2011; Thornton et al., 2018). Following complete thoracic spinal cord transection, an adult rat is unable to urinate voluntarily and therefore urine must be manually “expressed” twice a day throughout the experiment. Females have a shorter urethra than males, and thus their bladders are easier to empty completely.”

      b. Additionally, it is unclear from the manuscript to what degree immunopurified cells are OECs as opposed to other cell types. The antibody used to retain OECs, nerve growth factor receptor p75 (Ngfr-p75), can also be expressed by non-OEC olfactory bulb cell types including astrocytes [1-3]. The possible inclusion of Ngfr-p75-positive but non-OEC cell types in the OEC culture is not sufficiently addressed.

      (a) Cragnolini, A.B. et al., Glia, (2009), doi: 10.1002/glia.20857.

      (b) Vickland H. et al., Brain Res., (1991), doi: 10.1016/0006-8993(91)91659-O.

      (c) Ung K. et al., Nat Commun., (2021), doi: 10.1038/s41467-021-25444-3.

      Our OECs are dissected primarily from the olfactory nerve layer that is concentrated medially and ventrally around the olfactory bulb together with a small part of the glomerular layer (layer II). OECs are the only glia present in olfactory nerve layer. Thus, although it is possible that other cell types also express Ngfr-p75 as pointed out by the reviewer and in the references provided, our OEC dissection method severely limits the number of astrocytes that might be included in our cultures. We further provide additional evidence (see updated Figure 2d and the detailed responses to the next question) that our immunopanned OECs using our dissection method consistently express all classic OEC markers but do not consistently express the majority of classic markers for other glial cell types such as astrocytes or oligodendrocytes.

      Such non-OEC cell types are also not distinguished in the analysis of single-cell RNA sequencing data (only microglia, fibroblasts, and OECs are identified; Figure 2). Thus, it is currently unclear whether results related to the OEC subtype may have been impacted by these experimental factors.

      We need to clarify that when determining potential cell types in Figure 2, we compared our cell cluster marker genes against a broad array of cell types including astrocytes, oligodendrocytes and Schwann cells, but the gene overlap was only significant for microglia, fibroblasts, and OECs, which we labeled in new Figure 2d. We added more details in methods and results to clarify how we determined the cell types in Figure 2 (text added below). We did consider all the potential cell types that could have been present in our OEC cultures, including astrocytes. However, astrocyte or oligodendrocyte markers were not significantly enriched in the clusters, but markers for microglia, fibroblasts, and OECs were prominent in the cell clusters.

      In the revised Figure 2d, we now illustrate that the OEC clusters not only express typical OEC markers, but also express a few but not all marker genes from other glial cells. We show the comparative data on markers for astrocytes, oligodendrocytes, and Schwann cells in Figure 2d in parallel with the marker genes for OECs, microglia, and fibroblasts. For each of the other glial cell types, there are some genes which overlap with OECs, and that is the reason why we identified OECs as hybrid glia.

      Page 6, Results: “Based on previously reported cell type marker genes for fibroblasts and major glial cell types including OECs, astrocytes, oligodendrocytes, and microglia, we found elevated expression of OEC marker genes in clusters 2, 3 and 7, microglia marker genes in clusters 4, 6, and 7, and fibroblast marker genes in clusters 0, 1, and 5 (Figure 2d).”

      Page 33, Methods: “Additional marker genes for fibroblasts and multiple glial cell types including astrocytes, oligodendrocytes, and microglia were also used to compare with those of the cell clusters.”

      (3) The introduction, while well written, does not discuss studies showing no significant effect of OEC implantation after spinal cord injury. The discussion also fails to sufficiently acknowledge this variability in the efficacy of OEC implantation. This omission amplifies bias in the text, suggesting that OECs have significant effects that are not fully reflected in the literature. The introduction would need to be expanded to properly address the nuance suggested by the literature regarding the benefits of OECs after spinal cord injury. Additionally, in the discussion, relating the current study to previous work would help clarify how varying observations may relate to experimental or biological factors.

      We appreciate the insightful comment and have now included information about the variability in OEC transplantation in previous studies in both the introduction and discussion sections. We discuss technical differences that lead to variability in the Introduction and how our findings could help interpret the variability in the Discussion.

      Page 4-5: Text added to the Introduction: “The outcomes of OEC transplantation studies after spinal cord injury vary substantially in the literature due to many technical differences between their experimental designs. The source of OECs has a great impact on the outcome, with OB-OECs showing more promise than peripheral lamina propria-derived OECs, and purified, freshly-prepared OECs being required for optimal OEC survival. Other important variables include the severity of the injury (hemisection to complete spinal cord transection), the age of the spinal cord injured host (early postnatal versus adult), and OEC transplant strategies (delayed or acute transplantation, cell transplants with or without a matrix; Franssen et al., 2007). Franssen et al. (2007) evaluated studies that used only OECs as a transplant, and reported that 41 out of 56 studies showed positive effects, such as OEC stimulation of regeneration, positive interactions with the glial scar and remyelination of axons. More recent systematic reviews and meta-analyses on the effects of OEC transplantation following different spinal cord injury models reported that OECs significantly improved locomotor function (Watzlawick et al.2016; Nakjavan-Shahraki et al., 2018), but did not improve neuropathic pain (Nakjavan-Shahraki et al., 2018.)”

      Pages 24-25: Discussion on OEC source variability  “Extensive differences between OEC preparations contribute to the large variation in results from OEC treatments following spinal cord injury. This scRNA-seq study focused entirely on OB-OECs, and the next step would be to carry out similar studies on the peripheral, lamina-propria-derived OECs to discern the differences between these OEC populations. Such comparative studies using scRNA-seq will help define the underlying mechanisms and help resolve the variability in results from OEC-based therapy. Detailed studies of the composition of different OEC transplant types will contribute to identifying the most reparative cell transplantation treatments.”

      Reviewer #1 (Recommendations For The Authors):

      This is an extremely well-written and impactful series of experiments from a renowned leader in the field. The experimental questions are timely, with similar therapeutic approaches being prepared for clinical trial. The results address a gap that has persisted in the field for several decades and one that has been considered by many scientists long before technology existed to find answers. This highlights the importance of these experiments and the results reported here. With these things in mind, there are only a few minor factors that I have, that should be addressed to strengthen the paper.

      We truly appreciate the positive evaluations from the reviewer!

      Primary concerns

      (1) Quantification of results: The authors report on the data with broad brush strokes, missing the opportunity to quantify results and strengthen the interpretations. For instance, when describing gene expression, what proportion of cells analyzed were expressing these genes? How did this compare with detectable levels of protein? Can the author draw correlations between data sets collected that could offer even more insight into the identities of the cells studied? There is also a missed opportunity to evaluate how transplantation into injured neural tissue might alter gene expression of the phenotypes identified prior to transplantation.

      We appreciate these insightful comments and have added quantitative information and other relevant discussions in the revision. We now add Suppl Tables 1 (for major cell types including OECs, fibroblast, and microglia) and 2 (for OEC subtypes) to indicate the proportion of cells expressing each marker gene in each given cell cluster/subtype in the column. “Percentage of cells expressing the gene in the subtype/cell type” versus the proportion of cells expression the given marker genes in other cell types in the column “Percentage of cells expressing the gene in the other subtypes/cell types.” In the new supplementary tables, we report statistical p values and adjusted p values after multiple testing correction to indicate statistical significance.

      Regarding the comparison with protein levels, we carried out immunohistochemistry experiments to confirm the proteins corresponding to OEC subtype markers. Our findings show that proteins for the gene markers can be detected, and thereby supports our sc-seq findings. However, the immunofluorescence only provides a qualitative measure of protein levels in situ, so we cannot perform a correlation analysis. This is something we plan to  pursue in a follow-up study with measurable protein levels. We also discuss future directions to examine the genes and proteins in in vivo transplantation studies in the Discussion.

      (2) Discussion and interpretation: Greater depth to interpretation and discussion of data and its impact on future work is needed. For example, on pages 20-21, the authors reflect briefly on why Reelin might be of interest (it could lead to Dab-1 expression), but why is that important? There are several instances like this where it would be useful for the authors to provide a little more insight into the potential impact of these data and interpretations.

      We appreciate these valuable suggestions. We have revised our Results and Discussion sections to offer deeper insight and interpretation of the importance of the data, especially that for Reelin.

      Page 17: Results: “In the canonical Reelin-signaling pathway, Reelin binds to the very-low-density lipoprotein receptor (Vldlr) and apolipoprotein E receptor 2 (ApoER2) and induces Src-mediated tyrosine phosphorylation of the intracellular adaptor protein Disabled-1 (Dab1). Both Reelin and Dab1 are highly expressed in embryos and contribute to correct neuronal positioning.”

      Page 22-23, Discussion: “Reelin is a developmentally expressed protein detected in specific neurons, in addition to OECs and Schwann cells. The canonical Reelin-signaling pathway involves neuronal-secreted Reelin binding to Vldlr and ApoER2 receptors expressed on Dab1-labeled neurons. Following Reelin binding, Dab1 is phosphorylated by Src family kinases which initiates multiple downstream pathways. Very little is known, however, about Reelin secreted by glia. Panteri et al. (2006) reported that Schwann cells express low levels of Reelin in adults, and that it is upregulated following a peripheral nerve crush, as is reported above for many neurotrophic factors. Reelin loss in Schwann cells reduced the diameter of small myelinated axons but did not affect unmyelinated axons (Panteri et al., 2005). In the olfactory system, OECs ensheath the Dab1-labeled, unmyelinated axons of olfactory sensory neurons which are continuously generated and die throughout life. OEC transplantation following spinal cord injury would provide an exogenous source of Reelin that could phosphorylate Dab1-containing neurons or their axons. Dab1 is expressed at high levels in the axons of some projection neurons, such as the corticospinal pathway (Abadesco et al., 2014). Future experiments are needed to explore the function that glial-secreted Reelin may have on axonal regeneration.”

      Minor concerns

      (3) The authors reflect on the spontaneous glial bridge that develops in the repairing spinal cord of Zebrafish, but perhaps even more relevant is that this same phenomenon occurs in mammals as well if the spinal cord is injured during early development (opossum; Lane et al, EJN 2007). This should be considered and the statement that there is little regeneration in the mammalian spinal cord should be clarified.

      We appreciate this insightful comment. We now add discussions of the axonal regeneration and bridging observed following severe spinal cord injury in young developing mouse and opossum spinal cords.

      Page 23: “Adult mammals show little evidence of spontaneous axonal regeneration after a severe spinal cord injury in contrast to transected neonatal rats (Bregman, 1987; Bregman et al., 1993) and young postnatal opossums (Lane et al., 2007). In immature mammals, axons continue to project across or bridge the spinal cord transection site during development. Lower organisms such as fish, show even more evidence of regeneration following severe SCI. Mokalled et al. (2016) reported that glial secretion of Ctgfa/Ccn2 was both necessary and sufficient to stimulate a glial bridge for axon regeneration across the zebrafish transection site. Cells in the injury site that express Ctgf include ependymal cells, endothelial cells, and reactive astrocytes (Conrad et al., 2005; Mokalled et al., 2016; Schwab et al., 2001). Here we show that, although rare, Ctgf-positive OECs can contribute to glial bridge formation in adult rats. The most consistent finding among our severe SCI studies combined with OEC transplantation is the extent of remodeling of the injury site and axons growing into the inhibitory lesion site, together with OECs and astrocytes. The formation of a glial bridge across the injury was critical to the spontaneous axon generation seen in zebrafish (Mokalled et al., 2016) and likely contributed to the axon regeneration detected in our OEC transplanted, transected rats (Dixie, 2019; Khankan et al., 2016; Takeoka et al., 2011; Thornton et al., 2018).

      Reviewer #2 (Recommendations For The Authors):

      (1) The manuscript title and abstract must include the species and sex studied.

      The title and abstract have been modified as suggested.

      Page 1: “Olfactory ensheathing cells from adult female rats are hybrid glia that promote neural repair”

      (2) OECs submitted for sequencing were like those about to be transplanted; however, the phenotype of the cells would likely change immediately and shift over time post-implantation. Please briefly address or discuss this point in the Discussion (or Results).

      We have added this important discussion point.

      Pages 23-24: Discussion: “We recognize that this study is a single snapshot of OEC gene expression derived from adult female rats before they are transplanted above and below the spinal cord transection site. We would expect the gene expression of transplanted OECs to change in each new environment, i.e. as they migrate into the injury site, integrate into the glial scar, and wrap around axons. Based on our past studies, OECs survived in an outbred Sprague-Dawley rat model for ~ 4 weeks (Khankan et al., 2016) and in an inbred Fischer 344 model for 5 months (Dixie, 2019). As spinal cord injury transplant procedures are further enhanced and OEC survival improves, these hybrid glial cells should be examined at multiple time points to better evaluate their proregenerative characteristics.”

      (3) Page 12: Use of "monocytes" - the word "monocyte" implies a circulating, undifferentiated innate immune cell. This should not be used interchangeably with macrophage or microglia.

      We agree and now refer to microglia or macrophages depending on the context. We did leave the term monocyte in Table 3 if these cells were found in a top 20 gene reported in the references.

      (4) Page 12: "We now show that these unique monocytes reported between the bundles of olfactory axons surrounded by OECs (Smithson & Kawaja, 2010), are in fact, a distinct subtype of OECs."

      Is it possible to conclude that these cells are a "distinct subtype of OECs?" Perhaps these cells are a hybrid between microglia/macrophages and OECs? This is speculative, so should be worded more carefully - especially in the Results section. Please clarify, dampen conclusions, and/or better justify the wording here.

      We agree and have modified the entire paragraph to dampen and more carefully explain our conclusions. We also added an additional observation that strengthens the relationship between OECs and microglial/macrophages.  

      Page 12, Results: Additional observation: “In fact, all top 20 genes in cluster 3 are expressed in microglia, macrophages, and/or monocytes (Suppl. Table 3).”

      Page 13, Results: The statement referenced in your review was deleted and we wrote the following: “Smithson and Kawaja (2010) identified unique microglial/macrophages that immunolabeled with Iba-1 (Aif1) and Annexin A3 (Anxa3) in the olfactory nerve and outer nerve layer of the olfactory bulb. These authors proposed that Iba1-Anxa3 double-labeled cells were a distinct population of microglia/macrophages that protected the olfactory system against viral invasion into the cranial cavity. Based on our scRNA-seq data we offer an alternative interpretation that at least some of these Iba-1-Anxa3 cells may be a hybrid OEC-microglial cell type. Supporting this interpretation, there are a number of reports that suggest OECs frequently function as phagocytes (e.g., Khankan et al., 2016; Nazareth et al., 2020; Su et al. 2013).”

      (5) Page 13: "Pseudotime trajectory analysis, a widely used approach to predict cell plasticity and lineages based on scRNA-seq data, suggests that there are potential transitions between specific OEC subclusters." This is interesting but is somewhat unclear. Please add one more sentence to aid the reader's understanding regarding how this analysis is performed.

      Thank you for your valuable feedback. We have revised the text for clarity as follows:

      Page 14, Results: “We performed pseudotime trajectory analysis using the Slingshot algorithm to infer lineage trajectories, cell plasticity and lineages by ordering cells in pseudotime based on their transcriptional progression reflected in scRNA-seq data. Transcriptional progression refers to the changes in gene expression profiles of cells as they undergo differentiation or transition through different states. The trajectory analysis results suggest that there are potential transitions between specific OEC subclusters.”

      (6) The authors could discuss potential reasons for variability in OEC treatment results after spinal cord injury between studies and labs. How might sequencing results here inform the debate about whether OECs are helpful or not?

      In response to the Public Review, we added discussions about the variability in OEC treatments between studies in both the Introduction and Discussion, and these comments are copied on pages 6-7 of this document. In the Discussion we included a statement about how the current findings may inform the debate on OECs.

      (7) Discussion: please add a discussion of limitations and future directions that addresses the following points:

      a) Please add one sentence on the lack of studying sex differences - only females were studied here.

      b) There is no correlation or modulation of any target genes, so all results here are correlative.

      c) Please add a brief paragraph with future directions for the field, including acknowledgment that the role of OECs in repair after SCI is not fully resolved and that future studies might consider targeting some of the specific pathways described herein.

      d) Which pathways and OEC subpopulations likely best support repair, and how might these be reinforced or better maintained in the SCI environment? If not known, what are the next steps for identifying the most reparative OEC subtype?

      Thank you for the valuable suggestions. We have added these to the discussion as detailed below.

      Pages 23-25, Discussion:

      “Limitations of these OEC scRNA-Seq studies”

      “We recognize that this study is a single snapshot of OEC gene expression derived from adult female rats before they are transplanted above and below the spinal cord transection site. We would expect the gene expression of transplanted OECs to change in each new environment, i.e. as they migrate into the injury site, integrate into the glial scar, and wrap around axons. Based on our past studies, OECs survived in an outbred Sprague-Dawley rat model for ~ 4 weeks (Khankan et al., 2016) and in an inbred Fischer 344 model for 5 months (Dixie, 2019). As spinal cord injury transplant procedures are further enhanced and OEC survival improves, these hybrid glial cells should be examined at multiple time points to better evaluate their proregenerative characteristics.”

      “Due to the extensive urinary tract dysfunction in spinal cord transected rats, most studies are conducted on females as their short urethra facilitates daily manual bladder expression. Our study was carried out only on adult female rats, so sex differences and the generalizability of our findings to adult male rats would require further investigation. We also did not modulate any of the genes or proteins in the identified OEC subtypes to test their causal and functional roles, thus our findings remain correlative in the current study. Future gene/protein modulation studies are necessary to understand the functional roles of the individual OEC subtypes in the context of their reparative functions to determine which pathways and subtypes are more critical and can be enhanced for neural repair. Our current findings build the foundation for these future studies to help resolve the role of OECs in spinal cord injury repair.” 

      “Extensive differences between OEC preparations contribute to the large variation in results from OEC treatments following spinal cord injury. This scRNA-seq study focused entirely on OB-OECs, and the next step would be to carry out similar studies on the peripheral, lamina-propria-derived OECs to discern the differences between the two OEC populations. Such comparative studies using scRNA-seq will help define the underlying mechanisms and resolve the variability in results from OEC-based therapy. Detailed studies of the composition of different OEC transplant types will contribute to identifying the most reparative cell transplantation treatments.”

      (8) Figure 6: What is the major point of this figure and its related immunocytochemistry? Please clarify.

      Franceschini & Barnett (1996) suggested that there were 2 distinct types of OECs that could be distinguished by their different morphology: One type resembling a Schwann cell and the other, an astrocyte. The purpose of Figure 6 is to determine if there is a link between our scRNA-seq-based OEC subtypes with those previously described based on morphology alone (Franceschini and Barnett, 1996). In our results section we show that ~3/4ths of the OECs sampled that were Ki67+ progenitor cells and were astrocyte-like, i.e., flat in shape and weakly Ngfr<sup>p75</sup>-labeled. The remainder were Schwann cell-like, fusiform in shape and strongly Ngfr<sup>p75</sup>-labeled. Our results indicate the two types of OEC classifications share certain degrees of overlap, indicating similarities but also differences between the different classification methods.

      (9) Figure 9, caption: "OEC whole cell lysates (WCL; lanes: 4, 6, and 8), and OEC conditioned medium (CM; lanes: 5 and 7)."  This statement is unclear - please clarify the result here.

      We added clarification to the legend for Figure 9d. 

      Page 50: (d) “Western blot confirms the expression of Reelin in rat olfactory nerve layer I and layer II (ONL; lane 1 of western blot). Reln<sup>+/+</sup> and Reln<sup>-/-</sup> mouse olfactory bulbs were used as positive and negative controls, respectively (lanes: 2 and 3). Reelin that was synthesized by cultured OECs was found in whole cell lysates (WCL; lanes: 4, 6, and 8), whereas Reelin that was secreted by cultured OECs into tissue culture medium was measured in the OEC “conditioned medium” (CM; lanes: 5 and 7). GAPDH was the loading control for tissue homogenates (lanes 1-4, 6, 8).”

      (10) Methods: A Cat. No. for all antibodies and key supplies should be included.

      Response: All of the antibody information in the revised version is in Suppl. Table 4. Information for other key supplies is included in the extensive methods section.

      (11) Methods: How was primary antibody specificity validated for less-used antibodies? Background staining can be a major issue after SCI; e.g., with the CTGF antibody used in Figure 5.

      The spinal cord section shown in Figure 5 was compared to sections from the same SCI cohort that had been injected with control cells, i.e. skin fibroblasts. We have used the first two antibodies (anti-Glial fibrillary acidic protein and anti-Green fluorescent protein) for many years so only the CTGF was a “less-used antibody.” Our strategy for working with “less-used” or “newly-purchased” antibodies was as follows.

      First, we studied the literature to find the best antibodies for neuronal tissue. Many of the images in Figure 7 were generated with antibodies purchased just for this study. Our goal was to characterize them on normal adult lamina propria and olfactory bulb tissues rather than in the injured spinal cord where background can be an issue. In the olfactory bulb we examined the olfactory nerve layer where OECs are concentrated and then examined the olfactory epithelium, lamina propria, and the deep layers of the olfactory bulb to find regions without immunolabel. As described above, we tested anti-CTGF antibodies in SCI sections implanted with skin fibroblasts controls when conducting experiments for CTGF in sections with OECs. New antibodies were tested at multiple concentrations and we tried different immunocytochemical techniques. Anti-CTFG is expressed by several different cell types, but expression is low in most of the areas above and below the injury site. Despite our success with many “newly-purchased” antibodies there were at least 4 of them that we were never able obtain specific labeling. 

      (12) Will the data (especially the sequencing data) be shared publicly?

      The data has been uploaded to and shared via the public data repository GEO. Data availability is stated on the title page of this manuscript.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment

      This study provides important evidence supporting the ability of a new type of neuroimaging, OPM-MEG system, to measure beta-band oscillation in sensorimotor tasks on 2-14 years old children and to demonstrate the corresponding development changes, since neuroimaging methods with high spatiotemporal resolution that could be used on small children are quite limited. The evidence supporting the conclusion is solid but lacks clarifications about the much-discussed advantages of OPM-MEG system (e.g., motion tolerance), control analyses (e.g., trial number), and rationale for using sensorimotor tasks. This work will be of interest to the neuroimaging and developmental science communities.

      We thank the editors and reviewers for their time and comments on our manuscript. We have responded in detail to the comments, on a point-by-point basis, below. Included in our responses (and our revised manuscript) are additional analyses to control for trial count, clarification of the advantages of OPM-MEG, and justification of our use of sensory (as distinct from motor) stimulation. In what follows, our responses are in bold typeface; additions to our manuscript are in bold italic typeface. 

      Reviewer #1 (Public Review):

      Summary:

      Compared with conventional SQUID-MEG, OPM-MEG offers theoretical advantages of sensor configurability (that is, sizing to suit the head size) and motion tolerance (the sensors are intrinsically in the head reference frame). This study purports to be the first to experimentally demonstrate these advantages in a developmental study from age 2 to age 34. In short, while the theoretical advantages of OPM-MEG are attractive - both in terms of young child sensitivity and in terms of motion tolerance - neither was in fact demonstrated in this manuscript. We are left with a replication of SQUID-MEG observations, which certainly establishes OPM-MEG as "substantially equivalent" to conventional technology but misses the opportunity to empirically demonstrate the much-discussed theoretical advantages/opportunities.

      Thank you for reviewing our manuscript. We agree that our results demonstrate substantial equivalence with conventional MEG. However, as mentioned by Reviewer 3, most past studies have “focused on older children and adolescents (e.g., 9-15 years old)” whereas our youngest group is 25 years. We believe that by obtaining data of sufficient quality in these age groups, without the need for any restriction of head movement, we have demonstrated the advantage of OPM-MEG. We now have made this clear in our discussion:

      “…our primary aim was to test the feasibility of OPM-MEG for neurodevelopmental studies. Our results demonstrate we were able to scan children down to age 2 years, measuring high-fidelity electrophysiological signals and characterising the neurodevelopmental trajectory of beta oscillations. The fact that we were able to complete this study demonstrates the advantages of OPM-MEG over conventional-MEG, the latter being challenging to deploy across such a large age range…”

      Strengths:

      A replication of SQUID-MEG observations, which certainly establishes OPM-MEG as "substantially equivalent" to conventional technology but misses the opportunity to empirically demonstrate the much-discussed theoretical advantages/opportunities.

      As noted above the demonstration of equivalence was one of our primary aims. We have elaborated further on the advantages below.

      Weaknesses:

      The authors describe 64 tri-axial detectors, which they refer to as 192 channels. This is in keeping with some of the SQUID-MEG description, but possibly somewhat disingenuous. For the scientific literature, perhaps "64 tri-axial detectors" is a more parsimonious description.

      The number of channels in a MEG system refers to the number of independent measurements of magnetic field. This, in turn, tells us the number of degrees of freedom in the data that can be exploited by algorithms like signal space separation or beamforming. E.g. the MEGIN (cryogenic) MEG system has 306 channels, 102 magnetometers and 204 planar gradiometers. Sensors are constructed as “triple sensor elements” with one magnetometer and 2 gradiometers (in orthogonal orientations) centred on a single location. In our system, each sensor has three orthogonal metrics of magnetic field which are (by definition) independent. We have 64 such sensors, and therefore 192 independent channels – indeed when implementing algorithms like SSS we have shown we can exploit this number of degrees of freedom.1 192 channels is therefore an accurate description of the system.

      A small fraction (<20%) of trials were eliminated for analysis because of "excess interference" - this warrants further elaboration.

      We agree that this is an important point. We now state in our methods section:

      “…Automatic trial rejection was implemented with trials containing abnormally high variance (exceeding 3 standard deviations from the mean) removed. All experimental trials were also inspected visually by an experienced MEG scientist, to exclude trials with large spikes/drifts that were missed by the automatic approach. In the adult group, there was a significant overlap between automatically and manually detected bad trials (0.7+-1.6 trials were only detected manually). In the children 10.0 +-9.4 trials were only detected manually)…”

      We also note that the other reviewers and editor questioned whether the higher rejection rate in children had any bearing on results. This is an extremely important question. In revising the manuscript this has also been taken into account with all data reanalysed with equal trial counts in children and adults. Results are presented in Supplementary Information Section 5.

      Figure 3 shows a reduced beta ERD in the youngest children. Although the authors claim that OPMMEG would be similarly sensitive for all ages and that SQUID-MEG would be relatively insensitive to young children, one trivial counterargument that needs to be addressed is that OPM has NOT in fact increased the sensitivity to young child ERD. This can possibly be addressed by analogous experiments using a SQUID-based system. An alternative would be to demonstrate similar sensitivity across ages using OPM to a brain measure such as evoked response amplitude. In short, how does Figure 3 demonstrate the (theoretical) sensitivity advantage of OPM MEG in small heads ?

      We completely understand the referees’ point – indeed the question of whether a neuromagnetic effect really changes with age, or apparently changes due to a drop in sensitivity (caused by reduced head size or - in conventional MEG and fMRI - increased subject movement) is a question that can be raised in all neurodevelopmental studies.

      Our authors have many years’ experience conducting studies using conventional MEG (including in neurodevelopment) and agreed that the idea of scanning subjects down to age two in conventional MEG would not be practical; their heads are too small and they typically fail to tolerate an environment where they are forced to remain still for long periods. Even if we tried a comparative study using conventional MEG, the likely data exclusion rate would be so high that the study would be confounded. This is why most conventional MEG studies only scan older children and adolescents. For this reason, we cannot undertake the comparative study the reviewer suggests. There are however two reasons why we believe sensitivity is not driving the neurodevelopmental effects that we observe:

      Proximity of sensors to the head: 

      For an ideal wearable MEG system, the distance between the sensors and the scalp surface (sensor proximity) would be the same regardless of age (and size), ensuring maximum sensitivity in all subjects. To test how our system performed in this regard, we undertook analyses to compute scalp-to-sensor distances. This was done in two ways:

      (1) Real distances in our adaptable system: We took the co-registered OPM sensor locations and computed the Euclidean distance from the centre of the sensitive volume (i.e. the centre of the vapour cell) to the closest point on the scalp surface. This was measured independently for all sensors, and an average across sensors calculated. We repeated this for all participants (recall participants wore helmets of varying size and this adaptability should help minimise any relationship between sensor proximity and age).

      (2) Simulated distances for a non-adaptable system: Here, the aim was to see how proximity might have changed with age, had only a single helmet size been used. We first identified the single example subject with the largest head (scanned wearing the largest helmet) and extracted the scalpto-sensor distances as above. For all other subjects, we used a rigid body transform to co-register their brain to that of the example subject (placing their head (virtually) inside the largest helmet). Proximity was then calculated as above and an average across sensors calculated. This was repeated for all participants.

      In both analyses, sensor proximity was plotted against age and significant relationships probed using Pearson correlation. 

      In addition, we also wanted to probe the relation between sensor proximity and head circumference. Head circumference was estimated by binarising the whole head MRI (to delineate volume of the head), and the axial slice with the largest circumference around was selected. We then plotted sensor proximity versus head circumference, for both the real (adaptive) and simulated (nonadaptive) case (expecting a negative relationship – i.e. larger heads mean closer sensor proximity). The slope of the relationship was measured and we used a permutation test to determine whether the use of adaptable helmets significantly lowered the identified slope (i.e. do adaptable helmets significantly improve sensor proximity in those with smaller head circumference).

      Results are shown in Figure R1. We found no measurable relationship between sensor proximity and age (r = -0.195; p = 0.171) in the case of the real helmets (panel A). When simulating a non-adaptable helmet, we did see a significant effect of age on scalp-to-sensor distance (r = -0.46; p = 0.001; panel B). This demonstrates the advantage of the adaptability of OPM-MEG; without the ability to flexibly locate sensors, we would have a significant confound of sensor proximity. 

      Plotting sensor proximity against head circumference we found a significant negative relationship in both cases (r = -0.37; p = 0.007 and  r = -0.78; p = 0.000001); however, the difference between slopes was significant according to a permutation test (p < 0.025) suggesting that adaptable has indeed improved sensor proximity in those with smaller head circumference. This again shows the benefits of adaptability to head size.

      Author response image 1.

      Scalp-to-sensor distance as a function of age (A/B) and head circumference (C/D). A and C show the case for the real helmets; B and D show the simulated non-adaptable case.

      In sum, the ideal wearable system would see sensors located on the scalp surface, to get as close as possible to the brain in all subjects. Our system of multiple helmet sizes is not perfect in this regard (there is still a significant relationship between proximity and head circumference). However, our solution has offered a significant improvement over a (simulated) non-adaptable system. Future systems should aim to improve even further on this, either by using additively manufactured bespoke helmets for every subject (this is a gold standard, but also costly for large studies), or potentially adaptable flexible helmets.

      Burst amplitudes:

      The reviewer suggested to “demonstrate similar sensitivity across ages using OPM to a brain measure”. We decided not to use the evoked response amplitude (as suggested), since this would be expected to change with age. Instead, we used the amplitude of the bursts.

      Our manuscript shows a significant correlation between beta modulation and burst probability – implying that the stimulus-related drop in beta amplitude occurs because bursts are less likely to occur. Further, we showed significant age-related changes in both beta amplitude and burst probability leading to a conclusion that the age dependence of beta modulation was caused by changes in the likelihood of bursts (i.e. bursts are less likely to ’switch off’ during sensory stimulation in children). We have now extended these analyses to test whether burst amplitude also changes significantly with age – we reasoned that if burst amplitude remained the same in children and adults, this would not only suggest that beta modulation is driven by burst probability (distinct from burst amplitude), but also show directly that the beta effects we see are not attributable to a lack of sensitivity in younger people. 

      We took the (unnormalized) beamformer projected electrophysiological time series from sensorimotor cortex and filtered it 5-48 Hz (the motivation for the large band was because bursts are known to be pan-spectral and have lower frequency content in children; this band captures most of the range of burst frequencies highlighted in our spectra). We then extracted the timings of the bursts, and for each burst took the maximum projected signal amplitude. These values were averaged across all bursts in an individual subject, and plotted for all subjects against age.

      Author response image 2.

      Beta burst amplitude as a function of age; A) shows index finger simulation trials; B shows little finger stimulation trials. In both case there was no significant modulation of burst amplitude with age.

      Results (see Figure R2) showed that the amplitude of the beta burst showed no significant age-related modulation (R2 = 0.01, p = 0.48 for index finger and R2 = 0.01, p = 0.57 for the little finger). This is distinct from both burst probability and task induced beta modulation. This adds weight to the argument that the diminished beta modulation in children is not caused by a lack of sensitivity to the MEG signal and supports our conclusion that burst probability is the primary driver of the agerelated changes in beta oscillations.

      Both of the above analyses have been added to our supplementary information and mentioned in the main manuscript. The first shows no confound of sensor proximity to the scalp with age in our study. The second shows that the bursts underlying the beta signal are not significantly lower amplitude in children – which we reasoned they would be if sensitivity was diminished at younger ages. We believe that the two together suggest that we have mitigated a sensitivity confound in our study.

      The data do not make a compelling case for the motion tolerance of OPM-MEG. Although an apparent advantage of a wearable system, an empirical demonstration is still lacking. How was motion tracked in these participants?

      We agree that this was a limitation of our experiment. 

      We have the equipment to track motion of the head during an experiment, using IR retroreflective markers placed on the helmet and a set of IR cameras located inside the MSR. However, the process takes a long time to set up, it lacks robustness, and would have required an additional computer (the one we typically use was already running the somatosensory stimulus and video). When the study was designed, we were concerned that the increased set up time for motion tracking would cause children to get bored, and result in increased participant drop out. For this reason we decided not to capture motion of the head during this study.

      With hindsight this was a limitation which – as the reviewer states – makes us unable to prove that motion robustness was a significant advantage for this study. That said, during scanning there was both a parent and an experimenter in the room for all of the children scanned, and anecdotally we can say that children tended to move their head during scans – usually to talk to the parent. Whilst this cannot be quantified (and is therefore unsatisfactory) we thought it worth mentioning in our discussion, which reads:

      “…One limitation of the current study is that practical limitations prevented us from quantitatively tracking the extent to which children (and adults) moved their head during a scan. Anecdotally however, experimenters present in the room during scans reported several instances where children moved, for example to speak to their parents who were also in the room. Such levels of movement could not be tolerated in conventional MEG or MRI and so this again demonstrates the advantages afforded by OPM-MEG…”

      As a note, empirical demonstrations of the motion tolerance of OPM-MEG have been published previously: Early demonstrations included Boto et al. 2 who captured beta oscillations in adults playing a ball game and Holmes et al. who measured visual responses as participants moved their head to change viewing angle3. In more recent demonstrations, Seymour et al. measured the auditory evoked field in standing mobile participants4; Rea et al. measured beta modulation as subjects carried out a naturalistic handwriting task5 and Holmes et al measured beta modulation as a subject walked around a room.6

      Furthermore, while the introduction discusses at some length the phenomenon of PMBR, there is no demonstration of the recording of PMBR (or post-sensory beta rebound). This is a shame because there is literature suggesting an age-sensitivity to this, that the optimal sensitivity of OPM-MEG might confirm/refute. There is little evidence in Figure 3 for adult beta rebound. Is there an explanation for the lack of sensitivity to this phenomenon in children/adolescents? Could a more robust paradigm (button-press) have shed light on this?

      We understand the question. There are two limitations to the current study in respect to measuring the PMBR:

      Firstly, sensory tasks generally do not induce as strong a PMBR as motor tasks and with this in mind a stronger rebound response could have been elicited using a button press. However, it was our intention to scan children down to age 2 and we were sceptical that the youngest children would carry out a button press as instructed. For this reason we opted for entirely passive stimulation, requiring no active engagement from our participants. The advantages of this was a stimulus that all subjects could engage with. However, this was at the cost of a diminished rebound.

      The second limitation relates to trial length. Multiple studies have shown that the PMBR can last over ~10 s 7,8. Indeed, Pfurtscheller et al. argued in 1999 that it was necessary to leave 10 s between movements to allow the PMBR to return to a true baseline9, though this has rarely been adhered to in the literature. Here, we wanted to keep recordings short for the comfort of the younger participants, so we adopted a short trial duration. However, a consequence of this short trial length is that it becomes impossible to access the PMBR directly; one can only measure beta modulation with the task. This limitation has now been addressed explicitly in our discussion:

      “…this was the first study of its kind using OPM-MEG, and consequently aspects of the study design could have been improved. Firstly, the task was designed for children; it was kept short while maximising the number of trials (to maximise signal to noise ratio). However, the classical view of beta modulation includes a PMBR which takes ~10 s to reach baseline following task cessation7–9. Our short trial duration therefore doesn’t allow the rebound to return to baseline between trials, and so conflates PMBR with rest. Consequently, we cannot differentiate the neural generators of the task induced beta power decrease and the PMBR; whilst this helped ensure a short, child friendly task, future studies should aim to use longer rest windows to independently assess which of the two processes is driving age related changes…”

      Data on functional connectivity are valuable but do not rely on OPM recording. They further do not add strength to the argument that OPM MEG is more sensitive to brain activity in smaller heads - in fact, the OPM recordings seem plagued by the same insensitivity observed using conventional systems.

      Given the demonstration above that bursts are not significantly diminished in amplitude in children relative to adults; and further given the demonstrations in the literature (e.g. Seedat et al.10) that functional connectivity is driven by bursts, we would argue that the effects of connectivity changing with age are not related to sensitivity but rather genuinely reflect a lack of coordination of brain activity.

      The discussion of burst vs oscillations, while highly relevant in the field, is somewhat independent of the OPM recording approach and does not add weight to the OPM claims.

      We agree that the burst vs. oscillations discussion does not add weight to the OPM claims per se. However, we had two aims of our paper, the second being to “investigate how task-induced beta modulation in the sensorimotor cortices is related to the occurrence of pan-spectral bursts, and how the characteristics of those bursts change with age.” As the reviewer states, this is highly relevant to the field, and therefore we believe adds impact, not only to the paper, but also by extension to the technology.

      In short, while the theoretical advantages of OPM-MEG are attractive - both in terms of young child sensitivity and in terms of motion tolerance, neither was in fact demonstrated in this manuscript. We are left with a replication of SQUID-MEG observations, which certainly establishes OPM-MEG as "substantially equivalent" to conventional technology but misses the opportunity to empirically demonstrate the much-discussed theoretical advantages/opportunities.

      We thank the referee for the time and important contributions to this paper. We believe the fact that we were able to record good data in children as young as two years old was, in itself, an experimental realisation of the ‘theoretical advantages’ of OPM-MEG. Our additional analyses, inspired by the reviewers comments, help to clarify the advantages of OPM-MEG over conventional technology. The reviewers’ insights have without doubt improved the paper.

      Reviewer #2 (Public Review):

      Summary:

      The authors introduce a new 192-channel OPM system that can be configured using different helmets to fit individuals from 2 to 34 years old. To demonstrate the veracity of the system, they conduct a sensorimotor task aimed at mapping developmental changes in beta oscillations across this age range. Many past studies have mapped the trajectory of beta (and gamma) oscillations in the sensorimotor cortices, but these studies have focused on older children and adolescents (e.g., 9-15 years old) and used motor tasks. Thus, given the study goals, the choice of a somatosensory task was surprising and not justified. The authors recorded a final sample of 27 children (2-13 years old) and 24 adults (21-34 years) and performed a time-frequency analysis to identify oscillatory activity. This revealed strong beta oscillations (decreases from baseline) following the somatosensory stimulation, which the authors imaged to discern generators in the sensorimotor cortices. They then computed the power difference between 0.3-0.8 period and 1.0-1.5 s post-stimulation period and showed that the beta response became stronger with age (more negative relative to the stimulation period). Using these same time windows, they computed the beta burst probability and showed that this probability increased as a function of age. They also showed that the spectral composition of the bursts varied with age. Finally, they conducted a whole-brain connectivity analysis. The goals of the connectivity analysis were not as clear as prior studies of sensorimotor development have not conducted such analyses and typically such whole-brain connectivity analyses are performed on resting-state data, whereas here the authors performed the analysis on task-based data. In sum, the authors demonstrate that they can image beta oscillations in young children using OPM and discern developmental effects.

      Thank you for this summary and for taking the time to review our manuscript.

      Strengths:

      Major strengths of the study include the novel OPM system and the unique participant population going down to 2-year-olds. The analyses are also innovative in many respects.

      Thank you – we also agree that the major strength is in the unique cohort.

      Weaknesses:

      Several weaknesses currently limit the impact of the study. 

      First, the choice of a somatosensory stimulation task over a motor task was not justified. The authors discuss the developmental motor literature throughout the introduction, but then present data from a somatosensory task, which is confusing. Of note, there is considerable literature on the development of somatosensory responses so the study could be framed with that.

      We completely understand the referee’s point, and we agree that the motivation for the somatosensory task was not made clear in our original manuscript.

      Our choice of task was motivated completely by our targeted cohort; whilst a motor task would have been our preference, it was generally felt that making two-year-olds comply with instructions to press a button would have been a significant challenge. In addition, there would likely have been differences in reaction times. By opting for a passive sensory stimulation we ensured compliance, and the same stimulus for all subjects. We have added text on this to our introduction as follows:

      “…Here, we combine OPM-MEG with a burst analysis based on a Hidden Markov Model (HMM) 10–12 to investigate beta dynamics. We scanned a cohort of children and adults across a wide age range (upwards from 2 years old). Because of this, we implemented a passive somatosensory task which can be completed by anyone, regardless of age…”

      We also state in our discussion:

      “…here we chose to use passive (sensory) stimulation. This helped ensure compliance with the task in subjects of all ages and prevented confounds of e.g. reaction time, force, speed and duration of movement which would be more likely in a motor task.7,8 However, there are many other systems to choose and whether the findings here regarding beta bursts and the changes with age also extend to other brain networks remains an open question.…”

      Regarding the neurodevelopmental literature – we are aware of the literature on somatosensory evoked responses – particularly median nerve stimulation – but we can find little on the neurodevelopmental trajectory of somatosensory induced beta oscillations (the topic of our paper). We have edited our introduction as follows:

      “…All these studies probed beta responses to movement execution; in the case of tactile stimulation (i.e. sensory stimulation without movement) both task induced beta power loss, and the post stimulus rebound have been consistently observed in adults9,13–18. Further, beta amplitude in sensory cortex has been related to attentional processes19 and is broadly thought to carry top down top down influence on primary areas20. However, there is less literature on how beta modulation changes with age during purely sensory tasks.…”

      We would be keen for the reviewer to point to any specific papers in the literature that we may have missed.

      Second, the primary somatosensory response actually occurs well before the time window of interest in all of the key analyses. There is an established literature showing mechanical stimulation activates the somatosensory cortex within the first 100 ms following stimulation, with the M50 being the most robust response. The authors focus on a beta decrease (desynchronization) from 0.3-0.8 s which is obviously much later, despite the primary somatosensory response being clear in some of their spectrograms (e.g., Figure 3 in older children and adults). This response appears to exhibit a robust developmental effect in these spectrograms so it is unclear why the authors did not examine it. This raises a second point; to my knowledge, the beta decrease following stimulation has not been widely studied and its function is unknown. The maps in Figure 3 suggest that the response is anterior to the somatosensory cortex and perhaps even anterior to the motor cortex. Since the goal of the study is to demonstrate the developmental trajectory of well-known neural responses using an OPM system, should the authors not focus on the best-understood responses (i.e., the primary somatosensory response that occurs from 0.0-0.3 s)?

      We understand the reviewer’s point. The original aim of our manuscript was to investigate the neurodevelopmental trajectory of beta oscillations, not the evoked response. In fact, the evoked response in this paradigm is complicated by the fact that there are three stimuli in a very short (<500 ms) time window. For this reason, we prefer the focus of our paper to remain on oscillations.

      Nevertheless, we agree that not including the evoked responses was a missed opportunity.  We have now added evoked responses to our analysis pipeline and manuscript. As surmised by the reviewer, the M50 shows neurodevelopmental changes (an increase with age). Our methods section has been updated accordingly and Figure 3 has been modified. The figure and caption are copied below for the convenience of the reviewer.

      Author response image 3.

      Beta band modulation with age: (A) Brain plots show slices through the left motor cortex, with a pseudo-T-statistical map of beta modulation (blue/green) overlaid on the standard brain. Peak MNI coordinates are indicated for each subgroup. Time frequency spectrograms show modulation of the amplitude of neural oscillations (fractional change in spectral amplitude relative to the baseline measured in the 2.5-3 s window). Vertical lines indicate the time of the first braille stimulus. In all cases results were extracted from the location of peak beta desynchronisation (in the left sensorimotor cortex). Note the clear beta amplitude reduction during stimulation. The inset line plots show the 4-40 Hz trial averaged phase-locked evoked response, with the expected prominent deflections around 20 and 50 ms. (B) Maximum difference in beta-band amplitude (0.3-0.8 s window vs 1-1.5 s window) plotted as a function of age (i.e., each data point shows a different participant; triangles represent children, circles represent adults). Note significant correlation (𝑅2 \= 0.29, 𝑝 = 0.00004 *). (C) Amplitude of the P50 component of the evoked response plotted against age. There was no significant correlation (𝑅2 \= 0.04, 𝑝 = 0.14 ). All data here relate to the index finger stimulation; similar results are available for the little finger stimulation in Supplementary Information Section 1.

      Regarding the developmental effects, the authors appear to compute a modulation index that contrasts the peak beta window (.3 to .8) to a later 1.0-1.5 s window where a rebound is present in older adults. This is problematic for several reasons. First, it prevents the origin of the developmental effect from being discerned, as a difference in the beta decrease following stimulation is confounded with the beta rebound that occurs later. A developmental effect in either of these responses could be driving the effect. From Figure 3, it visually appears that the much later rebound response is driving the developmental effect and not the beta decrease that is the primary focus of the study. Second, these time windows are a concern because a different time window was used to derive the peak voxel used in these analyses. From the methods, it appears the image was derived using the .3-.8 window versus a baseline of 2.5-3.0 s. How do the authors know that the peak would be the same in this other time window (0.3-0.8 vs. 1.0-1.5)? Given the confound mentioned above, I would recommend that the authors contrast each of their windows (0.3-0.8 and 1.0-1.5) with the 2.5-3.0 window to compute independent modulation indices. This would enable them to identify which of the two windows (beta decrease from 0.3-0.8 s or the increase from 1.0-1.5 s) exhibited a developmental effect. Also, for clarity, the authors should write out the equation that they used to compute the modulation index. The direction of the difference (positive vs. negative) is not always clear.

      We completely understand the referee’s point; referee 1 made a similar point. In fact, there are two limitations of our paradigm regarding the measurement of PMBR versus the task-induced beta decrease:

      Firstly, sensory tasks generally do not induce as strong a PMBR as motor tasks and with this in mind a stronger rebound response could have been elicited using a button press. However, as described above it was our intention to scan children down to age 2 and we were sceptical that the youngest children would carry out a button press as instructed.

      The second limitation relates to trial length. Multiple studies have shown that the PMBR can last over ~10 s7,8. Indeed, Pfurtscheller et al. argued in 1999 that it was necessary to leave 10 s between movements to allow the PMBR to return to a true baseline9 Here, we wanted to keep recordings relatively short for the younger participants, and so we adopted a short trial duration. However, a consequence of this short trial length is that it becomes impossible to access the PMBR directly because the PMBR of the nth trial is still ongoing when the (n+1)th trial begins. Because of this, there is no genuine rest period, and so the stimulus induced beta decrease and subsequent rebound cannot be disentangled. This limitation has now been made clear in our discussion as follows:

      “…this was the first study of its kind using OPM-MEG, and consequently aspects of the study design could have been improved. Firstly, the task was designed for children; it was kept short while maximising the number of trials (to maximise signal to noise ratio). However, the classical view of beta modulation includes a PMBR which takes ~10 s to reach baseline following task cessation7–9. Our short trial duration therefore doesn’t allow the rebound to return to baseline between trials, and so conflates PMBR with rest. Consequently, we cannot differentiate the neural generators of the task induced beta power decrease and the PMBR; whilst this helped ensure a short, child friendly task, future studies should aim to use longer rest windows to independently assess which of the two processes is driving age related changes…”

      To clarify our method of calculating the modulation index, we have added the following statement to the methods:

      “The beta modulation index was calculated using the equation , where , and are the average Hilbert-envelope-derived amplitudes in the stimulus (0.3-0.8s), post-stimulus (1-1.5s) and baseline (2.5-3s) windows, respectively.”

      Another complication of using a somatosensory task is that the literature on bursting is much more limited and it is unclear what the expectations would be. Overall, the burst probability appears to be relatively flat across the trial, except that there is a sharp decrease during the beta decrease (.3-.8 s). This matches the conventional trial-averaging analysis, which is good to see. However, how the bursting observed here relates to the motor literature and the PMBR versus beta ERD is unclear.

      Again, we agree completely; a motor task would have better framed the study in the context of existing burst literature – but as mentioned above, making 2-year-olds comply with the instructions for a motor task would have been difficult. Interestingly in a recent paper, Rayson et al. used EEG to investigate burst activity in infants (9 and 12 months) and adults during observed movement execution, with results showing stimulus induced decrease in beta burst rate at all ages, with the largest effects in adults21. This paper was not yet published when we submitted our article but does help us to frame our burst results since there is strong agreement between their study and ours. We now mention this study in both our introduction and discussion. 

      Another weakness is that all participants completed 42 trials, but 19% of the trials were excluded in children and 9% were excluded in adults. The number of trials is proportional to the signal-to-noise ratio. Thus, the developmental differences observed in response amplitude could reflect differences in the number of trials that went into the final analyses.

      This is an important observation and we thank the reviewer for raising the issue. We have now re-analysed all of our data, removing trials in the adults such that the overall number of trials was the same as for the children. All effects with age remained significant. We chose to keep the Figures in the main manuscript with all good trials (as previously) and present the additional analyses (with matched trial numbers) in supplementary information. However, if the reviewer feels strongly, we could do it the other way around (there is very little difference between the results).

      Reviewer #3 (Public Review):

      This study demonstrated the application of OPM-MEG in neurodevelopment studies of somatosensory beta oscillations and connections with children as young as 2 years old. It provides a new functional neuroimaging method that has a high spatial-temporal resolution as well wearable which makes it a new useful tool for studies in young children. They have constructed a 192-channel wearable OPM-MEG system that includes field compensation coils which allow free head movement scanning with a relatively high ratio of usable trials. Beta band oscillations during somatosensory tasks are well localized and the modulation with age is found in the amplitude, connectivity, and panspectral burst probability. It is demonstrated that the wearable OPM-MEG could be used in children as a quite practical and easy-to-deploy neuroimaging method with performance as good as conventional MEG. With both good spatial (several millimeters) and temporal (milliseconds) resolution, it provides a novel and powerful technology for neurodevelopment research and clinical applications not limited to somatosensory areas.

      We thank the reviewer for their summary, and their time in reviewing our manuscript.

      The conclusions of this paper are mostly well supported by data acquired under the proper method. However, some aspects of data analysis need to be improved and extended.

      (1) The colour bars selected for the pseudo-T-static pictures of beta modulation in Figures 2 and 3, which are blue/black and red/black, are not easily distinguished from the anatomical images which are grey-scale. A colour bar without black/white would make these figures better. The peak point locations are also suggested to be marked in Figure 2 and averaged locations in Figure 3 with an error bar.

      Thank you for this comment which we certainly agree with. The colour scheme used has now been changed to avoid black. We have also added peak locations. 

      (2) The data points in plots are not constant across figures. In Figures 3 and 5, they are classified into triangles and circles for children and adults, but all are circles in Figures 4 and 6.

      Thank you! We apologise for the confusion. Data points are now consistent across plots.

      (3) Although MEG is much less susceptible to conductivity inhomogeneity of the head than EEG, the forward modulating may still be impacted by the small head profile. Add more information about source localization accuracy and stability across ages or head size.

      This is an excellent point. We have added to our discussion relating to the accuracy of the forward model. 

      “…We failed to see a significant difference in the spatial location of the cortical representations of the index and little finger; there are three potential reasons for this. First, the system was not designed to look for such a difference – sensors were sparsely distributed to achieve whole head coverage (rather than packed over sensory cortex to achieve the best spatial resolution in one area22). Second, our “pseudo-MRI” approach to head modelling (see Methods) is less accurate than acquisition of participantspecific MRIs, and so may mask subtle spatial differences. Third, we used a relatively straightforward technique for modelling magnetic fields generated by the brain (a single shell forward model). Although MEG is much less susceptible to conductivity inhomogeneity of the head than EEG, the forward model may still be impacted by the small head profile. This may diminish spatial resolution and future studies might look to implement more complex models based on e.g. finite element modelling23. Finally, previous work 24 suggested that, for a motor paradigm in adults, only the beta rebound, and not the power reduction during stimulation, mapped motortopically. This may also be the case for purely sensory stimulation. Nevertheless, it remains the case that by placing sensors closer to the scalp, OPM-MEG should offer improved spatial resolution in children and adults; this should be the topic of future work…”

      Recommendations for the authors:

      Reviewer #2 (Recommendations For The Authors):

      Major items to further test include the differing number of trials, the windowing issue, and the focus on motor findings in the intro and discussion. First, I would recommend the authors adjust the number of trials in adults to equate them between groups; this will make their developmental effects easier to interpret.  

      Thank you for raising this important point. This has now been done and appears in our supplementary information as discussed above.

      Second, to discern which responses are exhibiting developmental effects, the authors need to contrast the 0.3-0.8 window with the later window (2.5-3.0), not the window that appears to have the PMBR-like response. This artificially accentuates the response. I also think they should image the 1.0-1.5 vs 2.5-3.0s window to determine whether the response in this time window is in the same location as the decrease and then contrast this for beta differences. 

      We completely understand this point, which relates to separating the reduction in beta amplitude during stimulation and the rebound post stimulation. However, as explained above, doing so unambiguously would require the use of much longer trials. Here we were only able to measure stimulus induced beta modulation (distinct from the separate contributions of the task induced beta power reduction and rebound). It may be that future studies, with >10 s trial length, could probe the role of the PMBR, but such studies require long paradigms which are challenging to implement with children.

      Third, changing the framing of the study to highlight the somatosensory developmental literature would also be an improvement.

      We have added to our introduction a stated in the responses above.

      Finally, the connectivity analysis on data from a somatosensory task did not make sense given the focus of the study and should be removed in my opinion. It is very difficult to interpret given past studies used resting state data and one would expect the networks to dynamically change during different parts of the current task (i.e., stimulation versus baseline).

      We appreciate the point regarding connectivity. However, it was our intention to examine the developmental trajectory of beta oscillations, and a major role of beta oscillations is in mediating connectivity. It is true that most studies are conducted in the resting state (or more recently – particularly in children – during movie watching). The fact that we had a sensory task running is a confound; nevertheless, the connectivity we derived in adults bears a marked similarity to that from previous papers (e.g. 25) and we do see significant changes with age. We therefore believe this to be an important addition to the paper and we would prefer to keep it.

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    1. Author response:

      The following is the authors’ response to the original reviews

      Joint Public Review:

      In this work, the authors develop a new computational tool, DeepTX, for studying transcriptional bursting through the analysis of single-cell RNA sequencing (scRNA-seq) data using deep learning techniques. This tool aims to describe and predict the transcriptional bursting mechanism, including key model parameters and the steady-state distribution associated with the predicted parameters. By leveraging scRNA-seq data, DeepTX provides high-resolution transcriptional information at the single-cell level, despite the presence of noise that can cause gene expression variation. The authors apply DeepTX to DNA damage experiments, revealing distinct cellular responses based on transcriptional burst kinetics. Specifically, IdU treatment in mouse stem cells increases burst size, promoting differentiation, while 5FU affects burst frequency in human cancer cells, leading to apoptosis or, depending on the dose, to survival and potential drug resistance. These findings underscore the fundamental role of transcriptional burst regulation in cellular responses to DNA damage, including cell differentiation, apoptosis, and survival. Although the insights provided by this tool are mostly well supported by the authors' methods, certain aspects would benefit from further clarification.

      The strengths of this paper lie in its methodological advancements and potential broad applicability. By employing the DeepTXSolver neural network, the authors efficiently approximate stationary distributions of mRNA counts through a mixture of negative binomial distributions, establishing a simple yet accurate mapping between the kinetic parameters of the mechanistic model and the resulting steady-state distributions. This innovative use of neural networks allows for efficient inference of kinetic parameters with DeepTXInferrer, reducing computational costs significantly for complex, multi-gene models. The approach advances parameter estimation for high-dimensional datasets, leveraging the power of deep learning to overcome the computational expense typically associated with stochastic mechanistic models. Beyond its current application to DNA damage responses, the tool can be adapted to explore transcriptional changes due to various biological factors, making it valuable to the systems biology, bioinformatics, and mechanistic modelling communities. Additionally, this work contributes to the integration of mechanistic modelling and -omics data, a vital area in achieving deeper insights into biological systems at the cellular and molecular levels.  

      We thank the reviewers for their positive opinion on our manuscript. As reflected in our detailed responses to the reviewers’ comments, we will make significant changes to address their concerns comprehensively.

      This work also presents some weaknesses, particularly concerning specific technical aspects. The tool was validated using synthetic data, and while it can predict parameters and steady-state distributions that explain gene expression behaviour across many genes, it requires substantial data for training. The authors account for measurement noise in the parameter inference process, which is commendable, yet they do not specify the exact number of samples required to achieve reliable predictions. Moreover, the tool has limitations arising from assumptions made in its design, such as assuming that gene expression counts for the same cell type follow a consistent distribution. This assumption may not hold in cases where RNA measurement timing introduces variability in expression profiles.

      Thank reviewers for detailed and constructive feedback on our work. We will address the key concerns raised from the following points:

      (1) Clarification on the required sample size: We tested the robustness of our inference method on simulated datasets by varying the number of single-cell samples. Our results indicated that the predictions of burst kinetics parameters become accurate when the number of cells reaches 500 (Supplementary Figure S3d, e). This sample size is smaller than the data typically obtained with current single-cell RNA sequencing (scRNA-seq) technologies, such as 10x Genomics and Smart-seq3 (Zheng GX et al., 2017; Hagemann-Jensen M et al., 2020). Therefore, we believed that our algorithm is well-suited for inferring burst kinetics from existing scRNA-seq datasets, where the sample size is sufficient for reliable predictions. We will clarify this point in the main text to make it easier for readers to use the tool.

      (2) Assumption-related limitations: One of the fundamental assumptions in our study is that the expression counts of each gene are independently and identically distributed (i.i.d.) among cells, which is a commonly adopted assumption in many related works (Larsson AJM et al., 2019; Ochiai H et al., 2020; Luo S et al., 2023). However, we acknowledged the limitations of this assumption. The expression counts of the same gene in each cell may follow distinct distributions even from the same cell type, and dependencies between genes could exist in realistic biological processes. We recognized this and will deeply discuss these limitations from assumptions and prospect as an important direction for future research.  

      The authors present a deep learning pipeline to predict the steady-state distribution, model parameters, and statistical measures solely from scRNA-seq data. Results across three datasets appear robust, indicating that the tool successfully identifies genes associated with expression variability and generates consistent distributions based on its parameters. However, it remains unclear whether these results are sufficient to fully characterise the transcriptional bursting parameter space. The parameters identified by the tool pertain only to the steady-state distribution of the observed data, without ensuring that this distribution specifically originates from transcriptional bursting dynamics.

      We appreciate reviewers’ comments and the opportunity to clarify our study’s contributions and limitations. Although we agree that assessing whether the results from these three realistic datasets can represent the characterize transcriptional burst parameter space is challenging, as it depends on data property and conditions in biology, we firmly believe that DeepTX has the capacity to characterize the full parameter space. This believes stems from the extensive parameters and samples we input during model training and inference across a sufficiently large parameter range (Method 1.3). Furthermore, the training of the model is both flexible and scalable, allowing for the expansion of the transcriptional burst parameter space as needed. We will clarify this in the text to enable readers to use DeepTX more flexibly.

      On the other hand, we agree that parameter identification is based on the steady-state distribution of the observed data (static data), which loses information about the fine dynamic process of the burst kinetics. In principle, tracking the gene expression of living cells can provide the most complete information about real-time transcriptional dynamics across various timescales (Rodriguez J et al., 2019).

      However, it is typically limited to only a small number of genes and cells, which could not investigate general principles of transcriptional burst kinetics on a genome-wide scale. Therefore, leveraging the both steady-state distribution of scRNA-seq data and mathematical dynamic modelling to infer genome-wide transcriptional bursting dynamics represents a critical and emerging frontier in this field. For example, the statistical inference framework based on the Markovian telegraph model, as demonstrated in (Larsson AJM et al., 2019), offers a valuable paradigm for understanding underlying transcriptional bursting mechanisms. Building on this, our study considered a more generalized non-Mordovian model that better captures transcriptional kinetics by employing deep learning method under conditions such as DNA damage. This provided a powerful framework for comparative analyses of how DNA damage induces alterations in transcriptional bursting kinetics across the genome. We will highlight the limitations of current inference using steady-state distributions in the text and look ahead to future research directions for inference using time series data across the genome.

      A primary concern with the TXmodel is its reliance on four independent parameters to describe gene state-switching dynamics. Although this general model can capture specific cases, such as the refractory and telegraph models, accurately estimating the parameters of the refractory model using only steadystate distributions and typical cell counts proves challenging in the absence of time-dependent data.

      We thank reviewers for highlighting this critical concern regarding the TXmodel's reliance on four independent parameters to describe gene state-switching dynamics. We acknowledge that estimating the parameters of the TXmodel using only steady-state distributions and typical single-cell RNA sequencing (scRNA-seq) data poses significant challenges, particularly in the absence of timeresolved measurements.

      As described in the response of last point, while time-resolved data can provide richer information than static scRNA-seq data, it is currently limited to a small number of genes and cells, whereas static scRNA-seq data typically capture genome-wide expression. Our framework leverages deep learning methods to link mechanistic models with static scRNA-seq data, enabling the inference of genome-wide dynamic behaviors of genes. This provides a potential pathway for comparative analyses of transcriptional bursting kinetics across the entire genome.

      Nonetheless, the refractory model and telegraphic model are important models for studying transcription bursts. We will discuss and compare them in terms of the accuracy of inferred parameters.

      Certainly, we agree that inferring the molecular mechanisms underlying transcriptional burst kinetics using time-resolved data remains a critical future direction. We will include a brief discussion on the role and importance of time-resolved data in addressing these challenges in the discussion section of the revised manuscript.

      The claim that the GO analysis pertains specifically to DNA damage response signal transduction and cell cycle G2/M phase transition is not fully accurate. In reality, the GO analysis yielded stronger p-values for pathways related to the mitotic cell cycle checkpoint signalling. As presented, the GO analysis serves more as a preliminary starting point for further bioinformatics investigation that could substantiate these conclusions. Additionally, while GSEA analysis was performed following the GO analysis, the involvement of the cardiac muscle cell differentiation pathway remains unclear, as it was not among the GO terms identified in the initial GO analysis.

      We thank the reviewer for this valuable feedback and for pointing out the need for clarification regarding the GO and GSEA analyses. We agree that the connection between the cardiac muscle cell differentiation pathway identified in the GSEA analysis and the GO terms from the initial analysis requires further clarification. This discrepancy arises because GSEA examines broader sets of pathways and may capture biological processes not highlighted by GO analysis due to differences in the statistical methods and pathway definitions used. We will revise the manuscript to address this point, explicitly discussing the distinct yet complementary nature of GO and GSEA analyses and providing a clearer interpretation of the results.

      As the advancement is primarily methodological, it lacks a comprehensive comparison with traditional methods that serve similar functions. Consequently, the overall evaluation of the method, including aspects such as inference accuracy, computational efficiency, and memory cost, remains unclear. The paper would benefit from being contextualised alongside other computational tools aimed at integrating mechanistic modelling with single-cell RNA sequencing data. Additional context regarding the advantages of deep learning methods, the challenges of analysing large, high-dimensional datasets, and the complexities of parameter estimation for intricate models would strengthen the work.

      We greatly appreciate your insightful feedback, which highlights important considerations for evaluating and contextualizing our methodological advancements. Below, we emphasize our advantages from both the modeling perspective and the inference perspective compared with previous model. As our work is rooted in a model-based approach to describe the transcriptional bursting process underlying gene expression, the classic telegraph model (Markovian) and non-Markovian models which are commonly employed are suitable for this purpose:

      Classic telegraph model: The classic telegraph model allows for the derivation of approximate analytical solutions through numerical integration, enabling efficient parameter point estimation via maximum likelihood methods, e.g., as explored in (Larsson AJM et al., 2019). Although exact analytical solutions for the telegraph model are not available, certain moments of its distribution can be explicitly derived. This allows for an alternative approach to parameter inference using moment-based estimation methods, e.g., as explored in (Ochiai H et al., 2020). However, it is important to note that higher-order sample moments can be unstable, potentially leading to significant estimation bias. 

      Non-Markovian Models: For non-Markovian models, analytical or approximate analytical solutions remain elusive. Previous work has employed pseudo-likelihood approaches, leveraging statistical properties of the model’s solutions to estimate parameters ,e.g., as explored in (Luo S et al., 2023).

      However, the method may suffer from low inference efficiency. 

      In our current work, we leverage deep learning to estimate parameters of TXmodel, which is nonMarkovian model. First, we represent the model's solution as a mixture of negative binomial distributions, which is obtained by the deep learning method. Second, through integration with the deep learning architecture, the model parameters can be optimized using automatic differentiation, significantly improving inference efficiency. Furthermore, by employing a Bayesian framework, our method provides posterior distributions for the estimated dynamic parameters, offering a comprehensive characterization of uncertainty. Compared to traditional methods such as moment-based estimation or pseudo-likelihood approaches, we believe our approach not only achieves higher inference efficiency but also delivers posterior distributions for kinetics parameters, enhancing the interpretability and robustness of the results. We will present and emphasize the computational efficiency and memory cost of our methods the revised version.

      Recommendations for the authors:

      There are various noise sources in biological progress. How transcriptional bursting fits within those as well as the reasons to focus only on this source needs to be clearly discussed in the introduction of the manuscript. Related to this last point, transcriptional bursting might not be the only mechanism to take advantage of the stochastic nature of biomolecular processes to make decisions. Once again, what are the implications of assuming this as the underlying mechanism?

      Thank the reviewer for this valuable comment. We fully agree that biological systems are subject to multiple stochastic sources, which arise from both intrinsic and extrinsic noise (Eling N et al., 2019). Intrinsic noise is primarily driven by the stochastic biochemical effects that directly influence mRNA and protein expression in a gene-specific manner, such as DNA, epigenetic, transcription, and translation levels. Extrinsic noise arises from fluctuations in cell-specific manners, such as changes in cell size, cell cycle, or cell signaling. Given that DNA damage most directly perturbs transcription and translation processes, focusing on intrinsic noise sources is appropriate for mechanistically modeling gene-specific expression variability, particularly since this variability can be captured at the genome-wide scale by scRNA-seq data.

      Among various intrinsic noise sources, transcriptional bursting offers a mechanistically wellcharacterized and quantifiable representation of gene expression variability (Tunnacliffe E & Chubb JR, 2020). It reflects the dynamic switching between active and inactive gene states and has been observed consistently across prokaryotic and eukaryotic cells (Eling N et al., 2019). Moreover, transcriptional bursting kinetics, defined by burst size and frequency, can be inferred from scRNA-seq data at the singlegene level using steady-state assumptions, making it an analytically tractable and biologically meaningful feature for large-scale inference (Rodriguez J & Larson DR, 2020).

      We acknowledge that transcriptional bursting is not the only mechanism through which cells can utilize stochasticity for fate decisions. Other processes, such as translational noise and chromatin accessibility, may also contribute. However, given the data modality (static scRNA-seq) and the established theoretical framework for bursting, we assume transcriptional bursting as a representative and interpretable proxy of stochastic regulation. This assumption enables us to extract meaningful insights while remaining open to future model extensions, incorporating additional regulatory layers as more data types become available.

      In this version of the manuscript, we have revised the introduction section to better clarify the rationale of this assumption and to more explicitly emphasize the important role of transcriptional bursting within stochastic noise.

      More careful discussion of how the proposed method differentiates from previous work that employs scRNA-seq to elucidate the diverse sources of noise (pp.3).

      Thank the reviewer for this suggestion. Our proposed method differs significantly from previous work that utilizes scRNA-seq data to study diverse noise sources from several aspects (Ochiai H et al., 2020; Eling N et al., 2019; Morgan MD & Marioni JC, 2018). Specifically, DeepTX infers genomewide burst kinetics by directly matching the full steady-state distribution of a mechanistic stochastic model to the observed scRNA-seq data, rather than relying solely on low-order statistics such as mean and variance. Moreover, by adopting a non-Markovian process that allows multi-step promoter switching, DeepTX extends beyond the classic telegraph model to better capture the complex molecular events underlying transcriptional activation and repression. Crucially, we used a deep-learning–based solver to obtain these intractable steady-state distributions rapidly and accurately. This combination of richer data usage, more realistic mechanistic assumptions, and scalable neural-network–accelerated computation lays the groundwork for incorporating additional noise sources into a unified inference framework in future work. 

      In this version of the manuscript, we have revised the discussion section to highlight the difference with previous works.

      The paper could benefit from being contextualised alongside other computational tools that aim to integrate mechanistic modelling with single-cell RNA sequencing data. This is an active area of research, and works such as Sukys and Grima (bioRxiv, 2024), Garrido-Rodriguez et al. (PLOS Computational Biology, 2021), Maizels (2024), and others could provide valuable context.

      Thank the reviewer for suggesting these relevant works. Garrido-Rodriguez et al. (PLOS Comput. Biol., 2021) integrated single-cell and bulk transcriptomic data into mechanistic pathway models to infer signaling dynamics, an approach complementary to our mapping of burst kinetic parameters onto pathway enrichment for linking transcriptional bursting to functional outcomes. Sukys and Grima et al. (bioRxiv, 2024; Now in Nucleic Acids Res., 2025) demonstrated that cell-cycle stage and cellular age significantly modulate burst frequency and size, highlighting the potential to enhance DeepTX by incorporating cell-cycle–dependent variability into genome-wide burst inference. Maizels et al. (Philos. Trans. R. Soc. Lond. B. Biol. Sci., 2024) reviewed methods for capturing single-cell temporal dynamics across multi-omic modalities, underscoring how higher time-resolved data could refine and validate steady-state burst inference frameworks to better resolve causal gene-expression mechanisms.

      We have cited these studies on the contextual relevance to DeepTX in the discussion sections.

      As the advancement is primarily methodological, it lacks a comprehensive comparison with traditional methods that serve similar functions. Consequently, the overall evaluation of the method, including aspects such as inference accuracy, computational efficiency, and memory cost, remains unclear. We suggest incorporating these experiments to provide readers with a more complete understanding of the proposed method's performance.

      Thank the reviewer for constructive suggestion regarding a comprehensive comparison with other previous methods. To address this problem, in this version, we compared DeepTX with our previous work, txABC, that utilized approximate Bayesian computation to infer parameters from the generalized telegraph model (Luo S et al., 2023). As a result, DeepTX achieved improvements in inference accuracy and computational efficiency (Supplementary Figure S4.). For memory cost during single-gene inference, DeepTX requires an average memory usage of approximately 70 MB, whose memory consumption accounts for only a small fraction of the total available memory on standard computing devices (typically exceeding 10 GB), while exhibiting superior inference efficiency compared to txABC. We have mentioned in the third result section.

      Discuss the validity of the assumption of the static snapshot provided by the scRNA-seq data as in steadystate (i.e., stationary distribution), and the implications of this assumption being untrue (for the proposed method).

      We thank the reviewer for the comment regarding the stationary assumption. We assume that each scRNA-seq snapshot approximates the steady-state (stationary) distribution of transcript counts because (i) typical single-cell experiments sample large, asynchronously dividing populations that collectively traverse many transcriptional burst cycles, and (ii) in the absence of a synchronized perturbation, mRNA production and degradation reach a dynamic balance on timescales much shorter than overall cell-type changes. Under these conditions, the empirical count distribution closely mirrors the model’s stationary solution, justifying steady-state inference of burst size and frequency from a single time point. This assumption is commonly adopted in probabilistic models of transcriptional bursting (Larsson AJM et al., 2019; Raj A & van Oudenaarden A, 2008).

      However, this steady-state assumption has some limitations. First, in some scenarios, the cell system may exhibit highly transient transcriptional programs that do not satisfy stationarity, leading to biased or misleading parameter estimates. For example, immediately following a synchronized developmental stimulus—such as serum shock–induced activation of immediate-early genes. Second, because DeepTX infers the mean burst frequency and size across the population, it cannot recover the underlying time-resolved dynamics or distinguish heterogeneous kinetic subpopulations. 

      We have added a statement in the discussion to acknowledge these limitations and suggest future extensions—such as incorporating time-series measurements or latent pseudo time covariates—to address non-stationarity and recover temporal burst dynamics.

      On page 3, "traditional telegraph model" is mentioned without any context. This model, and particularly the implications for the current work, might not be obvious to the reader. Take one or two sentences to give the reader context.

      Thank the reviewer for this helpful comment. We acknowledge that the mention of the "traditional telegraph model" on page 3 may not be immediately clear to all readers. The traditional telegraph model is a mathematical framework commonly used to describe gene expression burst dynamics, in which genes stochastically switch between active (ON) and inactive (OFF) states, with exponentially distributed waiting times for state transitions. To provide the necessary context, we added a brief introduction to the traditional telegraph model and its relevance to our work in the revised manuscript.

      A primary concern with the model used in Figure 2a (TXmodel) is its reliance on four independent parameters to describe gene state switching dynamics. While this general model can encompass specific cases such as the refractory model (Science 332, 472 (2011)) and the telegraph model, accurately estimating the parameters of the refractory model using only steady-state distributions and typical cell numbers (10³-10⁴) is challenging without time-dependent data. To address this, we suggest that the authors provide parameter inference results for each individual parameter, rather than only for burst size and burst frequency, based on synthetic data. This would help clarify the model's effectiveness and improve understanding of its estimation precision.

      Thank the reviewer for highlighting this important concern. We agree that the lack of timeresolved measurements may affect the accuracy of inferences about dynamic parameters, especially the unidentifiability of parameters inferred from steady-state distributions, i.e., multiple parameters leading to the same steady-state distribution. The unidentifiability of individual parameters is a common and critical problem in systems biology studies. To address this issue, for example, Trzaskoma et al. developed StochasticGene, a computationally efficient software suite that uses Bayesian inference to analyze arbitrary gene regulatory models and quantify parameter uncertainty across diverse data types (Trzaskoma P et al., 2024). Alexander et al. adopt a Bayesian approach to parameter estimation by incorporating prior knowledge through a prior distribution and classify a parameter as practically nonidentifiable if it cannot be uniquely determined beyond the confidence already provided by the prior (Browning AP et al., 2020). Hence, in DeepTX, we employed a Bayesian approach based on loss potential to infer the posterior distributions of the parameters (Figure 3E). 

      Although DeepTX also encounters the issue of unidentifiability for individual parameters (Supplementary Figure S11), the multimodal nature of the posterior distribution suggests that multiple distinct parameter sets can produce similarly good fits to the observed data, highlighting the inherent non-identifiability of the model. Nevertheless, in the multimodal posterior distribution, at least one of the posterior peaks aligns closely with the ground truth, thereby demonstrating the validity of the inferred result. Moreover, inference results on synthetic data confirm that the BS and BF can be accurately estimated (Supplementary Figure S3b and S3c). We also performed robustness analyses on synthetic datasets. As shown in Supplementary Figure S3d and S3e, our model reliably recovers the ground-truth burst kinetics of models when the number of cells reaches ~1000, which is within the range of typical single-cell RNA-seq experiments. 

      We have explicitly pointed out the potential issue of unidentifiability due to the lack of temporal resolution information in the discussion section. 

      Noteworthy, transcriptional is always a multi-step process (depending on the granularity with which the process is described). What do the authors mean by saying that "DNA damage turns transcription into a multi-step process rather than a single-step process"?

      Thank the reviewer for pointing out the lack of precision in our original statement. We agree that the phrasing could be misleading. Transcription is inherently a multi-step process, but most mechanistic studies simplify it to a single-step “telegraph” model for tractability. In the context of DNA damage, however, damage-induced pausing and repair-mediated delays introduce additional intermediary states in the transcription cycle that cannot be approximated by a single step. To capture these damage-specific interruptions, DeepTX explicitly consider a multi-step promoter switching framework rather than combining all transitions into one. What we originally wanted to express was the necessity of multi-step process modeling. We have replaced the original sentence in introduction with: “However, the presence of DNA damage necessitates modeling the transcriptional process as a multistep process, rather than a single-step process, to capture the additional complexity introduced by the damage”.

      It is unclear why the authors have chosen a different definition in Equation (2) rather than the commonly used burst frequency, 1/(k_deg * tau_off), as reported in the literature. Unlike the traditional definition, which is unit-free, the definition in Eq. (2) includes units, raising questions about its interpretability and consistency with established conventions. Clarifying this choice would improve the understanding and consistency of the methodology.

      Thank the reviewer for raising this important point. We acknowledge that there are multiple definitions of burst frequency (BF) in the literature. Here, we provide a detailed explanation, clarifying the differences between these definitions, including the one used and the traditional definition .

      First, the definition of burst frequency we adopt has been widely used in recent literatures, such as Benjamin Zoller et al. (Zoller B et al., 2018), Caroline Hoppe et al. (Hoppe C et al., 2020) and Daniel Ramsköld (Ramsköld D et al., 2024). And its quantity represents the average time it takes for the promoter to complete one full stochastic cycle between its active and inactive states . Secondly, the traditional definition can be regarded as a simplified version of our definition, under the assumptions that τ<sub>on</sub> is negligible and k<sub>deg</sub> =1 (i.e., rate parameters are normalized to be unit-free). Although it is reasonable to neglecting activate time τ<sub>on</sub>, as it is typically much shorter than inactive time under some conditions, we chose a more complete way to define the burst frequency so that it is applicable to more general situations. In addition, by defining the burst frequency as , the mean transcription level can be analytically represented as the product of burst size and burst frequency.

      This explanation has been clarified in the methods 1.2 section.

      The authors mention the need to model "more realistic gene expression processes". How is this exactly being incorporated into the model?

      Thank the reviewer for raising this important question. To incorporate "more realistic gene expression processes" into our model, we considered two critical aspects into DeepTX that are often oversimplified in traditional approaches:

      (1) Integration of gene expression and sequencing processes: Observations from scRNA-seq data are influenced by both the intrinsic gene expression processes and the subsequent sequencing procedure. Traditional models often focus solely on gene expression, neglecting the stochastic effects introduced by the sequencing process. Our model explicitly incorporates both the gene expression and sequencing processes, providing a more comprehensive and realistic representation of the observed data.

      (2) Modeling gene expression as a multi-step process: Gene expression is inherently a multi-step process. However, traditional telegraph models typically simplify gene state switching as a single-step process for tractable analysis, often assuming Markovian dynamics where transition waiting times follow exponential distributions. In contrast, our model accounts for the multi-step nature of gene state transitions by allowing the waiting times to follow non-exponential (non-Markovian) distributions. This model is more suitable for gene expression dynamics that cannot be simplified to a single-step process, such as DNA damage, which may introduce an intermediate state to represent pausing and repair in the transcription process.

      By addressing these factors, our model better reflects the complexity and stochastic nature of gene expression processes, aligning more closely with the data generated from biological systems. We have added detailed explanations after this sentence for clarification in the first result section.

      Better explanation of the previously developed TXmodel, and the assumption of a non-Markovian system. In particular, it isn't clear how using arbitrary distributions for the waiting times implies a non-Markovian process (as the previous state(s) of the system is not used to inform the transition probability, at least as explained in pp. 4). Without a clear discussion of the so-called arbitrary waiting time distribution, it isn't clear how these represent a mechanistic model. In general, a more careful discussion of the "mechanistic" model is needed.

      Thank the reviewer for this thoughtful comment. In this revised version, we provided a more detailed explanation of the relationship between the TXmodel and the non-Markovian system in the revised manuscript. Specifically, we will clarify the following points:

      (1) Why non-Markovian system: In a Markovian system, the waiting times for events are exponentially distributed, meaning that the state transitions depend solely on the current state and are memoryless (Van Kampen NG, 1992). However, when the waiting times follow non-exponential distributions, such as Gamma or Weibull distributions, the state transitions are no longer independent of the system's previous states. This introduces memory into the system, making it non-Markovian.

      (2) Why mechanistic model: First, it is important to clarify that regardless of whether the waiting time is arbitrary or exponential (corresponding to non-Markovian and Markovian systems), our TXmodel is a mechanistic model because it models the dynamic process of transcription bursts with interpretable kinetic parameters. Second, although we introduced arbitrarily distributed waiting times, reasonable selection of waiting time distributions can still make the distribution parameters mechanistically interpretable. For example, in the context of modeling ON and OFF state switching times using a Gamma distribution, the two parameters have clear interpretations: the shape parameter represents the number of sequential exponential (memoryless) steps required for the transition to occur, capturing the complexity or multi-step nature of the switching process, while the scale parameter denotes the average duration of each of these steps. We have added the explanation in methods 1.2 section.

      Include a brief discussion about the metric used to compare distributions (and introduce KL abbreviation).

      Thank the reviewer for this suggestion. In the second result and methods 1.3 section of revised manuscript, we have included a brief discussion to introduce and clarify the metric used to compare distributions. Specifically, we have given more explanation for the Kullback-Leibler (KL) divergence, which is a widely used metric for quantifying the difference between two probability distributions. We also ensured that the abbreviation "KL" is properly introduced when it first appears in the text, along with a concise description of its mathematical definition and interpretation within the context of our analysis. 

      What does the "CTM" model stand for (in supplementary information)? And "TX" model?

      Thank the reviewer for highlighting this point. We revised the supplementary information to explicitly define the "CTM" and "TX" models and clarify their distinctions.

      CTM model: The "CTM" model refers to the classic telegraph model, a widely used model for capturing Markovian gene expression burst kinetics. The CTM describes stochastic gene expression as a sequence of four biochemical reactions involving two gene states (ON and OFF), mRNA transcription and degradation:

      k<sub>off</sub> as the rate at which the gene switches from OFF to ON, k<sub>on</sub>  as the rate at which the gene switches from ON to OFF, k<sub>syn</sub>  as the rate of mRNA synthesis and k<sub>deg</sub>  as the rate of mRNA degradation. In this model, gene switching between active and inactive states is governed by a memoryless Markovian process, where the waiting times for transitions follow exponential distributions (Van Kampen NG, 1992).

      TX model: In contrast, the "TX" model is a more generalized telegraph model for transcriptional processes.

      Different from the CTM, the waiting times for state transitions between ON and OFF in the TX model follow arbitrary waiting time distributions. This implies that the future state of the system depends not only on the current state but may also be influenced by its historical trajectories. Consequently, the TX model exhibits non-Markovian behavior. We have added more detailed description on these two models in section 1.1 of supplementary text.

      Leaky transcription (in the OFF promoter state) is not considered. What would be the implications of its presence in the data?

      Thank the reviewer for pointing out the potential role of leaky transcription in our analysis. We acknowledge that leaky transcription, occurring in the promoter OFF state, was not explicitly considered in our current model. Our decision to exclude it assumed that the leaky transcription rate is relatively small and its impact on the observed data is negligible. This assumption is consistent with previous studies that similarly disregard leaky transcription in gene expression modeling due to its minimal contribution to the overall dynamics (Larsson AJM et al., 2019).

      However, we recognize that the leaky transcription should be considered, particularly in systems where the leaky rate is significant relative to the active transcription rate. In such cases, it may introduce additional variability to the observed expression levels or obscure the distinction between ON and OFF states. We have added relevant statements in the discussion section.

      In the main text, the waiting time for state transitions is described by two parameters, while in the methods/supplementary information only one parameter is considered per distribution (without a clear discussion of the so-called "dwell time distributions").

      Thank the reviewer for this comment. We recognize the need to clarify the discrepancy between the descriptions of waiting times in the main text and supplementary materials.

      Dwell time distribution refers to the probability distribution of the time in which a gene remains in a particular transcriptional state (ON or OFF) before transitioning to the other state. While in Markovian models the dwell time follows an exponential distribution, more complex or non-Markovian regulatory mechanisms may give rise to Gamma, Weibull, or other non-exponential dwell time distributions.

      In our model, we denote the dwell time distributions in the OFF and ON states by and , respectively, where w represents a vector of parameters characterizing the distribution, the dimensionality of which depends on the specific form of the distribution. For example, when an exponential distribution is assumed, w consists of a single rate parameter; in contrast, for distributions such as the Gamma or Weibull, w includes two parameters. In the main text, both and are modeled using Gamma distributions, whereas in the Supplementary Materials, we assume exponential distributions for both, resulting in a single-parameter representation. We have added relevant statements in the methods 1.2 section.

      Related, but more general, across the manuscript there are problems with the consistency in terminology. This is especially problematic with the figures. It makes it incredibly hard to follow the work. Better integration of the information, and consistency with the terminology, would improve the understanding for the reader.

      Thank the reviewer for the valuable feedback. To enhance clarity and readability, we have carefully revised the manuscript to ensure consistent terminology throughout the text and figures e.g., unifying terms such as "untreatment" and "control" under the consistent label "control"—across both the text and figures.

      One of the four main assumptions behind the model is that "the solution of the model can be explained by a mixed negative binomial distribution". The logic and implications of this assumption need to be discussed in the paper. (Methods, pp.13.) All four assumptions need to be carefully argued in the paper. 

      We appreciate the reviewer’s comment regarding the assumptions underlying our model. Here, we would like to clarify the rationale and implications of each assumption. 

      Assumption 1 (The gene expression of cells was in a stationary distribution during sequencing.) has been extensively used in previous studies for the inference and modeling of scRNA-seq data, demonstrating effectiveness in capturing mRNA expression distributions and inferring underlying dynamic parameters (Larsson AJM et al., 2019; Luo S et al., 2023; Ramsköld D et al., 2024; Gupta A et al., 2022).

      For Assumption 2 (Gene expression counts of the same cell type follow the same distribution.) is as follows: cell types are typically defined based on gene expression profiles or functional characteristics. Cells with similar functions often exhibit consistent transcriptional programs, leading to approximately identical gene expression distributions. This assumption has been widely adopted in previous research (Larsson AJM et al., 2019; Gupta A et al., 2022).

      Regarding Assumption 3 (The solution of the model can be approximated by a mixed negative binomial distribution.), in the most general formulation, a chemical master equation (CME) model of biological systems converges to a stationary distribution P(n;θ) over n∈ℕ. And P(n;θ) afford a real Poisson representation (Gardiner CW & Chaturvedi S, 1977): where F is a mixing cumulative distribution function (CDF). If such a Poisson representation exists, we can always write down a finite approximation over K Poisson kernels: , where w<sub>k</sub> are weights on a K-dimensional simplex. Further, as k →∞,QP . More problematically, convergence in the number of kernels in K is typically slow. Negative binomial kernels P<sub>Poisson</sub> (n m<sub> k</sub>,l<sub>k</sub>), which are continuous Poisson mixtures with a gamma mixing density can accelerate convergence in K (Gorin G et al., 2024). Hence, the solution of the TX model can be approximated by a mixed negative binomial distribution. 

      For Assumption 4 (The state space sampled from a sufficiently long single simulation is statistically equivalent to that obtained from multiple simulations at steady state in gene expression models.), when a sample trajectory of the model is simulated for a sufficiently long period, it is assumed to have traversed the entire stationary state space (Kuntz J et al., 2021). Therefore, by performing truncated statistical analysis on the trajectory, the corresponding stationary distribution of the model can be obtained. We have added the explanation in methods 1.1 section.

      The authors propose that the waiting times between promoter states follow a non-exponential distribution, but the choice of gamma distribution and the implications for the method and the biological conclusions need to be discussed.

      We thank the reviewer for this comment. To account for the impact of DNA damage on the transcription process, our model assumes that both the "ON" and "OFF" states of the promoter consist of multiple underlying sub-states. When a promoter switches from the "ON" state to the "OFF" state, the transition is governed by multiple distinct waiting time distributions that follow exponential distributions. Similarly, when a promoter switches from the "OFF" state to the "ON" state, there may be multiple transitions from different "OFF" sub-states. Consequently, the waiting times for the transitions from the "OFF" state to the "ON" state, and vice versa, must account for multiple exponential waiting time distributions associated with each "ON" state transition. We can map a multiple exponential-waiting-times reaction process to a single-step reaction process with a non-exponential waiting time distribution. Therefore, we use a Gamma distribution for dwell time of promoter switching, which can be expressed as the convolution of multiple exponential distributions (corresponding to a sum of multiple exponential variables). Additionally, other non-exponential distributions, such as those discussed in our previous studies (Zhang J & Zhou T, 2019), may also be considered, and we recognize that alternative choices could be made depending on the specific characteristics of the system. We have added the explanation in methods 1.2 section.

      BF - burst frequency; BS - burst size. These terms represent the main data output, but they are only mathematically defined in the methods, and never the intuition of the specific expression explained (e.g., why not using tON/(tON+tOFF) as BF instead of 1/(tON+tOFF), and why not kSYN*tON as BS instead of kSYN*tON).

      We appreciate the reviewer’s comment and agree that clarifying the biological intuition behind the mathematical definitions of burst frequency (BF) and burst size (BS) is important. Below, we provide a more detailed explanation of these definitions.

      BF: The definition of burst frequency we adopt has been widely used in previous literature, such as Benjamin Zoller et al (Zoller B et al., 2018), Caroline Hoppe et al (Hoppe C et al., 2020) and Daniel Ramsköld (Ramsköld D et al., 2024). And its quantity represents the average time it takes for the promoter to complete one full stochastic cycle between its active and inactive states.

      BS: The definition of burst size BS = we adopt is consistent with the definition proposed by the reviewer. Burst size refers to the average number of mRNA transcripts produced during a single transcriptional activation event of a gene. It reflects the quantity of gene product synthesized per activation and is influenced by the rate of transcription and the duration of the active state of the gene. Our definition aligns with this biological interpretation and is mathematically formulated as BS = , where k<sub>syn</sub> is the transcription rate and is the average duration of the active state.

      In addition, the mean transcription level can be analytically represented as the product of burst size and burst frequency. This analytical result has been included in the methods 1.2 section of revised manuscript.

      One can assume from the methods that omegaON and omegaOFF are the vector of (2) parameters describing the distribution, but the reader would benefit from some clarity here. The authors claim that they proved that the distribution moments can be obtained through an iterative process. How much does this rely on the assumption of an underlying binomial distribution?

      Thank the reviewer for this helpful suggestion. To clarify, the vectors omegaON and omegaOFF represent the parameters characterizing the waiting time distributions of the promoter's active and inactive states, respectively. The exact form and interpretation of these vectors depend on the specific distributional choice for the waiting times. For instance, when the waiting time distribution follows a Gamma distribution with shape parameter α>0  and scale parameter β>0 , denoted as , then w<sub>on</sub> = (α,β) . Conversely, when the waiting time distribution follows a Weibull distribution, denoted as , with shape parameter k >0 and scale parameter l>0, then w<sub>on</sub> = (l,k) . We have clarified it in the Methods 1.2 section of the revised manuscript.

      For the question about the binomial distribution, in our work, we use the binomial moment method to compute distributional statistics of chemical master equation (Zhang J et al., 2016). Binomial moments of the mRNA stationary distribution P(m) are defined as , where the symbol represents the combinatorial number. This technique refers to a mathematical tool for moment calculation and is not based on the assumption that the underlying distribution is binomial distribution (Luo S et al., 2023). Hence, our approach is general and does not require the distribution itself to follow a binomial form.

      More details about the parameter sampling are required. For instance, why are the specific ranges chosen and their implications? And is the space explored in logarithmic scale?  

      Thank the reviewer for the insightful comment regarding parameter sampling. In our study, we considered five parameters: . The parameters k<sub>off</sub>  and k<sub>on</sub> represent the number of intermediate reaction steps involved in transcriptional state transitions. These values were sampled uniformly from the range 1 to 15, which aligns with biological evidence indicating that most genes undergo either direct (single-step) transitions or a small number of intermediate steps, typically fewer than ten (Tunnacliffe E & Chubb JR, 2020). This range is sufficient to capture both widely used singlestep models and more detailed multi-step mechanisms without introducing biologically implausible complexity. 

      Among these parameters, r<sub>off</sub> and r<sub>on</sub> denote the rate constants governing stochastic transitions between the OFF and ON transcriptional states, respectively. The mean duration of the OFF state, which corresponds to the time between transcriptional bursts, is given by = k<sub>off</sub> / r<sub>off</sub> , and falls within the range ∈(0.1,150).Experimental measurements report a median value of approximately 3.7 (Gupta A et al., 2022), which is well contained within this range. Similarly, the mean duration of the ON state, referred to as the burst duration, is defined by = k<sub>on</sub> / r<sub>on</sub> , and spans the interval ∈(0.1,1500). The experimentally observed median value of 0.12 (Gupta A et al., 2022) confirms that the parameter range adequately captures biologically realistic dynamics.

      The parameter k<sub>syn</sub>  represents the normalized synthesis rate after accounting for molecular degradation. Its range was chosen based on empirical observations of transcriptional burst sizes, which typically vary from single molecules to several dozen (Gupta A et al., 2022). Considering the relationship BS = k<sub>syn</sub> * , the selected range of k<sub>syn</sub> ensures that the experimentally observed burst sizes are well represented within the defined parameter space. We have added the explanation in methods 1.2 section and supplementary text 4.

      We fully recognize the advantages of logarithmic sampling, particularly when parameters span several orders of magnitude. Logarithmic scaling ensures balanced exploration across wide ranges and prevents sampling bias towards larger values. However, in our work, we applied Sobol sampling directly within the original (linear) parameter space. Although we did not explicitly transform parameters into logarithmic scale, Sobol sequences provide low-discrepancy, quasi-random coverage, which promotes uniform sampling across bounded domains (Sobol IM, 1967). Further, if necessary, we can increase the parameter range adaptively, and perform simulation algorithm to obtain sample and train a new model to solve a larger parameter range. 

      On page 15, the rationale for selecting the parameter space is unclear. This is crucial, as fully connected neural networks typically exhibit poor extrapolation beyond their training parameter space. If the parameter space of an experimental dataset significantly differs from the training range, the inference results may become unreliable. We suggest further clarification on how the alignment between the parameter spaces of the experimental data and the training dataset can be ensured to maintain inference accuracy.

      We appreciate the reviewer’s insightful comment regarding the extrapolation limitations of fully connected neural networks. To address this concern, we have implemented a truncation strategy during inference, which constrains the inferred parameters to remain within the bounds of the training parameter space. This ensures that the neural network operates within a regime where its predictive accuracy has been validated, thereby enhancing the robustness of our results. Additionally, we have carefully selected the training parameter space to be reasonable, based on the characteristics of the experimental data. These ranges have been validated through domain knowledge and data analysis, ensuring that even when the experimental data approaches the boundaries of the training range, the inference results remain reliable and accurate.

      On page 16, it is unclear why the authors chose to incorporate the Fano factor instead of using the coefficient of variation or variance. Clarifying the reasoning behind the selection of the Fano factor over these other statistical measures would provide better insight into its relevance for their analysis.  

      We thank the reviewer for raising this point. Although the loss term is described using the Fano factor, its formulation actually involves both the variance and the mean. Specifically, the loss we use is: . We chose to use the Fano factor because it is particularly well-suited for quantifying transcriptional noise in systems where the mean expression level varies across conditions or parameters. Unlike variance, the Fano factor normalizes variability by the mean, making it more robust for comparing noise levels across genes or regulatory regimes with different expression levels. Compared to the coefficient of variation (CV), which normalizes by the square of the mean, the Fano factor tends to be less sensitive to low expression regimes and is commonly used in stochastic gene expression studies, especially when the distribution is skewed or over dispersed (i.e., variance exceeds the mean). This makes it a more appropriate metric in our context, where transcriptional bursting often leads to over dispersed expression distributions. We have added an explanation in the methods 1.3 of revised manuscript to explain this choice.

      On page 17, the definition of "sample" is unclear. Does it refer to the number of parameters sets or to the simulated trajectories generated by stochastic simulation algorithms?

      Thank reviewers for your valuable feedback. The term "sample" in this context refers to the data points used in the neural network training set. To eliminate any ambiguity, we included a precise mathematical definition of "sample" (θ<sub>i</sub>,P<sub>simulation,i</sub> ) in the methods 1.3 section of revised manuscript.

      Additionally, it is unclear how the authors determined the number of simulated trajectories per parameter set to ensure training accuracy. Furthermore, it would be relevant to address whether including moments during neural network training is beneficial.

      We appreciate the reviewer’s insightful questions regarding the simulation and training process. To clarify, for each parameter set, we did not simulate multiple trajectories to obtain the corresponding distribution. Instead, we simulated the system for a sufficiently long period to ensure that the system reached a steady-state distribution. From this steady-state data, we then used interpolation methods to derive the corresponding distribution for each parameter set.

      On the other hand, the moments were calculated theoretically without any approximations, providing higher accuracy. By incorporating the moments into the training process, we can effectively mitigate potential biases arising from insufficient sampling of the simulated data. Moreover, our experiments on the synthetic dataset demonstrate that introducing the moments as a loss function significantly enhances the model's performance on the test set (Figure 2E).

      What is the intuition behind the choice of alpha_cg? On page 18, the rationale for setting the sampling probability to 0.5 is unclear. Could this parameter be inferred rather than being preset?  

      We thank the reviewer for the insightful comment regarding the choice of α<sub>cg</sub>. We acknowledge that the typical values of this parameter in related literature often fall within a narrower range (e.g., 0.06–0.32) (Zheng GX et al., 2017; Macosko EZ et al., 2015). However, our decision to set α<sub>cg</sub> was based on a trade-off between sampling efficiency and computational tractability in our specific application context. While it is indeed possible to infer α<sub>cg</sub> as a learnable parameter, we opted for a fixed value in this work to reduce model complexity and avoid unidentifiability issues. In addition, we conducted inference under different capture efficiencies (0.5, 0.3, and 0.2), and found that the inferred burst size (BS) and burst frequency (BF) remained strongly correlated across these conditions (Supplementary Figure S12). This indicates that variations in capture efficiency do not significantly impact the outcomes of downstream enrichment analyses. Nevertheless, we agree that adaptively learning α<sub>cg</sub> could be a promising direction, and we plan to explore this in future work. We have added the explanation in methods 1.4 section.

      On page 19, the authors employed gradient descent for parameter inference. However, as this method is sensitive to initial values, it is unclear how the starting points were selected.

      We sincerely thank the reviewer for highlighting the sensitivity of gradient-based optimization methods to initial values. To address this concern, we adopted a black-box optimization strategy in the form of the adaptive differential evolution (DE) algorithm (Das S & Suganthan PN, 2010) to derive robust initial parameters for the parameter inference. The adaptive DE algorithm enables global exploration across a broad parameter space, thereby reducing the risk of convergence to suboptimal local minima. This yielded reasonably good initial estimates, which were subsequently refined using gradient-based optimization to identify high-quality solutions characterized by a vanishing gradient norm. This hybrid strategy, which combines global and local search, is widely adopted in optimization literature to alleviate the risk of entrapment in local optima (Ahandani MA et al., 2014). We have clarified this detail in the third result of the revised manuscript.

      Furthermore, clarification on how the gradients were computed - whether through finite difference approximation or other methods - would offer additional insight into the robustness and accuracy of their approach.

      Thank reviewers for valuable feedback. Regarding the computation of gradients, we use the chain rule in neural networks, and the gradients are computed through backpropagation. Specifically, we rely on automatic differentiation to efficiently calculate the gradients. Unlike finite difference approximation, automatic differentiation directly computes the derivative of the loss function with respect to each parameter, ensuring accurate gradient calculations (Baydin AG et al., 2018). We have clarified this detail in the discussion section of the revised manuscript.

      The paper presents several comparisons between continuous and discrete distributions in Figure 2B and Supplementary Figures S4, S6, and S8, described as a "comparison between mRNA distribution and inferred distribution by DeepTX for scRNA-seq data" or a "comparison between SSA results and DeepTX prediction results." This may lead to confusion for the reader, as the paper focuses on transcriptional bursting, a process where we would typically expect the distributions to be discrete. Clarifying this point would help align the figures with the main topic and enhance the reader's understanding.

      We sincerely thank the reviewer for this insightful comment. We understand the concern that the distributions shown in Figure 2B and Supplementary Figures S4, S6, and S8 may appear to be continuous, which could be confusing given that transcriptional bursting naturally results in discrete mRNA count distributions.

      We have clarified that in all these figures, both the empirical mRNA distributions derived from scRNAseq data and the model-predicted distributions from DeepTX are inherently discrete. To visualize the empirical distributions, we used histograms where the x-axis corresponds to discrete mRNA copy numbers and the y-axis represents the normalized frequency (density). To illustrate the DeepTX-inferred probability mass function, we plotted the predicted probabilities at each integer count as points and connected them with lines for clarity. While the connecting lines give the appearance of continuity, this is a standard graphical convention used to better show trends and model fit in discrete distributions.

      We suggest that Figure 3E could present the error as a percentage of the parameter value, as this would provide a more equitable comparison and better illustrate the relative accuracy of the parameter estimation.

      Thank reviewers for suggestion regarding Figure 3E. We agree that presenting the error as a percentage of the parameter value would offer a more equitable basis for comparison and better highlight the relative accuracy of our parameter estimation. Accordingly, we have revised Figure 3E to include the relative percentage error for each parameter.

      Figure 4A could be improved for better legibility. The contour plots are somewhat confusing, and the light blue points are difficult to distinguish. Additionally, the x-axis label "Untreatment" appears throughout the manuscript-could this term be referring to the control experiment?

      Thank reviewers for constructive feedback. We have revised Figure 4A to improve its clarity and legibility. Specifically, we adjusted the display style of the contour plots and enhanced the visibility of the light green points to make them more distinguishable.

      Additionally, we recognize the potential confusion caused by the term "Untreatment" and have replaced it with "Control" throughout the revised manuscript to ensure consistency and accuracy in terminology.

      Figure 4B was unclear, and further explanation would be helpful for understanding its purpose.

      Thank reviewers for feedback. The purpose of Figure 4B is to illustrate the relationship between bursting kinetics and the mean and variance of the model. In the revised manuscript, we will provide a more detailed explanation of how the figure captures these relationships, highlighting the key insights it offers into the underlying dynamics.

      Figure 4B illustrates the quantitative relationships among BS, BF, and gene expression noise within the framework of the transcriptional model. In this log-log-log 3D space, the mean expression level is constrained on a blue plane defined by the equation log(BS)+log(BF) = log(Mean), highlighting that the product of burst size and burst frequency determines the mean expression level. The orange plane represents a scaling relationship between expression noise and burst kinetics, expressed as log(BS)+log(BF) = klog(Noise), where k is a constant indicating how the burst kinetics co-vary with noise. Notably, the trajectory of the green sphere demonstrates that, under a fixed mean expression level (i.e., remaining on the blue plane), an increase in gene expression noise arises primarily from an increase in burst size. We have revised the caption of Figure 4B.

      In Figure 4D, two of the GO analysis terms are highlighted in red, but the meaning behind this emphasis is not clear. The same question applies to Figure 5E, where the green dots are missing from the plot.

      Clarification on these points would enhance the overall clarity.  

      We appreciate the reviewer’s thoughtful comments. We have added further clarification regarding the enrichment analysis results presented in Figure 4D. Specifically, we highlighted the "cell cycle G2/M phase transition" pathway because a delay in the G2/M phase transition has been shown to increase the probability of cell differentiation, which is a key aspect of our study. In addition, since IdU treatment is known to induce DNA damage, we emphasized the DNA damage-related pathway to support the biological relevance and consistency of our enrichment results. Similarly, in Figure 5E, we highlighted the apoptosis-related pathway. Apoptosis in this context is closely associated with cellular responses to toxic substances and mitochondrial dynamics. The enrichment of pathways related to these processes enables us to hypothesize the underlying mechanisms driving apoptosis in our system. Further, the absence of green dots in Figure 5E was due to an error in the figure caption. We have revised the figure caption accordingly to accurately describe all elements presented in the figure.

      Clarify axis labels in figures, particularly the y-axis in Figure 5A and the x-axis in Figure 6G. In the first case, it isn't clear what this "value" represents. In the second case, the x-label is very confusing. As I understand the figure description, in these plots you are always comparing the G0 arrested genes between control and treated cells. But the x-label says "G0 (0 D)", "Cycle (50 D)".

      Thank reviewers for pointing out the issues with the axis labels. We have made the necessary revisions to eliminate any confusion. In Figure 5A, the label for the y-axis has been changed from "value" to "log2 (value)" for clarity. The “value” in y-axis represents the value of statistical measure indicated at top of each panel. In Figure 6G, the x-axis label "Cycle (50 D)" has been updated to "G0 (50 D)" to accurately reflect the comparison between the G0-arrested genes in control and treated cells. We have revised the text of Figure 5A and Figure 6G.

      Figure 6 uses a QS metric (quality score), but the definition of this metric is not provided. Including a brief explanation of its meaning would be helpful for clarity.  

      Thank reviewers for feedback. In this version, we provided explanation of the QS (Quality Score) metric in the supplementary text 3 for better clarity. The QS is calculated based on the difference in z-scores derived from GSVA (Gene set variation analysis) of gene sets upregulated and downregulated during the quiescent phase, and is defined as QS = z(up genes)− z(down genes) , as described in the literature (Wiecek AJ et al., 2023). z(up genes) represents the standardized enrichment score of the gene set upregulated during quiescence in each sample. A higher value indicates that the quiescenceassociated upregulated genes are actively expressed, suggesting that the sample is more likely to be in a quiescent (G0) state. z(down genes)  corresponds to the standardized enrichment score of genes downregulated during quiescence. A lower value implies effective suppression of these genes, which is also consistent with quiescence. The difference score QS serves as an integrated indicator of the quiescent state: A higher value reflects simultaneous activation of quiescence-associated upregulated genes and repression of downregulated genes, indicating a gene expression profile that strongly aligns with the G0/quiescent state. A lower or negative value suggests a deviation from the quiescent signature, potentially reflecting a proliferative state or failure to enter quiescence. 

      In Figure 6G, light grey lines are shown, but their significance is unclear. It would be useful to specify what these lines represent.

      Thank reviewers for observation. In Figure 6G, each point represents a single gene, and the light grey lines indicate the trend of changes in the corresponding bursting kinetics values, mean and variance for genes. We have added the explanation in the caption of Figure 6G.

      Additionally, the manuscript should include references to the specific pathways used in the GO analysis to provide more context for the reader.

      Thank reviewers for the suggestion. We have included references to the specific pathways used in the GO analysis in the revised manuscript to provide additional context for the readers.

      In the discussion, sentences like "IdU drug treatment-induced BS enhancement delays the cell mitosis phase transition, impacting cell reprogramming and differentiation" are problematic as they imply causality, which I believe cannot be determined through the present analysis. The strength of the conclusions needs to be better argued (or toned down).

      We acknowledge that the original sentence lacked precision and may have conveyed a misleading implication of causality not fully supported by our current analysis. In the discussion section of revised manuscript, we have rephrased the statement to present a more nuanced interpretation: IdU drug treatment-induced BS enhancement of genes may be associated with a delayed transition in the cell mitosis phase, which could potentially influence cell reprogramming and differentiation.  

      Other (minor) comments:

      On pp. 10, "the BS down-regulates differential genes were mainly enriched..." appears to have a grammatical error/typo, "down-regulated"?

      We have made correction. We have revised “down-regulates” to “down-regulated” for grammatical consistency.

      Equation 2 doesn't match Figure 1A.

      We have made correction. The definition of BF = in Equation 2 is correct. We have revised the definition of BF in Figure 1A to ensure consistency with Equation 2.

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    1. Author response:

      The following is the authors’ response to the original reviews

      We thank the three reviewers for their insightful feedback. We look forward to addressing the raised concerns in a revised version of the manuscript. There were a few common themes among the reviews that we will briefly touch upon now, and we will provide more details in the revised manuscript. 

      First, the reviewers asked for the reasoning behind the task ratios we implemented for the different attentional width conditions. The different ratios were selected to be as similar as possible given the size and spacing of our stimuli (aside from the narrowest cue width of one bin, the ratios for the others were 0.66, .6 and .66). As Figure 1b shows, while the ratios were similar, task difficulty is not constant across cue widths: spreading attention makes the task more difficult generally. But, while the modeled width of the spatial distribution of attention changes monotonically with cue width, task difficulty does not. Furthermore, prior work has indicated that there is a relationship between task difficulty and the overall magnitude of the BOLD response, however we don’t suspect that this will influence the width of the modulation. How task difficulty influences the BOLD response is an important topic, and we hope that future work will investigate this relationship more directly.   

      Second, reviewers raised interest in the distribution of spatial attention in higher visual areas. In our study we focus only on early visual regions (V1-V3). This was primarily driven by pragmatic considerations, in that we only have retinotopic estimates for our participants in these early visual areas. Our modeling approach is dependent on having access to the population receptive field estimates for all voxels, and while the main experiment was scanned using whole brain coverage, retinotopy was measured in a separate session using a field of view only covering the occipital cortex.  

      Lastly, we appreciate the opportunity to clarify the purpose of the temporal interval analysis. The reviewer is correct in assuming we set out to test how much data is needed to recover the cortical modulation and how dynamic a signal the method can capture. This analysis does show that more data provides more reliable estimates, though the model was still able to recover the location and width of the attentional cue at shorter timescales of as few as two TRs. This has implications for future studies that may involve more dynamic tracking of the attentional field.

      Public Reviews

      Reviewer #1 (Public review): 

      The authors conducted an fMRI study to investigate the neural effects of sustaining attention to areas of different sizes. Participants were instructed to attend to alphanumeric characters arranged in a circular array. The size of attention field was manipulated in four levels, ranging from small (18 deg) to large (162 deg). They used a model-based method to visualize attentional modulation in early visual cortex V1 to V3, and found spatially congruent modulations of the BOLD response, i.e., as the attended area increased in size, the neural modulation also increased in size in the visual cortex. They suggest that this result is a neural manifestation of the zoomlens model of attention and that the model-based method can effectively reconstruct the neural modulation in the cortical space. 

      The study is well-designed with sophisticated and comprehensive data analysis. The results are robust and show strong support for a well-known model of spatial attention, the zoom-lens model. Overall, I find the results interesting and useful for the field of visual attention research. I have questions about some aspects of the results and analysis as well as the bigger picture. 

      (1) It appears that the modulation in V1 is weaker than V2 and V3 (Fig 2). In particular, the width modulation in V1 is not statistically significant (Fig 5). This result seems a bit unexpected. Given the known RF properties of neurons in these areas, in particular, smaller RF in V1, one might expect more spatially sensitive modulation in V1 than V2/V3. Some explanations and discussions would be helpful. Relatedly, one would also naturally wonder if this method can be applied to other extrastriate visual areas such as V4 and what the results look like. 

      We agree with the reviewer. It’s very interesting how the spatial resolution within different visual regions contributes to the overall modulation of the attentional field, and how this in turn would influence perception. Our data showed that fits in V1 appeared to be less precise than in V2 and V3. This can be seen in the goodness of fit of the model as well as the gain and absolute angular error estimates. The goodness of fit and gain were lowest in V1 and the absolute angular error was largest in V1 (see Figure 5). We speculate that the finer spatial granularity of V1 RFs was countered by a lower amplitude and SNR of attention-related modulation in V1, resulting in overall lower sensitivity to variation in attentional field width. Prior findings concur that the magnitude of covert spatial attention increases when moving from striate to extrastriate cortex (Bressler & Silver (2010); Buracas & Boynton (2007)). Notably, in our perception condition, V1 showed more spatially sensitive modulation (see Figure 7), consistent with the known RF properties of V1 neurons.

      Regarding the second point: unfortunately, our dataset did not allow us to explore higherorder cortical regions with the model-based approach. While the main experiment was scanned using a sequence with whole brain coverage, the pRF estimates came from a separate scanning session which only had limited occipital coverage. Our modeling approach is dependent on the polar angle estimates from this pRF session. We now explicitly state this limitation in the methods (lines 87-89):

      “In this session, the field of view was restricted to the occipital cortex to maximize SNR, thereby limiting the brain regions for which we had pRF estimates to V1, V2, and V3.”

      (2) I'm a bit confused about the angular error result. Fig 4 shows that the mean angular error is close to zero, but Fig 5 reports these values to be about 30-40 deg. Why the big discrepancy? Is it due to the latter reporting absolute errors? It seems reporting the overall bias is more useful than absolute value. 

      The reviewer’s inference here is exactly right: Figure 4 shows signed error, whereas Figure 5 shows absolute error. We show the signed error for the example participant because, (1) by presenting the full distribution of model estimates for one participant, readers have access to a more direct representation of the data, and (2) at the individual level it is possible to examine potential directional biases in the location estimates (which do not appear to be present). As we don’t suspect a consistent directional bias across the group, we believe the absolute error in location estimates is more informative in depicting the precision in location estimates using the model-based approach. In the revised manuscript, we modified Figure 5 to make the example participant’s data visually distinct for easy comparison. We have clarified this reasoning in the text (results lines 59-64):

      “The angular error distribution across blocks, separated by width condition, is shown in Figure 4 for one example participant to display block-to-block variation. The model reliably captured the location of the attentional field with low angular error and with no systematic directional bias. This result was observed across participants. We next examined the absolute angular error to assess the overall accuracy of our estimates.”

      (3) A significant effect is reported for amplitude in V3 (line 78), but the graph in Fig 5 shows hardly any difference. Please confirm the finding and also explain the directionality of the effect if there is indeed one. 

      We realize that the y-axis scale of Figure 5 was making it difficult to see that gain decreases with cue width in area V3. Instead of keeping the y-axis limits the same across visual regions, we now adapt the y-axis scale of each subplot to the range of data values:  

      We now also add the direction of the effect in the text (results lines 83-86):

      “We observed no significant relationship between gain and cue width in V1 and V2 (V1 t(7)=.54, p=.605; V2 t(7)=-2.19, p=.065), though we did find a significant effect in V3 illustrating that gain decreases with cue width (t(7)=-3.12, p=.017).”

      (4) The purpose of the temporal interval analysis is rather unclear. I assume it has to do with how much data is needed to recover the cortical modulation and hence how dynamic a signal the method can capture. While the results make sense (i.e., more data is better), there is no obvious conclusion and/or interpretation of its meaning. 

      We apologize for not making our reasoning clear. We now emphasize our reasoning in the revised manuscript (results lines 110-112). Our objective was to quantify how much data was needed to recover the dynamic signal. As expected, we found that including more data reduces noise (averaging helps), but importantly, we found that we still obtained meaningful model fits even with limited data. We believe this has important implications for future paradigms that explore more dynamic deployment of spatial attention, where one would not want to average over multiple repetitions of a condition.

      The first paragraph of the Temporal Interval Analysis section in the results now reads: 

      “In the previous analyses, we leveraged the fact that the attentional cue remained constant for 5-trial blocks (spatial profiles were computed by averaging BOLD measurements across a block of 10 TRs). We next examined the degree to which we were able to recover the attentional field on a moment-by-moment (TR-by-TR) basis. To do this, we systematically adjusted the number of TRs that contributed to the averaged spatial response profile. To maintain a constant number of observations across the temporal interval conditions, we randomly sampled a subset of TRs from each block. This allowed us to determine the amount of data needed to recover the attentional field, with a goal of examining the usability of our modeling approach in future paradigms involving more dynamic deployment of spatial attention.”

      (5) I think it would be useful for the authors to make a more explicit connection to previous studies in this literature. In particular, two studies seem particularly relevant. First, how do the present results relate to those in Muller et al (2003, reference 37), which also found a zoom-lens type of neural effects. Second, how does the present method compare with spatial encoding model in Sprague & Serences (2013, reference 56), which also reconstructs the neural modulation of spatial attention. More discussions of these studies will help put the current study in the larger context.

      We now make a more explicit connection to prior work in the discussion section (lines 34-54). 

      “We introduced a novel modeling approach that recovered the location and the size of the attentional field. Our data show that the estimated spatial spread of attentional modulation (as indicated by the recovered FWHM) consistently broadened with the cue width, replicating prior work (Müller et al., 2003; Herrmann et al., 2010). Our results go beyond prior work by linking the spatial profiles to pRF estimates, allowing us to quantify the spread of both attentional and perceptual modulation in degrees of polar angle. Interestingly, the FWHM estimates for the attentional and perceptual spatial profiles were highly similar. Additionally, for area V3 we replicate that the population response magnitude decreased with cue width (Müller et al., 2003; Feldmann-Wüstefeld and Awh, 2020). One innovation of our method is that it directly reconstructs attention-driven modulations of responses in visual cortex, setting it apart from other methods, such as inverted encoding models (e.g. Sprague & Serences, 2013). Finally, we demonstrated that our method has potential to be used in more dynamic settings, in which changes in the attentional field need to be tracked on a shorter timescale.”

      (6) Fig 4b, referenced on line 123, does not exist. 

      We have corrected the text to reference the appropriate figure (Figure 5, results line 136).

      Reviewer #2 (Public review):

      Summary: 

      The study in question utilizes functional magnetic resonance imaging (fMRI) to dynamically estimate the locus and extent of covert spatial attention from visuocortical activity. The authors aim to address an important gap in our understanding of how the size of the attentional field is represented within the visual cortex. They present a novel paradigm that allows for the estimation of the spatial tuning of the attentional field and demonstrate the ability to reliably recover both the location and width of the attentional field based on BOLD responses. 

      Strengths: 

      (1) Innovative Paradigm: The development of a new approach to estimate the spatial tuning of the attentional field is a significant strength of this study. It provides a fresh perspective on how spatial attention modulates visual perception. 

      (2) Refined fMRI Analysis: The use of fMRI to track the spatial tuning of the attentional field across different visual regions is methodologically rigorous and provides valuable insights into the neural mechanisms underlying attentional modulation. 

      (3) Clear Presentation: The manuscript is well-organized, and the results are presented clearly, which aids in the reader's comprehension of the complex data and analyses involved. 

      We thank the reviewer for summarizing the strengths in our work. 

      Weaknesses: 

      (1) Lack of Neutral Cue Condition: The study does not include a neutral cue condition where the cue width spans 360°, which could serve as a valuable baseline for assessing the BOLD response enhancements and diminishments in both attended and non-attended areas. 

      We do not think that the lack of a neutral cue condition substantially limits our ability to address the core questions of interest in the present work. We set out to estimate the locus and the spread of covert spatial attention. By definition, a neutral cue does not have a focus of attention as the whole annulus becomes task relevant. We agree with the reviewer that how spatial attention influences the magnitude of the BOLD response is still not well defined; i.e., does attending a location multiplicatively enhance responses at an attended location or does it instead act to suppress responses outside the focus of attention? A neutral cue condition would be necessary to be able to explore these types of questions. However, our findings don’t rest on any assumptions about this. Instead, we quantify the attentional modulation with a model-based approach and show that we can reliably recover its locus, and reveal a broadening in the attentional modulation with wider cues. 

      We realize that throughout the original manuscript we often used the term ‘attentional enhancement,’ which might inadvertently specify an increase with respect to a neutral condition. To be more agnostic to the directionality of the effect, we have changed this to ‘attentional modulation’ and ‘attentional gain’ throughout the manuscript. Additionally, we have added results and visualizations for the baseline parameter to all results figures (Figures 4-7) to help readers further interpret our findings.  

      (2) Clarity on Task Difficulty Ratios: The explicit reasoning for the chosen letter-to-number ratios for various cue widths is not detailed. Ensuring clarity on these ratios is crucial, as it affects the task difficulty and the comparability of behavioral performance across different cue widths. It is essential that observed differences in behavior and BOLD signals are attributable solely to changes in cue width and not confounded by variations in task difficulty.  

      The ratios were selected to be as similar as possible given the size and spacing of our stimuli (aside from the narrowest cue width of one bin, the proportions for the others were 0.67, 0.60, and 0.67). We have updated the methods section to state this explicitly (methods lines 36-38): 

      “The ratios were selected to be as similar as possible given the size and spacing of our stimuli (aside from the one-bin cue, the proportions for the other cues were 0.67, 0.60, 0.67).”

      As Figure 1b shows, task accuracy showed small and non-monotonic changes across the three larger cue widths, dissociable from the monotonic pattern seen for the modelestimated width of the attentional field. Furthermore, as prior work has indicated that there is a relationship between task difficulty and the overall magnitude of the BOLD response (e.g., Ress, Backus & Heeger, 2000), we would primarily expect effects of task difficulty on the gain or baseline rather than the width. How exactly task difficulty influences the BOLD response and whether this would, in fact, interact with the width of the attentional field is an important topic, and we hope that future work will investigate this relationship more directly.  

      We have clarified these points within the text, and now explicitly motivate future work looking at these important interactions (discussion lines 57-67):

      “The observed effects of attentional field width were unlikely to be directly attributable to variation in task difficulty. Participants' task in our study was to discriminate whether more numbers or more letters were presented within a cued region of an iso-eccentric annulus of white noise. For our different cue widths, the ratios of numbers and letters were selected to be as similar as possible given the size and spacing of our stimuli. Changes in accuracy across the three larger cue widths were small and non-monotonic, implying task difficulty was dissociable from width per se. This dissociation bolsters the interpretability of our model fits; nevertheless, future work should further investigate how task difficulty interacts with the spread of the attentional field and the amplitude of attention-related BOLD effects (cf. Ress, Backus & Heeger, 2000).”

      Reviewer #3 (Public review):

      Summary: 

      In this report, the authors tested how manipulating the contiguous set of stimuli on the screen that should be used to guide behavior - that is, the scope of visual spatial attention - impacts the magnitude and profile of well-established attentional enhancements in visual retinotopic cortex. During fMRI scanning, participants attended to a cued section of the screen for blocks of trials and performed a letter vs digit discrimination task at each attended location (and judged whether the majority of characters were letters/digits). Importantly, the visual stimulus was identical across attention conditions, so any observed response modulations are due to topdown task demands rather than visual input. The authors employ population receptive field (pRF) models, which are used to sort voxel activation with respect to the location and scope of spatial attention and fit a Gaussian-like function to the profile of attentional enhancement from each region and condition. The authors find that attending to a broader region of space expands the profile of attentional enhancement across the cortex (with a larger effect in higher visual areas), but does not strongly impact the magnitude of this enhancement, such that each attended stimulus is enhanced to a similar degree. Interestingly, these modulations, overall, mimic changes in response properties caused by changes to the stimulus itself (increase in contrast matching the attended location in the primary experiment). The finding that attentional enhancement primarily broadens, but does not substantially weaken in most regions, is an important addition to our understanding of the impact of distributed attention on neural responses, and will provide meaningful constraints to neural models of attentional enhancement. 

      Strengths: 

      (1) Well-designed manipulations (changing location and scope of spatial attention), and careful retinotopic/pRF mapping, allow for a robust assay of the spatial profile of attentional enhancement, which has not been carefully measured in previous studies.

      (2) Results are overall clear, especially concerning width of the spatial region of attentional enhancement, and lack of clear and consistent evidence for reduction in the amplitude of enhancement profile.

      (3) Model-fitting to characterize spatial scope of enhancement improves interpretability of findings.

      We thank the reviewer for highlighting the strengths of our study. 

      Weaknesses: 

      (1) Task difficulty seems to vary as a function of spatial scope of attention, with varying ratios of letters/digits across spatial scope conditions, which may complicate interpretations of neural modulation results  

      The reviewer is correct in observing that task accuracy varied across cue widths. Though we selected the task ratios to be as similar as possible given the size and spacing of our stimuli (aside from the narrowest cue width of one bin, the proportions for the others were 0.67, 0.60, and 0.67), behavioral accuracy across the three larger cue widths was not identical. Prior research has shown that there is a relationship between task difficulty and the overall magnitude of the BOLD response (e.g., Ress, Backus & Heeger, 2000). Thus, we would primarily expect effects of task difficulty on gain rather than width. How task difficulty influences the BOLD response and whether this would, in fact, interact with the width of the attentional field is an important topic, and we hope that future work will investigate this relationship more directly.  

      To clarify these points and highlight the potential for future work looking at these important interactions, we added the following text to the discussion section (discussion lines 57-67):

      “The observed effects of attentional field width were unlikely to be directly attributable to variation in task difficulty. Participants' task in our study was to discriminate whether more numbers or more letters were presented within a cued region of an iso-eccentric annulus of white noise. For our different cue widths, the ratios of numbers and letters were selected to be as similar as possible given the size and spacing of our stimuli. Changes in accuracy across the three larger cue widths were small and non-monotonic, implying task difficulty was dissociable from width per se. This dissociation bolsters the interpretability of our model fits; nevertheless, future work should further investigate how task difficulty interacts with the spread of the attentional field and the amplitude of attention-related BOLD effects (cf. Ress, Backus and Heeger, 2000).”

      (2) Some aspects of analysis/data sorting are unclear (e.g., how are voxels selected for analyses?) 

      We apologize for not describing our voxel selection in sufficient detail. Some of the questions raised in the private comments are closely related to this point, we therefore aim to clarify all concerns below:

      - Voxel selection: To select voxels that contribute to the 1D spatial profiles, we relied on the independent pRF dataset. We first defined some general requirements that needed to be met. Specifically, 1) the goodness of fit (R<sup>2</sup>) of the pRF fits needed to be greater than 10%; 2) the estimated eccentricity had to fall within [0.7 9.1] degree eccentricity (to exclude voxels in the fovea and voxels with estimated eccentricities larger than the pRF mapping stimulus); 3) the estimated size must be greater than 0.01 degree visual angle. 

      Next, we included only voxels whose pRF overlapped with the white noise annulus. Estimated eccentricity was used to select all voxels whose eccentricity estimate fell within the annulus bounds. However, here it is also important to take the size of the pRF into account. Some voxels’ estimated eccentricity might fall just outside the annulus, but will still have substantial overlap due to the size of their pRF. Therefore, we further included all voxels whose estimated pRF size resulted in overlap with the annulus. 

      This implies that some voxels with greater eccentricities and larger pRF sizes contribute to the 1D profile, which will influence the spatial specificity of the 1D profiles. However, we want to emphasize that in our view, the exact FWHM value is not so much of interest, as this will always be dependent on the voxel selection and many other data processing steps. Instead, we focus on the relative differences of the FWHM driven by the parametric attentional cue width manipulation. 

      - Data sorting and binning. The reviewer raises an important point about how the FWHM value should be interpreted considering the data processing steps. To generate the 1D spatial profile, we binned voxels based on their estimated polar angle preference into 6degree bins and applied a moving average of 18 degrees to smooth the 1D profiles. Both of these processing steps will influence the spatial specificity of the profile. The binning step facilitates recentering based on cue center and combining across trials.

      To explore the extent to which the moving average substantially impacted our results, we reran our analyses without that smoothing step. The vast majority of the results held. In V1, we found a significant effect of cue width on FWHM where the result was not significant previously (t(7)=2.52, p\=.040). Additionally, when looking at the minimum number of TRs needed to see a significant effect of cue width on FWHM, without the smoothing step in V1 it took 10 TRs (not significant at 10 TRs previously), in V2 it took 5 TRs (10 previously), and in V3 it took 3 TRs (2 previously). The other notable difference is that FWHM was generally a bit larger when the moving average smoothing was performed. We have visualized the group results for the FWHM estimates below to help with comparison. 

      Author response image 1.

      No moving average smoothing:

      Voxel selection methods have been clarified in methods section lines 132-139:

      “Within each ROI, pRF modeling results were used to constrain voxel selection used in the main experiment. We excluded voxels with a preferred eccentricity outside the bounds of the pRF stimulus (<0.7° and >9.1°), with a pRF size smaller than 0.01°, or with poor spatial selectivity as indicated by the pRF model fit (R2 < 10%). Following our 2D visualizations (see below), we further constrained voxel selection by only including voxels whose pRF overlapped with the white noise annulus. We included all voxels with an estimated eccentricity within the annulus bounds, as well as voxels with an estimated pRF size that would overlap the annulus.”

      Data binning methods have been clarified in methods section lines 154-159: 

      “Voxels with pRFs overlapping the white noise annulus were grouped into 60 bins according to their pRF polar angle estimate (6° polar angle bin width). We computed a median BOLD response within each bin. This facilitated the recentering of each profile to align all cue centers for subsequent combining across trials. To improve the signal-to-noise ratio, the resulting profile was smoothed with a moving average filter (width 18° polar angle; see Figure 2b).”

      (3) While the focus of this report is on modulations of visual cortex responses due to attention, the lack of inclusion of results from other retinotopic areas (e.g. V3AB, hV4, IPS regions like IPS0/1) is a weakness 

      We agree with the reviewer that using this approach in other retinotopic areas would be of significant interest. In this case, population receptive field mapping occurred in a separate session with a field of view only covering the occipital cortex (in contrast to the experimental session, which had whole-brain coverage). Because our modeling approach relies on these pRF estimates, we were unable to explore higher visual areas. However, we hope future work will follow up on this.

      We have added the following text to the methods section describing the pRF mapping session (lines 87-89):

      “In this session, the field of view was restricted to the occipital cortex to maximize SNR, thereby limiting the brain regions for which we had pRF estimates to V1, V2, and V3.”

      (4) Additional analyses comparing model fits across amounts of data analyzed suggest the model fitting procedure is biased, with some parameters (e.g., FWHM, error, gain) scaling with noise. 

      In this analysis, we sought to test how much data was needed to recover the attentional field, in view of the need for additional fMRI-based tools for use in tasks that involve more rapid dynamic adaptation of attention. Though we did find that more data reduced noise (and accordingly decreased absolute error and amplitude while increasing FWHM and R<sup>2</sup>), absolute angular error remained low across different temporal intervals (well below the chance level of 90°). With regard to FWHM, we believe that the more important finding is that the model-estimated FWHM was modulated by cue width at shorter timescales of as few as two TRs while maintaining relatively low angular error. We refrain from drawing conclusions here on the basis of the exact FWHM values, both because we don’t have a ground truth for the attentional field and because various processing pipeline steps can impact the values as well. Rather, we are looking at relative value and overall patterns in the estimates. The observed patterns imply that the model recovers meaningful modulation of the attentional field even at shorter time scales.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      Additional data reporting and discussion of results are needed as outlined in the public review. 

      Reviewer #2 (Recommendations for the authors):

      (1) The current experimental design effectively captured the impact of varying cue widths on the BOLD response in the visual cortex. However, the inclusion of a neutral cue condition, where the cue width spans 360{degree sign} and all peripheral stimuli are attended, could serve as a valuable baseline. This would enable a quantitative assessment of how much the BOLD response is enhanced in specific spatial regions due to focused cues and, conversely, how much it is diminished in non-attended areas, along with the spatial extent of these effects. 

      Please refer to our response in the public review. 

      (2) While the study provides valuable insights into BOLD signal changes in visual areas corresponding to the focus of attention, it does not extend its analysis to the impact on regions outside the focus of attention. It would be beneficial to explore whether there is a corresponding decrease in BOLD signal in non-attended regions, and if identified, to describe the spatial extent and position of this effect relative to the attended area. Such an analysis could yield deeper insights into how attention influences activity across the visual cortex. 

      We agree with the reviewer that it is very interesting to examine the spread of attention across the whole visual field. Our experiment was designed to focus on width modulations at a fixed eccentricity, but future work should explore how the attentional field changes with eccentricity and interacts with spatial variations across the visual field. This is highlighted in our discussion section (lines 76-81): 

      “Future work can help provide a better understanding of the contribution of spatial attention by considering how the attentional field interacts with these well described spatial variations across the visual field. Measuring the full spatial distribution of the attentional field (across both eccentricity and polar angle) will shed light on how spatial attention guides perception by interacting with the non-uniformity of spatial representations.”

      The addition of figure panels for the estimated baseline parameter in Figures 4-7 provides further information about BOLD effects in unattended regions of the annulus.  

      (3) The rationale behind the selection of task difficulty ratios for different cue widths, specifically the letter-to-number ratios of 1:0, 1:2, 2:3, and 3:6 (or vice versa) for cue widths of 18{degree sign}, 54{degree sign}, 90{degree sign}, and 162{degree sign} respectively, was not explicitly discussed. It would be beneficial to clarify the basis for these ratios, as they may influence the perceived difficulty of the task and thus the comparability of behavioral performance across different cue widths. Ensuring that the task difficulty is consistent across conditions is crucial for attributing differences in behavior and BOLD signals solely to changes in cue width and not confounded by variations in task difficulty. 

      Please refer to our response in the public review. We now clarify why we selected these ratios, and acknowledge more explicitly that behavioral performance differed across width conditions. See also our reply to private comment 1 from Reviewer 3 for some additional analyses examining task related influences.

      Reviewer #3 (Recommendations for the authors):

      (1) Task difficulty: the task seems exceptionally challenging. Stimuli are presented at a relativelyeccentric position for a very brief duration, and a large number of comparisons must be made across a broad region of space. This is reflected in the behavioral performance, which decreases rapidly as the scope of attention increases (Fig. 1). Because trials are blocked, does this change in task difficulty across conditions impact the degree to which neural responses are modulated? How should we consider differences in task difficulty in interpreting the conclusions (especially with respect to the amplitude parameter)? Also, note that the difficulty scales both with number of stimuli - as more need to be compared - but also with the ratio, which differs nonmonotonically across task conditions. One way to dissociate these might be RT: for 54/162, which both employ the same ratio of letter/digits and have similar accuracy, is RT longer for 162, which requires attending more stimuli? 

      In addition to our comments in response to the public review, we emphasize that the reviewer makes an important point that there are differences in task difficulty, though the ratios are as close as they can be given the size and spacing of our stimuli. Behavioral performance varied non-monotonically with cue width, bolstering our confidence that our monotonically increasing model-estimated width is likely not entirely driven by task difficulty. There nevertheless remain open questions related to how task difficulty does impact BOLD attentional modulation, which we hope future work will more directly investigate.

      The reviewer's comments identify two ways our data might preliminarily speak to questions about BOLD attentional modulation and task difficulty. First: how might the amplitude parameter reflect task difficulty? This is an apt question as we agree with the reviewer that it would be a likely candidate in which to observe effects of task difficulty. We do find a small effect of cue width on our amplitude estimates (amplitude decreases with width) in V3. Using the same analysis technique to look at the relationship between task difficulty and amplitude, we find no clear relationship in any of the visual areas (all p >= 0.165, testing whether the slopes differed from zero at the group level using a one-sample t-test). We believe future work using other experimental manipulations should look more systematically at the relationship between task difficulty and amplitude of the attentional BOLD enhancement.

      Second: Does the same ratio at different widths elicit different behavioral responses (namely accuracy and RT)? We followed the reviewer’s suggestion to compare performance between cue widths of three and nine (identical ratios, different widths; see Author response image 2 and Figure 5). We found that, using a paired t-test, behavioral accuracy differed between the two cue widths (mean accuracy of 0.73 versus 0.69, p = 0.008), with better performance for cue width three. RT did not differ significantly between the two conditions (paired t-test, p = 0.729). This could be due to the fact that participants were not incentivized to respond as quickly as possible, they merely needed to respond before the end of the response window (1.25 s) following the stimulus presentation (0.5 s). The comparisons for accuracy and RT (calculated from time of stimulus appearance) are plotted below:

      Author response image 2.

      In summary, with matched stimulus ratios, the wider cue was associated with worse (though not slower) performance. This could be due to the fact that more elements are involved and/or that tasks become more difficult when attending to a broader swath of space. Given these results, we believe that future studies targeting difficulty effects should use direct and independent manipulations of task difficulty and attentional width. 

      (2) Eye movements: while the authors do a good job addressing the average eccentricity of fixation, I'm not sure this fully addresses concerns with eye movements, especially for the character-discrimination task which surely benefits from foveation (and requires a great deal of control to minimize saccades!). Can the authors additionally provide data on, e.g., # of fixations within the attended stimulus annulus, or fixation heatmap, or # of saccades, or some other indicator of likelihood of fixating the letter stimuli for each condition? 

      We agree with the reviewer that this task is surely much easier if one foveated the stimuli, and it did indeed require control to minimize saccades to the annulus. (We appreciate the effort and motivation of our participants!) We are happy to provide additional data to address these reasonable concerns about eye movements. Below, we have visualized the number of fixations to the annulus, separated by participant and width. Though there is variability across participants, there are at most 16 instances of fixations to the annulus for a given participant, combined across all width conditions. The median number of fixations to the annulus per width is zero (shown in red). Considering the amount of time participants engaged in the task (between 8 and 12 runs of the task, each run with 100 trials), this indicates participants were generally successful at maintaining central fixation while the stimuli were presented.

      Author response image 3.

      We added the results of this analysis to the methods section (lines 205-208):

      “Additionally, we examined the number of fixations to the white noise annulus itself. No participant had more than 16 fixations (out of 800-1200 trials) to the annulus during the task, further suggesting that participants successfully maintained fixation.”

      (3) pRF sorting and smoothing: Throughout, the authors are analyzing data binned based on pRF properties with respect to the attended location ("voxels with pRFs overlapping with the white noise annulus", line 243-244) First, what does this mean? Does the pRF center need to be within the annulus? Or is there a threshold based on the pRF size? If so, how is this implemented? Additionally, considering the methods text in lines 242-247, the authors mention that they bin across 6 deg-wide bins and smooth with a moving average (18 deg), which I think will lead to further expansion of the profile of attentional enhancement (see also below) 

      We provide a detailed response in the public review. Furthermore, we have clarified the voxel selection procedure in the Methods (lines 132–139 & 154–159).

      (4) FWHM values: The authors interpret the larger FWHMs estimated from their model-fitting than the actual size of the attended region as a meaningful result. However, depending on details of the sorting procedure above, this may just be due to the data processing itself. One way to identify how much expansion of FWHM occurs due to analysis is by simulating data given estimates of pRF properties for a 'known' shape of modulation (e.g., square wave exactly spanning the attended aperture) and compare the resulting FWHM to that observed for attention and perception conditions (e.g., Fig. 7c). 

      We provide a detailed response in the public review. The essence of our response is to refrain from interpreting the precise recovered FWHM values, which will be influenced by multiple processing steps, and instead to focus on relative differences as a function of the attentional cue width. Accordingly, we did not add simulations to the revised manuscript, although we agree with the reviewer that such simulations could shed light on the underlying spatial resolution, and how binning and smoothing influences the estimated FWHM. We have clarified our interpretation of FWHM results in the manuscript as follows:

      Results lines 137-141:

      “One possibility is that the BOLD-derived FWHM might tend to overestimate the retinotopic extent of the modulation, perhaps driven by binning and smoothing processing steps to create the 1D spatial profiles. If this were the case, we would expect to obtain similar FWHM estimates when modeling the perceptual modulations as well.”

      Results lines 169-175:

      “Mirroring the results from the attentional manipulation, FWHM estimates systematically exceeded the nominal size of the perceptually modulated region of the visual field. Comparing the estimated FWHMs of the perceptual and attentional spatial profiles (Figure 7c) revealed that the estimated widths were highly comparable (Pearson correlation r=0.664 across width conditions and visual regions). Importantly, the relative differences in FWHM show meaningful effects of both cue and contrast width in a similar manner for both attentional and perceptual forms of modulation.”

      Discussion lines 16-22:

      “We also found that the estimated spatial spread of the attentional modulation (as indicated by the recovered FWHM) was consistently wider than the cued region itself. We therefore compared the spread of the attention field with the spatial profile of a perceptually induced width manipulation. The results were comparable in both the attentional and perceptual versions of the task, suggesting that cueing attention to a region results in a similar 1D spatial profile to when the stimulus contrast is simply increased in that region.”

      (5) Baseline parameter: looking at the 'raw' response profiles shown in Fig. 2b, it looks, at first, like the wider attentional window shows substantially lower enhancement. However, this seems to be mitigated by the shift of the curve downwards. Can the authors analyze the baseline parameter in a similar manner as their amplitude analyses throughout? This is especially interesting in contrast to the perception results (Fig. 7), for which the baseline does not seem to scale in a similar way. 

      We agree with the reviewer that the baseline parameter is worth examining, and have therefore added panels displaying the baseline parameter into all results figures (Figures 4-7). There was no significant association between cue width and baseline offset in any of the three visual regions.

      (6) Outlier: Fig. 5, V2, Amplitude result seems to have a substantial outlier - is there any notable difference in e.g. retinotopy in this participant? 

      One participant indeed has a notably larger median amplitude estimate in V2. Below, we plot the spatial coverage from the pRF data for this participant (022), as well as all other participants.

      Author response image 4.

      Each subplot represents a participant's 2D histogram of included voxels for the 1D spatial profiles; the colors indicate the proportion of voxels that fell within a specific x,y coordinate bin. Note that this visualization only shows x and y estimates and does not take into account size of the pRF. While there is variation across participants in the visual field coverage, the overall similarity of the maps indicates that retinotopy is unlikely to be the explanation. 

      To further explore whether this participant might be an outlier, we additionally looked at behavioral performance, angular error and FWHM parameters as well as the goodness of fit of the model. On all these criteria this participant did not appear to be an outlier. We therefore see no reason to exclude this participant from the analyses.  

      (7) Fig. 4 vs Fig. 5: I understand that Fig. 4 shows results from a single participant, showing variability across blocks, while Fig. 5 shows aggregate results across participants. However, the Angular Error figure shows complementary results - Fig. 4 shows the variability of best-fit angular error, while Fig. 5 shows the average deviation (approximately the width of the error distribution). This makes sense I think, but perhaps the abs(error) for the single participant shown in Fig. 4 should be included in the caption so we can easily compare between figures. 

      That's right: the Figure 4 results show the signed error, whereas the Figure 5 results show the absolute error. We agree that reporting the absolute error values for the example participant would facilitate comparison. Rather than add the values to the text, we have made the example participant’s data visually distinct within Figure 5 for easy comparison.  

      (8) Bias in model fits: the analysis shown in Fig. 6 compares the estimated parameters across amounts of data used to compute attentional modulation profiles for fitting those parameters. If the model-fitting procedure were unbiased, my sense is we would likely see no impact of the number of TRs on the parameters (R^2 should improve, abs(error) should improve, but FWHM, amplitude, baseline, etc should be approximately stable, if noisier). However, instead, it looks like more/less data leads to biased estimates, such that FWHM is biased to be smaller with more noise, and amplitude is biased to be larger. This suggests (to me) that the fit is landing on a spiky function that captures a noise wiggle in the profile. I don't think this is a problem for the primary results across the whole block of 10 TRs, which is the main point of the paper. Indeed, I'm not sure what this figure is really adding, since the single-TR result isn't pursued further (see below). 

      Please refer to our response in the public review, comment 4. 

      (9) 'Dynamics': The paper, starting in the title, claims to get at the 'dynamics' of attention fields. At least to me, that word implies something that changes over time (rather than across trials). Maybe I'm misinterpreting the intent of the authors, but at present, I'm not sure the use of the word is justified. That said, if the authors could analyze the temporal evolution of the attention field through each block of trials at 1- or 2-TR resolution, I think that could be a neat addition to the paper and would support the claim that the study assays dynamic attention fields. 

      We thank the reviewer for giving us a chance to speak more directly to the dynamic aspect of our approach. Here, we specifically use the word “dynamic” to refer to trial-to-trial dynamics.  Importantly, our temporal interval analysis suggests that we can recover information about the attentional field at a relatively fine-grained temporal resolution (a few seconds, or 2 TRs). Following this methodological proof-of-concept to dynamically track the attentional field, we are excited about future work that can more directly investigate the manner in which the attentional field evolves through time, especially in comparison to other methods that first require training on large amounts of data.

      (10) Correction for multiple comparisons across ROIs: it seems that it may be necessary to correct statistical tests for multiple comparisons across each ROI (e.g., Fig. 5 regression tests). If this isn't necessary, the authors should include some justification. I'm not sure this changes any conclusions, but is worth considering. 

      We appreciate the opportunity to explain our reasoning regarding multiple comparisons. We thought it appropriate not to correct as we are not comparing across regions and are not treating tests of V1, V2, and V3 as multiple opportunities to support a common hypothesis. Rather, the presence or absence of an effect in each visual region is a separate question. We would typically perform correction for multiple comparisons to control the familywise error rate when conducting a family of tests addressing a common hypothesis. We have added this to the Methods section (lines 192-195): 

      “No multiple comparison correction was applied, as the different tests for each region are treated as separate questions. However, using a threshold of 0.017 for p-values would correct for comparisons across the three brain regions.”

      However, we are happy to provide corrected results. If we use Bonferroni correction across ROIs (i.e. multiply p-values by three), there are some small changes from significant to only trending towards significance, but these changes don’t affect any core results. The changes that go from significant to trending are:

      Associated with Figure 5 – In V3, the relationship of cue width to amplitude goes from a p-value of 0.017 to 0.051.

      Associated with Figure 6 –

      V1: the effect of cue width on FWHM goes from p = 0.043 to 0.128.

      V2: the effect of TR on both FWHM and R2 goes from p = ~0.02 to ~0.06. 

      V3: the effect of cue width on amplitude goes from p = 0.024 to 0.073.

    1. Author Response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public review):

      Expressed concern that FOOOF may not be sensitive to peaks located at the edges of the spectrum and suggested using rhythmicity as an alternative measure of oscillatory activity.

      To address this concern, we first conducted a simulation in which we generated power spectra with a single periodic component while varying its parameters. The results confirmed that FOOOF may indeed have reduced sensitivity to low-frequency periodic components. In such cases, periodic activity can be conflated with aperiodic activity, leading to inflated estimates of the aperiodic component. These simulation results are presented in detail at the end of the Supplement.

      To further investigate whether the low-frequency activity in our datasets may be oscillatory, we employed the phase-autocorrelation function (pACF), a measure of rhythmicity developed by Myrov et al. (2024). We compared pACF and FOOOF-derived parameters using linear mixed models at each channel–frequency– time point (see Methods for details). Our analyses showed that pACF activity closely resembles periodic activity across all three datasets, and is dissimilar to aperiodic parameters (see Figures 5, S4, S5, S21, S22, S34, S35). This supports the interpretation that, in our data, aperiodic activity is not conflated with periodic activity.

      I was concerned that “there were no dedicated analyses in the paper to show that the aperiodic changes account for the theta changes.”

      To address this concern, we used linear mixed models to estimate the association between FOOOF parameters and baseline-corrected time-frequency activity. These models were fitted at each channel-frequency-time point. Our results indicate that aperiodic activity is correlated with low-frequency (theta) baseline-corrected activity, while periodic activity is correlated primarily with activity in the alpha/beta range, but not with theta (see Figures 4, S3, S20, S33). Additionally, the exponent parameter exhibited a negative correlation in the gamma frequency range.

      These findings support the reviewer's hypothesis: “I would also like to note that if the theta effect is only the aperiodic shift in disguise, we should see a concomitant increase in delta activity too – maybe even a decrease at high frequencies.” Overall, the results are consistent with our interpretation that low-frequency baseline-corrected activity reflects changes in aperiodic, rather than periodic, activity.

      “On page 7 it is noted that baseline correction might subtract a significant amount of ongoing periodic activity. I would replace the word "subtract" with "remove" as not all baseline correction procedures are subtractive. Furthermore, while this sentence makes it sound like a problem, this is, to my mind, a feature, not a bug - baseline correction is meant to take away whatever is ongoing, be it oscillatory or not, and emphasise changes compared to that, in response to some event.”

      We thank the reviewer for this helpful clarification. We have revised the sentence accordingly to read: “Our results show that classical baseline correction can remove continuous oscillatory activity that is present both during baseline and after stimulus onset, because it treats all baseline signals as 'background' to be removed without distinguishing between transient and continuous oscillations. While this is consistent with the intended purpose of baseline correction---to highlight changes relative to ongoing activity---it may also lead to unintended consequences, such as misinterpreting aperiodic activity as an increase in poststimulus theta oscillations.”

      In addition, we have made several broader revisions throughout the manuscript to improve clarity and accuracy in response to the reviewer’s feedback:

      (1) We have softened our interpretation of changes in the theta range. We no longer claim that these effects are solely due to aperiodic activity; rather, we now state that our findings suggest a potential contribution of aperiodic activity to signals typically interpreted as theta oscillations.

      (2) We have revised our language to avoid suggesting a direct “interplay” between periodic and aperiodic components. Instead, we emphasize the concurrent presence of both components, using more precise and cautious formulations.

      (3) We have clarified our discussion of baseline normalization approaches, explicitly noting that our findings hold regardless of whether a subtractive or divisive baseline correction was applied.

      (4) Finally, we have restructured the introduction to improve readability and address points of potential confusion. Specifically, we have clarified the definition and role of 1/f activity, refined the discussion linking baseline correction to aperiodic activity, and improved transitions between key concepts.

      Reviewer suggested that “it might be good to show that the findings were not driven by the cognitive-complaint subgroup (although the internal replications suggest they were not).”

      We agree that it is important to demonstrate that our findings are not driven solely by the cognitive-complaint subgroup. While we did not include additional figures in the manuscript due to their limited relevance to the primary research question, we have attached figures that explicitly show the comparison between the clinical and control groups here in the response to reviewers. These figures include non-significant effects.

      Author response image 1.

      Results of the linear mixed model analysis of periodic activity for comparison between conditions, including non-significant effect (see also Figure 7 in the paper)

      Author response image 2.

      Results of the linear mixed model analysis of aperiodic exponent for comparison between conditions, including nonsignificant effects (see also Figure 9 in the paper)

      Author response image 3.

      Results of the linear mixed model analysis of aperiodic offset for comparison between conditions, including non-significant effects (see also Figure S11 in the paper)

      “Were lure trials discarded completely, or were they included in the non-target group?”

      Thank you for the question. As described in the Methods section (EEG data preprocessing), lure trials were discarded entirely from further analysis and were not included in the non-target group.

      “Also, just as a side note, while this time-resolved approach is definitely new, it is not novel to this paper, at least two other groups have tried similar approaches, e.g., Wilson, da Silva Castanheira, & Baillet, 2022; Ameen, Jacobs, et al., 2024.”

      Thank you for drawing our attention to these relevant studies. We have now cited both Wilson et al. (2022) and Ameen et al. (2024) in our manuscript. While these papers did indeed use time-resolved approaches, to our knowledge our study is the first to use such an approach within a task-based paradigm.

      noted that it was unclear how the periodic component was reconstructed: “I understand that a Gaussian was recreated based on these parameters, but were frequencies between and around the Gaussians just zeroed out? Or rather, given a value of 1, so that it would be 0 after taking its log10.”

      The periodic component was reconstructed by summing the Gaussians derived from the FOOOF model parameters. Since the Gaussians asymptotically approach, but never reach, zero, there were no explicit zeros between them. We have included this explanation in the manuscript.

      “If my understanding is correct, the periodic and aperiodic analyses were not run on the singletrial level, but on trial-averaged TF representations. Is that correct? In that case, there was only a single observation per participant for each within-subject cell at each TF point. This means that model (4) on p. 15 just simplifies to a repeated-measures ANOVA, does it not? As hinted at later in this section, the model was run at each time point for aperiodic analyses, and at each TF point for periodic analyses, resulting in a series of p-values or a map of p-values, respectively, is that correct?”

      We thank the reviewer for this careful reading and helpful interpretation. The reviewer is correct that analyses were conducted on trial-averaged time-frequency representations. Model presented in equation 7 (as referred to in the current version of the manuscript) is indeed conceptually similar to a repeated-measures ANOVA in that it tests within-subject effects across conditions. However, due to some missing data (i.e., excluded conditions within subjects), we employed linear mixed-effects models (LMER), which can handle unbalanced data without resorting to listwise deletion. This provides more flexibility and preserves statistical power.

      The reviewer is also correct that the models were run at each channel-time point for the aperiodic analyses, and at each channel-time-frequency point for the periodic analyses, resulting in a series or map of p-values, respectively.

      suggested marking the mean response time and contrasting scalp topographies of response-related ERPs with those of aperiodic components.

      We thank the reviewer for this helpful suggestion. In response, we have now marked the mean response time and associated confidence intervals on the relevant figures (Figures 8 and S8). Additionally, we have included a new figure (Figure S13) presenting both stimulus- and response-locked ERP scalp topographies for comparison with aperiodic activity.

      In the previous version of the manuscript, we assessed the relationship between ERPs and aperiodic parameters by computing correlations between their topographies at each time point. However, to maintain consistency with our other analyses and to provide a more fine-grained view, we revised this approach and now compute correlations at each channel–time point. This updated analysis is presented in Figure S14. The results confirm that the correlation between ERPs and aperiodic activity remains low, and we discuss these findings in the manuscript.

      Regardless of the low correlation, we have added the following statement to the manuscript to clarify our conceptual stance: “While contrasting response-related ERPs with aperiodic components can help address potential confounds, we believe that ERPs are not inherently separate from aperiodic or periodic activity. Instead, ERPs may reflect underlying changes in aperiodic and periodic activity. Therefore, different approaches to studying EEG activity should be seen as providing complementary rather than competing perspectives.”

      “On page 3, it is noted that distinct theta peaks were only observed in 2 participants. Was this through visual inspection?”

      Yes, this observation was based on visual inspection of the individual power spectra. We have included this explanation in the text.

      suggested improving the plots by reducing the number of conditions (e.g., averaging across conditions), increasing the size of the colorbars, and using different color scales for different frequency bands, given their differing value ranges. Additionally, the reviewer noted that the theta and alpha results appeared surprising and lacked their expected topographical patterns, possibly due to the color scale.

      We appreciate these thoughtful suggestions and have implemented all of them to improve the clarity and interpretability of the figures. Specifically, we reduced the number of conditions by averaging across them where appropriate, enlarged the colorbars for better readability, and applied separate color scales for different frequency bands to account for variability in dynamic range.

      In the process, we also identified and corrected an error in the code that had affected the topographies of periodic activity in the previous version of the manuscript. With this correction, the resulting topographical patterns are now more consistent with canonical findings and are easier to interpret. For example, activity in the beta range now shows a clear central distribution (see Figure 6B and Figure S5B), and frontal activity in the theta range is more apparent.

      This correction also directly addresses the reviewer’s concern that the “theta and alpha results (where visible) look surprising – the characteristic mid-frontal and posterior topographies, respectively, are not really present.” These unexpected patterns were primarily due to the aforementioned error.

      “Relatedly, why is the mu parameter used here for correlations? Why not simply the RT mean/median, or one of the other ex-Gaussian parameters? Was this an a priori decision?”

      We appreciate the reviewer's thoughtful question. While mean and median RTs are indeed commonly used as summary measures, we chose the mu parameter because it provides a more principled estimate of central tendency that explicitly accounts for the positive skew typically observed in RT distributions. Although we did not directly compare mu, mean and median in this dataset, our experience with similar datasets suggests that differences between them are typically small. We chose not to include other ex-Gaussian parameters (e.g., sigma, tau) to avoid unnecessary model complexity and potential overfitting, especially since our primary interest was not in modelling the full distribution of response variability. This decision was made a priori, although we note that the study was not pre-registered. We have now added a clarification in the manuscript to reflect this rationale.

      “Relatedly, were (some) analyses of the study preregistered?”

      The analyses were not preregistered. Our initial aim was to investigate differences in phaseamplitude coupling (PAC) between the clinical and control groups. However, we did not observe clear PAC in either group—an outcome consistent with recent concerns about the validity of PAC measures in scalp EEG data (see: https://doi.org/10.3390/a16120540). This unexpected finding prompted us to shift our focus toward examining the presence of theta activity and assessing its periodicity.

      The reviewer suggested examining whether there might be differences between trials preceded by a target versus trials preceded by a non-target, potentially reflecting a CNV-like mechanism.

      We appreciate the reviewer’s insightful suggestion. The idea of investigating differences between trials preceded by a target versus a non-target, possibly reflecting a CNV-like mechanism, is indeed compelling. However, this question falls outside the scope of the current study and was not addressed in our analyses. We agree that this represents an interesting direction for future research.

      Reviewer #2 (Public review):

      “For the spectral parameterization, it is recommended to report goodness-of-fit measures, to demonstrate that the models are well fit and the resulting parameters can be interpreted.”

      We thank the reviewer for this suggestion. We have added reports of goodness-of-fit measures in the supplementary material (Fig. S9, S25, S41). However, we would like to note that our simulation results suggest that high goodness-of-fit values are not always indicative of accurate parameter estimation. For example, in our simulations, the R² values remained high even when the periodic component was not detectable or when it was conflated with the aperiodic component (e.g., compare Fig. S48 with Fig. S47). We now mention this limitation in the revised manuscript to clarify the interpretation of the goodness-of-fit metrics.

      “Relatedly, it is typically recommended to set a maximum number of peaks for spectral parameterization (based on the expected number in the analyzed frequency range). Without doing so, the algorithm can potentially overfit an excessive number of peaks. What is the average number of peaks fit in the parameterized spectra? Does anything change significantly in setting a maximum number of peaks? This is worth evaluating and reporting.”

      We report the average number of peaks, which was 1.9—2 (Figure S10). The results were virtually identical when setting number of peaks to 3.

      “In the main text, I think the analyses of 'periodic power' (e.g. section ‘Periodic activity...’ and Figures 4 & 5 could be a little clearer / more explicit on the measure being analyzed. ‘Periodic’ power could in theory refer to the total power across different frequency bands, the parameterized peaks in the spectral models, the aperiodic-removed power across frequencies, etc. Based on the methods, I believe it is either the aperiodic power or an estimate of the total power in the periodic-only model fit. The methods should be clearer on this point, and the results should specify the measure being used.”

      We thank the reviewer for highlighting this point. In our analyses, “periodic power” (or “periodic activity”) refers specifically to the periodic-only model fit. We have added clarifications under Figure 3 and in the Methods section to make this explicit in the revised manuscript.

      “The aperiodic component was further separated into the slope (exponent) and offset components". These two parameters describe the aperiodic component but are not a further decomposition per se - could be rephrased.”

      We thank the reviewer for alerting us to this potential misunderstanding. We have now rephrased the sentence to read: “The aperiodic component was characterised by the aperiodic slope (the negative counterpart of the exponent parameter) and the offset, which together describe the underlying broadband spectral shape.”

      “In the figures (e.g. Figure 5), the channel positions do not appear to be aligned with the head layout (for example - there are channels that extend out in front of the eyes).”

      Corrected.

      “Page 2: aperiodic activity 'can be described by a linear slope when plotted in semi-logarithmic space'. This is incorrect. A 1/f distributed power spectrum has a linear slope in log-log space, not semi-log.”

      Corrected.

      Page 7: "Our results clearly indicate that the classical baseline correction can subtract a significant amount of continuous periodic activity". I am unclear on what this means - it could be rephrased.

      We thank the reviewer to pointing out that the statement is not clear. We have now rephrased is to read: “Our results show that classical baseline correction can remove continuous oscillatory activity that is present both during baseline and after stimulus onset, because it treats all baseline signals as 'background' to be removed without distinguishing between transient and continuous oscillations.”

      ”Page 14: 'the FOOOF algorithm estimates the frequency spectrum in a semi-log space'. This is not quite correct - the algorithm parameterizes the spectrum in semi-log but does not itself estimate the spectrum.”

      Again, we thank the reviewer for alerting us to imprecise description. We have now changed the sentence to: “The FOOOF algorithm parameterises the frequency spectrum in a semi-logarithmic space”.

      We have made refinements to improve clarity, consistency, and flow of the main text. First, we streamlined the introduction by removing redundancies and ensuring a more concise presentation of key concepts. We also clarified our use of terminology, consistently referring to the ‘aperiodic slope’ throughout the manuscript, except where methodological descriptions necessitate the term ‘exponent.’ Additionally, we revised the final section of the introduction to better integrate the discussion of generalisability, ensuring that the inclusion of additional datasets feels more seamlessly connected to the study’s main objectives rather than appearing as an addendum. Finally, we carefully reviewed the entire manuscript to enhance coherence, particularly ensuring that discussions of periodic and aperiodic activity remain precise and do not imply an assumed interplay between the two components. We believe these revisions align with the reviewer’s suggestions and improve the overall readability and logical structure of the manuscript.

      Reviewer #3 (Public review):

      Raised concerns regarding the task's effectiveness in evoking theta power and the ability of our spectral parameterization method (specparam) to adequately quantify background activity around theta bursts.

      We thank Reviewer #3 for their constructive feedback. To address the concerns regarding the task’s effectiveness in evoking theta power and the adequacy of our spectral parameterization method, we have added additional visualizations using a log-y axis ****(Figures S1, S19, S32). These figures demonstrate that, in baseline-corrected data, low-frequency activity during working memory tasks appears as both theta and delta activity. Additionally, we have marked the borders between frequency ranges with dotted lines to facilitate clearer visual differentiation between these bands. We believe these additions help clarify the results and address the reviewer’s concerns.

      The reviewer noted that “aperiodic activity seems specifically ~1–2 Hz.”

      In our data baseline-corrected low-frequency post-stimulus increase in EEG activity spans from approximately 3 to 7 Hz, with no prominent peak observed in the canonical theta band (4–7 Hz). While we did not analyze frequencies below 3 Hz, we agree with the reviewer that some of this activity could potentially fall within the delta range.

      Nonetheless, we would like to emphasize that similar patterns of activity have often been interpreted as theta in the literature,  even  in  the  absence  of a distinct spectral  peak (see: https://doi.org/10.1016/j.neulet.2012.03.076;    https://doi.org/10.1016/j.brainres.2006.12.076; https://doi.org/10.1111/psyp.12500; https://doi.org/10.1038/s42003-023-05448-z — particularly, see the interpretation of State 1 as a “theta prefrontal state”).

      To accommodate both interpretations, we have opted to use the more neutral term “low-frequency activity” where appropriate. However, we also clarify that such activity is frequently referred to as “theta” in prior studies, even in the absence of a clear oscillatory peak.

      “Figure 4 [now Figure 6]: there is no representation of periodic theta.”

      Yes, this is one of the main findings of our study - periodic theta is absent in the vast majority of participants. A similar finding was found in a recent preprint on a working memory task (https://doi.org/10.1101/2024.12.16.628786), which further supports our results.

      “Figure 5 [now Figure 7]: there is some theta here, but it isn't clear that this is different from baseline corrected status-quo activity.”

      This figure shows comparisons of periodic activity between conditions. Although there are differences between conditions in the theta band, this does not indicate the presence of theta oscillations. Instead, the differences between the conditions in the theta band are most likely due to alpha components extending into the theta band (see Figure S6). This is further supported by the large overlap of significant channels between theta and alpha in Figure 7.

      “Figure 8: On the item-recognition task, there appears to be a short-lived burst in the high delta / low theta band, for about 500 ms. This is a short phenomenon, and there is no evidence that specparam techniques can resolve such time-limited activity.”

      We thank the reviewer for their comment. As we noted in our preliminary response, specparam, in the form we used, does not incorporate temporal information; it can be applied to any power spectral density (PSD), regardless of how the PSD is derived. Therefore, the ability of specparam to resolve temporal activity depends on the time-frequency decomposition method used. In particular, the performance of specparam is limited by the underlying time-frequency decomposition method and the data available for it. In fact, Wilson et al. (2022, https://doi.org/10.7554/eLife.77348), who have developed an approach for timeresolved estimation of aperiodic parameters, actually compare two approaches that differ only in their underlying time-frequency estimation method, while the specparam algorithm is the same in both cases. For the time-frequency decomposition we used superlets (https://doi.org/10.1038/s41467-020-20539-9), which have been shown to resolve short bursts of activity more effectively than other methods. To our knowledge, superlets provide the highest resolution in both time and frequency compared to wavelets or STFT.

      To improve the stability of the estimates, we performed spectral parameterisation on trial-averaged power rather than on individual trials (unlike the approach in Wilson et al., 2022). In contrast, Gyurkovics et al. (2022) who also investigated task-related changes in aperiodic activity, estimated power spectra at the single-trial level, but stabilised their estimates by averaging over 1-second time windows; however, this approach reduced their temporal resolution. We have now clarified this point in the manuscript.

      “The authors note in the introduction that ‘We hypothesised that the aperiodic slope would be modulated by the processing demands of the n-back task, and that this modulation would vary according to differences in load and stimulus type.’. This type of parametric variation would be a compelling test of the hypothesis, but these analyses only included alpha and beta power (Main text & Figure 4)”

      We appreciate the reviewer's comment, but would like to clarify that the comparison between conditions was performed separately for both periodic power and aperiodic parameters. The periodic power analyses included all frequencies from 3 to 50 Hz (or 35 Hz in the case of the second dataset). All factors were included in the linear model (see LMM formula in equation 7 - subsection Methods / Comparisons between experimental conditions), but the figures only include fixed effects that were statistically significant. For example, Figure 7 shows the periodic activity and Figure 9 shows the exponent, with further details provided in other supplementary figures.

      “Figure 5 does show some plots with some theta activity, but it is unclear how this representation of periodic activity has anything to do with the major hypothesis that aperiodic slope accounts for taskevoked theta.” /…/ In particular, specparam is a multi-step model fitting procedure and it isn't impressively reliable even in ideal conditions (PMID: 38100367, 36094163, 39017780). To achieve the aim stated in the title, abstract, and discussion, the authors would have to first demonstrate the robustness of this technique applied to these data.

      We acknowledge these concerns and have taken several steps to clarify the relationship between the aperiodic slope and low-frequency activity, and to assess the robustness of the specparam (FOOOF) approach in our data.

      First, we directly compared baseline-corrected activity with periodic and aperiodic components in all three data sets. These analyses showed that low-frequency increases in baseline-corrected signals consistently tracked aperiodic parameters - in particular the aperiodic exponent - rather than periodic theta activity (see Figs 4, S3, S20, S33). Periodic components, on the other hand, were primarily associated with baseline corrected activity in the alpha and beta bands. The aperiodic exponent also showed negative correlations with high beta/gamma baseline-corrected activity, which is exactly what would be expected in the case of a shift in the aperiodic slope (rather than delta/theta oscillations). See also examples at https://doi.org/10.1038/s41593-020-00744-x (Figures 1c-iv) or https://doi.org/10.1111/ejn.15361 (Figures 3c,d).

      Next, because reviewer #1 was concerned that FOOOF might be insensitive to peaks at the edges of the spectrum, we ran a simulation that confirmed this concern. We then applied an alternative phase-based measure of oscillatory activity: the phase-autocorrelation function (pACF; Myrov et al., 2024). This method does not rely on spectral fitting and is sensitive to phase rather than amplitude. Across all datasets, pACF results were in close agreement with periodic estimates from FOOOF and were not correlated with aperiodic parameter estimates (Figs 5, S4, S5, S21, S22, S34, S35).

      Taken together, these complementary analyses suggest that the apparent low-frequency (delta, theta) activity observed in the baseline-corrected data is better explained by changes in the aperiodic slope than by true low-frequency oscillations. While we acknowledge the limitations of any single method, the convergence between the techniques increases our confidence in this interpretation.

      “How did the authors derive time-varying changes in aperiodic slope and exponent in Figure 6 [now Figure 8]?”

      We thank the reviewer for this question. As explained in the Methods section, we first performed a time-frequency decomposition, averaged across trials, and then applied a spectral decomposition to each time point.

      “While these methodological details may seem trivial and surmountable, even if successfully addressed the findings would have to be very strong in order to support the rather profound conclusions that the authors made from these analyses, which I consider unsupported at this time:

      (a) ‘In particular, the similarities observed in the modulation of theta-like activity attributed to aperiodic shifts provide a crucial validation of our conclusions regarding the nature of theta activity and the aperiodic component.’

      (b) ‘where traditional baseline subtraction can obscure significant neural dynamics by misrepresenting aperiodic activity as theta band oscillatory activity’

      (d) ‘our findings suggest that theta dynamics, as measured with scalp EEG, are predominantly a result of aperiodic shifts.’

      (e)  ‘a considerable proportion of the theta activity commonly observed in scalp EEG may actually be due to shifts in the aperiodic slope’.

      (f) ‘It is therefore essential to independently verify whether the observed theta activity is genuinely oscillatory or primarily aperiodic’

      [this would be great, but first we need to know that specparam is capable of reliably doing this].”

      We believe that our claims are now supported by the aforementioned analyses, namely associations between baseline-corrected time-frequency activity and FOOOF parameters and associations between FOOOF parameters and PACF.

      The reviewer found it unclear what low-frequency phase has to do with 1/f spectral changes: ‘Finally, our findings challenge the established methodologies and interpretations of EEG-measured crossfrequency coupling, particularly phase-amplitude coupling’

      We thank the reviewer for their comment. To address this concern, we have added further clarification in the Discussion section. Our results are particularly relevant for phase-amplitude coupling (PAC) based on theta, such as theta-gamma coupling. PAC relies on the assumption that there are distinct oscillations at both frequencies. However, if no clear oscillations are present at these frequencies— specifically, if theta oscillations are absent—then the computation of PAC becomes problematic.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Point-by-point reply in response to the Reviewer’s comments

      Reviewer #1

      Public review:

      [1] (a) Given that only a fraction of the FAPs express BDNF after injury, the authors need to demonstrate the specificity of the Prrx1-Cre for FAPs. This is particularly important because muscle stem cell also express GDNF receptors (Fig. 3C & D) and myogenic progenitors/satellite cells produce BDNF after nerve injury (Griesbeck et al., 1995 (PMID 8531223); Omura et al., 2005 (PMID 16221288)). (b) Moreover, as the authors point out, there are multipotent mesenchymal precursor cells in the nerve that migrate into the surrounding tissue following nerve injury and contribute to regeneration (Carr et al, PMID 30503141). Therefore, there are multiple possible sources of BDNF, highlighting the need to clearly demonstrate that FAP-derived BDNF is essential.

      - (a) As the Reviewer noted, both GDNF receptor expression and increased BDNF expression in response to nerve injury are detectable in both FAPs and muscle stem cells (MuSCs). Therefore, we agree with the Reviewer that demonstrating the specificity of Prrx1-Cre in FAPs is crucial to support our claim. In our previous publication (Kim et al., 2022), using Prrx1-Cre; Rosa-eYFP mice, we showed that while most of the CD31-CD45-Vcam1-Sca1+ FAPs are eYFP+, CD31-CD45-Vcam1+Sca1- MuSCs do not express eYFP (Liu et al., 2015; Kim et al., 2022) (Attached Figure 1). Additionally, genomic DNA PCR using mononuclear cells sorted from our Prrx1Cre; Bdnffl/fl mice showed that DNA recombination in the floxed Bdnf gene could only be detected in FAPs and CD31-CD45-Vcam1-Sca1- cells, but not in MuSCs (Author response image 2). This is consistent with a previous report that showed Prrx1-Cre activity in FAPs, pericytes, vascular smooth muscle cells (vSMCs) and tenocytes (Leinroth et al.,

      2022), where pericytes, vSMCs and tenocytes are included the CD31-CD45-Vcam1Sca1- population (Giordani et al., 2019). Together, these results demonstrate that while Prrx1-Cre is active in FAPs, it is absent in MuSCs.

      Author response image 1.

      Expression of eYFP in muscle-resident, lineage-negative, live mononuclear cells isolated from Prrx1Cre;RosaeYFP mice. Supplemental Figure 3A from Kim et al., 2022. Lin-: lineage-negative (CD31-CD45-); Neg.: Vcam1-Sca1-.

      Author response image 2.

      Recombination of the floxed Bdnf gene in the mononuclear cells sorted from muscles of Prrx1Cre; Bdnffl/fl or Bdnffl/fl mice. Genotypes and cell types sampled for each lane is specified. P4, P5, and P6 indicate primers used for each PCR. Lin+: lineage(CD31/CD45)-positive; DN: CD31-CD45-Vcam1-Sca1-.

      - (b) We appreciate and agree with the Reviewer’s comment that additional experiments are needed to confirm that FAP-derived BDNF is indeed essential for nerve regeneration, considering other potential cellular sources of BDNF, such as nerve-resident mesenchymal precursor cells. One possible experiment that could demonstrate the requirement of FAP-derived BDNF in nerve regeneration would be the transplantation of wild-type FAPs into our Prrx1Cre; Bdnf fl/fl mice and to see if the delay in nerve regeneration and remyelination is recovered, making the process similar to that in control mice. Unfortunately, since the genetic background of our Prrx1Cre; Bdnffl/fl mice is a mixture of B6, 129S4, and BALB/c, immune rejection of the transplanted cells may occur, which makes the experiment technically difficult. Another experimental approach could involve the use of FAP-specific Cre mouse line, as we have mentioned in the Discussion of our original manuscript. However, such a line does not yet exist due to the lack of a marker gene that is expressed specifically in FAPs, but not in nerve-resident mesenchymal precursor cells. Overcoming such technical challenges and demonstrating the requirement of FAP-derived BDNF in nerve regeneration would significantly strengthen our report, though we regret that these methods are currently unavailable.

      [2] Similarly, the authors should provide some evidence that BDNF protein is produced by FAPs. All of their data for BDNF expression is based on mRNA expression and that appears to only be increased in a small subset of FAPs. Perhaps an immunostaining could be done to demonstrate up-regulation of BDNF in FAPs after injury.

      - We appreciate the Reviewer’s constructive comment. To demonstrate that BDNF protein is produced by FAPs upon nerve injury, we performed western blot analysis. FAPs were isolated from either sciatic nerve crush injury-affected muscles at 7 days post injury (dpi) or from the contralateral, uninjured muscles, and protein samples were prepared for SDS-PAGE and western blot using anti-BDNF, anti-PDGFRα and antiGAPDH antibodies. As a result, while both nerve injury-affected and uninjured musclederived FAPs expressed PDGFRα, the mature from of BDNF protein was only detected in nerve injury-affected FAPs, showing that BDNF is indeed expressed in FAPs at the protein level after injury. We have added this new result as Figure 4F in the New Figure 4 with the experimental scheme as New Figure 4—figure supplement 1, and revised the Results section (lines 364-374) and the Materials and Methods section (lines 687-705) in our manuscript to include the new results in detail.

      [3] The suggestion that Schwann cell-derived GDNF is responsible for upregulation of BDNF in the FAPs is indirect, based largely on the data showing that injection of GDNF into the muscle is sufficient to up-regulate BDNF (Fig. 4F & G). However, to more directly connect the 2 observations in a causal way, the authors should inject a Ret/GDNF antagonist, such as a Ret-Fc construct, then measure the BDNF levels.

      - We appreciate the Reviewer’s constructive comment, and we agree that testing the necessity of GDNF/RET signaling in BDNF upregulation is crucial to link the expression of the two neurotrophic factors in a causal way. As a means to antagonize GDNF/RET signaling, we injected anti-GDNF antibodies into the tibialis anterior and gastrocnemius muscles following sciatic nerve crush injury to block the activity of intramuscular GDNF protein. As a result, although the differences were not statistically significant, we observed a tendancy towards decreased Bdnf mRNA expression upon anti-GDNF injection compared to IgG controls. We have added this new result as New Figure 4—figure supplement 2, and revised our manuscript to include the details in both the Results section (lines 381-390) and the Materials and Methods section (lines 611-616). We have also changed the title of New Figure 4 (line 332) to encompass the new results. We are aware that further experiments that may involve increasing the number of animals tested, increasing the antibody injection dosage or frequency, or implementation of genetic models such as Plp1CreER; Gdnffl/fl should be carried out to validate our hypothesis with statistical significance. Unfortunately, due to limited time, resources, and research funds, we were unable to perform such additional experiments. We hope that the Reviewer understands these limitations.

      [4] (a) In assessing the regeneration after nerve crush, the authors focus on remyelination, for example, assessing CMAP and g-ratios. However, they should also quantify axon regeneration, which can be done distal to the crush injury at earlier time points, before the 6 weeks scored in their study. Evaluating axon regeneration, which occurs prior to remyelination, would be especially useful because BDNF can act on both Schwann cells, to promote myelination, and axons, enhancing survival and growth. (b) They could also evaluate the stability of the neuromuscular junctions, particularly if a denervation was done with the conditional knock outs, although that may be a bit beyond the scope of this study.

      - (a) As the Reviewer mentioned, BDNF is known to act on both Schwann cells and axons, where it promotes myelination and axonal growth, respectively (Oudega and

      Hagg, 1998; Zhang et al., 2000; Chan et al., 2001; Xiao et al., 2009; English et al.,

      2013). We fully agree with the Reviewer’s comment that quantification of axon regeneration, which could be achieved through immunostaining of the distal part of the sciatic nerve at earlier time points after injury, would shed light on whether FAPderived BDNF can also contribute to axon regeneration in addition to remyelination. Unfortunately, we could not perform such additional experiments within the limited time frame, since preparing enough numbers of control and conditional knockout mice that match the age groups used in this study (3-4 months old), followed by waiting for additional 2-4 weeks after nerve crush injury for sample collection, and subsequent immunostaining for quantification could take almost 6 months in total. We hope that the Reviewer understands this limitation.

      - (b) We appreciate the Reviewer’s constructive comment. Although the number of animals used for neuromuscular junction (NMJ) analyses was not sufficient, we had briefly examined the structure of NMJs at 4 weeks post nerve crush injury in control (Ctrl) and conditional knockout (cKO) mice as a preliminary experiment. As a result, no significant differences were observed between Ctrl and cKO mice in terms of NMJ morphology and innervation (Author response image 3). 

      Author response image 3.

      Structures of neuromuscular junctions from Ctrl vs cKO mice at 4 weeks post nerve crush injury. Whole-mount immunostaining was done using the exterior digitorum longus muscles that were affected by sciatic nerve crush injury. Samples were stained with α-bungarotoxin (green), neurofilament (red), and synaptophysin (blue). Scale bar: 50 μm. 

      Going back to part (a) of this Reviewer’s comment, considering the data presented in Author response image 3, where innervation of axons into acetylcholine receptor clusters was not significantly different between Ctrl versus cKO mice, FAP-derived BDNF may not be critical for the axonal growth upon nerve injury. Although we acknowledge that additional experiments are required to draw a meaningful conclusion on this point, we could not perform such additional experiments due to insufficient time and resources.

      We hope that the Reviewer understands our limitation.

      Recommendations for the authors:

      [1] In citing the ability of BDNF to promote Schwann cell myelination the authors should include Chan et al., 2001 (PMID 11717413) in addition to the Zhang et al, 2000 and Xiao et al, 2009 references.

      - We apologize for missing out the reference mentioned by the Reviewer. We have added the suggested reference in our revised manuscript (lines 395, 425, and 517).

      Reviewer #2

      Public review:

      [1] Although, I find the data the authors generated enough for their claims. I do see them as relatively poor, and (a) a complementary analysis of protein expression would strengthen the paper through immunostaining of the different genes mentioned for FAPs and Schwann cells. The model is entirely supported by measuring mRNA levels and negative regulation of gene expression in specific cells. Additionally, (b) what happens to the structure of the neuromuscular junction after regeneration when GDNF or BDNF expression is reduced? (c) The determination of decreasing levels of FAPs BDNF mRNA during aging is interesting; is the gain of BDNF expression in FAPs reverting the phenotype?

      - (a) We appreciate and agree with the Reviewer’s comment that validation of BDNF protein expression in FAPs and GDNF protein expression in Schwann cells upon nerve injury would strengthen this paper. Regarding GDNF protein expression in Schwann cells upon nerve injury, it has already been demonstrated by previous studies (Höke et al., 2002; Xu et al., 2013). For BDNF protein expression in FAPs upon nerve injury, we performed western blot analysis for validation, as mentioned in the response to Reviewer #1 Public review [2]. The results showed that while the mature form of BDNF protein could not be readily detected in FAPs isolated from uninjured muscles, it could be detected in FAPs isolated from sciatic nerve crush injury-affected muscles at 7 days post injury. We have added the new result as Figure 4F in the New Figure 4 with the experimental scheme as New Figure 4—figure supplement 1, and revised the Results section (lines 364-374) and the Materials and Methods section (lines 687-705) in our manuscript to include the new results in detail.

      - (b) Though the data is preliminary, we examined the structures of neuromuscular junctions (NMJs) from control and Prrx1Cre; Bdnf fl/fl mice at 4 weeks post injury in the exterior digitorum longus muscles, as mentioned in the response to Reviewer #1 Publilc review [4](b). As a result, we could not identify significant differences between control versus Prrx1Cre; Bdnf fl/fl mice, where BDNF expression is reduced specifically in Prrx1-expressing cells, including FAPs (Attached Figure 3). Since other cellular sources of BDNF, such as Schwann cells, exist, regeneration of the NMJs may not have been as significantly affected as remyelination in our Prrx1Cre; Bdnf fl/fl mice. However, further experiments with a sufficient number of mice and more observation time points are required to statistically validate this hypothesis in detail. Unfortunately, preparing samples for such additional analyses would take more than four months, as we need to produce sufficient numbers of control and Prrx1Cre; Bdnf fl/fl mice that match the age groups used in this study. We hope that the Reviewer understands our limitation.

      Regarding analyzing NMJ structures after regeneration affected by reduced GDNF levels, using genetic models such as Plp1CreER; Gdnffl/fl mice would be appropriate, as we have used the Prrx1Cre; Bdnffl/fl mice in this study to reduce BDNF levels produced by FAPs. Unfortunately, we do not have the Gdnffl mice, and obtaining these mice to produce Plp1CreER; Gdnffl/fl mice and performing the additional experiment would take too much time for this current revision. In a further study, we will try to perform the additional experiment by obtaining the required mouse line. We hope that the Reviewer understands our limitation.

      - (c) We appreciate the Reviewer for highlighting this point. In this paper, we have shown that BDNF expression upon nerve injury is decreased in aged FAPs compared to young adult FAPs, and suggested that this may be one of the causes of the delayed nerve regeneration phenotype in aged mice. Previously, it has been reported that while intramuscular injection of BDNF accelerates nerve regeneration, intramuscular injection of anti-BDNF antibodies delays the regeneration process (Zheng et al., 2016). This implies that intramuscular levels of active BDNF can significantly influence the speed of nerve regeneration. Therefore, the gain of BDNF expression in aged FAPs may contribute to reversing the delayed nerve regeneration phenotype in aged mice, since it would result in additional supply of active, intramuscular BDNF, which has previously been shown to accelerate nerve regeneration. Though experimental validation is required to support such claim, we could not obtain sufficient numbers of aged mice within the limited time frame. We hope that the Reviewer understands our limitation.

      Recommendations for the authors:

      [1] The authors should include the experimental design and several drawings in the leading figures indicating, for example, how remyelination after injury was quantified and how the response of regenerated sciatic nerve to a depolarizing stimulus was studied.

      - We apologize for any confusion caused by insufficient information provided in the leading figures. Unfortunately, due to limited space, we could not add experimental designs or drawings in the leading figures. Instead, to do our best to comply with the

      Reviewer’s comment, we have revised the figure legends in the leading figures so that the experimental designs or diagrams can be referred to in the figure supplements.

      We hope that the Reviewer understands this limitation.

      Reviewer #3

      Public review:

      [1] In Fig. 1 and 2 authors provide data on scRNA seq and this is important information reporting the finding of RET and GFRa1 transcripts in the subpopulation of FAP cells. However, authors provide no data on the expression of RET and GFRa1 proteins in FAP cells.

      - Reply for this comment by the Reviewer is in the Recommendations for the authors section below ([2]), as the same comment is repeated.

      [2] Another problem is the lack of information showing that GDNF secreted by Schwann cells can activate RET and its down-stream signaling in FAP cells. There is no direct experimental proof that GDNF activating GFRa1-RET signaling triggers BDNF upregulation In FAP cells. The data that GDNF signaling is inducing the synthesis and secretion of BDNF is also not conclusive.

      - Reply for this comment by the Reviewer is in the Recommendations for the authors section below ([3]), as the same comment is repeated.

      Recommendations for the authors:

      [1] Although this is a novel study and contains very well-performed parts, the GDNF section is preliminary and requires additional experimentation. In the introduction authors describe well FAPs but even do not mention how GDNF is signaling. Moreover, the reader may get an impression that Ras-MAPK pathway is the only or at least the main GDNF signaling pathway. In fact, for neurons Akt and Src signaling pathways play also crucial role.

      - We apologize for the missing content in the Introduction section of our manuscript and for any confusion caused by our misleading description of the GDNF signaling pathway. We have revised our manuscript to include the GDNF signaling pathway in the Introduction section, along with a description of other downstream signaling pathways of GDNF that are known to play crucial roles, as mentioned by the Reviewer (lines 115-130). Additionally, we changed the expression in the Results section to avoid making any misleading impressions (lines 318-319).

      [2] In Fig. 1 and 2 authors provide data on scRNA seq and this is important information reporting the finding of RET and GFRa1 transcripts in the subpopulation of FAP cells. However, authors provide no data on the expression of RET and GFRa1 proteins in FAP cells.

      - We appreciate the Reviewer for the constructive comment. Though we fully agree with the Reviewer that validating the expression of RET and GFRα1 proteins in FAPs is needed, we were unable to obtain the antibodies required for such experiments within the limited time frame for this revision. We hope that the Reviewer understands our limitation. Although we could not directly show the expression of those GDNF receptor genes at the protein level in FAPs, based on the result where intramuscular GDNF injection could sufficiently induce Bdnf expression in FAPs compared to PBS control in the absence of nerve damage, it is likely that GDNF receptors are indeed expressed at the protein level in FAPs, since if otherwise, FAPs would not have been able to respond to the injected GDNF protein. Nevertheless, in a future study, we will try to validate the protein-level expression of GDNF receptors in FAPs to comply with the Reviewer’s suggestion and to further support this study.

      [3] Another problem is the lack of information showing that GDNF secreted by Schwann cells can activate RET and its down-stream signaling in FAP cells. Authors can monitor activation of MAPK pathway by detecting phospho-Erk and PI3 kinase-Akt pathway measuring phospho-S6 using immunohistochemistry. We can recommend to use the following antibodies: pErk1/2 (1:300, Cell Signaling, Cat# 4370L RRID:AB_2297462), pS6 (1:300, Cell Signaling, Cat# 4858L RRID:AB_1031194). These experiments are crucial because RET and GFRa1 proteins maybe not expressed at the sufficient level on the cell surface.

      - We sincerely appreciate the Reviewer’s constructive comment. In this study, we suggested that the GDNF-BDNF axis within FAPs would signal through the MAPK pathway based on the bioinformatic analysis of our single cell RNA-seq data and matching the results with the previously known pathways. We fully agree that monitoring the activation of the MAPK pathway and the PI3K-Akt pathway by immunohistochemistry would experimentally demostrate whether GDNF can activate those pathways within FAPs through GFRα1/RET activation. Unfortunately, we could not obtain the antibodies suggested by the Reviewer for this revision due to insufficient research funds and limited time frame. We hope that the Reviewer understands our limitation. In future studies, we will try to validate the detailed molecular pathway that mediates the GDNF-BDNF axis in FAPs by incorporating the methodology suggested by the Reviewer, along with implementation of genetic models such as Plp1CreER; Gdnffl/fl, Prrx1Cre; Retfl/fl or Prrx1Cre; Gfra1fl/fl to validate whether Schwann cell-derived

      GDNF can actually signal through its canonical receptor RET/GFRα1 expressed in FAPs to induce expression of BDNF upon nerve injury.

      [4] (a) There is no direct experimental proof that GDNF activating GFRa1-RET signaling triggers BDNF upregulation in FAP cells. Authors can use GDNF blocking antibodies, siRNA or use RET or GFRa1 cKO mice to delete them from FAP cells. (b) The data that GDNF signaling is inducing the synthesis and secretion of BDNF is also not conclusive. Authors should show that GDNF injection is increasing BDNF protein levels in FAPs. To get sufficient material for ELISA detection of BDNF is perhaps problematic. However, authors can use BDNF antibodies from Icosagen company and use IHC.

      - (a) We appreciate the Reviewer for the critical comment. As mentioned in the reply for Reviewer #1 Public review [3], we used GDNF blocking antibodies to reduce GDNF signaling within the tibialis anterior and gastrocnemius muscles by intramuscular injection after sciatic nerve crush injury, and included the result as a new figure supplement in our revised manuscript (New Figure 4—figure supplement 2) with its details in both the Results section (lines 381-390) and the Materials and Methods section (lines 611-616). Though the results were not statistically significant, intramuscular injection of anti-GDNF antibodies showed a tendency toward reduced Bdnf expression in FAPs, compared to IgG controls. As mentioned in the reply for Reviewer #1 Public review [3], and as suggested by the Reviewer, using cKO mice such as Plp1CreER; Gdnffl/fl, Prrx1Cre; Retfl/fl, or Prrx1Cre; Gfra1fl/fl mice would further validate the GDNF-BDNF axis suggested in this study, likely with statistical significance. Unfortunately, obtaining these genetic models within the limited time frame of this current revision is not feasible. We will try to adopt such models in our future study to validate the role of Schwann cell-derived GDNF in inducing BDNF expression in FAPs via activation of RET/GFRα1.  

      - (b) We appreciate the Reviewer for the constructive comment. Though we fully agree that the experiment suggested by the Reviewer would validate the synthesis and secretion of BDNF protein by GDNF signaling in FAPs, we were not able to perform it due to lack of research funds to obtain enough amount of the GDNF protein. We hope that the Reviewer understands our limitation. Still, combining the results from New Figure 4H in this study with the New Figure 4F, where GDNF injection induced Bdnf mRNA expression in FAPs, and BDNF protein expression in FAPs in response to nerve injury was demonstrated via western blot, we anticipate that GDNF injection would increase BDNF protein levels in FAPs, though direct validation of this statement would require conducting the additional experiments mentioned by the Reviewer.

      References

      Chan JR, Cosgaya JM, Wu YJ, and Shooter EM (2001). Neurotrophins are key mediators of the myelination program in the peripheral nervous system. Proceedings of the National Academy of Sciences 98:14661-14668.

      English AW, Liu K, Nicolini JM, Mulligan AM, and Ye K (2013). Small-molecule trkB agonists promote axon regeneration in cut peripheral nerves. Proc Natl Acad Sci U S A 110:16217-22.10.1073/pnas.1303646110

      Giordani L, He GJ, Negroni E, Sakai H, Law JY, Siu MM, Wan R, Corneau A, Tajbakhsh S, and Cheung TH (2019). High-dimensional single-cell cartography reveals novel skeletal muscle-resident cell populations. Molecular Cell 74:609-621. e6.

      Höke A, Gordon T, Zochodne D, and Sulaiman O (2002). A decline in glial cell-linederived neurotrophic factor expression is associated with impaired regeneration after long-term Schwann cell denervation. Experimental neurology 173:77-85.

      Kim J-H, Kang J-S, Yoo K, Jeong J, Park I, Park JH, Rhee J, Jeon S, Jo Y-W, and Hann S-H (2022). Bap1/SMN axis in Dpp4+ skeletal muscle mesenchymal cells regulates the neuromuscular system. JCI Insight 7:

      Leinroth AP, Mirando AJ, Rouse D, Kobayahsi Y, Tata PR, Rueckert HE, Liao Y, Long JT, Chakkalakal JV, and Hilton MJ (2022). Identification of distinct non-myogenic skeletal-muscle-resident mesenchymal cell populations. Cell Reports 39:

      Liu L, Cheung TH, Charville GW, and Rando TA (2015). Isolation of skeletal muscle stem cells by fluorescence-activated cell sorting. Nature protocols 10:1612-1624.

      Oudega M, and Hagg T (1998). Neurotrophins promote regeneration of sensory axons in the adult rat spinal cord. Brain Research 818:431-438.10.1016/S0006-8993(98)01314-6

      Xiao J, Wong AW, Willingham MM, Kaasinen SK, Hendry IA, Howitt J, Putz U, Barrett GL, Kilpatrick TJ, and Murray SS (2009). BDNF exerts contrasting effects on peripheral myelination of NGF-dependent and BDNF-dependent DRG neurons. J Neurosci 29:4016-22.10.1523/JNEUROSCI.3811-08.2009

      Xu P, Rosen KM, Hedstrom K, Rey O, Guha S, Hart C, and Corfas G (2013). Nerve injury induces glial cell linederived neurotrophic factor (gdnf) expression in schwann cells through purinergic signaling and the pkcpkd pathway. Glia 61:1029-1040.

      Zhang JY, Luo XG, Xian CJ, Liu ZH, and Zhou XF (2000). Endogenous BDNF is required for myelination and regeneration of injured sciatic nerve in rodents. European Journal of Neuroscience 12:4171-4180.10.1111/j.1460-9568.2000.01312.x

      Zheng J, Sun J, Lu X, Zhao P, Li K, and Li L (2016). BDNF promotes the axonal regrowth after sciatic nerve crush through intrinsic neuronal capability upregulation and distal portion protection. Neuroscience letters 621:1-8.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife Assessment

      This manuscript reports valuable findings on the role of the Srs2 protein in turning off the DNA damage signaling response initiated by Mec1 (human ATR) kinase. The data provide solid evidence that Srs2 interaction with PCNA and ensuing SUMO modification is required for checkpoint downregulation. However, experimental evidence with regard to the model that Srs2 acts at gaps after camptothecin-induced DNA damage is currently lacking. The work will be of interest to cell biologists studying genome integrity but would be strengthened by considering the possible role of Rad51 and its removal. 

      We thank editors and reviewers for their constructive comments and address their main criticisms below. 

      (1)  Srs2 action sites. Our data provide support to the model that Srs2 removal of RPA is favored at ssDNA regions with proximal PCNA, but not at ssDNA regions lacking proximal PCNA. A prominent example of the former type of ssDNA regions is an ssDNA gap with a 3’ DNA end permissive for PCNA loading. Examples of the latter type of ssDNA sites include those within R-loops and negatively supercoiled regions, both lacking 3’ DNA end required for PCNA loading. The former type of ssDNA regions can recruit other DNA damage checkpoint proteins, such as 9-1-1, which requires a 5’ DNA end for loading; thus, these ssDNA regions are ideal for Srs2’s action in checkpoint dampening. In contrast, ssDNA within supercoiled and Rloop regions, both of which can be induced by CPT treatment (Pommier et al, 2022), lacks the DNA ends required for checkpoint activation. RPA loaded at these sites plays important roles, such as recruiting Rloop removal factors (Feng and Manley, 2021; Li et al, 2024; Nguyen et al, 2017), and they are not ideal sites for Srs2’s checkpoint dampening functions. Based on the above rationale and our data, we suggest that Srs2 removal of RPA is favored only at a subset of ssDNA regions prone to checkpoint activation and can be avoided at other ssDNA regions where RPA mainly helps DNA protection and repair. We have modified the text and model drawing to better articulate the implications of our work, that is, Srs2 can distinguish between two types of ssDNA regions by using PCNA proximity as a guide for RPA removal_._ We noted that the precise sites of Srs2 actions in the genome remain to be determined. 

      (2)  Rad51 in the Srs2-RPA antagonism. In our previous report (Dhingra et al, 2021), we provided several lines of evidence to support the conclusion that Rad51 is not relevant to the Srs2-RPA antagonism, despite it being the best-studied protein that is regulated by Srs2. For example, while rad51∆ rescues the hyperrecombination phenotype of srs2∆ cells as shown by others, we found that rad51∆ did not affect the hypercheckpoint phenotype of srs2∆. In contrast, rfa1-zm1/zm2 have the opposite effects. The differential effects of rad51∆ and rfa1-zm1/zm2 were also seen for the srs2-ATPase dead allele (srs2-K41A). For example, rfa1-zm2 rescued the hyper-checkpoint defect and the CPT sensitivity of srs2-K41A, while rad51∆ had neither effect. These and other data described by Dhingra et al (2021) suggest that Srs2’s effects on checkpoint vs. recombination can be separated and that Rad51 removal by Srs2 is distinct from the Srs2RPA antagonism in checkpoint regulation. Given the functional separation summarized above, in our current work investigating which Srs2 features affect the Srs2-RPA antagonism, we did not focus on the role of Rad51. However, we did examine all known features of Srs2, including its Rad51 binding domain. Consistent with our conclusion summarized above, deleting the Rad51 binding domain in Srs2 (srs2∆Rad51BD) has no effect on rfa1-zm2 phenotype in CPT (Figure 2D). This data provides yet another evidence that Srs2 regulation of Rad51 is separable from the Srs2-RPA antagonism. Our work provides a foundation for future examination of how Srs2 regulates RPA and Rad51 in different manners and if there is a crosstalk between them in specific contexts. We have added this point to the revised text.

      Public Reviews: 

      Reviewer #1.

      Overall, the data presented in this manuscript is of good quality. Understanding how cells control RPA loading on ssDNA is crucial to understanding DNA damage responses and genome maintenance mechanisms. The authors used genetic approaches to show that disrupting PCNA binding and SUMOylation of Srs2 can rescue the CPT sensitivity of rfa1 mutants with reduced affinity for ssDNA. In addition, the authors find that SUMOylation of Srs2 depends on binding to PCNA and the presence of Mec1. Noted weaknesses include the lack of evidence supporting that Srs2 binding to PCNA and its SUMOylation occur at ssDNA gaps, as proposed by the authors. Also, the mutants of Srs2 with impaired binding to PCNA or impaired SUMOylation showed no clear defects in checkpoint dampening, and in some contexts, even resulted in decreased Rad53 activation. Therefore, key parts of the paper would benefit from further experimentation and/or clarification. 

      We thank the reviewer for the positive comments, and we address her/his remark regarding ssDNA gaps below. In addition, we provide evidence that redundant pathways can mask checkpoint dampening phenotype of the srs2-∆PIM and -3KR alleles.

      Major Comments 

      (1) The central model proposed by the authors relies on the loading of PCNA at the 3' junction of an ssDNA gap, which then mediates Srs2 recruitment and RPA removal. While several aspects of the model are consistent with the data, the evidence that it is occurring at ssDNA gaps is not strong. The experiments mainly used CPT, which generates mostly DSBs. The few experiments using MMS, which mostly generates ssDNA gaps, show that Srs2 mutants lead to weaker rescue in this context (Figure S1). How do the authors explain this discrepancy? In the context of DSBs, are the authors proposing that Srs2 is engaging at later steps of HRdriven DSB repair where PCNA gets loaded to promote fill-in synthesis? If so, is RPA removal at that step important for checkpoint dampening? These issues need to be addressed and the final model adjusted. 

      Our data provide supports to the model that Srs2 removal of RPA is favored at ssDNA regions with proximal PCNA, but not at ssDNA regions lacking proximal PCNA (Figure 7). A prominent example of the former type is ssDNA gap with 3’ DNA end permissive for PCNA loading. Examples of the latter type of ssDNA sites are present within R-loops and negatively supercoiled regions, and these ssDNA sites lack 3’ DNA ends required for PCNA loading. In principle, the former can recruit other DNA damage checkpoint proteins, such as 9-1-1, which requires 5’ DNA end for loading, thus it is ideal for Srs2’s action in checkpoint dampening. In contrast, ssDNA within supercoiled and R-loop regions, which can be induced by CPT treatment (Pommier et al., 2022), lacks DNA ends required for checkpoint activation. RPA loaded at these sites plays important roles such as recruiting R-loop removal factors (Feng and Manley, 2021; Li et al., 2024; Nguyen et al., 2017), and these are not ideal sites for Srs2 removal of RPA to achieve checkpoint dampening. Our work suggests that Srs2 removal of RPA is favored only at a subset of ssDNA regions prone to checkpoint activation and can be avoided at other ssDNA regions where RPA mainly helps DNA protection and repair. We have modified the text and the model to clarify our conclusions and emphasized that Srs2 can distinguish between two types of ssDNA regions using PCNA proximity as a guide for RPA removal. 

      We note that in addition to DSBs, CPT also induces both types of ssDNA mentioned above. For example, CPT can lead to ssDNA gap formation upon excision repair or DNA-protein crosslink repair of trapped Top1 (Sun et al, 2020). The resultant ssDNA regions contain 3’ DNA end for PCNA loading, thus favoring Srs2 removal of RPA. CPT treatment also depletes the functional pool of Top1, thus causing topological stress and increased levels of DNA supercoiling and R-loops (Petermann et al, 2022; Pommier et al., 2022). As mentioned above, R-loops and supercoiled regions do not favor Srs2 removal of RPA due to a lack of PCNA loading. We have now adjusted the text to clarify that CPT can lead to the generation of two types of ssDNA regions as stated above. We have also adjusted the model drawing to indicate that while ssDNA gaps can be logical Srs2 action sites, other types of ssDNA regions with proximal PCNA (e.g., resected ssDNA tails) could also be targeted by Srs2. Our work paves the way to determine the precise ssDNA regions for Srs2’s action. 

      Multiple possibilities should be considered in explaining the less potent suppression of rfa1 mutants by srs2 alleles in MMS compared to CPT conditions. For example, MMS and CPT affect checkpoints differently. While CPT only activates the DNA damage checkpoint, MMS additionally induces DNA replication checkpoint (Menin et al, 2018; Redon et al, 2003; Tercero et al, 2003). It is possible that the Srs2-RPA antagonism is more relevant to the DNA damage checkpoint compared with the DNA replication checkpoint. Further investigation of this possibility among other scenarios will shed light on differential suppression seen here. We have included this discussion in the revised text.

      (2) The data in Figure 3 showing that Srs2 mutants reduce Rad53 activation in the rfa1-zm2 mutant are confusing, especially given the claim of an anti-checkpoint function for Srs2 (in which case Srs2 mutants should result in increased Rad53 activation). The authors propose that Rad53 is hyperactivated in rfa1-zm2 mutant because of compromised ssDNA protection and consequential DNA lesions, however, the effects sharply contrast with the central model. Are the authors proposing that in the rfa1-zm2 mutant, the compromised protection of ssDNA supersedes the checkpoint-dampening effect?  Perhaps a schematic should be included in Figure 3 to depict these complexities and help the reader. The schematic could also include the compensatory dampening mechanisms like Slx4 (on that note, why not move Figure S2 to a main figure?... and even expand experiments to better characterize the compensatory mechanisms, which seem important to help understand the lack of checkpoint dampening effect in the Srs2 mutants) 

      Partially defective alleles often do not manifest null phenotype. In this case, while srs2∆ increases Rad53 activation (Dhingra et al., 2021), srs2-∆PIM and -3KR did not (Figure 3A-3B). However, srs2-∆PIM did increase Rad53 activation when combined with another checkpoint dampening mutant slx4<sup>RIM</sup> (now Figure 4B-4C). This result suggests that defects of partially defective srs2 alleles can be masked by Slx4. Further, srs2-∆PIM and 3KR rescued rfa1-zm2’s checkpoint abnormality (now Figure 3B-3C), suggesting that Srs2 binding to PCNA and its sumoylation contribute to the Srs2-RPA antagonism in the DNA damage checkpoint response.

      Partially defective alleles that impair specific features of a protein without producing null phenotype have been used widely to reveal biological mechanisms. For example, a partially defective allele of the checkpoint protein Rad9 perturbing binding to gamma-H2A (rad9-K1088M) does not cause DNA damage sensitivity on its own, due to the compensation from other checkpoint factors (Hammet et al, 2007). However_, rad9-K1088M_ rescues the DNA damage sensitivity and persistent G2/M checkpoint of slx4 mutants, providing strong evidence for the notion that Slx4 dampens checkpoint via regulating Rad9 (Ohouo et al, 2013).

      We have now indicated that our model highlights the checkpoint recovery process and does not depict another consequence of the Srs2-RPA antagonism, that is, rfa1 DNA binding mutants can lead to increased levels of DNA lesions and consequently stronger checkpoint activation, which are rescued by lessening Srs2’s ability to strip RPA from DNA (Dhingra et al., 2021). We have stated these points more clearly in the text and added a schematic (Figure 3A) to outline the genetic relationship and interpretations. We also moved Figure S2 to the main figures (Figure 4), as suggested by the reviewer. Better characterizing the compensatory mechanisms among the multiple checkpoint dampening pathways requires substantial amounts of work that will be pursued in the future.

      (3) The authors should demarcate the region used for quantifying the G1 population in Figure 3B and explain the following discrepancy: By inspection of the cell cycle graph, all mutants have lower G1 peak height compared to WT (CPT 2h). However, in the quantification bar graph at the bottom, ΔPIM has higher G1 population than the WT. 

      We now describe how the G1 region of the FACS histogram was selected to derive the percentage of G1 cells in Figure 3B (now Figure 3C). Briefly, the G1 region from the “G1 sample” was used to demarcate the G1 region of the “CPT 2h” sample. We noticed that a mutant panel was mistakenly put in the place of wild-type, and this error is now corrected. The conclusion remains that srs2-∆PIM and srs2-3KR improved rfa1-zm2 cells’ ability to exit G2/M, while they themselves do not show difference from the wild-type control for the percentage of G1 cells after 2hr CPT treatment. We have added statistics in Figure 3C that support this conclusion.

      Reviewer #2:

      This is an interesting paper that delves into the post-translational modifications of the yeast Srs2 helicase and proteins with which it interacts in coping with DNA damage. The authors use mutants in some interaction domains with RPA and Srs2 to argue for a model in which there is a balance between RPA binding to ssDNA and Srs2's removal of RPA. The idea that a checkpoint is being regulated is based on observing Rad53 and Rad9 phosphorylation (so there are the attributes of a checkpoint), but evidence of cell cycle arrest is lacking. The only apparent delay in the cell cycle is the re-entry into the second S phase (but it could be an exit from G2/M); but in any case, the wild-type cells enter the next cell cycle most rapidly. No direct measurement of RPA residence is presented. 

      We thank the reviewer for the helpful comments. Previous studies have shown that CPT does not induce the DNA replication checkpoint, and thus does not slow down or arrest S phase progression; however, CPT does induce the DNA damage checkpoint, which causes a delay (not arrest) in G2/M phase and re-entering into the second G1 (Menin et al., 2018; Redon et al., 2003). Our result is consistent with these findings, showing that CPT induces G2/M delay but not arrest. We have now made this point clearer in the text.

      We have previously reported chromatin-bound RPA levels in rfa1-zm2, srs2, and their double mutants, as well as in vitro ssDNA binding by wild-type and mutant RPA complexes (Dhingra et al., 2021). These data showed that Srs2 loss or its ATPase dead mutant led to 4-6-fold increase of RPA levels on chromatin, which was rescued by rfa1-zm2 (Dhingra et al., 2021). On its own, rfa1-zm2 did not cause defective chromatin association, despite modestly reducing ssDNA binding in vitro (Dhingra et al., 2021). This discrepancy could be due to a lack of sensitivity of the chromatin fractionation assay in revealing moderate changes of RPA residence on DNA in vivo. Our functional assays (Figure 2-3) were more effective in identifying the Srs2 features pertaining to RPA regulation. 

      Strengths:

      Data concern viability assays in the presence of camptothecin and in the post-translational modifications of Srs2 and other proteins.  

      Weaknesses:

      There are a couple of overriding questions about the results, which appear technically excellent. Clearly, there is an Srs2-dependent repair process here, in the presence of camptothecin, but is it a consequence of replication fork stalling or chromosome breakage? Is repair Rad51-dependent, and if so, is Srs2 displacing RPA or removing Rad51 or both? If RPA is removed quickly what takes its place, and will the removal of RPA result in lower DDC1-MEC1 signaling? 

      Srs2 can affect both the checkpoint response and DNA repair processes in CPT conditions. However, rfa1zm2 mainly affects the former role of Srs2; this allows us to gain a deeper understanding of this role, which is critical for cell survival in CPT (Dhingra et al., 2021). Building on this understanding, our current study identified two Srs2 features that could afford spatial and temporal regulation of RPA removal from DNA, providing a rationale for how cells can properly utilize an activity that can be beneficial yet also dangerous if it were to lack regulation. Study of Srs2-mediated DNA repair in CPT conditions, either in Rad51-dependent or -independent manner, to deal with replication fork stalling or DNA breaks will require studies in the future.

      Moreover, it is worth noting that in single-strand annealing, which is ostensibly Rad51 independent, a defect in completing repair and assuring viability is Srs2-dependent, but this defect is suppressed by deleting Rad51. Does deleting Rad51 have an effect here? 

      We have previously shown that rad51∆ did not rescue the hyper-checkpoint phenotype of srs2∆ cells in CPT conditions, while rfa1-zm1 and -zm2 did (Dhingra et al., 2021). This differential effect was also seen for the srs2 ATPase-dead allele (Dhingra et al., 2021). These and other data described by Dhingra et al (2021) suggest that Srs2’s effects on checkpoint vs. recombination are separable at least in CPT condition, and that the Srs2-RPA antagonism in checkpoint regulation is not affected by Rad51 removal (unlike in SSA).

      Neither this paper nor the preceding one makes clear what really is the consequence of having a weakerbinding Rfa1 mutant. Is DSB repair altered? Neither CPT nor MMS are necessarily good substitutes for some true DSB assay. 

      We have previously showed that rfa1-zm1/zm2 did not affect the frequencies of rDNA recombination, gene conversation, or direct repeat repair (Dhingra et al., 2021). Further, rfa1-zm1/zm2 did not suppress the hyperrecombination phenotype of srs2∆, while rad51∆ did (Dhingra et al., 2021). In a DSB system, wherein the DNA repeats flanking the break were placed 30 kb away from each other, srs2∆ led to hyper-checkpoint and lethality, both of which were rescued by rfa1-zm mutants (Dhingra et al., 2021). In this assay, rfa1-zm1/zm2 did not show sensitivity, suggesting largely proficient DNA repair. Collectively, these data suggest that moderately weakening DNA binding of Rfa1 does not lead to detectable effect on the recombinational repair examined thus far, rather it affects Srs2-mediated checkpoint downregulation. In-depth studies of rfa1-zm mutations in the context of various DSB repair steps will be interesting to pursue in the future.

      With camptothecin, in the absence of site-specific damage, it is difficult to test these questions directly. (Perhaps there is a way to assess the total amount of RPA bound, but ongoing replication may obscure such a measurement). It should be possible to assess how CPT treatment in various genetic backgrounds affects the duration of Mec1/Rad53-dependent checkpoint arrest, but more than a FACS profile would be required. 

      Quantitative measurement of RPA residence time on DNA in cellular context and the duration of the

      Mec1/Rad53-mediated cell cycle delay/arrest will be informative but requires further technology development. Our current work provides a foundation for such quantitative assessment.

      It is also notable that MMS treatment does not seem to yield similar results (Fig. S1). 

      Figure S1 showed that srs2-∆PIM and srs2-3KR had weaker suppression of rfa1-zm2 growth on MMS plates than on CPT plates. Multiple possibilities should be considered in explaining the less potent suppression of rfa1 mutants by srs2 in MMS compared with CPT conditions. For example, MMS and CPT affect checkpoints differently. While CPT only activates the DNA damage checkpoint, MMS additionally induces DNA replication checkpoint (Menin et al., 2018; Redon et al., 2003; Tercero et al., 2003). It is therefore possible that the Srs2RPA antagonism is more relevant for the DNA damage checkpoint control compared with the DNA replication checkpoint. Further investigation of this possibility will shed light on differential suppression seen here. We have included this discussion in the revised text.

      Reviewer #3:

      The superfamily I 3'-5' DNA helicase Srs2 is well known for its role as an anti-recombinase, stripping Rad51 from ssDNA, as well as an anti-crossover factor, dissociating extended D-loops and favoring non-crossover outcome during recombination. In addition, Srs2 plays a key role in ribonucleotide excision repair. Besides DNA repair defects, srs2 mutants also show a reduced recovery after DNA damage that is related to its role in downregulating the DNA damage signaling or checkpoint response. Recent work from the Zhao laboratory (PMID: 33602817) identified a role of Srs2 in downregulating the DNA damage signaling response by removing RPA from ssDNA. This manuscript reports further mechanistic insights into the signaling downregulation function of Srs2. 

      Using the genetic interaction with mutations in RPA1, mainly rfa1-zm2, the authors test a panel of mutations in Srs2 that affect CDK sites (srs2-7AV), potential Mec1 sites (srs2-2SA), known sumoylation sites (srs2-3KR), Rad51 binding (delta 875-902), PCNA interaction (delta 1159-1163), and SUMO interaction (srs2SIMmut). All mutants were generated by genomic replacement and the expression level of the mutant proteins was found to be unchanged. This alleviates some concern about the use of deletion mutants compared to point mutations. The double mutant analysis identified that PCNA interaction and SUMO sites were required for the Srs2 checkpoint dampening function, at least in the context of the rfa1-zm2 mutant. There was no effect of these mutants in a RFA1 wild-type background. This latter result is likely explained by the activity of the parallel pathway of checkpoint dampening mediated by Slx4, and genetic data with an Slx4 point mutation affecting Rtt107 interaction and checkpoint downregulation support this notion. Further analysis of Srs2 sumoylation showed that Srs2 sumoylation depended on PCNA interaction, suggesting sequential events of Srs2 recruitment by PCNA and subsequent sumoylation. Kinetic analysis showed that sumoylation peaks after maximal Mec1 induction by DNA damage (using the Top1 poison camptothecin (CPT)) and depended on Mec1. These data are consistent with a model that Mec1 hyperactivation is ultimately leading to signaling downregulation by Srs2 through Srs2 sumoylation. Mec1-S1964 phosphorylation, a marker for Mec1 hyperactivation and a site found to be needed for checkpoint downregulation after DSB induction did not appear to be involved in checkpoint downregulation after CPT damage. The data are in support of the model that Mec1 hyperactivation when targeted to RPA-covered ssDNA by its Ddc2 (human ATRIP) targeting factor, favors Srs2 sumoylation after Srs2 recruitment to PCNA to disrupt the RPA-Ddc2-Mec1 signaling complex. Presumably, this allows gap filling and disappearance of long-lived ssDNA as the initiator of checkpoint signaling, although the study does not extend to this step. 

      Strengths 

      (1) The manuscript focuses on the novel function of Srs2 to downregulate the DNA damage signaling response and provide new mechanistic insights. 

      (2) The conclusions that PCNA interaction and ensuing Srs2-sumoylation are involved in checkpoint downregulation are well supported by the data. 

      We thank the reviewer for carefully reading our work and for his/her positive comments. 

      Weaknesses 

      (1) Additional mutants of interest could have been tested, such as the recently reported Pin mutant, srs2Y775A (PMID: 38065943), and the Rad51 interaction point mutant, srs2-F891A (PMID: 31142613). 

      Residue Y775 of Srs2 was shown to serve as a separation pin in unwinding D-loops and dsDNA with 3’ overhang in vitro; however, srs2-Y775A lacks cellular phenotype in assays for gene conversion, crossover, and genetic interactions. As such, the biological role of this residue has not been clear. In addressing reviewer’s comment, we obtained srs2-Y775A, and the control strains as described in the recent publication (Meir et al, 2023). While srs2-Y775A on its own did not affect CPT sensitivity, it improved rfa1-zm_2 mutant growth on media containing CPT. This result suggests that Y775 can influence RPA regulation during in checkpoint dampening. Given that truncated Srs2 (∆Cter 276 a.a.) containing Y775A showed normal RPA stripping activity _in vitro, it is possible that cellular assay using rfa1-zm2 is more sensitive for revealing defect of this activity or full-length protein is required for manifest Y775A effect. Future experiments distinguishing these possibilities can provide more clarity. Nevertheless, our result reveals the first phenotype of Srs2 separation pin mutant. We have added this new result (Figure S4) and our interpretation.

      We have already included data showing that a srs2 mutant lacking the Rad51 binding domain (srs2∆Rad51BD, ∆875-902) did not affect rfa1-zm2 growth in CPT nor caused defects in CPT on its own (Figure 2D). This data suggest that Rad51 binding is not relevant to the Srs2-RPA antagonism in CPT, a conclusion fully supported by data in our previous study (Dhingra et al., 2021). Collectively, these findings do not provide a strong rationale to test a point mutation within the Rad51BD region. 

      (2) The use of deletion mutants for PCNA and RAD51 interaction is inferior to using specific point mutants, as done for the SUMO interaction and the sites for post-translational modifications. 

      We generally agree with this view. However, it is less of a concern in the context of the Rad51 binding site mutant (srs2-∆Rad51BD) since it behaved as the wild-type allele in our assays. The srs2-∆PIM mutant (lacking 4 amino acids) has been examined for PCNA binding in vitro and in vivo (Kolesar et al, 2016; Kolesar et al, 2012); to our knowledge no detectable defect was reported. Thus, we believe that this allele is suitable for testing whether Srs2’s ability to bind PCNA is relevant to RPA regulation.

      (3) Figure 4D and Figure 5A report data with standard deviations, which is unusual for n=2. Maybe the individual data points could be plotted with a color for each independent experiment to allow the reader to evaluate the reproducibility of the results. 

      We have included individual data points as suggested and corrected figure legend to indicate that three independent biological samples per genotype were examined in both panels.

      References:

      Dhingra N, Kuppa S, Wei L, Pokhrel N, Baburyan S, Meng X, Antony E, Zhao X (2021) The Srs2 helicase dampens DNA damage checkpoint by recycling RPA from chromatin. Proc Natl Acad Sci U S A 118: e2020185118.

      Feng S, Manley JL (2021) Replication Protein A associates with nucleolar R loops and regulates rRNA transcription and nucleolar morphology. Genes Dev 35: 1579-1594.

      Fiorani S, Mimun G, Caleca L, Piccini D, Pellicioli A (2008) Characterization of the activation domain of the Rad53 checkpoint kinase. Cell Cycle 7: 493-499.

      Hammet A, Magill C, Heierhorst J, Jackson SP (2007) Rad9 BRCT domain interaction with phosphorylated H2AX regulates the G1 checkpoint in budding yeast. EMBO Rep 8: 851-857.

      Kolesar P, Altmannova V, Silva S, Lisby M, Krejci L (2016) Pro-recombination role of Srs2 protein requires SUMO (Small Ubiquitin-like Modifier) but is independent of PCNA (Proliferating Cell Nuclear Antigen) interaction. J Biol Chem 291: 7594-7607.

      Kolesar P, Sarangi P, Altmannova V, Zhao X, Krejci L (2012) Dual roles of the SUMO-interacting motif in the regulation of Srs2 sumoylation. Nucleic Acids Res 40: 7831-7843.

      Li Y, Liu C, Jia X, Bi L, Ren Z, Zhao Y, Zhang X, Guo L, Bao Y, Liu C et al (2024) RPA transforms RNase H1 to a bidirectional exoribonuclease for processive RNA-DNA hybrid cleavage. Nat Commun 15: 7464.

      Meir A, Raina VB, Rivera CE, Marie L, Symington LS, Greene EC (2023) The separation pin distinguishes the pro- and anti-recombinogenic functions of Saccharomyces cerevisiae Srs2. Nat Commun 14: 8144.

      Memisoglu G, Lanz MC, Eapen VV, Jordan JM, Lee K, Smolka MB, Haber JE (2019) Mec1(ATR) autophosphorylation and Ddc2(ATRIP) phosphorylation regulates dna damage checkpoint signaling. Cell Rep 28: 1090-1102 e1093.

      Menin L, Ursich S, Trovesi C, Zellweger R, Lopes M, Longhese MP, Clerici M (2018) Tel1/ATM prevents degradation of replication forks that reverse after Topoisomerase poisoning. EMBO Rep 19: e45535.

      Nguyen HD, Yadav T, Giri S, Saez B, Graubert TA, Zou L (2017) Functions of Replication Protein A as a sensor of R loops and a regulator of RNaseH1. Mol Cell 65: 832-847 e834.

      Ohouo PY, Bastos de Oliveira FM, Liu Y, Ma CJ, Smolka MB (2013) DNA-repair scaffolds dampen checkpoint signalling by counteracting the adaptor Rad9. Nature 493: 120-124.

      Papouli E, Chen S, Davies AA, Huttner D, Krejci L, Sung P, Ulrich HD (2005) Crosstalk between SUMO and ubiquitin on PCNA is mediated by recruitment of the helicase Srs2p. Mol Cell 19: 123-133.

      Petermann E, Lan L, Zou L (2022) Sources, resolution and physiological relevance of R-loops and RNA-DNA hybrids. Nat Rev Mol Cell Biol 23: 521-540.

      Pommier Y, Nussenzweig A, Takeda S, Austin C (2022) Human topoisomerases and their roles in genome stability and organization. Nat Rev Mol Cell Biol 23: 407-427.

      Redon C, Pilch DR, Rogakou EP, Orr AH, Lowndes NF, Bonner WM (2003) Yeast histone 2A serine 129 is essential for the efficient repair of checkpoint-blind DNA damage. EMBO Rep 4: 678-684.

      Sun Y, Saha S, Wang W, Saha LK, Huang SN, Pommier Y (2020) Excision repair of topoisomerase DNAprotein crosslinks (TOP-DPC). DNA Repair (Amst) 89: 102837.

      Tercero JA, Longhese MP, Diffley JFX (2003) A central role for DNA replication forks in checkpoint activation and response. Mol Cell 11: 1323-1336.

      Reviewer #1 (Recommendations For The Authors): 

      (1) "the srs2-ΔPIM (Δ1159-1163 amino acids)". "11" should not be italic.

      Corrected.

      (2) "the srs2-SIMmut (1170 IIVID 1173 to 1170 AAAAD 1173)". "1173" should be 1174.

      Corrected.

      (3) Can Slx4-RIM mutant rescue rfa1-zm2 CPT sensitivity?  

      We found that unlike srs2∆, slx4∆ failed to rescue rfa1-zm2 CPT sensitivity (picture on the right). On the other hand, slx4∆ counteracts Rad9-dependent Rad53 activation as shown by Ohouo et al (2013). 

      Author response image 1.

      (4) One genotype (rfa1-zm2 srs2-3KR) is missing in Figure 5B.

      Corrected.

      (5) In Fig. S2C, FACS plots do not match the bar graph (see major concern 3). 

      Corrected and is described in more detail in Major Concern #3.

      Reviewer #2 (Recommendations For The Authors): 

      Figure 1. The colors in A are not well-conserved in B.

      Colors for srs2-7AV and -2SA in panel B are now matched with those in panel A.

      Figure 2. Is srs2-SIMmut the same as srs2-sim? 

      This mutant allele is now referred to as srs2-SIM<sup>mut</sup> throughout the text and figures.

      The suppression of rfa1-zm2 and (less strongly) rfa-t33 by the Srs2 mutants is interesting. Based on previous data, the suppression is apparently mutual, though it isn't shown here, unless we misunderstand. 

      We have previously shown that rfa1-zm2 and srs2∆ showed mutual suppression (Dhingra et al 2021 PNAS) and have included an example in Figure S1A. Unlike srs2∆, srs2-∆PIM and -3KR showed little damage sensitivity and DDC defects, likely due to the compensation by the Slx4-mediated checkpoint dampening (detailed in the Public Review section). Suppression is not applicable toward mutants lacking a phenotype, though the mutants could confer suppression when there is a functional relationship with another mutant, as we see here toward rfa1-zm2.

      Is Srs2 interaction with PCNA dependent on its ubiquitylation or SUMO? Does PCNA mutant K164R mimic this mutation? (this may well be known; our ignorance). 

      It was known that Srs2 can bind unmodified PCNA, though SUMO enhances this interaction; however, a very small percentage of PCNA is sumoylated in cells and PCNA sumoylation affects both Srs2-dependent and independent processes (e.g., (Papouli et al, 2005). As such, the genetic interaction of K164R with rfa1-zm2 can be difficult to interpret.

      Why srs2-7AV or srs2-sim make rfa1-zm2 even more sensitive is also not obvious. The authors take refuge in the statement that Srs2 "has multiple roles in cellular survival of genotoxic stress" but don't attempt to be more precise. 

      Our understanding of srs2-7AV and -sim is limited; thus, more specific speculation cannot be made at this time.

      Figure 3. It is striking (Figure 3A) that all the cells have reached G2 an hour after releasing from alpha-factor arrest, even though presumably CPT treatment must impair replication. It is even more striking that there is apparently no G2/M arrest in the presumably damaged cells as the WT (Figure 3B) has the most rapid progression through the cell cycle. How does this compare with cells in the absence of CPT? The idea that CPT is triggering Rad53-mediated response is hard to understand if there is in fact no delay in the cell cycle. Instead, the several mutants appear to delay re-entry into S... Or maybe it is actually an exit from G2/M? 

      This phenomenon needs a better explanation. 

      CPT does not induce the DNA replication checkpoint nor S phase delay, explaining apparent G2 content by the one hour time point; however, CPT does induce the DNA damage checkpoint, and a delay (not arrest) in G2/M (Menin et al., 2018; Redon et al., 2003; Tercero et al., 2003). We confirmed these findings. In our hand, wildtype G1 cells released into the cell cycle in the absence of CPT complete the first cell cycle within 80 minutes, such that most cells are in the second G1 phase by 90 min. In contrast, when wild-type cells were treated with CPT, G2/M exit was only partial at 120min (e.g., Figure 3B). These features differentiate CPT treatment from MMS treatment, which induces both types of checkpoints and lengthening the time that cells reach G2. We have highlighted this unique feature of CPT in checkpoint induction.

      What is "active Rad53"? If the authors mean they are using a phospho-specific Ab versus Rad53, they should explain this. It's impossible to know if total Rad53 is altered from Figure 3A. A blot with an antibody that detects both phosphorylated and nonphosphorylated Rad53 would help. 

      The F9 antibody used here detects phosphorylated Rad53 forms induced by Mec1 activation and does not detect unphosphorylated Rad53 (Fiorani et al, 2008). We changed “active Rad53” to “phosphorylated Rad53”. We used Pgk1 as a loading control to ensure equal loading, which help to quantify the relative amount of “active Rad53” in cells. This method has been used widely in the field.

      Also is there a doublet of Rad53 in the right two lanes and in WT? Rad53 often shows more than one slowmigrating species, so this isn't necessarily a surprise. Were both forms used in quantitation? 

      Both forms are used for quantification. 

      Figure 4A. Is there a di-SUMO form above the band marked Srs2-Su? Is this known? Is it counted? 

      Mono-sumoylated form of Srs2 is the most abundant form of sumoylated Srs2, though we detected a sumoylated Srs2 band that can represent its di-sumo form. We did quantify both forms in the plot.

      B. The dip at 1.5 h in Rad9-P is curious. It would be useful to know what % of Rad9 is phosphorylated in a repair-defective (rad52?) background with CPT treatment. And would such rad52 cells show a long arrest? 

      This dip is reproducible and may reflect that a population of cells escape G2/M delay at this timepoint.  

      Figure 5. It seems clear that the autophosphorylation site of Mec1, which was implicated in turning off a longdelayed G2/M arrest has no effect here, but presumably, a kinase-dead Mec1 (or deletion) does? The idea that a checkpoint is being regulated seems to come more from an assumption than from any direct data; as noted above, the only apparent delay in the cell cycle is the re-entry into S. There clearly is Rad53 and Rad9 phosphorylation so there are the attributes of a checkpoint.  If PI3KK phosphorylation is important, can this be accomplished by Tel1 as well as Mec1? 

      A mec1 helicase dead or null would not activate the checkpoint at the first place, therefore will not be useful to address whether Mec1 autophosphorylation is implicated in turning off checkpoint. A recent study from the Haber lab provided evidence that Mec1 autophosphorylation at S1964 helps to turn off the checkpoint in a DSB situation (Memisoglu et al, 2019). The role of Tel1 in checkpoint dampening will be interesting to examine in the future.  

      Figure 6. Two Rfa1 phospho-sites don't appear to be important, but do the known multiple phosphorylations of Rfa2 play a role?  

      Figure 6D examined three Rfa2 phosphorylation sites and found no genetic interaction with srs2∆.   

      Summary:  There are a lot of interesting data here, but they don't strongly support the author's model in the absence of a more direct way to monitor RPA binding and removal. This could be done using some sitespecific damage, but hard to do with CPT or MMS (which themselves don't appear to have the same effect).  The abstract suggests Srs2 is "temporally and spatially regulated to both allow timely checkpoint termination and to prevent superfluous RPA removal." But where is the checkpoint termination if there's no evident checkpoint? And "superfluous" is probably not the right word (= unnecessary); probably the authors intend "excessive"? As noted above, it also isn't clear if the displacement is of RPA or of Rad51, which normally replaces RPA and which is well-known to be itself displaced by Srs2. Again, if CPT is causing enough damage to kill orders of magnitudes of cells (are the plate and liquid concentrations comparable, we suddenly wonder) then why isn't there some stronger evidence for a cell cycle response to the DDC? 

      As described in the Public Review section, we have previously shown that a lack of Srs2-mediated checkpoint downregulation leads to a 4-6 fold increase of RPA on chromatin, which was rescued by rfa1-zm2 (Dhingra et al., 2021). On its own, rfa1-zm2 did not cause defective chromatin association in our assays, despite modestly reducing ssDNA binding in vitro (Dhingra et al., 2021). This discrepancy could be due to a lack of sensitivity of chromatin fractionation assay in revealing moderate changes of RPA residence on DNA. Considering this, we decided to employ functional assays (Figure 2-3) that are more effective in identifying the specific Srs2 features pertaining to RPA regulation. 

      We respectfully disagree with the reviewer’s point that there is “no evident checkpoint” in CPT.  Previous studies have shown that CPT induces the DNA damage checkpoint as evidenced by Mec1 activation and phosphorylation of Rad53 and Rad9, and delaying exit from G2/M (Dhingra et al., 2021; Menin et al., 2018; Redon et al., 2003). Our data are fully consistent with these reports. It is important to note that DNA damage checkpoint can manifest at a range of strengths depending on the genotoxic conditions and treatment, but the fundamental principles are the same. For example, we found that the Srs2-RPA antagonism not only affects the checkpoint downregulation in CPT, but also does so in MMS treatment and in a DSB system. We focused on CPT condition in this work, since CPT only induces the DNA damage checkpoint but not DNA replication checkpoint while MMS induces both. Further investigating the Srs2-RPA antagonism in a DSB system can be interesting to pursue in the future.  

      We believe that “superfluous removal” is appropriately used when discussing RPA regulation at genomic sites wherein it supports ssDNA protection and DNA repair, rather than DDC. Examples of these sites include R-loops and negatively supercoiled regions. These sites lack 3’ and 5’ DNA ends at the ss-dsDNA junctions for loading PCNA and the 9-1-1 checkpoint factors, and thus are not designated for checkpoint regulation.

      We addressed the reviewer’s point regarding Rad51 in the Public Review section. We disagree with reviewer’s view that “Rad51 normally replaces RPA”. RPA is involved in many more processes than Rad51 wherein it is not replaced by Rad51.  

      Regarding toxicity of CPT, our view is that it stems from a combination of checkpoint regulation and other processes that also involve the Srs2-RPA antagonism. While this work focused on the checkpoint aspect of this antagonism, future studies will be conducted to address the latter.

      One reference is entered as Lee Zhou and Stephen J. Elledge as opposed to "Zhou and Elledge."

      Corrected.  

      Reviewer #3 (Recommendations For The Authors): 

      (1) It would be nice to see the additional point mutants (srs2-Y775A, srs2-F891A) be tested, as they showed little to no phenotypes in the previously reported analyses, which did not specifically test the function surveyed here. 

      This point is addressed in the Public Reviews section.

      (2) Maybe the caveat of using deletion versus point mutations could be discussed. 

      This point is addressed in the Public Reviews section.

      (3) Please plot individual data points of the two independent experiments in Figures 4D and 5A so that the reader can evaluate reproducibility. N=2 does not really allow deriving SD.

      This point is addressed in the Public Reviews section and three individual data points are now included in both panels.

      (4) It will help the reader to have the exact strains used in each experiment listed in each figure legend.  Minor point.

      The strain table is now updated to address this point.

      (5) Page 7 middle paragraph: The reference to Figure 4A in line 11 should probably be Figure S3A. 

      Corrected.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      Summary:

      The authors use the innovative CRISPRi method to uncover regulators of cell density and volume in neutrophils. The results show that cells require NHE activity during chemoattractant-driven cell migration. Before migration occurs, cells also undergo a rapid cell volume increase. These results indicate that water flux, driven by ion channels, appears to play a central role in neutrophil migration. The paper is very well written and clear. I suggest adding some discussion about the role of actin in the process, but this is not essential.

      Strengths

      The novel use of CRIPSPi to uncover cell density regulators is very novel. Some of the uncovered molecules were known before, e.g. discussed in Li & Sun, Frontiers in Cell and Developmental Biology, 2021. Others are more interesting, for example PI3K-gamma. The use of caged fMLP is also nice.

      We thank the reviewer for their positive appraisal of our work and have pursued their suggestions for improving our paper in this revision.

      Weaknesses

      One area of investigation that seems to be absent is mentioned in the introduction. I.e., actin is expected to play a role in regulating cell volume increase. Did the authors perform any experiments with LatA? What was seen there? Do cells still migrate with LatA, or is a different interplay seen? The role of PI3K is interesting, and maybe somewhat related to actin. But this may be a different line of inquiry for the future.

      We agree that we could have done a better job explicitly investigating the role of actin dynamics in volume changes. Towards this end, by using Latrunculin B to depolymerize actin, we find that the volume increase in suspension is not affected (Figure 1 – supplemental figure 2A). In our FxM single cell volume measurements of adherent cells, we similarly observed unhindered swelling following latrunculin treatment. These data indicate that actin is dispensable for chemoattractant-induced cell swelling (Figure 1 – supplemental figure 2B) . There was a minor apparent reduction in the final volume reached with the Latrunculin-treated cells as measured by FxM, but this likely reflects minor uptake of the excluded dye following Latrunculin treatment rather than an actual change in final volume. This conclusion is reinforced by the change in 2D footprint area being well modeled by the 2D projection of an isotropically expanding sphere (Figure 1 – supplemental figure 2C) . Latrunculin treatment completely abolishes migration, as is expected for unconfined migration on fibronectin (Figure 1 – supplemental figure 2D-E) . The second Reviewer also wanted us to dig deeper on the role of PI3K-gamma, so we expanded our analysis of this hit (Figure 3 – supplemental figure 1B-D; Figure 4 – supplemental figure 1D-G) .

      Author response image 1.

      Chemoattractant-induced swelling, but not motility, is independent of actin polymerization. (A) Human primary neutrophils were incubated with DMSO or Latrunculin B, activated with 20 nM fMLP, and then volume responses were measured using electronic sizing via a Coulter counter. Latrunculin treatment did not alter cell swelling, indicating that actin polymerization is dispensable for the chemoattractant-induced volume increase. (B) Similar results were obtained using the FxM assay, showing that Latrunculin-treated cells are capable of swelling after stimulation. (C) The Latrunculin-treated cells also increase their footprints, albeit less so than control cells, but this is within the range of what would be expected for this degree of chemoattractant-induced volume increase (modeled by a sphere expanding an equivalent volume). (D) Single cell tracks of primary human neutrophils responding to acute chemoattractant stimulation. Both panels show 15 minutes of tracks with the tracks prior (left) and the 15 minutes post (right) uncaging the chemoattractant. The scale bar is 50 microns. The top panels show the large increase in motility displayed by control cells, while the Latrunculin-treated cells (bottom panels) fail to move. (E) Latrunculin-treated cells consistently fail to move in response to chemoattractant-stimulation. (F) Representative single cell volume traces show that Latrunculin-treated cells (black) lack short-term volume fluctuations but persistently maintain an elevated volume following chemoattractant stimulation. Control cells (blue) exhibit short-term volume fluctuations. (G) The lack of short-term volume fluctuations following latrunculin treatment is borne out across the population, with the coefficient of variation in the volume for single cells (post-swelling) being dramatically lower in Latrunculin-treated cells, suggesting that these short term volume fluctuations depend on actin-based motility.

      Author response image 2.

      Additional validation of swelling screen hits. (A) Mixed WT and CRISPR KO dHL-60 populations post-stimulation show that CA2 (black) and PI3Ky (green) KO both fail to decrease their densities as much as the WT (cyan) population following chemoattractant stimulation. Cells with negative control guides (light gray) have normal volume responses. All tubes were fractionated and aligned on the fraction containing the median of the WT population. Negative values indicate a fraction with a higher density than WT. (B) To validate the perturbations to cell swelling observed with FxM, primary human neutrophils were stimulated in suspension, and their volumes were measured using a Coulter counter. 20 nM fMLP was added at the 0 minute mark. Shaded regions represent the 95% confidence intervals. (C) PI3Kγ inhibition blocks the chemoattractant-induced volume change in primary human neutrophils, as assayed by FxM. (D) PI3Kγ inhibition also blocked the chemoattractant-drive shape change in human primary neutrophils, as measured by the change in footprint area in FxM (E) The coefficient of variation in volume for control (cyan) and iNHE1 (gold) inhibited human primary neutrophils undergoing chemokinesis are comparable, suggesting that the volume fluctuations are unchanged in moving cells upon NHE1 and PI3Kγ inhibition despite the different baseline volumes.

      Author response image 3.

      Additional validation of motility phenotypes. (A-D) Single cell tracks of primary human neutrophils responding to acute chemoattractant stimulation. Both panels show tracks of cells 15 minutes prior (left) versus 15 minutes post (right) uncaging the chemoattractant. The scale bar is 50 microns. Color saturation indicates time with tracks progressing from gray to full color. (A) Control cells show a large increase in movement upon uncaging, (B) NHE1 inhibited cells also initiate movement but to a lesser degree, (C) hypo-osmotic shock rescues the NHE1 motility defect. (D) PI3Kγ leads to a large fraction of cells failing to initiate movement. (E) PI3Kγ inhibition showed near complete blockage of the chemoattractant-induced motility increase in primary human neutrophils. (F) Control neutrophils (blue) show an increased angular alignment upon stimulation as their motility becomes directional. NHE1-inhibition (gold, iNHE1) has very little effect on this process, while PI3Kγ inhibition (green) leads to a reduction in this alignment at the population level. (G) For the PI3Kγ inhibited cells that start migrating, the migration-induced volume fluctuations are comparable to iNHE1 and control cells. The top panel shows the track of a representative migrating PI3Kγ inhibited cell and the bottom panel, its corresponding volume normalized to the pre-stimulation volume. The scale bar is 50 microns.

      Reviewer #2 (Public Review):

      Nagy et al investigated the role of volume increase and swelling in neutrophils in response to the chemoattractant. Authors show that following chemoattractant response cells lose their volume slightly owing to the cell spreading phase and then have a relatively rapid increase in the cell volume that is concomitant with cell migration. The authors performed an impressive genome-wide CRISPR screen and buoyant density assay to identify the regulators of neutrophil swelling. This assay showed that stimulating cells with chemoattractant fMLP led to an increase in the cell volume that was abrogated with the FPR1 receptor knockout. The screen revealed a cascade that could potentially be involved in cell swelling including NHE1 (sodium-proton antiporter) and PI3K. NHE1 and PI3K are required for chemoattractant-induced swelling in human primary neutrophils. Authors also suggest slightly different functions of NHE1 and PI3K activity where PI3K is also required to maintain chemoattractant-induced cell shape changes. The authors convincingly show that chemoattractant-induced cell swelling is linked to cell migration and NHE1 is required for swelling at the later stages of swelling since the cells at the early point work on low-volume and low-velocity regime. Interestingly, the authors also show that lack of swelling in NHE1-inhibited cells could be rescued by mild hypo-osmotic swelling strengthening the argument that water influx followed chemoattractant stimulation is important for potentiation for migration.

      The conclusions of this paper are mostly well supported by data and are pretty convincing, but some aspects of image acquisition and data analysis need to be clarified and extended.

      We thank the reviewer for their positive appraisal of our work and pursued their suggestions for improving our paper in this revision.

      Weaknesses

      (1) It would really help if the authors could add the missing graph for the footprint area when cells are treated with Latranculin. Graph S1F for volume changes with Lat treatment should be compared with DMSO-treated controls.

      We agree that the Latrunculin condition merits more thorough investigation. To this end, we compared the volume response of human primary neutrophils to chemoattractant addition for Latrunculin B treated cells versus DMSO controls in suspension and show that there is no difference in swelling (Figure 1 – supplemental figure 2A) . This is additionally confirmed with FxM measurements with a slight undershooting of the final volume likely due to minor uptake of the excluded dye by Latrunculin treated cells (Figure 1 – supplemental figure 2B) . We have also included the requested footprint area changes in the Latrunculin treated cells as compared to controls (Figure 1 – supplemental figure 2C) . The treated cell footprints increase much less than the controls, and this is likely due to a lack of active cell spreading in the Latrunculin treated cells. The increase in footprint area observed following latrunculin treatment is within the range of what would be expected for the 2D projection of an isotropically expanding sphere fitted to the Latrunculin volume data (salmon line).

      Author response image 4.

      Chemoattractant-induced swelling, but not motility, is independent of actin polymerization. (A) Human primary eutrophils were incubated with DMSO or Latrunculin B, activated with 20 nM fMLP, and then volume responses were measured using electronic sizing via a Coulter counter. Latrunculin treatment did not alter cell swelling, indicating that actin polymerization is dispensable for the chemoattractant-induced volume increase. (B) Similar results were obtained using the FxM assay, showing that Latrunculin-treated cells are capable of swelling after stimulation. (C) The Latrunculin-treated cells also increase their footprints, albeit less so than control cells, but this is within the range of what would be expected for this degree of chemoattractant-induced volume increase (modeled by a sphere expanding an equivalent volume).

      (2) The authors show inhibition of NHE1 blocked cell swelling using Coulter counter, a similar experiment should be done with PI3K inhibitions especially since they see PI3K inhibition impact chemoattractant-induced cell shape change.

      Good idea. PI3Ky inhibition led to a substantial reduction in the chemoattractant-driven swelling in suspension showing the critical role of PI3K in the swelling of human primary neutrophils (Figure 3 – supplemental figure 1B) .

      Author response image 5.

      Additional validation of swelling screen hits. (B) To validate the perturbations to cell swelling observed with FxM, primary human neutrophils were stimulated in suspension, and their volumes were measured using a Coulter counter. 20 nM fMLP was added at the 0 minute mark. Shaded regions represent the 95% confidence intervals.

      (3) It would be more convincing visually if the authors could also include the movie of cell spreading (footprint) and then mobility with PI3K inhibition.

      Included as suggested. We agree this is a more compelling way to present the data (Figure 4 – supplemental figure 1A-D,G)

      Author response image 6.

      Additional validation of motility phenotypes. (A-D) Single cell tracks of primary human neutrophils responding to acute chemoattractant stimulation. Both panels show tracks of cells 15 minutes prior (left) versus 15 minutes post (right) uncaging the chemoattractant. The scale bar is 50 microns. Color saturation indicates time with tracks progressing from gray to full color. (A) Control cells show a large increase in movement upon uncaging. (D) PI3Kγ leads to a large fraction of cells failing to initiate movement. (E) PI3Kγ inhibition showed near complete blockage of the chemoattractant-induced motility increase in primary human neutrophils. (G) For the PI3Kγ inhibited cells that start migrating, the migration-induced volume fluctuations are comparable to iNHE1 and control cells. The top panel shows the track of a representative migrating PI3Kγ inhibited cell and the bottom panel, its corresponding volume normalized to the pre-stimulation volume. The scale bar is 50 microns.

      (4) It is not clear how cell spreading and later volume increase are linked to overall mobility of neutrophils. Are authors suggesting that cell spreading is not required for cell mobility in neutrophils?

      We did not mean to imply that cell spreading is not required for neutrophil motility. We take advantage of the fact that we can inhibit cell swelling without inhibiting spreading to investigate the specific role of swelling on migration ( Figure 4) . Conversely, cell spreading on a substrate is not required for chemoattractant-induced cell swelling, as chemoattractant-induced swelling occurs in latrunculin-treated cells (Figure 1 – supplemental figure 2A-C) . However, these latrunculin-treated cells are not able to migrate, at least not in the context studied here (Figure 1 – supplemental figure 2 D-E) . Cell spreading and swelling are likely both critical contributors to neutrophil motility, but their relative importance is dependent on the migratory context. The single cell volume fluctuation analysis indicates that migration-associated spreading and shape changes have large impacts on cell volume ( Figure 1 F) . These fluctuations are asynchronous, obscuring their observation at the population level, but the single cell traces clearly demonstrate them and their correlation with movement.

      ( 5) Volume fluctuations associated with motility were impacted by NHE1 inhibition at the baselines, what about PI3K inhibitions? Does that impact the actual fluctuations?

      PI3K inhibition causes a significant fraction of cells to stop migrating (Figure 4 – supplemental figure 1D) , but among those that do move, they are still able to fluctuate in volume (Figure 4 – supplemental figure 1G) .

      Author response image 7.

      Additional validation of motility phenotypes. (G) For the PI3Kγ inhibited cells that start migrating, the migration-induced volume fluctuations are comparable to iNHE1 and control cells. The top panel shows the track of a representative migrating PI3Kγ inhibited cell and the bottom panel, its corresponding volume normalized to the pre-stimulation volume. The scale bar is 50 microns.

      In contrast, latrunculin abolishes the volume fluctuations that normally accompany migration (Figure 1 – supplemental figure 2F-G) . These data suggest that movement/spreading itself is the driver of the rapid volume fluctuations. In contrast, the sustained volume increase following chemoattractant stimulation is independent of shape change and still occurs in latrunculin-treated cells.

      Author response image 8.

      Chemoattractant-induced swelling, but not motility, is independent of actin polymerization. (F) Representative single cell volume traces show that Latrunculin-treated cells (black) lack short-term volume fluctuations but persistently maintain an elevated volume following chemoattractant stimulation. Control cells (blue) exhibit short-term volume fluctuations. (G) The lack of short-term volume fluctuations following latrunculin treatment is borne out across the population, with the coefficient of variation in the volume for single cells (post-swelling) being dramatically lower in Latrunculin-treated cells, suggesting that these short term volume fluctuations depend on actin-based motility.

      (6) It would really help if the authors compared similar analyses and drew conclusions from that, for example, it is unclear what the authors mean by they found no change in the angular persistence of WT and NHE1 inhibited cells which is in contrast to PI3K inhibition since they do not really have an analysis for angular persistence in PI3K inhibited cells. (S4A and S4B).

      Thanks for catching this oversight in these experiments that we previously performed but neglected to include in the initial submission. We now include plots for angular persistence, velocity, and footprint size for the PI3K-gamma-inhibited cells. The results show that PI3K-gamma inhibition interferes both with swelling (Figure 3 – supplemental figure 1B-D) and motility (Figure 4 – supplemental figure 1D-F) , which aligns with its role upstream of the other hits identified in our screen.

      Author response image 9.

      Additional validation of motility phenotypes. (A-D) Single cell tracks of primary human neutrophils responding to acute chemoattractant stimulation. Both panels show tracks of cells 15 minutes prior (left) versus 15 minutes post (right) uncaging the chemoattractant. The scale bar is 50 microns. Color saturation indicates time with tracks progressing from gray to full color. (A) Control cells show a large increase in movement upon uncaging, (B) NHE1 inhibited cells also initiate movement but to a lesser degree, (C) hypo-osmotic shock rescues the NHE1 motility defect. (D) PI3Kγ leads to a large fraction of cells failing to initiate movement. (E) PI3Kγ inhibition showed near complete blockage of the chemoattractant-induced motility increase in primary human neutrophils. (F) Control neutrophils (blue) show an increased angular alignment upon stimulation as their motility becomes directional. NHE1-inhibition (gold, iNHE1) has very little effect on this process, while PI3Kγ inhibition (green) leads to a reduction in this alignment at the population level. (G) For the PI3Kγ inhibited cells that start migrating, the migration-induced volume fluctuations are comparable to iNHE1 and control cells. The top panel shows the track of a representative migrating PI3Kγ inhibited cell and the bottom panel, its corresponding volume normalized to the pre-stimulation volume. The scale bar is 50 microns.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Weaknesses to be addressed: 

      (1) More detail is required to understand the effects of genetic and drug manipulations on heart rate as these are important experiments. At the very least, a discussion on the limitations of these manipulations is needed. 

      - For example, how does one separate the pulsatile versus nutritive effects of blood flow/heartrate reduction? 

      - The conclusion that arterial SMC differentiation is driven by pulsatile blood flow needs to be toned down. Indeed, this conclusion is mainly supported by in vitro cell co-cultures exposed to laminar versus pulsatile flow. In vivo, reducing Tnnt2a expression affects cardiac contractility and blood flow does not selectively affect pulsatility. To make this conclusion, the authors would need an experimental means to selectively dampen the pulsatility of blood flow.

      We understand this concern and we toned down the statements related to the pulsatile flow of our conclusion by using 'flow' instead of 'pulsatile flow' in all text except for the in vitro co-cultures part. We also added a paragraph to discuss the limited capability of qualitatively reduce blood flow in vivo, and acknowledge that the effects of nutrients and flow reduction could not be uncoupled in live zebrafish embryos. We proposed that in the future, in vitro 3D vascular culture models may be combined with microfluidics to precisely calibrate nutrient composition in culture media, flow velocity and pulse; these methods would help address these questions more thoroughly. See page 11-12 line 312-322.

      (2) Since mural cells are sensitive to transmural pressure, could the authors elaborate on the potential role of raised intravascular pressure in SMC differentiation? This would better parallel rodents and humans. 

      We thank you for this suggestion. We added a paragraph to discuss the potential role of raised intravascular pressure in VSMC differentiation in the discussion section (see page 11 line 296-311).

      (3) The authors use nifedipine to reduce blood flow. Nifedipine is a specific and potent inhibitor of voltage-dependent calcium channels (VDCC) which are expressed in SMCs. Prior studies (PMID: 35588738) showed that VDCC blockers increased rather than inhibited SMC differentiation. Nifedipine is also likely to act upon VSMC calcium handling in the circle of Willis, which may in turn affect cell maturation. Could the authors comment on this seeming discrepancy?

      It is possible that off-target or indirect effects of Nifedipine decrease smooth muscle cell proliferation, or that altered cardiac contractility fundamentally alters aspects of vascular development other than blood flow. 

      - Additionally, it would be helpful to report the quantitative heart rate reduction achieved with Nifedipine. This would clear up concerns that the heart rate reduction is too large for normal vascular development to occur, and thus decrease proliferation rate independent of changes in blood flow pulsatility. 

      We concur with these comments, which is why our experimentation with Nifedipine is reinforced by employing an alternative, non-pharmacological strategy to inhibit blood flow: the use of morpholino against tnnt2a gene. The results with either Nifedipine or tnnt2a support the lack of VSMCs maturation. In addition, we provided the quantitative heart rate reduction achieved with Nifedipine shown in new Figure S2A-S2C, suggesting that the drug is not completely halting the heart rate but decreasing it. Nevertheless, we report that Zebrafish embryos can survive and develop a normal blood vascular system without any heartbeat. Hence, we exclude that the effect on VSMCs maturation is linked non-specifical effects caused by the loss of heartbeat. Nevertheless, we now acknowledged in our discussion the limitation of nifedipine, as it may affect VSMC through VDCCs (page 12, line 323-334).

      We also added a paragraph in the discussion section to compare nifedipine, an L-type VDCC blocker, and ML218, a T-type VDCC selective inhibitor from the previous study (Ando et al., 2022). We noted that in this previous study, the increase in VSMC differentiation only occur on anterior metencephalic central arteries (AMCtAs) that are more than 40 mm away from the BCA; these AMCtAs are much smaller than CoW arteries and have different geometry hence possible different kinetics of VSMC maturation (Ando et al., 2022) as our manuscript discovery would suggest.

      (4) The authors should provide more information on how blood flow velocity and wall shear stress are calculated from the Circle of Willis vascular structure. It is presumed that these values are dependent upon the 3-D morphology of the vessel network, as labeled by intravenous dextran dye, but this is not clear. (a second reviewer similarly comments: I was unclear how flow velocity values were obtained in Fig. 3E. Are they based on computational simulation, or are they experimentally calculated following the dextran injection?) Small local differences in vessel diameter and shape will influence blood flow velocity, but these morphological changes are not clearly articulated. Further, it is unclear how flow input levels to the CaDI and basilar arteries are decided across time points. For instance, is it possible to measure the blood flow speed empirically with line-scanning or high-speed tracking of labeled blood cells or particles? This would provide validation of the modeling results. 

      The computational fluid dynamic simulation was performed according to previous study from our lab (Barak et al., 2021). Blood flow velocity and wall shear stress are dependent upon the 3D morphology of the vessel network labeled by intravascular dextran. Details on how the computational fluid dynamic simulation was performed are added in method section page 17 line 433-449.

      Moreover, to address this reviewer concern we have now provided new experimental measurement of blood flow using the red blood cell (RBC) velocity via axial line scanning microscopy in Tg(kdrl:gfp;gata1:DsRed)zn1/sd2 zebrafish embryos at 54 hpf, 3 dpf, and 4 dpf. By using the experimental RBC velocity, we re-simulated the computational fluid dynamic. The new findings align with our conclusion and are further elaborated upon in response to this reviewer comment listed as point 6. Details on how RBC velocity calculated is added in method section page 16 line 414-431.

      (5) Does the cardiac injection of dextran itself affect the diameter of the arteries, given the invasiveness of the procedure? This could be examined in fish with a transgenic endothelial label with and without dextran. 

      Here, we performed an experiment on wildtype zebrafish at 5 days post-fertilization (dpf) with and without Dextran injection, examining the effects of Dextran injection on vessel diameters. As shown in the representative image below, the XZ panel clearly illustrates a Dextran-filled PCS vessel with no alteration in vessel size. Dextran microangiography, a technique employed to obtain vessel geometry with fluorescent microsphere, has been well established in zebrafish (Kamei et al., 2010). Our findings, demonstrating that Dextran does not affect vessel size, are consistent with previous studies utilizing Dextran microangiography.

      Author response image 1.

      (6) The data from the microangiography experiment in Figure 3 does not fully support the stated results. The authors report that the CaDI had the highest blood flow speed starting from 54 hpf, but it does not appear to be higher than the other arteries at this time point. Additionally, there is not sufficient evidence that wall shear stress coincides with smooth muscle cell differentiation in the CaDI. Wall shear stress appears to be similar between 54 hpf and 3 dpf in the CaDI, only increasing between 3 dpf and 4 dpf, while differentiation is shown to begin at 3 dpf. The authors need to address this and/or soften conclusions. 

      First, In response to this specific reviewer concern, we measured red blood cell (RBC) velocity by used axial line scanning microscopy to analyze Tg(kdrl:gfp;gata1:DsRed)zn1/sd2 zebrafish embryos (the detailed method was added in Method section in the manuscript). We replaced the computational simulated blood flow velocity by RBC velocity in new Figure 3E-3G, and re-run the computational simulated wall shear stress (WSS) using the RBC velocity in new Figure 3I-3K. We compared RBC velocity and WSS among different vessels at each time point. We confirmed that CaDI has the highest RBC velocity starting from 54 hpf to 4 dpf (new Figure 3A-3C, and 3E-3G) and found an overall increase in average WSS from 54 hpf to 4 dpf (new Figure 3A-3C, and 3H). Further, WSS in CaDI was significantly higher than BCA and PCS at 54 hpf, 3 dpf, and 4 dpf (new Figure 3A-3C, 3I-3K). Altogether, the CFD simulation suggests that CoW arteries experience different hemodynamic WSS that is associated with spatiotemporal pattern of VSMC differentiation on CoW arteries.”.  (Page 6, line 153-162)

      Second, to identify the correlation of WSS and VSMC differentiation in CaDI, we performed Pearson correlation analysis. In the image provided here, we plotted a linear regression with normalized # of acta2+ cells in CaDI and WSS with developmental stages (54 hpf, 3 and 4 dpf), and performed Pearson correlation coefficient analysis by using GraphPad Prism 10.0.3. The correlation coefficient r = 0.595, suggesting that the two variables (acta2+ cells and WSS) tend to increase together with developmental stages (54 hpf, 3 and 4 dpf).

      Author response image 2.

      Third, we softened our conclusion as the RBC velocity across CoW arteries was differentially distributed while VSMC differentiation occurred in these vessels.

      (7) It is unclear if acta2 expression is conferring vascular tone, as would be expected if the cells are behaving as mature VSMCs. Does arterial diameter decrease with an increase in acta2 expression? Are acta2-positive mural cells associated with more dynamic changes in arteriole diameter under basal or stimulated conditions? 

      Thanks for this interesting question. VSMC maturation and its vasoactivity could be further investigated in the future. Our study focused on early stage of VSMC differentiation, in which pdgfrb+ progenitors started to express VSMC marker acta2. We discussed the onset of transgelin expression and loss of abcc9 expression as markers of VSMC maturation. In addition, a previous study found that VSMC covered vessels in zebrafish brain dilate as early as 4 dpf and constrict at 6 dpf (Bahrami & Childs, 2020). Future study may focus on the association between expression of different VSMC markers and VSMC functional maturation. (page 10, line 272-279)

      (8) The authors argue that CoW vessels transition from venous to arterial identity (Fig. 1). However, kdrl is not an ideal arterial marker for this experiment as it is expressed in both arteries and veins. While it is true that many arterial beds have stronger kdrl expression than the veins, its expression in both arteries and veins changes with developmental stage, and its expression level may vary depending on the type of vessel. Therefore, showing that kdrl increases from 32 hpf - 4 dpf in CoW vessels is not convincing because its expression may increase in both venous or arterial vasculature as the vessels mature. In addition, flt4 expression is not exclusively venous; for example, it has noticeable expression in the dorsal aorta at 24-32 hpf stages. It would be helpful to confirm this transition by analyzing additional arterial and venous markers. 

      We acknowledge this and we added a paragraph to discuss the limitation. We combined loss of flt4 and increase in kdrl to establish the temporal sequence of circle of Willis morphogenesis, arterial specification, and VSMC differentiation. We acknowledge that additional arterial and venous markers need to be analyzed for a more thorough characterization of arterial specification in vertebrate brain vascular development. See page 12 line 335-341.

      (9) The authors show that acta2+ VSMCs are absent in tnnt2a MO embryos, concluding that blood flow is required for their differentiation from pericytes. However, there is no data showing that pericytes are still present in tnnt2a MO embryos. Although this has been previously shown by Ando et al 2016, it would be beneficial to confirm in the current study as this is a critical piece of evidence needed for this conclusion. 

      To determine if blood flow is dispensable for pdgfrb+ progenitor recruitment, we performed tnnt2a MO (0.35 ng/embryo) injection in Tg(pdgrb:egfp, kdrl:ras-mcherry) ncv22/s896. Loss of blood flow did not affect pdgfrb+ progenitor emergence around the CoW (new Figure S2G-S2H) at 3 days post fertilization (dpf). This is consistent with previous observation in Ando et al 2016 Figure S2C (Ando et al., 2016).

      (10) The authors show that klf2a MO injected embryos have a reduced number of VSMCs at 3 dpf but a normal number at 4 dpf (Fig. 6), concluding that klf2a is only important to initiate CaDI muscularization. If this is true, it would raise important questions about how VSMCs differentiate at a later stage in the absence of klf2a. For instance, is blood flow not required to differentiate at a later stage, or is there another factor that compensates in the absence of klf2a? The alternative explanation/ caveat is that klf2a MO loses efficacy with development, leading to the recovery of VSMCs at this stage. Therefore, it would be important to confirm this result using a genetic klf2a mutant. 

      Thank you for pointing this out.  We note that based on the klf2a reporter line, klf2a activity in CoW arterial endothelial cells is highly correlated with the number of acta2+ VSMCs in CaDI, BCA and PCS at 3 dpf (r = 0.974, new Figure S5J). Interestingly however, klf2a activity remained stable from 3 dpf to 4 dpf, well beyond initiation of VSMC differentiation. Thus, we speculate sustained klf2a expression may support further maturation of VSMCs, as acta2+ VSMCs showed distinct morphology at 4 dpf compared with 3 dpf. (Page 10, line 268-272). As for the observation that klf2a morphants have normal number of VSMCs at 4 dpf, we think that in addition to the temporary effect of morpholino, a proximal explanation is compensation by paralogous klf2b in zebrafish. We acknowledge that further characterization of CoW VSMC development in klf2a and klf2b double genetic mutants (Rasouli et al., 2018; Steed et al., 2016) may help determine whether klf2b compensates klf2a in CoW VSMC differentiation beyond 4 dpf. See page 10-11 line 292-295.

      (11) A large part of the discussion focuses on Notch and Wnt signaling, as downstream Klf2 effectors. While these are reasonable hypotheses to propose, there is no data on the involvement of these pathways in the current study. It seems excessive to speculate on detailed mechanisms of how Klf2 activates Notch and Wnt signaling in the absence of data showing that these pathways are affected in CoW vessels. Therefore, the discussion could be shortened here unless additional data can be obtained to demonstrate the involvement of these pathways in VSMCs in CoW.

      We concur and have condensed the discussion on Notch and Wnt signaling as downstream klf2 effectors.

      Minor comments: 

      (1) Line 138 "CaDI is the only vessels in the CoW receiving pulsatile arterial blood low ... ". Adding a reference to support this statement would be useful. 

      We agree and revised this sentence into ‘CaDI receive proximal arterial feed through lateral dorsal aorta from cardiac outflow tract (Isogai et al., 2001)’. It was also based on our general observation of zebrafish vascular anatomy and blood flow under a confocal microscope.

      (2) The image insets in Figs. 1A, 2A, 4E-L, 5A, 6A are quite small. Please make them larger to help the reader interpret the findings. 

      We agree. We maximized the image size to help the reader interpret the finding, and to visualize confocal images and schematics side-by-side.

      (3) The schematics in Figs. 1-2, and 4-6 are helpful, but the different cell types are difficult to see because they are small and their colors/shapes are not very distinct. 

      We agree. We increased the size and color contrast to provide better visualization of the schematics in new schematic Figures. 1-2 and 4-6.

      (4) It is stated that there are no diameter differences between different arteries, but statistics are not reported. 

      The statistics in Figure 3D were performed by ordinary two-way ANOVA followed by Tukey’s multiple comparisons test, with a single pooled variance. Here we added pairwise comparisons among vessels in the CoW. Hence when non indicated the difference are non-significant.

      (5) Figure 3F would be better visualized on a log scale, as it is difficult to see the differences between each post-fertilization timepoint. 

      We agree. In the new Figure 3H, the average wall shear stress (WSS) in CoW arteries is presented on log scale in y axis to see the differences between each post-fertilization timepoint.

      (6) Please provide more background and validation on the pericyte cell line, and their use for the questions in this study. 

      Thank you for the question, TgBAC(pdgfrb:egfp)ncv22 was generated and described by Ando et al 2016 to clarify mural cell coverage of vascular endothelium in zebrafish (Ando et al., 2016). We added a describe in the method section to provide background and validation on this pericyte line (see page 13 line 368-372).

      (7) Flow velocity and WSS changes are shown in each vessel in Figs. 3E,G. However, the comparison should be made between different types of vessels to see if there is a statistical difference and PCS, for example, which would explain differences in VSMC coverage. 

      We agreed. We compared the difference among arteries in the CoW at each developmental timepoint and performed ordinary one-way ANOVA with Tukey’s multiple comparisons test. Figure. 3E is replaced by new Figure. 3E-G and Figure. 3G is replaced by new Figure. 3I-K.

      (8) Similarly, between CaDI, the number of klf2a cells in Fig. 5B should be compared between different vessels, not between different stages of the same vessel. 

      We agree. In new Figure 5B-E, the number of klf2a+ cells per 100 μm vessel length are compared among different vessels at each developmental stage and analyzed by ordinary one-way ANOVA with Tukey’s multiple comparisons test.

      (9) When quantifying klf2+ cells in Fig. 5, it would be helpful to quantify klf2 expression level between cells in different vessels. This could be done by quantifying GFP expression in existing images. The difference in expression level may explain the variation between CaDI and PCS more accurately than just the difference in cell number. 

      The GFP expression reflect the stability of GFP protein expression and labels discrete nuclei with active klf2a expression. Hence the quantification of GFP level might not give an accurate readout of klf2a expression per se but rather of its activity. For this reason we don’t think that this experiment will add accurate measurement of klf2a expression.

      (10) Do data points in Figure 4D correspond to different cells in the same chamber experiment? If so, they cannot be treated as independent replicates. Each data point should correspond to an independent replicate experiment. 

      We agree. Now in the figure legend, we report the number of cells analyzed.

      (11) Graph placement is confusing in Figs. 4I, M. An adjacent Fig. 4G shows Nifedipine treated embryos, while the graph next to (Fig. 4I) shows acta+ cell number from tnnt2a 4 dpf experiment. Similarly, the bottom Fig. 4K tnn2a 4 dpf MO experiment has an adjacent graph Fig. 4M, which shows nifedipine treatment quantification, which makes it very confusing. 

      We agreed. We rearranged Figure 4E (representative images of control embryos at 3 dpf and 4 dpf), Figure 4F (tnnt2a MO embryos at 3 dpf and 4 dpf), Figure 4G (nifedipine treated embryos at 3 dpf and 4 dpf).

      Reference:

      Ando, K., Fukuhara, S., Izumi, N., Nakajima, H., Fukui, H., Kelsh, R. N., & Mochizuki, N. (2016). Clarification of mural cell coverage of vascular endothelial cells by live imaging of zebrafish. Development, 143(8), 1328-1339. https://doi.org/10.1242/dev.132654

      Ando, K., Tong, L., Peng, D., Vazquez-Liebanas, E., Chiyoda, H., He, L., Liu, J., Kawakami, K., Mochizuki, N., Fukuhara, S., Grutzendler, J., & Betsholtz, C. (2022). KCNJ8/ABCC9-containing K-ATP channel modulates brain vascular smooth muscle development and neurovascular coupling. Dev Cell, 57(11), 1383-1399 e1387. https://doi.org/10.1016/j.devcel.2022.04.019

      Bahrami, N., & Childs, S. J. (2020). Development of vascular regulation in the zebrafish embryo. Development, 147(10). https://doi.org/10.1242/dev.183061

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    1. Author response:

      The following is the authors’ response to the original reviews.

      New Experiments

      (1) Activation-dependent dynamics of PKA with the RIα regulatory subunit, adding to the answer to Reviewers 1 and 2. To determine the dynamics of all PKA isoforms, we have added experiments that used PKA-RIα as the regulatory subunit. We found differential translocation between PKA-C (co-expressed with PKA-RIα) and PKA-RIα (Figure 1–figure supplement 3), similar to the results when PKA-RIIα or PKA-RIβ was used.

      (2) PKA-C dynamics elicited by a low concentration of norepinephrine, addressing Reviewer 3’s comment. We have found that PKA-C (co-expressed with RIIα) exhibited similar translocation into dendritic spines in the presence of a 5x lowered concentration (2 μM) of norepinephrine, suggesting that the translocation occurs over a wide range of stimulus strengths (Figure 1-figure supplement 2).

      Reviewer #1 (Public Review):

      Summary:

      This is a short self-contained study with a straightforward and interesting message. The paper focuses on settling whether PKA activation requires dissociation of the catalytic and regulatory subunits. This debate has been ongoing for ~ 30 years, with renewed interest in the question following a publication in Science, 2017 (Smith et al.). Here, Xiong et al demonstrate that fusing the R and C subunits together (in the same way as Smith et al) prevents the proper function of PKA in neurons. This provides further support for the dissociative activation model - it is imperative that researchers have clarity on this topic since it is so fundamental to building accurate models of localised cAMP signalling in all cell types. Furthermore, their experiments highlight that C subunit dissociation into spines is essential for structural LTP, which is an interesting finding in itself. They also show that preventing C subunit dissociation reduces basal AMPA receptor currents to the same extent as knocking down the C subunit. Overall, the paper will interest both cAMP researchers and scientists interested in fundamental mechanisms of synaptic regulation.

      Strengths:

      The experiments are technically challenging and well executed. Good use of control conditions e.g untransfected controls in Figure 4.

      We thank the reviewer for their accurate summarization of the position of the study in the field and for the positive evaluation of our study.

      Weaknesses:

      The novelty is lessened given the same team has shown dissociation of the C subunit into dendritic spines from RIIbeta subunits localised to dendritic shafts before (Tillo et al., 2017). Nevertheless, the experiments with RII-C fusion proteins are novel and an important addition.

      We thank the reviewer for noticing our earlier work. The first part of the current work is indeed an extension of previous work, as we have articulated in the manuscript. However, this extension is important because recent studies suggested that the majority of PKA-RIIβ are axonal localized. The primary PKA subtypes in the soma and dendrite are likely PKA-RIβ or PKA-RIIα. Although it is conceivable that the results from PKA-RIIβ can be extended to the other subunits, given the current debate in the field regarding PKA dissociation (or not), it remains important to conclusively demonstrate that these other regulatory subunit types also support PKA dissociation within intact cells in response to a physiological stimulant. To complete the survey for all PKA-R isoforms, we have now added data for PKA-RIα (New Experiment #1), as they are also expressed in the brain (e.g., https://www.ncbi.nlm.nih.gov/gene/5573). Additionally, as the reviewer points out, our second part is a novel addition to the literature.

      Reviewer #2 (Public Review):

      Summary:

      PKA is a major signaling protein that has been long studied and is vital for synaptic plasticity. Here, the authors examine the mechanism of PKA activity and specifically focus on addressing the question of PKA dissociation as a major mode of its activation in dendritic spines. This would potentially allow us to determine the precise mechanisms of PKA activation and address how it maintains spatial and temporal signaling specificity.

      Strengths:

      The results convincingly show that PKA activity is governed by the subcellular localization in dendrites and spines and is mediated via subunit dissociation. The authors make use of organotypic hippocampal slice cultures, where they use pharmacology, glutamate uncaging, and electrophysiological recordings.

      Overall, the experiments and data presented are well executed. The experiments all show that at least in the case of synaptic activity, the distribution of PKA-C to dendritic spines is necessary and sufficient for PKA-mediated functional and structural plasticity.

      The authors were able to persuasively support their claim that PKA subunit dissociation is necessary for its function and localization in dendritic spines. This conclusion is important to better understand the mechanisms of PKA activity and its role in synaptic plasticity.

      We thank the reviewer for their positive evaluation of our study.

      Weaknesses:

      While the experiments are indeed convincing and well executed, the data presented is similar to previously published work from the Zhong lab (Tillo et al., 2017, Zhong et al 2009). This reduces the novelty of the findings in terms of re-distribution of PKA subunits, which was already established. A few alternative approaches for addressing this question: targeting localization of endogenous PKA, addressing its synaptic distribution, or even impairing within intact neuronal circuits, would highly strengthen their findings. This would allow us to further substantiate the synaptic localization and re-distribution mechanism of PKA as a critical regulator of synaptic structure, function, and plasticity.

      We thank the reviewer for noticing our earlier work. The first part of the current work is indeed an extension of previous work, as we have articulated in the manuscript. However, this extension is important because recent studies suggested that the majority of PKA-RIIβ are axonal localized. The primary PKA subtypes in the soma and dendrite are likely PKA-RIβ or PKA-RIIα. Although it is conceivable that the results from PKA-RIIβ can be extended to the other subunits, given the current debate in the field regarding PKA dissociation (or not), it remains important to conclusively demonstrate that these other regulatory subunit types also support PKA dissociation within intact cells in response to a physiological stimulant. To complete the survey for all PKA-R isoforms, we have now added data for PKA-RIα (New Experiment #1), as they are also expressed in the brain (e.g., https://www.ncbi.nlm.nih.gov/gene/5573). Additionally, as Reviewer 1 points out, our second part is a novel addition to the literature.

      We also thank the reviewer for suggesting the experiments to examine PKA’s synaptic localization and dynamics as a key mechanism underlying synaptic structure and function. We agree that this is a very interesting topic. At the same time, we feel that this mechanistic direction is open ended at this time and beyond what we try to conclude within this manuscript: prevention of PKA dissociation in neurons affects synaptic function. Therefore, we will save the suggested direction for future studies. We hope the reviewer understand.

      Reviewer #3 (Public Review):

      Summary:

      Xiong et al. investigated the debated mechanism of PKA activation using hippocampal CA1 neurons under pharmacological and synaptic stimulations. Examining the two PKA major isoforms in these neurons, they found that a portion of PKA-C dissociates from PKA-R and translocates into dendritic spines following norepinephrine bath application. Additionally, their use of a non-dissociable form of PKC demonstrates its essential role in structural long-term potentiation (LTP) induced by two-photon glutamate uncaging, as well as in maintaining normal synaptic transmission, as verified by electrophysiology. This study presents a valuable finding on the activation-dependent re-distribution of PKA catalytic subunits in CA1 neurons, a process vital for synaptic functionality. The robust evidence provided by the authors makes this work particularly relevant for biologists seeking to understand PKA activation and its downstream effects essential for synaptic plasticity.

      Strengths:

      The study is methodologically robust, particularly in the application of two-photon imaging and electrophysiology. The experiments are well-designed with effective controls and a comprehensive analysis. The credibility of the data is further enhanced by the research team's previous works in related experiments. The conclusions of this paper are mostly well supported by data. The research fills a significant gap in our understanding of PKA activation mechanisms in synaptic functioning, presenting valuable insights backed by empirical evidence.

      We thank the reviewer for their positive evaluation of our study.

      Weaknesses:

      The physiological relevance of the findings regarding PKA dissociation is somewhat weakened by the use of norepinephrine (10 µM) in bath applications, which might not accurately reflect physiological conditions. Furthermore, the study does not address the impact of glutamate uncaging, a well-characterized physiologically relevant stimulation, on the redistribution of PKA catalytic subunits, leaving some questions unanswered.

      We agreed with the Reviewer that testing under physiological conditions is critical especially given the current debate in the literature. That is why we tested PKA dynamics induced by the physiological stimulant, norepinephrine. It has been suggested that, near the release site, local norepinephrine concentrations can be as high as tens of micromolar (Courtney and Ford, 2014). Based on this study, we have chosen a mid-range concentration (10 μM). At the same time, in light of the Reviewer’s suggestion, we have now also tested PKA-RIIα dissociation at a 5x lower concentration of norepinephrine (2 μM; New Experiment #2). The activation and translocation of PKA-C is also readily detectible under this condition to a degree comparable to when 10 μM norepinephrine was used.

      Regarding the suggested glutamate uncaging experiment, it is extremely challenging because of finite signal-to-noise ratios in our experiments. From our past studies, we know that activated PKA-C can diffuse three dimensionally, with a fraction as membrane-associated proteins and the other as cytosolic proteins. Although we have evidence that its membrane affinity allows it to become enriched in dendritic spines, it is not known (and is unlikely) that activated PKA-C is selectively targeted to a particular spine. Glutamate uncaging of a single spine presumably would locally activate a small number of PKA-C. It will be very difficult to trace the 3D diffusion of these small number of molecules in the presence of surrounding resting-state PKA-C molecules. Finally, we hope the reviewer agrees that, regardless of the result of the glutamate uncaging experiment, the above new experiment (New Experiment #2) already indicate that certain physiologically relevant stimuli can drive PKA-C dissociation from PKA-R and translocation to spines, supporting our conclusion.

      Reviewer #2 (Recommendations For The Authors):

      It was a pleasure reading your paper, and the results are well-executed and well-presented.

      My main and only recommendations are two ways to further expand the scope of the findings.

      First, I believe addressing the endogenous localization of PKA-C subunit before and after PKA activation would be highly important to validate these claims. Overexpression of tagged proteins often shows vastly different subcellular distribution than their endogenous counterparts. Recent technological advances with CRISPR/Cas9 gene editing (Suzuki et al Nature 2016 and Gao et al Neuron 2019 for example) which the Zhong lab recently contributed to (Zhong et al 2021 eLife) allow us to tag endogenous proteins and image them in fixed or live neurons. Any experiments targeting endogenous PKA subunits that support dissociation and synaptic localization following activation would be very informative and greatly increase the novelty and impact of their findings.

      We agreed that addressing the endogenous PKA dynamics is important. However, despite recent progress, endogenous labeling using CRISPR-based methods remains challenging and requires extensive optimization. This is especially true for signaling proteins whose endogenous abundance is often low. We have tried to label PKA catalytic subunits and regulatory subunits using both the homologous recombination-based method SLENDR and our own non-homologous end joining-based method CRISPIE. We did not succeed, in part because it is very difficult to see any signal under wide-field fluorescence conditions, which makes it difficult to screen different constructs for optimizing parameters. It is also possible that, at the endogenous abundance, the label is just not bright enough to be seen. Nevertheless, for both PKA type Iβ and type IIα that we studied in this manuscript, we have correlated the measured parameters (specifically, Spine Enrichment Index or SEI) with the overexpression level (Figure 1-figure supplement 1). We found that they are not strongly correlated with the expression level under our conditions. By extrapolating to non-overexpression conditions, our conclusion remains valid.

      To overcome the inability to label endogenous PKA subunits using CRISPR-based methods, we have also attempted a conditional knock-in method call ENABLED that we previously developed to label PKA-Cα. In preliminary results, we found that endogenously label PKA were very dim. However, in a subset of cells that are bright enough to be quantified, the PKA catalytic subunit indeed translocated to dendritic spines upon stimulation (see Additional Fig. 1 in the next page), corroborating our results using overexpression. These results, however, are not ready to be published because characterization of the mouse line takes time and, at this moment, the signal-to-noise ratio remains low. We hope that the reviewer can understand.

      Author response image 1.

      Endogeneous PKA-Cα translocate to dendritic spines upon activation.

      Second, experiments which would advance and validate these findings in vivo would be highly valuable. This could be achieved in a number of ways - one would be overexpression of tagged PKA versions and examining sub-cellular distribution before and after physiological activation in vivo. Another possibility is in vivo perturbation - one would speculate that disruption or tethering of PKA subunits to the dendrite would lead to cell-specific functional and structural impairments. This could be achieved in a similar manner to the in vitro experiments, with a PKA KO and replacement strategy of the tethered C-R plasmid, followed by structural or functional examination of neurons.

      I would like to state that these experiments are not essential in my opinion, but any improvements in one of these directions would greatly improve and extend the impact and findings of this paper.

      We thank the reviewer for the suggestion and the understanding. The suggested in vivo experiments are fascinating. However, in vivo imaging of dendritic spine morphology is already in itself challenging. The difficulty greatly increases when trying to detect partial, likely transient translocation of a signaling protein. It is also very difficult to knock down endogenous PKA while simultaneously expressing the R-C construct in a large number of cells to achieve detectable circuit or behavioral effect (and hope that compensation does not happen over weeks). We hope the reviewer agrees that these experiments would be their own project and go beyond the time and scope of the current study.

      Reviewer #3 (Recommendations For The Authors):

      Please elaborate on the methods used to visualize PKA-RIIα and PKA-RIβ subunits.

      As suggested, we have now included additional details for visualizing PKA-Rs in the text. Specifically, we write (pg. 5): “…, as visualized using expressed PKA-R-mEGFP in separate experiments (Figs. 1A-1C).”.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      Summary:

      This manuscript by Vuong and colleagues reports a study that pooled data from 3 separate longitudinal studies that collectively spanned an observation period of over 15 years. The authors examined for correlation between viraemia measured at various days from illness onset with thrombocytopaenia and severe dengue, according to the WHO 2009 classification scheme. The motivation for this study is both to support the use of viraemia measurement as a prognostic indicator of dengue and also when an antiviral drug becomes licensed for use, to guide the selection of patients for antiviral therapy. They found that the four DENVs show differences in peak and duration of viraemia and that viraemia levels before day 5 but not those after from illness onset correlated with platelet count and plasma leakage at day 7 onwards. They concluded that the viraemia kinetics call for early measurement of viraemia levels in the early febrile phase of illness.

      Strengths:

      This is a unique study due to the large sample size and longitudinal viraemia measurements in the study subjects. The data addresses a gap in information in the literature, where although it has been widely indicated that viraemia levels are useful when collected early in the course of illness, this is the first time anyone has systematically examined this notion.

      Weaknesses:

      The study only analysed data from dengue patients in Vietnam. Moreover, the majority of these patients had DENV-1 infection; few had DENV-4 infection. The data could thus be skewed by the imbalance in the prevalence of the different types of DENV during the period of observation. The use of patient-reported time of symptom onset as a reference point for viraemia measurement is pragmatic although there is subjectivity and thus noise in the data.

      We acknowledge and appreciate your comments regarding the limitations of our study, including the pooled data from Vietnam and the use of symptom onset as a reference point for viremia kinetics. These points have been incorporated into the “Limitations” section.

      Reviewer #2 (Public Review):

      Summary:

      This manuscript highlights very important findings in the field, especially in designing clinical trials for the evaluation of antivirals.

      Strengths:

      The study shows significant differences between the kinetics of viral loads between serotypes, which is very interesting and should be taken into account when designing trials for antivirals.

      Weaknesses:

      The kinetics of the viral loads based on disease severity throughout the illness are not described, and it would be important if this could be analyzed.

      In response to your suggestion, we have expanded our analysis to investigate the relationship between the rate of viremia decline and clinical outcomes. Our findings demonstrate that a faster rate of viremia decline is associated with a reduced risk of severe clinical outcomes. We have incorporated this new analysis into the revised manuscript, providing further details in the “Statistical Analysis” section (page 7) and presenting the results on pages 15 and in Figure 6.

      Reviewer #1 (Recommendations For The Authors):

      Several areas require additional attention. I have limited my comments on the findings as I am not a mathematician and cannot knowledgeably comment on the statistical modelling methods.

      Comment #1: Lines 83-84. Although viraemia level shows declining trends from illness onset and thus lessens its prognostic value, it remains unknown if a more rapid rate of decline in viraemia is associated with a reduced risk of severe dengue. This is the fundamental premise of antiviral drug development for the treatment of dengue. The authors are uniquely poised to show if this logic that underpins antiviral development is likely correct and perhaps even estimate the extent to which a decline in viraemia needs to occur for a measurable reduction in the risk of severe dengue. Could the authors consider such an analysis?

      We appreciate your valuable suggestion. In response, we have expanded our analysis to investigate the relationship between the rate of viremia decline and clinical outcomes Utilizing a model of viremia kinetics with the assumption of a linear log-10 viremia decrease over time, we calculated the rate of decline for each patient. Our findings demonstrate that a faster rate of viremia decline is associated with a significantly reduced risk of severe clinical outcomes. We have incorporated this new analysis into the revised manuscript, providing further details in the “Statistical Analysis” section (page 7) and presenting the results on pages 15 and in Figure 6.

      Comment #2: Lines 101-102. Studies A and B were conducted in parallel, and several patients enrolled in study A from primary healthcare clinics were eventually also enrolled in study B upon hospitalization. It would be helpful to know how many patients from study A were included in study B. It would also be useful for the authors to indicate if such inclusion would constitute double-counting at any point in their analyses.

      To address potential confusion regarding patient overlap between studies A and B, we have provided further clarification in the revised manuscript’s Legend of Figure 1. Among confirmed dengue patients, 31 individuals enrolled in study A were later included in study B upon hospitalization. Of these, 9 had viremia measurements available in both studies and were consequently analysed in study A only. The remaining 22 lacked viremia data in study A but had measurements in study B, leading to their inclusion in study B in the analysis. We have taken meticulous care to ensure no patient data is double-counted.

      Comment #3: Lines 126-127. The definition of probable primary and secondary dengue from IgG measurements needs more detail. How was the anti-DENV IgG ELISA data from paired sera interpreted?

      To ensure clarity, we have moved the definitions of probable primary and secondary infections from the supplementary file (Appendix 2) to the main text of the revised manuscript (Methods section – Plasma viremia measurement, dengue diagnostics, and clinical endpoints – page 6): “A probable primary infection was defined by two negative/equivocal IgG results on separate samples taken at least two days apart within the first ten days of symptom onset, with at least one sample during the convalescent phase (days 6-10). A probable secondary infection was defined by at least one positive IgG result during the first ten days. Cases without time-appropriate IgG results were classified as indeterminate.”

      Comment #4: Lines 230-232 and Figure 4. The findings reported in Figure 4 are curious. Why is the platelet count highest (significantly?) for DENV-1 compared to other DENV-type infections at low viraemia levels on LM days 1-3? Does that also mean that DENV-3 and -4 infections have a greater impact on platelet counts at days 7-10 than DENV-1 and -2?

      In our analyses, we allowed the relation between viremia and platelet count to differ by serotype. Figure 4 shows the highest platelet counts for DENV-1 compared to other serotypes, especially at low viremia levels. Apparently, while DENV-1 on average has higher viremia (Figure 3), the same viremia level in DENV-1 compared to other serotypes is associated with a less severe disease course and higher platelet count. This does not necessarily imply that platelet count overall, uncorrected for viremia level, differs by genotype. Indeed, our unpublished analysis (shown below) indicates a modest influence of serotype on platelet count.

      Author response image 1.

      Comment #5: Figure 5. In a recent paper (Vuong et al, Clin Infect Dis 2021), the authors show elegantly that the viraemia levels on admission correlated with severe dengue. However, these correlations were different for each of the four DENV types and whether the infection was primary or secondary. Why wasn't the analysis in Figure 5 further stratified by their probable primary or secondary dengue status?

      We appreciate your feedback and have stratified Figure 5 by serotype and immune status as suggested. Please note that due to the limited number of severe dengue in primary infections (only 1 case in DENV-1) and plasma leakage in primary DENV-4 (see Appendix 4-table 1), the estimated probability of having these outcomes is nearly zero across all viremia levels within these subgroups.

      Comment #6: Line 279. The description in this line is at odds with the data in Figure 3A, which shows that DENV-2 could be detected over a longer period than DENV-1 as the one-step RT-qPCR assay has a lower detection limit than DENV-1.

      In response to your feedback, we have revised the description to clarify that DENV-1 exhibits higher viremia levels compared to DENV-2 and DENV-3 in the revised manuscript (page 18).

      Reviewer #2 (Recommendations For The Authors):

      Introduction

      Comment #1: Line 56: the authors state that viraemia is associated with dengue disease severity and cite their previous results. They then summarize the results of this study and others. The highlights of this paper should be described in more detail. It is important that the authors state the conclusions of their own paper, including that the association was not very strong and that the viral loads were lowest with DENV2, but DENV2 was associated with more severe disease.

      Thank you for your comment. To improve the introduction’s flow, we have removed that sentence in line 56 of the manuscript and have added the weak association in the next paragraph (pages 3-4).

      Comment #2: It would be important to cite smaller studies that show a delay in clearance of the virus being associated with more severe disease outcomes.

      Thanks for your suggestion. We have added information to the introduction (page 4), highlighting a study which found a slower rate of viral clearance to be associated with more severe outcomes (Wang et al., 2008). However, other studies have shown no association (Vaughn et al., 2000; Fox et al., 2011). This lack of conclusive evidence underscores the need for further research.

      Methods

      Comment #3: The authors highlight the possible discrepancies in comparing viral kinetics of two RT-PCR methods. Although it is not ideal to combine such results, the authors have analyzed them separately, providing valuable data.

      We appreciate your comment.

      Comment #4: Which tests were used to define the immune status as primary and secondary? What were the definitions?

      We have moved the definitions of probable primary and secondary infections from the supplementary file (Appendix 2) to the main text of the revised manuscript (Methods section – Plasma viremia measurement, dengue diagnostics, and clinical endpoints – page 6): “A probable primary infection was defined by two negative/equivocal IgG results on separate samples taken at least two days apart within the first ten days of symptom onset, with at least one sample during the convalescent phase (days 6-10). A probable secondary infection was defined by at least one positive IgG result during the first ten days. Cases without time-appropriate IgG results were classified as indeterminate.”

      Results

      Comment #5: It is interesting that DENV2 showed the slowest decline, but yet associated with overall lower viral loads during early illness and more severe disease outcomes. Could delayed clearance of the virus be associated with disease severity?

      We have expanded our analysis to investigate the relationship between the rate of viremia decline and clinical outcomes Utilizing a model of viremia kinetics with the assumption of a linear log-10 viremia decrease over time, we calculated the rate of decline for each patient. Our findings demonstrate that a faster rate of viremia decline is associated with a significantly reduced risk of severe clinical outcomes. We have incorporated this new analysis into the revised manuscript, providing further details in the “Statistical Analysis” section (page 7) and presenting the results on pages 15 and in Figure 6.

      Comment #6: Were there any differences in the kinetics of viral loads in children vs adults? I.e. children, young adults and older adults (>60 or 50?). Or were there insufficient numbers for this comparison?

      To address this point, we have modified the reported results of Figure 3-D by ages of 5, 10, 15, 25, and 50 years, represented children, adolescents, young adults, and older adults. Our analysis shows that viremia kinetics are largely similar across ages.

      Comment #7: Did any patients have comorbidities such as diabetes, obesity etc... if so, were there any differences in the viral loads?

      We appreciate your interest in the potential impact of comorbidities on viral loads. However, due to data limitations, we were unable to analyze this association. Only 6 patients had documented diabetes in the pooled dataset. In study C, 39 patients had obesity, whereas body mass index data is not available for studies A and B, although reports suggest a lower prevalence of obesity compared to study C.

      Comment #8: Were there any differences in the kinetics of the overall viral loads between DF/DHF/DSS or dengue with warning signs, without warning signs and severe dengue? Especially related to the time for viral clearance?

      Thank you for your suggestion. Such analysis reverses time and the causal direction, while we are more interested in looking forward. Therefore, instead of analyzing viremia kinetics based on disease severity, we have added an analysis to investigate the relationship between the rate of decline in viremia and clinical outcomes, as shown in the response to your comment #5. Results show that a more rapid rate of viremia decline is associated with a reduced risk of more severe clinical outcomes. In addition, in this study, we selected two clinical outcomes severe dengue and plasma leakage. The definitions are based on the WHO 2009 guidelines and standard endpoint definitions for dengue trials (Tomashek et al., 2018).

    1. Author Response

      The following is the authors’ response to the original reviews.

      We thank the reviewers and the editors for their careful reading of our manuscript and for the detailed and constructive feedback on our work. Please find attached the revised version of the manuscript. We performed an extensive revision of the manuscript to address the issues raised by the referees. We provide new analyses (regarding the response consistency and the neural complexity), added supplementary figures and edits to figures and texts. Based on the reviewers’ comments, we introduced several major changes to the manuscript.

      Most notably, we

      • added a limitation statement to emphasize the speculative nature of our interpretation of the timing of word processing/associative binding

      • emphasized the limitations of the control condition

      • added analyses on the interaction between memory retrieval after 12h versus 36h

      • clarified our definition of episodic memory

      • added detailed analyses of the “Feeling of having heard” responses and the confidence ratings

      We hope that the revised manuscript addresses the reviewers' comments to their satisfaction. We believe that the revised manuscript has been significantly improved owing to the feedback provided. Below you can find a point-by-point response to each reviewer comment in blue. We are looking forward that the revision will be published in the Journal eLife.

      Reviewer #1 (Public Review):

      The authors show that concurrently presenting foreign words and their translations during sleep leads to the ability to semantically categorize the foreign words above chance. Specifically, this procedure was successful when stimuli were delivered during slow oscillation troughs as opposed to peaks, which has been the focus of many recent investigations into the learning & memory functions of sleep. Finally, further analyses showed that larger and more prototypical slow oscillation troughs led to better categorization performance, which offers hints to others on how to improve or predict the efficacy of this intervention. The strength here is the novel behavioral finding and supporting physiological analyses, whereas the biggest weakness is the interpretation of the peak vs. trough effect.

      R1.1. Major importance:

      I believe the authors could attempt to address this question: What do the authors believe is the largest implication of this studies? How far can this technique be pushed, and how can it practically augment real-world learning?

      We revised the discussion to put more emphasis on possible practical applications of this study (lines 645-656).

      In our opinion, the strength of this paper is its contribution to the basic understanding of information processing during deep sleep, rather than its insights on how to augment realworld learning. Given the currently limited data on learning during sleep, we believe it would be premature to make strong claims about potential practical applications of sleep-learning. In addition, as pointed out in the discussion section, we do not know what adverse effects sleep-learning has on other sleep-related mechanisms such as memory consolidation.

      R1.2. Lines 155-7: How do the authors argue that the words fit well within the half-waves when the sounds lasted 540 ms and didn't necessarily start right at the beginning of each half-wave? This is a major point that should be discussed, as part of the down-state sound continues into the up-state. Looking at Figure 3A, it is clear that stimulus presented in the slow oscillation trough ends at a time that is solidly into the upstate, and would not neurolinguists argue that a lot of sound processing occurs after the end of the sound? It's not a problem for their findings, which is about when is the best time to start such a stimulus, but it's a problem for the interpretation. Additionally, the authors could include some discussion on whether possibly presenting shorter sounds would help to resolve the ambiguities here.

      The word pairs’ presentations lasted on average ~540 ms. Importantly, the word pairs’ onset was timed to occur 100 ms before the maximal amplitude of the targeted peaks/troughs.

      Therefore, most of a word’s sound pattern appeared during the negative going half-wave (about 350ms of 540ms). Importantly, Brodbeck and colleagues (2022) have shown that phonemes are continuously analyzed and interpreted with delays of about 50-200 ms, peaking at 100ms delay. These results suggest that word processing started just following the negative maximum of a trough and finished during the next peak. Our interpretation (e.g. line 520+) suggests that low-level auditory processing reaches the auditory cortex before the positive going half-wave. During the positive going half-wave the higher-level semantic networks appear the extract the presented word's meaning and associate the two simultaneously presented words. We clarified the time course regarding slow-wave phases and sound presentation in the manuscript (lines 158-164). Moreover, we added the limitation that we cannot know for sure when and in which slow-wave phase words were processed (lines 645-656). Future studies might want to look at shorter lasting stimuli to narrow down the timing of the word processing steps in relation to the sleep slow waves.

      R1.3. Medium importance:

      Throughout the paper, another concern relates to the term 'closed-loop'. It appears this term has been largely misused in the literature, and I believe the more appropriate term here is 'real-time' (Bergmann, 2018, Frontiers in Psychology; Antony et al., 2022, Journal of Sleep Research). For instance, if there were some sort of algorithm that assessed whether each individual word was successfully processed by the brain during sleep and then the delivery of words was subsequently changed, that could be more accurately labelled as 'closed-loop'.

      We acknowledge that the meaning of “closed-loop” in its narrowest sense is not fulfilled here. We believe that “slow oscillation phase-targeted, brain-state-dependent stimulation” is the most appropriate term to describe the applied procedure (BSDBS, Bergmann, 2018). We changed the wording in the manuscript to brain-state-dependent stimulation algorithm. Nevertheless, we would like to point out that the algorithm we developed and used (TOPOSO) is very similar to the algorithms often termed closed-loop algorithm in memory and sleep (e.g. Esfahani et al., 2023; Garcia-Molina et al., 2018; Ngo et al., 2013, for a comparison of TOPOSO to these techniques see Wunderlin et al., 2022 and for more information about TOPOSO see Ruch et al., 2022).

      R1.4. Figure 5 and corresponding analyses: Note that the two conditions end up with different sounds with likely different auditory complexities. That is, one word vs. two words simultaneously likely differ on some low-level acoustic characteristics, which could explain the physiological differences. Either the authors should address this via auditory analyses or it should be added as a limitation.

      This is correct, the two conditions differ on auditory complexities. Accordingly, we added this issue as another limitation of the study (line 651-653). We had decided for a single word control condition to ensure that no associative learning (between pseudowords) could take place in the control condition because this was the critical learning process in the experimental condition. We would like to point out that we observed significant differences in brain responses to the presentation of word-pairs (experimental condition) vs single pseudowords (control condition) in the Trough condition, but not the Peak condition. If indeed low-level acoustic characteristics explained the EEG differences occurring between the two conditions then one would expect these differences occurring in both the trough and the peak condition because earlier studies showed that low-level acoustic processing proceeds in both phases of slow waves (Andrillon et al., 2016; Batterink et al., 2016; Daltrozzo et al., 2012).

      R1.5. Line 562-7 (and elsewhere in the paper): "episodic" learning is referenced here and many times throughout the paper. But episodic learning is not what was enhanced here. Please be mindful of this wording, as it can be confusing otherwise.

      The reported unconscious learning of novel verbal associations during sleep may not match textbook definitions of episodic memory. However, the traditional definitions of episodic memory have long been criticised (e.g., Dew & Cabeza, 2011; Hannula et al., 2023; Henke, 2010; Reder et al., 2009; Shohamy & Turk-Browne, 2013).

      We stand by our claim that sleep-learning was of episodic nature. Here we use a computational definition of episodic memory (Cohen & Eichenbaum, 1993; Henke, 2010; O’Reilly et al., 2014; O’Reilly & Rudy, 2000) and not the traditional definition of episodic memory that ties episodic memory to wakefulness and conscious awareness (Gabrieli, 1998; Moscovitch, 2008; Schacter, 1998; Squire & Dede, 2015; Tulving, 2002). We revised the manuscript to clarify that and how our definition differs from traditional definitions. Please see reviewer comment R3.1 for a more extensive answer.

      Reviewer #2 (Public Review):

      In this project, Schmidig, Ruch and Henke examined whether word pairs that were presented during slow-wave sleep would leave a detectable memory trace 12 and 36 hours later. Such an effect was found, as participants showed a bias to categorize pseudowords according to a familiar word that they were paired with during slow-wave sleep. This behavior was not accompanied by any sign of conscious understanding of why the judgment was made, and so demonstrates that long-term memory can be formed even without conscious access to the presented content. Unconscious learning occurred when pairs were presented during troughs but not during peaks of slow-wave oscillations. Differences in brain responses to the two types of presentation schemes, and between word pairs that were later correctly- vs. incorrectly-judged, suggest a potential mechanism for how such deep-sleep learning can occur.

      The results are very interesting, and they are based on solid methods and analyses. Results largely support the authors' conclusions, but I felt that there were a few points in which conclusions were not entirely convincing:

      R2.1. As a control for the critical stimuli in this study, authors used a single pseudoword simultaneously played to both ears. This control condition (CC) differs from the experimental condition (EC) in a few dimensions, among them: amount of information provided, binaural coherence and word familiarity. These differences make it hard to conclude that the higher theta and spindle power observed for EC over CC trials indicate associative binding, as claimed in the paper. Alternative explanations can be made, for instance, that they reflect word recognition, as only EC contains familiar words.

      We agree. In the revised version of the manuscript, we emphasise this as a limitation of our study (line 653-656). Moreover, we understand that the differences between stimuli of the control and the experimental condition must not rely only on the associative binding of two words. We cautioned our interpretation of the findings.

      Interestingly, EC vs CC exhibits differences following trough- but not peak targeting (see R1.4). If indeed all the EC vs CC differences were unrelated to associative binding, we would expect the same EC vs CC differences when peaks were targeted. Hence, the selective EC vs CC differences in the trough condition suggest that the brain is more responsive to sound, information, word familiarity and word semantics during troughs, where we found successful learning, compared to peaks, where no learning occurred. Troughtargeted word pairs (EC) versus foreign words (CC) enhanced the theta power 336 at 500 ms following word onset and this theta enhancement correlated significantly with interindividual retrieval performance indicating that theta probably promoted associative learning during sleep. This correlation was insignificant for spindle power.

      R2.2. The entire set of EC pairs were tested both following 12 hours and following 36 hours. Exposure to the pairs during test #1 can be expected to have an effect over memory one day later, during test #2, and so differences between the tests could be at least partially driven by the additional activation and rehearsal of the material during test #1. Therefore, it is hard to draw conclusions regarding automatic memory reorganization between 12 and 36 hours after unconscious learning. Specifically, a claim is made regarding a third wave of plasticity, but we cannot be certain that the improvement found in the 36 hour test would have happened without test #1.

      We understand that the retrieval test at 12h may have had an impact on performance on the retrieval test at 36h. Practicing retrieval of newly formed memories is known to facilitate future retrieval of the same memories (e.g. Karpicke & Roediger, 2008). Hence, practicing the retrieval of sleep-formed memories during the retrieval test at 12h may have boosted performance at 36h.

      However, recent literature suggests that retrieval practice is only beneficial when corrective feedback is provided (Belardi et al., 2021; Metcalfe, 2017). In our study, we only presented the sleep-played pseudowords at test and participants received no feedback regarding the accuracy of their responses. Thus, a proper conscious re-encoding could not take place. Nevertheless, the retrieval at 12h may have altered performance at 36h in other ways. For example, it could have tagged the reactivated sleep-formed memories for enhanced consolidation during the next night (Rabinovich Orlandi et al., 2020; Wilhelm et al., 2011).

      We included a paragraph on the potential carry-over effects from retrieval at 12h on retrieval at 36h in the discussion section (line 489-496; line 657-659). Furthermore, we removed the arguments about the “third wave of plasticity”.

      R2.3. Authors claim that perceptual and conceptual processing during sleep led to increased neural complexity in troughs. However, neural complexity was not found to differ between EC and CC, nor between remembered and forgotten pairs. It is therefore not clear to me why the increased complexity that was found in troughs should be attributed to perceptual and conceptual word processing, as CC contains meaningless vowels. Moreover, from the evidence presented in this work at least, I am not sure there is room to infer causation - that the increase in HFD is driven by the stimuli - as there is no control analysis looking at HFD during troughs that did not contain stimulation.

      With the analysis of the HFD we would like to provide an additional perspective to the oscillation-based analysis. We checked whether the boundary condition of Peak and Trough targeting changes the overall complexity or information content in the EEG. Our goal was to assess the change in neural complexity (relative to a pre-stimulus baseline) following the successful vs unsuccessful encoding of word pairs during sleep.

      We acknowledge that a causal interpretation about HFD is not warranted, and we revised the manuscript accordingly. It was unexpected that we could not find the same results in the contrast of EC vs CC or correct vs incorrect word pairs. We suggest that our signal-to noise ratio might have been too weak.

      One could argue that the phase targeting alone (without stimulation) induces peak/trough differences in complexity. We cannot completely rule out this concern. But we tried to use the EEG that was not influenced by the ongoing slow-wave: the EEG 2000-500ms before the stimulus onset and 500-2000ms after the stimulus onset. Therefore, we excluded the 1s of the targeted slow-wave, hoping that most of the phase inherent complexity should have faded out (see Figure 2). We could not further extend the time window of analysis due to the minimal stimulus onset interval of 2s. Of course we cannot exclude that the targeted Trough impacted the following HFD. We clarified this in the manuscript (line 384-425).

      Furthermore, we did find a difference of neural complexity between the pre-stimulus baseline and the post-stimulus complexity in the Peak condition but not in the Trough condition (we now added this contrast to the manuscript, line 416-419). Hence, the change in neural complexity is a reaction to the interaction of the specific slow-wave phase with the processing of the word pairs. Even though these results cannot provide unambiguous, causal links, we think they can figure as an important start for other studies to decipher neural complexity during slow wave sleep.

      Reviewer #3 (Public Review):

      The study aims at creating novel episodic memories during slow wave sleep, that can be transferred in the awake state. To do so, participants were simultaneously presented during sleep both foreign words and their arbitrary translations in their language (one word in each ear), or as a control condition only the foreign word alone, binaurally. Stimuli were presented either at the trough or the peak of the slow oscillation using a closed-loop stimulation algorithm. To test for the creation of a flexible association during sleep, participant were then presented at wake with the foreign words alone and had (1) to decide whether they had the feeling of having heard that word before, (2) to attribute this word to one out of three possible conceptual categories (to which translations word actually belong), and (3) to rate their confidence about their decision.

      R3.1. The paper is well written, the protocol ingenious and the methods are robust. However, the results do not really add conceptually to a prior publication of this group showing the possibility to associate in slow wave sleep pairs of words denoting large or small object and non words, and then asking during ensuing wakefulness participant to categorise these non words to a "large" or "small" category. In both cases, the main finding is that this type of association can be formed during slow wave sleep if presented at the trough (versus the peak) of the slow oscillation. Crucially, whether these associations truly represent episodic memory formation during sleep, as claimed by the authors, is highly disputable as there is no control condition allowing to exclude the alternative, simpler hypothesis that mere perceptual associations between two elements (foreign word and translation) have been created and stored during sleep (which is already in itself an interesting finding). In this latter case, it would be only during the awake state when the foreign word is presented that its presentation would implicitly recall the associated translation, which in turn would "ignite" the associative/semantic association process eventually leading to the observed categorisation bias (i.e., foreign words tending to be put in the same conceptual category than their associated translation). In the absence of a dis-confirmation of this alternative and more economical hypothesis, and if we follow Ocam's razor assumption, the claim that there is episodic memory formation during sleep is speculative and unsupported, which is a serious limitation irrespective of the merits of the study. The title and interpretations should be toned down in this respect

      Our study conceptually adds to and extends the findings by Züst et al. (a) by highlighting the precise time-window or brain state during which sleep-learning is possible (e.g. slow-wave trough targeting), (b) by demonstrating the feasibility of associative learning during night sleep, and (c) by uncovering the longevity of sleep-formed memories.

      We acknowledge that the reported unconscious learning of novel verbal associations during sleep may not match textbook definitions of episodic memory. However, the traditional definitions of episodic memory have long been criticised (e.g, (Dew & Cabeza, 2011; Hannula et al., 2023; Henke, 2010; Reder et al., 2009; Shohamy & Turk-Browne, 2013). We stand by our claim that sleep-learning was of episodic nature. We use a computational definition of episodic memory (Cohen & Eichenbaum, 1993; Henke, 2010; O’Reilly et al., 2014; O’Reilly & Rudy, 2000), and not the traditional definition of episodic memory that ties episodic memory to wakefulness and conscious awareness (Gabrieli, 1998; Moscovitch, 2008; Schacter, 1998; Squire & Dede, 2015; Tulving, 2002). The core computational features of episodic memory are 1) rapid learning, 2) association formation, and 3) a compositional and flexible representation of the associations in long-term memory.

      Therefore, we revised the manuscript to emphasize how our definition differs from traditional definitions (line 64).

      For the current study, we designed a retrieval task that calls on the core computational features of episodic memory by assessing flexible retrieval of sleep-formed compositional word-word associations. Reviewer 3 suggests an alternative interpretation for the learning observed here: mere perceptual associations between foreign words and translations words are stored during sleep, and semantic associations are only inferred at retrieval testing during ensuing wakefulness. First, these processing steps would require the rapid soundsound associative encoding, long-term storage, and the flexible sound retrieval, which would still require hippocampal processing and computations in the episodic memory system. Second, this mechanism seems highly laborious and inefficient. The sound pattern of a word at 12 hours after learning triggers the reactivation of an associated sound pattern of another word. This sound pattern then elicits the activation of the translation words’ semantics leading to the selection of the correct superordinate semantic category at test.

      Overall, we believe that our pairwise-associative learning paradigm triggered a rapid conceptual-associative encoding process mediated by the hippocampus that provided for flexible representations of foreign and translation words in episodic memory. This study adds to the existing literature by examining specific boundary conditions of sleep-learning and demonstrates the longevity (at least 36 hours) of sleep-learned associations.

      Other remarks:

      R3.2. Lines 43-45 : the assumption that the sleeping brain decides whether external events can be disregarded, requires awakening or should be stored for further consideration in the waking state is dubious, and the supporting references date from a time (the 60') during which hypnopedia was investigated in badly controlled sleep conditions (leaving open the doubt about the possibility that it occurred during micro awakenings)

      We revised the manuscript to add timelier and better controlled studies that bolster the 60ties-born claim (line 40-51). Recently, it has been shown that the sleeping brain preferentially processes relevant information. For example the information conveyed by unfamiliar voices (Ameen et al., 2022), emotional content (Holeckova et al., 2006; Moyne et al., 2022), our own compared to others’ names (Blume et al., 2018).

      R3.3. 1st paragraph, lines 48-53 , the authors should be more specific about what kind of new associations and at which level they can be stored during sleep according to recent reports, as a wide variety of associations (mostly elementary levels) are shown in the cited references. Limitations in information processing during sleep should also be acknowledged.

      In the lines to which R3 refers, we cite an article (Ruch & Henke, 2020) in which two of the three authors of the current manuscript elaborate in detail what kind of associations can be stored during sleep. We revised these lines to more clearly present the current understanding of the potential and the limitations of sleep-learning (line 40-51). Although information processing during sleep is generally reduced (Andrillon et al., 2016), a variety of different kinds of associations can be stored, ranging from tone-odour to word-word association (Arzi et al., 2012, 2014; Koroma et al., 2022; Züst et al., 2019).

      R3.4. The authors ran their main behavioural analyses on delayed retrieval at 36h rather than 12h with the argument that retrieval performance was numerically larger at 36 than 12h but the difference was non-significant (line 181-183), and that effects were essentially similar. Looking at Figure 2, is the trough effect really significant at 12h ? In any case, the fact that it is (numerically) higher at 36 than 12h might suggest that the association created at the first 12h retrieval (considering the alternative hypothesis proposed above) has been reinforced by subsequent sleep.

      The Trough effect at 12h is not significant, as stated on line 185 (“Planned contrasts against chance level revealed that retrieval performance significantly exceeded chance at 36 hours only (P36hours = 0.036, P12hours = 0.094).”). It seems that our wording was not clear. Therefore, we refined the description of the behavioural analysis in the manuscript (lines 188-193).

      In brief, we report an omnibus ANOVA with a significant main effect of targeting type (Trough vs Peak, main effect Peak versus Trough: F(1,28) = 5.237, p = 0.030, d = 0.865). Because Trough-targeting led to significantly better memory retention than Peak-targeting, we computed a second ANOVA, solely including participants with through-targeted word-pair encoding. The memory retention in the Trough condition is above chance (MTrough = 39.11%, SD = 10.76; FIntercept (1,14) = 5.660, p = 0.032) and does not significantly differ between the 12h and 36h retrieval (FEncoding-Test Delay (1,14) = 1.308, p = 0.272). However, the retrieval performance at 36h numerically exceeds the performance at 12h and the direct comparison against chance reveals that the 36h but not the 12h retrieval was significant (P36hours = 0.036, P12hours = 0.094). Hence, we found no evidence for above chance performance at the 12h retrieval and focused on the retrieval after 36h in the EEG analysis.

      We agree with the reviewer that the subsequent sleep seems to have improved consolidation and subsequent retrieval. We assume that the reviewer suggests that participants merely formed perceptual associations during sleep and encoded episodic-like associations during testing at 12h (as pointed out in R 3.1). However, we believe that it is unlikely that the awake encoding of semantic associations during the 12h retrieval led to improved performance after 36h. We changed the discussion regarding the interaction between retrieval at 12h and 36h (line 505-512, also see R 2.2)

      R3.5> In the discussion section lines 419-427, the argument is somehow circular in claiming episodic memory mechanisms based on functional neuroanatomical elements that are not tested here, and the supporting studies conducted during sleep were in a different setting (e.g. TMR)

      Indeed, the TMR and animal studies are a different setting compared to the present study. We re-wrote this part and only focused on the findings of Züst and colleagues (2019), who examined hippocampal activity during the awake retrieval of sleep-formed memories (lines 472-482). Additionally, we would like to emphasise that our main reasoning is that the task requirements called upon the episodic memory system.

      R3.6. Supplementary Material: in the EEG data the differentiation between correct and incorrect ulterior classifications when presented at the peak of the slow oscillation is only significant in association with 36h delayed retrieval but not at 12h, how do the authors explain this lack of effect at 12 hour ?

      We assume that the reviewer refers to the TROUGH condition (word-pairs targeted at a slow-wave trough) and not as written to the peak condition. We argue that the retention performance at 12h is not significantly above chance (M12hours = 37.4%, P12hours = 0.094).

      Hence, the distinction between “correctly” and “incorrectly” categorised word pairs was not informative for the EEG analysis during sleep. For whatever reason the 12h retrieval was not significantly above chance, the less successful memory recall and thus a less balanced trial count makes recall accuracy a worse delineator for separating EEG trials then the recall performance after 36 hours.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Minor importance:

      Abstract: The opening framing is confusing here and in the introduction. Why frame the paper in the broadest terms about awakenings and threats from the environment when this is a paper about intersections between learning & memory and sleep? I do understand that there is an interesting point to be made about the counterintuitive behavioral findings with respect to sleep generally being perceived as a time when stimuli are blocked out, but this does not seem to me to be the broadest points or the way to start the paper. The authors should consider this but of course push back if they disagree.

      We understand the reviewer’s criticism but believe that this has more to do with personal preferences than with the scientific value or validity of our work. We believe that it is our duty as researchers to present our study in a broader context because this may help readers from various fields to understand why the work is relevant. To some readers, evidence for learning during sleep may seem trivial, to others, it may seem impossible or a weird but useless conundrum. By pointing out potential evolutionary benefits of the ability to acquire new information during sleep, we help the broad readership of eLife understand the relevance of this work.

      Lines 31-32: "Neural complexity" -> "neural measures of complexity" because it isn't clear what "neural complexity" means at this point in the abstract. Though, note my other point that I believe this analysis should be removed.

      To our understanding, “neural complexity” is a frequently used term in the field and yields more than 4000 entries on google scholar. Whereas ‘neural measures of complexity’ only finds 3 hits on google scholar [September 2023]. In order to link our study with other studies on neural complexity, we would like to keep this terminology. As an example, two recent publications using “neural complexity” are Lee et al. (2020) and Frohlich et al. (2022).

      Lines 42-43: The line of work on 'sentinel' modes would be good to cite here (e.g., Blume et al., 2017, Brain & Language).

      We added the suggested citation to the manuscript (lines 52).

      Lines 84-90: While I appreciate the authors desire to dig deep and try to piece this all together, this is far too speculative in my opinion. Please see my other points on the same topic.

      In this paragraph, we point out why both peaks and troughs are worth exploring for their contributions to sensory processing and learning during sleep. Peaks and troughs are contributing mutually to sleep-learning. Our speculations should inspire further work aimed at pinning down the benefits of peaks and troughs for sleep-learning. We clarified the purpose and speculative nature of our arguments in the revised version of the manuscript.

      Line 109: "outlasting" -> "lasting over" or "lasting >"

      We changed the wording accordingly.

      Line 111: I believe 'nonsense' is not the correct term here, and 'foreign' (again) would be preferred. Some may be offended to hear their foreign word regarded as 'nonsense'. However, please let me know if I have misunderstood.

      We would like to use the linguistic term “pseudoword” (aligned with reviewer 2’s comment) and we revised the manuscript accordingly.

      Figure 1A: "Enconding" -> "Encoding"

      Thank you for pointing this out.

      Lines 201-2: Were there interactions between confidence and correctness on the semantic categorization task? Were correct responses given with more confidence than incorrect ones? This would not necessarily be a problem for the authors' account, as there can of course be implicit influences on confidence (i.e., fluency).

      As is stated in the results section, confidence ratings did not differ significantly between correct and incorrect assignments (Trough condition: F(1,14) = 2.36, p = 0.15); Peak condition: F(1,14) = 0.48, p = 0.50).

      Line 236: "Nicknazar" -> "Niknazar"

      Thank you for pointing this out.

      Line 266: "profited" -> "benefited"

      We changed the wording accordingly.

      Lines 280-4: There seems some relevance here with Malerba et al. (2018) and her other papers to categorize slow oscillations.

      Diving into the details on how to best categorise slow oscillations is beyond the scope of this manuscript. Here, we build on work from the field of microstate analyses and use two measures to describe and quantify the targeted brain states: the topography of the electric field (i.e., the correlation of the electric field with an established template or “microstate”), and the field strength (global field power, GFP). While the topography of a quasi-stable electric field reflects activity in a specific neural network, the strength (GFP) of a field most likely mirrors the degree of activation (or inactivity) in the specific network. Here, we find that consistent targeting of a specific network state yielding a strong frontal negativity benefitted learning during sleep. For a more detailed explanation of the slow-wave phase targeting see (Ruch et al., 2022).

      Lines 343-6: Was it intentional to have 0.5 s (0.2-0.7 s) surrounding the analysis around 500 ms but only 0.4 s (0.8-1.2 s) surrounding the analysis around 1 s? Could the authors use the same size interval or justify having them be different?

      We apologise for the misleading phrasing and we clarified this in the revised manuscript. We applied the same procedure for the comparison of later correctly vs incorrectly classified pseudowords as we did for the comparison between EC and CC. Hence, we analysed the entire window from 0s to 2.5s with a cluster-based permutation approach. Contrary to the EC vs CC contrast, no cluster remained significant for the comparison of the subsequent memory effect. By mistake we reported the wrong time window. In the revised manuscript, the paragraph is corrected (lines 364-369).

      Line 356-entire HFD section: it is unclear what's gained by this analysis, as it could simply be another reflection of the state of the brain at the time of word presentation. In my opinion, the authors should remove this analysis and section, as it does not add clarity to other aspects of the paper.

      (If the authors keep the section) Line 361-2 - "Moreover, high HFD values have been associated with cognitive processing (Lau et al., 2021; Parbat & Chakraborty, 2021)." This statement is vague. Could the authors elaborate?

      Please see our answer to Reviewer 2 (2.3) for a more detailed explanation. In brief, we would like to keep the analysis with the broad time window of -2 to -0.5 and from 0.5 to 2 s.

      Lines 403-4: How was it determined that these neural networks mediated both conscious/unconscious processes? Perhaps the authors meant to make a different point, but the way it reads to me is that there is evidence that some neural networks are conscious and others are not and both forms engage in similar functions.

      We revised the manuscript to be more precise and clear: “The conscious and unconscious rapid encoding and flexible retrieval of novel relational memories was found to recruit the same or similar networks including the hippocampus(Henke et al., 2003; Schneider et al., 2021). This suggests that conscious and unconscious relational memories are processed by the same memory system.” (p. 22, top).

      Lines 433-41: Performance didn't actually significantly increase from 12 to 36 hours, so this is all too speculative in my opinion.

      We removed the speculative claim that performance may have increased from the retrieval at 12 hours to the retrieval at 36 hours.

      Line 534: "assisted by enhanced" -> "coincident with". It's unclear whether theta reflects successful processing as having occurred or whether it directly affects or assists with it.

      We have adjusted the wording to be more cautious, as suggested (line 588).

      Line 572-4: Rothschild et al. (2016) is relevant here.

      Unfortunately, we do not see the relevance of this article within the context of our work.

      Line 577 paragraph: The authors may consider adding a note on the importance of ethical considerations surrounding this form of 'inception'.

      We extended this part by adding ethical considerations to the discussion section (Stickgold et al., 2021, line 657).

      Line 1366: It would be better if the authors could eventually make their data publicly available. This is obviously not required, but I encourage the authors to consider it if they have not considered it already.

      In my opinion, the discussion is too long. I really appreciate the authors trying to figure out the set of precise times in which each level of neural processing might occur and how this intersects with their slow oscillation phase results. However, I found a lot of this too speculative, especially given that the sounds may bleed into parts of other phases of the slow oscillation. I do not believe this is a problem unique to these authors, as many investigators attempting to target certain phases in the target memory reactivation literature have faced the same problem, but I do believe the authors get ahead of the data here. In particular, there seems to be one paragraph in the discussion that is multiple pages long (p. 22-24). This paragraph I believe has too much detail and should be broken up regardless, as it is difficult for the reader to follow.

      Considering the recent literature, we believe this interpretation best explains the data. As argued earlier, we believe that a speculative interpretation of the reported phenomena can provide substantial added value because it inspires future experimental work. We have improved the manuscript by clearly distinguishing between data and interpretation. We do declare the speculative nature of some offered interpretations. We hope that these speculations, which are testable hypotheses (!), will eventually be confirmed or refuted experimentally.

      Reviewer #2 (Recommendations For The Authors):

      I very much enjoyed the paper and think it describes important findings. I have a few suggestions for improvement, and minor comments that caught my eye during reading:

      (1) I was missing an analysis of CC ERP, and its comparison to EC ERP.

      We added this analysis to the manuscript (line 299-301). The comparison of CC ERP with EC ERP did not yield any significant cluster for either the peak (cluster-level Monte Carlo p=0.54) or the trough (cluster-level Monte Carlo p>0.37). We assume that the noise level was too high for the identification of differences between CC and EC ERP.

      (2) Regarding my public review comment #2, some light can be shed on between-test effects, I believe, using an item-based analysis - looking at correlations between items' classifications in test #1 and test #2. The assumption seems to be that items that were correct in test #1 remained correct in test #2 while other new correct classifications were added, owing to the additional consolidation happening between the two tests. But that is an empirical question that can be easily tested. If no consistency in item classification is found, on the other hand, or if only consistency in correct classification is found, that would be interesting in itself. This item-based analysis can help tease away real memory from random correct classification. For instance, the subset of items that are consistently classified correctly could be regarded as non-fluke at higher confidence and used as the focus of subsequent-memory analysis instead of the ones that were correct only in test #2.

      Thanks, we re-analysed the data accordingly. Participants were consistent at choosing a specific object category for an item at 12 hours and 36 hours (consistency rate = 47% same category, chance level is 1/3). Moreover, the consistency rate did not differ between the Trough and the Peak condition (MTrough = 47.2%, MPeak = 47.0%, P = 0.98). The better retrieval performance in the Trough compared to the Peak condition after 36 hours is due to: A) if participants were correct at 12h, they chose again the correct answer at 36h (Trough: 20% & Peak: 14%). B) Following an incorrect answer at 12h, participants switched to another object category at 36h (Trough: 72%, Peak: 67%). C) If participants switched the object category following an incorrect answer at 12h, they switched more often to the correct category at 36h in the trough versus the peak condition (Trough: in 56% & Peak: 53%). Hence, the data support the reviewer’s assumption: items that were correct after 12 hours remained correct after 36 hours, while other new correct classifications were generated at 36h owing to the additional consolidation happening between the two tests. We added this finding to the manuscript (line 191-200, Figure S6):

      Author response image 1.

      As suggested, we re-analysed the ERP with respect to the subsequent memory effect. This time we computed four conditions according to the reviewer’s argument about consistently correctly classified pseudowords, presented in the figure below: ERP of trials that were correctly classified at 36h (blue), ERP of trials that were incorrectly classified at 36h (light blue), ERP of trials that were correctly classified twice (brown) and ERP of trials that were not correctly classified twice (orange, all trials that are not in brown). Please note that the two blue lines are reported in the manuscript and include all trials. The brown and the orange line take the consistency into account and together include as well all trials.

      Author response image 2.

      By excluding even more trials from the group of correct retrieval responses, the noise level gets high. Therefore, the difference between the twice-correct and the not-twice-correct trials is not significant (cluster-level Monte Carlo p > 0.27). Because the ERP of twice-correct trials seems very similar to the ERP of the trials correctly classified at 36h at frontal electrodes, we assume that our ERP effect is not driven by a few extreme subjects. Similarly, not-twicecorrect trials (orange) have a stronger frontal trough than the trials incorrectly classified at 36h (light blue).

      (3) In a similar vein, a subject-based analysis would be highly interesting. First and foremost, readers would benefit from seeing the lines that connect individual dots across the two tests in figures 2B and 2C. It is reasonable to expect that only a subset of participants were successful learners in this experiment. Finding them and analyzing their results separately could be revealing.

      We added a Figure S1 to the supplementary material, providing the pairing between performance of the 12h and the 36h retrieval.

      It is an interesting idea to look at successful learners alone. We computed the ERP of the subsequent memory effect for those participants, who had an above change retrieval accuracy at 36h. The result shows a similar effect as reported for all participants (frontal cluster ~0-0.3s). The p-value is only 0.08 because only 9 of 15 participants exhibited an above chance retrieval performance at 36 hours.

      Author response image 3.

      ERP effect of correct (blue) vs incorrect (light blue) pseudoword category assignment of participants with a retrieval performance above chance at 36h (SD as shades):

      We prefer to not include this data in the manuscript, but are happy to provide it here.

      (4) I wondered why the authors informed subjects of the task in advance (that they will be presented associations when they slept)? I imagine this may boost learning as compared to completely naïve subjects. Whether this is the reason or not, I think an explanation of why this was done is warranted, and a statement whether authors believe the manipulation would work otherwise. Also, the reader is left wondering why subjects were informed only about test #1 and not about test #2 (and when were they told about test #2).

      Subjects were informed of all the tests upfront. We apologize for the inconsistency in the manuscript and revised the method part. The explanation of why participants were informed is twofold: a) Participants had to sleep with in-ear headphones. We wanted to explain to participants why these are necessary and why they should not remove them. b) We hoped that participants would be expecting unconsciously sounds played during sleep, would process these sounds efficiently and would remain deeply asleep (no arousals).

      (5) FoHH is a binary yes/no question, and so may not have been sensitive enough to demonstrate small differences in familiarity. For comparison, the Perceptual Awareness Scale (Ramsøy & Overgaard, 2004) that is typically used in studies of unconscious processing is of a 4-point scale, and this allows to capture more nuanced effects such as partial consciousness and larger response biases. Regardless, it would be informative to have the FoHH numbers obtained in this study, and not just their comparison between conditions. Also, was familiarity of EC and CC pseudowords compared? One may wonder whether hearing the pseudowords clearly vs. in one ear alongside a familiar word would make the word slightly more familiar.

      We apologize for having simplified this part too much in the manuscript. Indeed, the FoHH is comparable to the PAS. We used a 4-point scale, where participants rated their feeling of whether they have heard the pseudoword during previous sleep. In the revised manuscript, we report the complete results (line 203-223). The FoHH did not differ between any of the suggested contrasts. Thus, for both the peak and the trough condition, the FoHH did not differ between sleep-played vs new; correct EC trials vs new; correct vs incorrect EC trials; EC vs CC trials. To illustrate the results, a figure of the FoHH has been added to the supplement (Figure S4).

      (6) Similarly, it would be good to report the numbers of the confidence ratings in the paper as well.

      In the revised manuscript, we extended the description of the confidence rating results. We added the descriptive statistics (line 224-236) and included a corresponding figure in the supplement (Figure S5).

      Minor/aesthetic comments:

      We implemented all the following suggestions.

      (1) I suggest using "pseudoword" or "nonsense word" instead of "foreign word", because "foreign word" typically means a real word from a different language. It is quite confusing when starting to read the paper.

      After reconsidering, we think that pseudoword is the appropriate linguistic term and have revised the manuscript accordingly.

      (2) Lines 1000-1001: "The required sample size of N = 30 was determined based on a previous sleep-learning study". I was missing a description of what study you are referring to.

      (3) I am not sure I understood the claim nor the rationale made in lines 414-417. Is the claim that pairs did not form one integrated engram? How do we know that? And why would having one engram not enable extracting the meaning from a visual-auditory presentation of the cue? The sentence needs some rewording and/or unpacking.

      (4) Were categories counterbalanced (i.e., did each subjects' EC contain 9 animal words, 9 tool words and 9 place words)?

      (5) Asterisks indicating significant effects are missing from Figure 4 and S2.

      (6) Fig1 legend: "Participants were played with pairs" is ungrammatical.

      (7) Line 1093: no need for a comma.

      (8) Line 1336: missing opening parenthesis

      (9) Line 430: "observe" instead of "observed".

      (10) Line 466: two dots instead of one..

      Reviewer #3 (Recommendations For The Authors):

      Methods: 2 separate ANOVAs are performed (lines 160-185), but would not it make more sense to combine both in one ? If kept separated then a correction for multiple comparisons might be needed (p/2 = 0.025)

      We computed an omnibus ANOVA. In a next step, we examined the effect in the significant targeting condition by computing another ANOVA. For further explanations, see reviewer comment 3.4.

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    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1

      As written in my public review I consider the science of this work to be high quality. I have some suggestions for the write-up though. As a general comment, I think that too much has been put into the appendices. In particular, the main text could contain more details about the model.

      We are pleased that this Reviewer feels that our work to be of “high quality”. We value the reviewer’s insightful suggestions and comments. Following this Reviewer’s suggestion we have moved certain sections to the main text.

      In what follows, we provide responses to each of the reviewer’s inquiry, and indicate the appropriate changes in the revised version.

      P2 -

      ϕ is introduce as packing fraction - on p3 it’s called cell density. Also it is not clear whether it is an area fraction or a cell number density. Please define properly and I would suggest sticking to one notion.

      ϕ is the cell packing fraction. In two dimensions (as is the case in our simulations) it is the area fraction. However, in order to stick to one general notation (independent of dimension) we use “packing fraction” to represent how densely the cells are packed. We changed it the revised manuscript to ensure uniformity.

      P3 -

      “which should and should slow down the overall dynamics” Typo?

      Corrected it in the revised manuscript.

      “One would intuitively expect that the ϕfree should decrease with increasing cell density” Please, define ϕfree

      ϕfree is defined in Eqn. 4. We ought to have defined it in the introduction.

      “When ϕ exceeds ϕS, the free area ϕfree saturates because the soft cells interpenetrate each other,” I suggest clearly distinguishing between biological cells and the agents (disks) used in the simulation. Please, also clarify What interpenetration of agents corresponds to in tissues?

      We have rewritten the sentence as, ”The simulations show that when..” Soft disks used in the simulations seem to be not an unrealistic model for biological cells. The small deformations noted in our model is not that different from the cells in the tissues. For visual reference, please see Author response image 1. In the left panel of the figure, a 2D snapshot of the experimental zebrafish tissue, displays the deformation of cells labeled as 1 and 2. Likewise, the right panel illustrates the extent to which such deformations are replicated in the simulation by allowing two cells to overlap (the white area in the right panel of Author response image 1 represents the interpenetration). In the revised manuscript, we have made the necessary change from “soft cells” to “soft disks.”

      Author response image 1.

      Snapshots of zebrafish tissue (left panel) (Ref. [14] main text) and model two dimensional tissue (right). In the right panel the white area represents the overlap and the black vertical line represents the intersection.

      “The facilitation mechanism, invoked in glassy systems [22] allows large cells to move with low mobility.” What is the facilitation mechanism?

      Facilitation, which is an intuitive idea, that refers to a mechanism by which cells in a in highly jammed environment can only move if the neighboring cells get out of the way. In our case (as shown in the text (Fig.3 (A) and Fig. 13 (A) & (B)) the smaller cells move faster almost independent of ϕ. When a small cell moves, it creates a void which could facilitate neighboring cells (including big ones) to move.

      “η (or relaxation time)” I suggest explaining the link between η and the relaxation time.

      First, in making this point on aging we only showed that the relaxation time is independent of the waiting time. In the revised manuscript we deleted η.

      Although not germane to this study, in the literature on glass transition, it is not uncommon to use relaxation time τα (as a proxy of viscosity η) to describe the dynamics. The relation between τα and η is given by

      where G∞ is the “infinite frequency” shear modulus, which holds in unjammed or in liquids. This relation suggests that τα is proportional to η, which is almost never satisfied in glass forming systems.

      P5 - “In addition, the elastic forces characterizing cell-cell interactions are soft, which implies that the cells can penetrate with rij − (Ri + Rj) < 0 when they are jammed.” Is this about the model or the biological tissue? Presumably the former, because real cells do not penetrate each other, right? What are rij, Ri and Rj?

      This is about the model. The cells are sufficiently soft that they can be deformed, which allows for modest interpenetration. Real cells exhibit similar behavior (see Fig. 1). In inset of Fig. 4 (b) rij is the center to center distance between cells with radii Ri and Rj. It is better to use the word overlap instead of penetrate, which is what we have done in the revised version.

      “we simulated a highly polydisperse system (PDs) in which the cell sizes vary by a factor of ∼ 8” Is it important to have a factor 8 - the zebra fish tissue presents a factor 5 − 6?

      This is an important question, which is difficult to answer using analytic theory. It does require simulations unfortunately. We do not know a priori the polysipersity value needed to observe saturation in η at high value of ϕ. However, we have shown that the a system with one type of cell (monodisperse) crystallizes. Furthermore, mixtures of two cell types do not show any saturation in η over the parameter range that we explored. A systematic simulation study is needed to explore a range of parameter values to determine the minimum PD, which would match the experimental findings.

      We performed 3D simulations to figure out if much less PD would yield saturation in η. Preliminary simulations in three dimensions with a lower value of PD (11.5% with a size variations by a factor of ≈ 2 ) exhibits saturation in the relaxation time. For comparison, the value of PD in the current work is ≈ 24% with a size variation by a factor of 8.

      P6 -

      “which is related to the Doolittle equation [26] for fluidity ( )” what is the Doolittle equation? Is it important here? Also: “VFT equation for cells”? Is it the same as given on p.2 - so nothing special for cells - or a different one?

      Historically, the Doolittle equation was proposed to describe the change in η in terms of free volume in the context polymer systems over 60 years ago. The physics in the polymers is very different from the soft models for cells considered here. Nevertheless, the equations has meaning in the context as well. The Doolittle (other names associated with similar equations are Ferry, Flory... ) equation is given by

      , where A and B are constants, V is the total volume and Vhc is the hardcore volume. Essentially, is the relative free volume. It can be shown that one can arrive at the VFT equation starting from the Doolittle equation.

      The VFT equation for cells is same as given in page 2, which we restate for completeness. Here, we introduce the apparent activation energy.

      “The stress-stress tensor” Why not simply stress tensor?

      We have corrected it.

      “shows qualitatively the same behavior as the estimate of viscosity (using dimensional arguments) made in experiments.” Where is this shown?

      The dependence of viscosity as a function ϕ is shown in Figure 1 (c).

      P7 -

      Fig 2A caption “dashed line” Maybe full line?

      This should be full line. It is fixed in in the revised manuscript.

      P8 -

      “a puzzling finding that is also reflected” Why is it puzzling?

      In figure 2 (C), it shows that the increase in the duration in the plateau of Fs(q,t) ceases when ϕ exceeds ≈ 0.90. This to us is puzzling (always a matter of perspective) because we expected that the duration of Fs(q,t) plateau to increase as a function of ϕ based on the VFT behavior for ϕ ≤ ϕS. As a result, we imagined that the relaxation time τα would continue to increase beyond ϕS. However, the simulations show that the relaxation time is essentially a constant for ϕ > 0.90, which implies that the soft disk system (our model for the tissue) is an unusual with behavior that has no counter part in the material world.

      “If the VFT relation continues” –“If the VFT relation continued”

      We have fixed it.

      First paragraph does not seem to be coherent

      What is RS (or Rs)?

      RS is the radius of the small cell. In the revised manuscript we have made this clear.

      P10 -

      Please, define the waiting time.

      The waiting time refers to the period between sample preparation and data collection either in experiments or in simulations. In an ergodic system, the properties should not depend on the waiting time provided provided it is large. In other words, after the system reaches thermal equilibrium, the waiting time tω should not have an impact on the properties of the system.

      “fully jammed” Please, define.

      The term “fully jammed” refers to a state in which the constituent particles in a system do not move. For example, it a hard sphere system at a packing fraction of approximately 0.84 is fully jammed, which implies there is wiggle room for a particle move without violating the excluded volume restriction. At this specific packing fraction, the hard sphere system undergoes a jamming transition, resulting in the particles becoming completely immobile. The nonconfluent tissue modeled here is not fully jammed.

      P11 -

      Fig.4 it is hard to see that the width of P(hij) increases with ϕ.

      Please see Author response image 2 with a less number of curves for a better visualization. We have replaced this figure in the revised version.

      Author response image 2.

      Probability of overlap (hij) between two cells, P(hij), for various ϕ values.

      “Thus, even if the cells are highly jammed at ϕ ≈ ϕS, free area is available because of an increase in the overlap between cells.” This conclusion seems premature at this point.

      The Referee is correct. This is shown in Fig. 5. We amended the ends of the sentence to reflect this observation.

      P12 -

      “as is the case when the extent of compression increases” extent of compression = density?

      This is correct. Extent of compression corresponds to the packing fraction or the density.

      “This effect is expected to occur with high probability at ϕS and beyond,” Why? What is special about ϕS.

      To achieve high packing fractions beyond a certain value of ϕ soft cells have, which would occur at a certain value ϕS. In the system studied here, ϕ ≈ 0.90 = ϕS. Note that ϕS could be altered by changing the system parameters.

      P15 -

      “local equilibrium” In a thermodynamic sense? There is also cell migration, so thermodynamic equilibrium does not seem to be appropriate.

      This is an important point. The observation that equilibrium concepts hold in what is manifestly a non-equilibrium system is a surprise. It is referred in a thermodynamic sense. We agree with the reviewer because of cell division (in Ref. [14] main text), cell death, thermodynamic equilibrium does not seems to be appropriate. This is exactly the point we raise in the introduction. However, considering the timescale of cell division and death it appears that there may be a local steady state, which we we call a “local equilibrium”. As a consequence phase transition ideas and Green-Kubo relations are applicable. Indeed, a surprise in the conclusion in Ref. [14] is that in the zebrafish morphogenesis equilibrium description seems adequate.

      “number of near neighbor cells that is in contact with the ith cell. The jth cell is the nearest neighbor of the ith cell, if hij > 0” A neighbour cell or the nearest neihbor?

      A neighbour cell is accurate.

      P16 -

      “In our model there is no dynamics with only systematic forces because the temperature is zero.” What is a systematic force? I do not understand the sentence.

      Systematic force between two cells is defined in Eqn. 5 in the main text. Because temperature is not a relevant variable in our model, we want to emphasize that in the absence of self propulsion, the cells would not move at all.

      Reviewer #2

      Major comments:

      A/ Role of size polydispersity

      In the text, and also in the methods (Appendix A), the authors mention that they need large polydispersity of particle sizes to explain the viscous plateau, as the dynamics of small vs large cells are ”dramatically different” (Appendix G). They simulate a system where cell sizes vary by a factor 8, mentioning this is typical in tissues, but I found this quite surprising - this would be heterogeneities in cell volume of 500, many orders of magnitude above what has been measured in tissues. As far as I’m aware, divisions are quite symmetric and synchronous in early vertebrate embryogenesis, so volume variations are expected to be very small (similarly in epithelial tissues, where jamming has been looked at extensively, I’m not aware of examples with ratio of 8 between cell diameters). One question I had is that when the authors look at ”small polydispersity”, there are 50 − 50 mixtures. Would small polydispersity with continuous distributions change this picture? Could they take their current simulations but smoothly change the ratio of polydispersity from 8 to 0 to see exactly how much they need to explain viscosity plateauing, and at which point is the transition?

      We thank the reviewer for raising this important question, which was also a concern for Reviewer #1. The value of polydispersity (PD) required to observe such behavior is not known a priori even within the simple model used. We selected a PD value, with a size variation of a factor of 8, guided in part by the experiment (projection onto 2D) shown in Figure 1(B) and Figure 6(D). We also showed that the monodisperse system crystallizes, and the binary system do not show signs of saturation within the explored range of parameter space and ϕ. This suggests that a certain degree of size dispersity is necessary to obtain saturation in η.

      As discussed in Appendix B, the binary system is characterized by the variables , where RB and RS represent the radii of the big and small cells, respectively, and the packing fraction ϕ. By more fully exploring the parameter space encompassing λ and ϕ than we did, it maybe possible, as the Referee suggests, that a system with two different cell sizes would yield the experimentally observed dependence of η on ϕ.

      As part of an answer to the Reviewer #1 on a the same issue, we mentioned results of preliminary simulations in three dimensions with reduced levels of polydispersity, and discovered that at lower levels of polydispersity (variation in size by a factor of ≈ 2 and polydispersity value 11.50%), the relaxation time does saturate beyond a certain packing fraction (see Fig. 3). We have not established if η, the key quantity of interest, would exhibit a similar behavior in 3D.

      Author response image 3.

      (A) τα as a function of ϕ for 11% polydispersity with size variation by a factor of ∼ 2 in the three dimensional system. (B) Same as (A) except polydispersity value is 24% and a size variation by a factor of ∼ 8.

      B/ Role of fluctuations/self-propulsion in this system, and relationship to recent findings

      “A priori it is unclear why equilibrium concepts should hold in zebrafish morphogenesis, which one would expect is controlled by non-equilibrium processes such as self-propulsion, growth and cell division. ”

      This is raised as a key paradox, but is not very clear to me in the context raised by the authors. In particular, they use self-propulsion as a source of activity and explain the evolution of viscosity but a facilitation process involving re-arrangements/motility. But I don’t think self-propulsion has been argued to play a role in zebrafish blastoderm - Ref 14 argues that this is effectively a zerotemperature phenomenon and that cell motility/rearrangements do not show any correlation with viscosity. So this part of the model assumption was not clear to me in relationship with the proposed experimental system. Active noise has been proposed to play key roles in other systems, including motility-driven and tension fluctuation-driven unjamming (among many others Bi et al, PRX, 2016, Mitchel et al, Nat Comm, 2020, Pinheiro et al, Nat Phys, 2022 as well as Kim & Campas, Nat Physics, 2021) - maybe this is somewhere where the author model could fit? In Kim & Campas, Nat Phys, 2021 in particular, the authors develop simulations of non-confluent tissues with noise, that seems to bear some resemblance to the model developed here, so it would be important to discuss the similarities and distinctions (usually I think polydispersity is not considered indeed). In general, the authors look here at a particle based model, but cells have adhesions with well-defined contact angles, so there is a question of the cross-over between their findings and the large body of recent literature on active foams/vertex models (which are not really discussed there).

      We appreciate the lengthy comment here, and there is a lot to unpack. We also thank the referee for the references, some of which we did not know about earlier.

      The primary objective of our study is to determine the simplest minimal model that would explain the experimentally observed dependence of viscosity in zebrafish blastoderm tissue as ϕ is increased beyond a certain packing fraction during morphogenesis. In Reference 14, the authors analyzed the data using the framework of rigidity percolation theory and presented evidence of a genuine equilibrium phase transition. Consequently, one would that expect zebrafish blastoderm tissue to be in equilibrium, which is surprising from many perspectives. However, since the tissue is a growing system involving numerous cell divisions and cell death, it is not immediately evident whether the assumption of equilibrium is valid. Indeed, the same problem arises when considering the glass transition where rapid cooling drives the system out of equilibrium. Nevertheless, heat capacity and η are often analyzed using the notion of equilibrium. Hence, considering this issue within the context of our research appears to be reasonable.

      To the best of our knowledge, the authors in Ref. 14 did not provide an explanation for the η behavior. The focus was, which was excellent and is the basis on which we initiated this study, was on the use of rigidity percolation theory to explain the results. Indeed, they performed an experiment by mildly reducing myosin II activity, which apparently affects cell motility. The quantitative effect was not reported.

      We did not impose any requirement of cell rearrangements etc in the model. There is essentially one variable, free area available, that explains the η dependence on ϕ. It is possible that one can come up with other zero temperature models that could also explain the data. To the best of our knowledge, it has not been proposed.

      It would be interesting to set our model in the context of other models that the referee points out. This would be an interesting research topic to explore. The only comment we would like to make is that it is unclear how vertex model for confluent tissues could explain the viscosity data.

      C/ Calculation of the effective shear viscosity

      The authors calculate viscosity from a Green-Kubo relation, although it would be good to clarify at which time scale (and maybe even shear amplitude) they expect this to be valid. These kinds of model would be expected to show plastic rearrangements for large deformations for instance, could the authors simulate realistic rheological deformations (e.g. Kim & Campas, 2021 applying external shear on the simulations) to see how much this matches both their expectation and the data?

      Once it is established that there is local equilibrium (as implied by the use of phase transition ideas to analyse the experimental data in Ref. 14), it is natural to use the Green-Kubo relation to calculate transport properties. Hence, for our purposes, it is valid for all time scales and amplitude. The Reviewer also wonders if the model could be used to simulate response to shear in order to probe rheological properties. There is no conceptual issue here and indeed this is an excellent suggestion that we intend to pursue in the future.

      D/ Role of cell adhesion

      The authors consider soft elastic disks of different sizes but unless I missed it, there is no adhesion being considered. This is expected to play a key role in jamming and multicellular mechanics, so I think the authors should either look at what this changes in their simulations, or at least discuss why they are neglecting it. One reason I’m asking is that it’s not totally clear to me that the ”free space” picture, coming from the fact that cells can interpenetrate in their model would hold in a model of deformable cells adhering to each other with constant volume (leading to more equilibration of deformations it would seem?).

      The referee raises another question regarding the lack of adhesion in the simulations. As pointed out before, we were trying to create a minimal model to account for the experimental observations for η upon changing the packing fraction. Thus, we a coarse-grained model where we considered poly-disperse cells with elastic interactions which recapitulates the experimental observations. The referee is correct that adhesion plays a role in jammed systems, and examination of how it would affect is an aspect that would be interesting to consider in the future. We hasten to add that even systems without attractive adhesion-type interaction become jammed. In principle, in many-body systems, the parameter space is large and one needs to carefully determine which parameter is important for the problem at hand. Therefore, in the first pass we did not find the need to consider the role of adhesion.

      Minor comments:

      The writing could be condensed in some places, with some details being moved to SI (for instance, section E on ageing is very short and seem more suited for supplements, or at least not as an independent section, note that the figure numbering also jumps to Fig. 9 there, although it’s Fig. 3 just before and Fig. 9 just after - re-ordering into main and supporting figures would be clearer.

      We thank the Reviewer for this recommendation. The ageing section, although is short, it does provide a line of evidence that equilibrium approaches could be valid. We have modestly expanded the section by moving Appendix D to the main text, a general suggestion made by Referee 1. We have tried to be consistent in the numbering of figures in the revision.

      Reviewer #3

      I am very much in favor of the manuscript in its present form - I only suggest commenting (in the manuscript) on the issue described below.

      Motivated by the fact that the experimental system consists of living, motile cells the authors use an active particle model (eq. 6) with stochastic selfpropulsion as the only source for noise (zero-temperature). It would be useful to elaborate briefly how important this stochastic self-propulsion is for the emergent rheological properties of the system (as summarized above): would these properties also be present in the “passive” version of the same model at “non-vanishing” temperature, and if not, why? Or analogously in a “passive” version which is “shaken”, reminiscent of shaken granular matter? To clarify these issues would relate this study to (or discriminate it from) passive, but complex, liquids or granular matter.

      We appreciate the reviewer’s positive feedback on our work. The reviewer has raised an important question concerning our model in which self-propulsion serves as the source of noise. Without self-propulsion, the system would come to a stationary state after reaching mechanical equilibrium. As mentioned in Eqn. (6) (in the main text), we can define a characteristic time . It is possible that scaling the time t by τ would not alter the results.

      The second question raised by the reviewer is also important. A passive version of the model would be to consider Eq. 6 in our article, and instead of using activity use the standard stochastic force. The resulting force would be at a finite temperature,. The coefficient of noise (a diffusion term) would be related to γi through the Fluctuation dissipation theorem(FDT)). Such a system of equations cannot ne mapped to Eq. 6 in which µ and γi are independently varied. It is unlikely that such a model, incorporating a “non-vanishing” temperature, would not result in the observed dependence of η on ϕ for the following reason. The passive model represents a polydisperse system, which would form a glass with η increasing with volume fraction, following the VFT law, as has been demonstrated in the glass transition literature for harmonic glasses. The other proposal whether the shaken version version would explain the experiments is also interesting. These are worth pursuing in future studies.

    1. Author response:

      The following is the authors’ response to the current reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      Zanetti et al use biophysical and cellular assays to investigate the interaction of the birnavirus VP3 protein with the early endosome lipid PI3P. The major novel finding is that association of the VP3 protein with an anionic lipid (PI3P) appears to be important for viral replication, as evidenced through a cellular assay on FFUs.

      Strengths:

      Support previously published claims that VP3 associates with early endosome membrane, potentially through binding to PI3P. The finding that mutating a single residue (R200) critically affects early endosome binding and that the same mutation also inhibits viral replication suggests a very important role for this binding in the viral life cycle.

      Weaknesses:

      The manuscript is relatively narrowly focused: the specifics of the bi-molecular interaction between the VP3 of an unusual avian virus and a host cell lipid (PIP3). Further, the affinity of this interaction is low and its specificity relative to other PIPs is not tested, leading to questions about whether VP3-PI3P binding is relevant.

      Regarding the manuscript’s focus, we challenge the notion that studying a single bi-molecular interaction makes the scope of the paper overly narrow. This interaction—between VP3 and PI3P—plays a critical role in the replication of the birnavirus, which is the central theme of our work. Moreover, identifying and understanding such distinct interactions is a fundamental aspect of molecular virology, as they shed light on the precise mechanisms that viruses exploit to hijack the host cell machinery. Consequently, far from being narrowly focused, we believe our work contributes to the broader understanding of host-pathogen interactions.

      As for the low affinity of the VP3-PI3P interaction, we argue that this is not a limitation but rather a biologically relevant feature. As discussed in the manuscript, the moderate strength of this interaction is likely critical for regulating the turnover rate of VP3/endosomal PI3P complexes, which in turn could optimize viral replication efficiency. A stronger affinity might trap VP3 on the endosomal membrane, whereas weaker interactions might reduce its ability to efficiently target PI3P. Thus, the observed affinity may reflect a fine-tuned balance that supports the viral life cycle.

      With regard to specificity, we emphasize that in the context of the paper, we refer to biological specificity, which is not necessarily the same as chemical specificity. The binding of PI3P to early endosomes is “biologically” preconditioned by the distribution of PI3P within the cell. PI3P is predominantly localized in endosomal membranes, which “biologically precludes” interference from other PIPs due to their distinct cellular distributions. Moreover, while early endosomes also contain other anionic lipids, our work demonstrates that among these, PI3P plays a distinctive role in VP3 binding. This highlights its functional relevance in the context of early endosome dynamics.

      Reviewer #3 (Public review):

      Summary:

      Infectious bursal disease virus (IBDV) is a birnavirus and an important avian pathogen. Interestingly, IBDV appears to be a unique dsRNA virus that uses early endosomes for RNA replication that is more common for +ssRNA viruses such as for example SARS-CoV-2. This work builds on previous studies showing that IBDV VP3 interacts with PIP3 during virus replication. The authors provide further biophysical evidence for the interaction and map the interacting domain on VP3.

      Strengths:

      Detailed characterization of the interaction between VP3 and PIP3 identified R200D mutation as critical for the interaction. Cryo-EM data show that VP3 leads to membrane deformation.

      We thank the reviewer for the feedback.


      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      Zanetti et al. use biophysical and cellular assays to investigate the interaction of the birnavirus VP3 protein with the early endosome lipid PI3P. The major novel finding is that the association of the VP3 protein with an anionic lipid (PI3P) appears to be important for viral replication, as evidenced through a cellular assay on FFUs.

      Strengths:

      Supports previously published claims that VP3 may associate with early endosomes and bind to PI3P-containing membranes. The claim that mutating a single residue (R<sub>200</sub>) critically affects early endosome binding and that the same mutation also inhibits viral replication suggests a very important role for this binding in the viral life cycle.

      Weaknesses:

      The manuscript is relatively narrowly focused: one bimolecular interaction between a host cell lipid and one protein of an unusual avian virus (VP3-PI3P). Aspects of this interaction have been described previously. Additional data would strengthen claims about the specificity and some technical issues should be addressed. Many of the core claims would benefit from additional experimental support to improve consistency.

      Indeed, our group has previously described aspects of the VP3-PI3P interaction, as indicated in lines 100-105 from the manuscript. In this manuscript, however, we present biochemical and biophysical details that have not been reported before about how VP3 connects with early endosomes, showing that it interacts directly with the PI3P. Additionally, we have now identified a critical residue in VP3—the R<sub>200</sub>—for binding to PI3P and its key role in the viral life cycle. Furthermore, the molecular dynamics simulations helped us come up with a mechanism for VP3 to connect with PI3P in early endosomes. This constitutes a big step forward in our understanding of how these "non-canonical" viruses replicate.

      We have now incorporated new experimental and simulation data; and have carefully revised the manuscript in accordance with the reviewers’ recommendations. We are confident that these improvements have further strengthened the manuscript.

      Reviewer #2 (Public Review):

      Summary:

      Birnavirus replication factories form alongside early endosomes (EEs) in the host cell cytoplasm. Previous work from the Delgui lab has shown that the VP3 protein of the birnavirus strain infectious bursal disease virus (IBDV) interacts with phosphatidylinositol-3-phosphate (PI3P) within the EE membrane (Gimenez et al., 2018, 2020). Here, Zanetti et al. extend this previous work by biochemically mapping the specific determinants within IBDV VP3 that are required for PI3P binding in vitro, and they employ in silico simulations to propose a biophysical model for VP3-PI3P interactions.

      Strengths:

      The manuscript is generally well-written, and much of the data is rigorous and solid. The results provide deep knowledge into how birnaviruses might nucleate factories in association with EEs. The combination of approaches (biochemical, imaging, and computational) employed to investigate VP3-PI3P interactions is deemed a strength.

      Weaknesses:

      (1) Concerns about the sources, sizes, and amounts of recombinant proteins used for co-flotation: Figures 1A, 1B, 1G, and 4A show the results of co-flotation experiments in which recombinant proteins (control His-FYVE v. either full length or mutant His VP3) were either found to be associated with membranes (top) or non-associated (bottom). However, in some experiments, the total amounts of protein in the top + bottom fractions do not appear to be consistent in control v. experimental conditions. For instance, the Figure 4A western blot of His-2xFYVE following co-flotation with PI3P+ membranes shows almost no detectable protein in either top or bottom fractions.

      Liposome-based methods, such as the co-flotation assay, are well-established and widely regarded as the preferred approach for studying protein-phosphoinositide interactions. However, this approach is rather qualitative, as density gradient separation reveals whether the protein is located in the top fractions (bound to liposomes) or the bottom fractions (unbound). Our quantifications aim to demonstrate differences in the bound fraction between liposome populations with and without PI3P. Given the setting of the co-flotation assays, each protein-liposome system [2xFYVE-PI3P(-), 2xFYVE-PI3P(+), VP3-PI3P(-), or VP3-PI3P(+)] is assessed separately, and even if the experimental conditions are homogeneous, it is not surprising to observe differences in the protein level between different experiments. Indeed, the revised version of the manuscript includes membranes with more similar band intensities, as depicted in the new versions of Figures 1 and 4.

      Reading the paper, it was difficult to understand which source of protein was used for each experiment (i.e., E. coli or baculovirus-expressed), and this information is contradicted in several places (see lines 358-359 v. 383-384). Also, both the control protein and the His-VP3-FL proteins show up as several bands in the western blots, but they don't appear to be consistent with the sizes of the proteins stated on lines 383-384. For example, line 383 states that His-VP3-FL is ~43 kDa, but the blots show triplet bands that are all below the 35 kDa marker (Figures 1B and 1G). Mass spectrometry information is shown in the supplemental data (describing the different bands for His-VP3-FL) but this is not mentioned in the actual manuscript, causing confusion. Finally, the results appear to differ throughout the paper (see Figures 1B v. 1G and 1A v. 4A).

      Thank you for pointing out these potentially confusing points in the previous version of the manuscript. Indeed, we were able to produce recombinant VP3 from the two sources: Baculovirus and Escherichia coli. Initially, we opted for the baculovirus system, based on evidence from previous studies showing that it was suitable for ectopic expression of VP3. Subsequently, we successfully produced VP3 using Escherichia coli. On the other side, the fusion proteins His-2xFYVE and GST-2xFYVE were only produced in the prokaryotic system, also following previous reported evidence. We confirmed that VP3, produced in either system, exhibited similar behavior in our co-flotation and bio-layer interferometry (BLI) assays. However, the results of co-flotation and BLI assays shown in Figs. 1 and 4 were performed using the His-VP3 FL, His-VP3 FL R<sub>200</sub>D and His-VP3 FL DCt fusion proteins produced from the corresponding baculoviruses. We have clarified this in the revised version of our manuscript. Please, see lines 430-432.

      Additionally, we have made clear that the His-VP3 FL protein purification yielded four distinct bands, and we confirmed their VP3 identity through mass spectrometry in the revised version of the manuscript. Please, see lines 123-124.

      Finally, we replaced membranes for Figs. 4A and 1G (left panel) with those with more similar band intensities. Please, see the new version of Figures 1 and 4.

      (2) Possible "other" effects of the R<sub>200</sub>D mutation on the VP3 protein. The authors performed mutagenesis to identify which residues within patch 2 on VP3 are important for association with PI3P. They found that a VP3 mutant with an engineered R<sub>200</sub>D change (i) did not associate with PI3P membranes in co-floatation assays, and (ii) did not co-localize with EE markers in transfected cells. Moreover, this mutation resulted in the loss of IBDV viability in reverse genetics studies. The authors interpret these results to indicate that this residue is important for "mediating VP3-PI3P interaction" (line 211) and that this interaction is essential for viral replication. However, it seems possible that this mutation abrogated other aspects of VP3 function (e.g., dimerization or other protein/RNA interactions) aside from or in addition to PI3P binding. Such possibilities are not mentioned by the authors.

      The arginine amino acid at position 200 of VP3 is not located in any of the protein regions associated with its other known functions: VP3 has a dimerization domain located in the second helical domain, where different amino acids across the three helices form a total of 81 interprotomeric close contacts; however, R<sub>200</sub> is not involved in these contacts (Structure. 2008 Jan;16(1):29-37, doi:10.1016/j.str.2007.10.023); VP3 has an oligomerization domain mapped within the 42 C-terminal residues of the polypeptide, i.e., the segment of the protein composed by the residues at positions 216-257 (J Virol. 2003 Jun;77(11):6438–6449, doi: 10.1128/jvi.77.11.6438-6449.2003); VP3’s ability to bind RNA is facilitated by a region of positively-charged amino acids, identified as P1, which includes K<sub>99</sub>, R<sub>102</sub>, K<sub>105</sub>, and K<sub>106</sub> (PLoS One. 2012;7(9):e45957, doi: 10.1371/journal.pone.0045957). Furthermore, our findings indicate that the R<sub>200</sub>D mutant retains a folding pattern similar to the wild-type protein, as shown in Figure 4B. All these lead us to conclude that the loss of replication capacity of R<sub>200</sub>D viruses results from impaired, or even loss of, VP3-PI3P interaction.

      We agree with the reviewer that this is an important point and have accordingly addressed it in the Discussion section of the revised manuscript. Please, see lines 333-346.

      (3) Interpretations from computational simulations. The authors performed computational simulations on the VP3 structure to infer how the protein might interact with membranes. Such computational approaches are powerful hypothesis-generating tools. However, additional biochemical evidence beyond what is presented would be required to support the authors' claims that they "unveiled a two-stage modular mechanism" for VP3-PI3P interactions (see lines 55-59). Moreover, given the biochemical data presented for R<sub>200</sub>D VP3, it was surprising that the authors did not perform computational simulations on this mutant. The inclusion of such an experiment would help tie together the in vitro and in silico data and strengthen the manuscript.

      We acknowledge that the wording used in the previous version of the manuscript may have overstated the "unveiling" of the two-stage binding mechanism of VP3. Our intention was to propose a potential mechanism, that is consistent both with the biophysical experiments and the molecular simulations. In the revised version of the manuscript, we have tempered these claims and framed them more appropriately.

      Regarding the simulations for the R<sub>200</sub>D VP3 mutant, these simulations were indeed performed and included in the original manuscript as part of Figure S14 in the Supplementary Information. However, we realize that this was not sufficiently emphasized in the main text, an oversight on our part. We have now revised the manuscript to highlight these results more clearly.

      Additionally, to further strengthen the connection between experimental and simulation trends, we have now included a new figure in the Supplementary Information (Figure S15). This figure depicts the binding energy of VP3 ΔNt and two of its mutants, VP3 ΔNt R<sub>200</sub>D and VP3 ΔNt P2 Mut, as a function of salt concentration. The results show that as the number of positively charged residues in VP3 is systematically reduced, the binding of the protein to the membrane becomes weaker. The effect is more pronounced at lower salt concentrations, which highlights the weight of electrostatic forces on the adsorption of VP3 on negatively charged membranes. Please, see Supplementary Information (Figure S15).

      Reviewer #3 (Public Review):

      Summary:

      Infectious bursal disease virus (IBDV) is a birnavirus and an important avian pathogen. Interestingly, IBDV appears to be a unique dsRNA virus that uses early endosomes for RNA replication that is more common for +ssRNA viruses such as for example SARS-CoV-2.

      This work builds on previous studies showing that IBDV VP3 interacts with PIP3 during virus replication. The authors provide further biophysical evidence for the interaction and map the interacting domain on VP3.

      Strengths:

      Detailed characterization of the interaction between VP3 and PIP3 identified R<sub>200</sub>D mutation as critical for the interaction. Cryo-EM data show that VP3 leads to membrane deformation.

      Weaknesses:

      The work does not directly show that the identified R<sub>200</sub> residues are directly involved in VP3-early endosome recruitment during infection. The majority of work is done with transfected VP3 protein (or in vitro) and not in virus-infected cells. Additional controls such as the use of PIP3 antagonizing drugs in infected cells together with a colocalization study of VP3 with early endosomes would strengthen the study.

      In addition, it would be advisable to include a control for cryo-EM using liposomes that do not contain PIP3 but are incubated with HIS-VP3-FL. This would allow ruling out any unspecific binding that might not be detected on WB.

      The authors also do not propose how their findings could be translated into drug development that could be applied to protect poultry during an outbreak. The title of the manuscript is broad and would improve with rewording so that it captures what the authors achieved.

      In previous works from our group, we demonstrated the crucial role of the VP3 P2 region in targeting the early endosomal membranes and for viral replication, including the use of PI3K inhibitors to deplete PI3P, showing that both the control RFP-2xFYVE and VP3 lost their ability to associate with the early endosomal membranes and reduces the production of an infective viral progeny (J Virol. 2018 May 14;92(11):e01964-17, doi: 10.1128/jvi.01964-17; J Virol. 2021 Feb 24;95(6):e02313-20, doi: 10.1128/jvi.02313-20). In the present work, to further characterize the role of R<sub>200</sub> in binding to early endosomes and for viral replication, we show that: i) the transfected VP3 R<sub>200</sub>D protein loses the ability to bind to early endosomes in immunofluorescence assays (Figure 2E and Figure 3); ii) the recombinant His-VP3 FL R<sub>200</sub>D protein loses the ability to bind to liposomes PI3P(+) in co-flotation assays (Figure 4A); and, iii) the mutant virus R<sub>200</sub>D loses replication capacity (Figure 4C).

      Regarding the cryo-electron microscopy observation, we verified that there is no binding of gold particles to liposomes PI3P(-) when they are incubated solely with the gold-particle reagent, or when they are pre-incubated with the gold-particle reagent with either His-2xFYVE or His-VP3 FL. We have incorporated a new panel in Figure 1C showing a representative image of these results. Please, see lines 143-144 in the revised version of our manuscript and our revised version of Figure 1C.

      We have replaced the title of the manuscript by a more specific one. Thus, our current is " On the Role of VP3-PI3P Interaction in Birnavirus Endosomal Membrane Targeting".

      Regarding the question of how our findings could be translated into drug development, indeed, VP3-PI3P binding constitutes a good potential target for drugs that counteract infectious bursal disease. However, we did not mention this idea in the manuscript, first because it is somewhat speculative and second because infected farms do not implement any specific treatment. The control is based on vaccination.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Critical issues to address:

      (1) The citations in the important paragraph on lines 101-5 are not identifiable. These references are described as showing that VP3 is associated with EEs via P2 and PI3P, which is basically what this paper also shows. The significant advance here is unclear.

      We apologize for this mistake. These citations are identifiable in the revised version of the manuscript (lines 100-105). As mentioned before, in this manuscript we present biochemical and biophysical details that have not been reported before about how VP3 connects with early endosomes, showing that it interacts directly with the PI3P. Additionally, we have now identified a critical residue in VP3 P2—the R<sub>200</sub>—for binding to PI3P and its key role in the viral life cycle. Furthermore, the molecular dynamics simulations helped us come up with a mechanism for VP3 to connect with PI3P in early endosomes. This constitutes a big step forward in our understanding of how these "non-canonical" viruses replicate.

      (2) Even if all the claims were to be clearly supported through major revamping, authors should make the significance of knowing that this protein binds to early endosomes through PI3P more clear?

      Thank you for the recommendation, which aligns with a similar suggestion from Reviewer #2. In response, we have revised the significance paragraph to emphasize the mechanistic aspects of our findings. Please refer to lines 62–67 in the revised manuscript.

      (3) Flotation assay shows binding, but this is not quantitative. An estimate of a Kd would be useful. BLI experiments suggest that half of the binding disappears at 0.5 mM, implying a very low binding affinity.

      We agree with the reviewer that our biophysical and molecular simulation results suggest a specific but weak interaction of VP3 with PI3P bearing membranes. Indeed, our previous version of the manuscript already contained a paragraph in this regard. Please, see lines 323-332 in the revised version of the manuscript.

      From a biological point of view, a low binding affinity of VP3 for the endosomes may constitute an advantage for the virus, in the sense that its traffic through the endosomes may be short lived during its infectious cycle. Indeed, VP3 has been demonstrated to be a "multifunctional" protein involved in several processes of the viral cycle (detailed in lines 84-90), and in our laboratory we have shown that the Golgi complex and the endoplasmic reticulum are organelles where further viral maturation occurs. Taking all of this into account, a high binding affinity of VP3 for endosomes could result in the protein becoming trapped on the endosomal membrane, potentially hindering the progression of the viral infection within the host cell.

      (4) There are some major internal inconsistencies in the data: Figure 1B quantifies VP3-FL T/B ratio ~4 (which appears inconsistent with the image shown, as the T lanes are much lighter than the B) whereas apparently the same experiment in Figure 1G shows it to be ~0.6. With the error bars shown, these results would appear dramatically different from each other, despite supposedly measuring the same thing. The same issue with the FYVE domain between Figures 1A and 4A.

      We appreciate the reviewer’s comment, as it made us aware of an error in Figure 1B. There, the mean value for the VP3-FL Ts/B ratio is 3.0786 for liposomes PI3P(+) and 0.4553 for liposomes PI3P(-) (Please, see the new bar graph on Figure 1B). This may have occurred because, due to the significance of these experiments, we performed multiple rounds of quantification in search of the most suitable procedure for our observations, leading to a mix-up of data sets. Anyway, it’s possible that these corrected values still seem inconsistent given that T lanes are much lighter than the B for VP3-FL in the image shown. Flotation assays are quite labor-intensive and, at least in our experience, yield fairly variable results in terms of quantification. To illustrate this point, the following image shows the three experiments conducted for Figure 1B, where it is clear that, despite producing visually distinct images, all three yielded the same qualitative observation. For Figure 1B, we chose to present the results from experiment #2. However, all three experiments contributed to a Ts/B ratio of 3.0786 for His-VP3 FL, which may account for the apparent inconsistency when focusing solely on the image in Figure 1B.

      Author response image 1.

      We acknowledge that, at first glance, some inconsistencies may appear in the results, and we have thoroughly discussed the best approach for quantification. However, we believe the observations are robust in terms of reproducibility and reliable, as the VP3-PI3P interaction was consistently validated by comparison with liposomes lacking PI3P, where no binding was observed.

      (5) Comparison of PA (or PI) to PI3P at the same molar concentration is inappropriate because PI3P has at least double charge. The more interesting question about specificity would be whether PI45P2 (or even better PI35P2) binds or not. Without this comparison, no claim to specificity can be made.

      For us, "specificity" refers to the requirement of a phosphoinositide in the endosomal membrane for VP3 binding. Phosphoinositides have a conspicuous distribution among cellular compartments, and knowing that VP3 associates with early endosomes, our specificity assays aimed to demonstrate that PI3P is strictly required for the binding of VP3. To validate this, we used PI (lacking the phosphate group) and PA (lacking the inositol group) despite their similar charges. In spite of the potential chemical interactions between VP3 and various phosphoinositides, our experimental results suggest that the virus specifically targets endosomal membranes by binding to PI3P, a phosphoinositide present only in early endosomes.

      That said, we agree with the reviewer’s point and consider adequate to smooth our specificity claim in the manuscript as follows: “We observed that His-VP3 FL bound to liposomes PI3P(+), but not to liposomes PA or PI, reinforcing the notion that a phosphoinositide is required since neither a single negative charge nor an inositol ring are sufficient to promote VP3 binding to liposomes (SI Appendix, Fig. S2)” (Lines 136-139).

      (6) In the EM images, many of the gold beads are inside the vesicles. How do they cross the membranes?

      They do not cross the membrane. Our EM images are two-dimensional projections, meaning that the gold particles located on top or beneath the plane appear to be inside the liposome.

      (7) Images in Figure 2D are very low quality and do not show the claimed difference between any of the mutants. All red signal looks basically cytosolic in all images. It is not clear what criteria were used for the quantification in Figure 2E. The same issue is in Figure 2E, where no red WT puncta are observable at all. Consistently, there is minimal colocalization in the quantification in Figure S3, which appears to show no significant differences between any of the mutants, in direct contradiction to the claim in the manuscript.

      We apologize for the poor quality of panels in Figures 2D and 2E. Unfortunately, this was due to the PDF conversion of the original files. Please, check the high-quality version of Figure 2. As suggested by reviewers #2 and #3, we have incorporated zoomed panels, which help the reader to better see the differences in distribution.

      As mentioned in the legend to Figure 2, the quantification in Figure 2D was performed by calculating the percentage of cells with punctuated fluorescent red signal (showing VP3 distribution) for each protein. The data were then normalized to the P2 WT protein, which is the VP3 wild type.

      Figure S3 certainly shows a tendency which positively correlates with the results shown in Figure 3, where we used FYVE to detect PI3P on endosomes and observed significantly less co-localization when VP3 bears its P2 region all reversed or lacks the R<sub>200</sub>

      (8) The only significant differences in colocalization are in Figure 3B, whose images look rather dramatically different from the rest of the manuscript, leading to some concern about repeatability. Also, it is unclear how colocalization is quantified, but this number typically cannot be above 1. Finally, it is unclear what is being colocalized here: with three fluorescent components, there are 3 possible binary colocalizations and an additional ternary colocalization.

      We thank the reviewer for pointing out those aspects related to Figure 3. The experiments performed for Figure 3B were conducted by a collaborator abroad handling the purified GST-2xFYVE, which recognizes endogenous PI3P, while the rest of the cell biology experiments were conducted in our laboratory in Argentina. This is why they are aesthetically different. We have made an effort in homogenizing the way they look for the revised version of the manuscript. Please, see the new version of Figure 3.

      For quantification of the co-localization of VP3 and EGFP-2xFYVE (Figure 3A), the Manders M2 coefficient was calculated out of approximately 30 cells per construct and experiment. The M2 coefficient, which reflects co-localization of signals, is defined as the ratio of the total intensities of magenta image pixels for which the intensity in the blue channel is above zero to the total intensity in the magenta channel. JACoP plugin was utilized to determine M2. For VP3 puncta co-distributing with EEA1 and GST-FYVE (Figure 3B), the number of puncta co-distributing for the three signals was manually determined out of approximately 40 cells per construct and experiment per 200 µm². We understand that Manders or Pearson coefficients, typically ranging between 0 and 1, is the most commonly used method to quantify co-localizing immunofluorescent signals; however, this “manual” method has been used and validated in previous published manuscripts [Figures 3 and 7 from (Morel et al., 2013); Figure 7 in (Khaldoun et al., 2014); and Figure 4 in (Boukhalfa et al., 2021)].

      (9) SegA/B plasmids are not introduced, and it is not clear what these are or how this assay is meant to work. Where are the foci forming units in the images of Figure 4C? How does this inform on replication? Again, this assay is not quantitative, which is essential here: does the R<sub>200</sub> mutant completely kill activity (whatever that is here)? Or reduce it somewhat?

      We apologize for the missing information. Segments A and B are basically the components of the IBDV reverse genetics system. For their construction, we used a modification of the system described by Qi and coworkers (Qi et al., 2007), in which the full length sequences of the IBDV RNA segments A and B, flanked by a hammerhead ribozyme at the 5’-end and the hepatitis delta ribozyme at the 3’-end, were expressed under the control of an RNA polymerase II promoter within the plasmids pCAGEN.Hmz.SegA.Hdz (SegA) and pCAGEN.Hmz.SegB.Hdz (SegB). For this specific experiment we generated a third plasmid, pCAGEN.Hmz.SegA.R<sub>200</sub>D.Hdz (SegA.R<sub>200</sub>D), harboring a mutant version of segment A cDNA containing the R<sub>200</sub>D substitution. Then, QM7 cells were transfected with the plasmids SegA, SegB or Seg.R<sub>200</sub>D alone (as controls) or with a mixture of plasmids SegA+SegB (wild type situation) or SegA.R<sub>200</sub>D+SegB (mutant situation). At 8 h post transfection (p.t.), when the new viruses have been able to assemble starting from the two segments of RNA, the cells were recovered and re-plated onto fresh non-transfected cells for revealing the presence (or not) of infective viruses. At 72 h post-plating, the generation of foci forming units (FFUs) was revealed by Coomassie staining. As expected, single-transfections of SegA, SegB or Seg.R<sub>200</sub>D did not produce FFUs and, as shown in Figure 4C, the transfection of SegA+SegB produced detectable FFUs (the three circles in the upper panel) while no FFUs (the three circles in the lower panel) were detected after the transfection of SegA.R<sub>200</sub>D+SegB (Figure 4C). This system is quantitative, since the FFUs detected 72 h post-plating are quantifiable by simply counting the FFUs. However, since no FFUs were detected after the transfection of SegA.R<sub>200</sub>D+SegB, evidenced by a complete monolayer of cells stained blue, we did not find any sense in quantifying. In turn, this drastic observation indicates that viruses bearing the VP3 R<sub>200</sub>D mutation lose their replication ability (is “dead”), demonstrating its crucial role in the infectious cycle.

      We agree with the reviewer that a better explanation was needed in the manuscript, so we have incorporated a paragraph in the results section of our revised version of the manuscript (lines 209-219).

      (10) Why pH 8 for simulation?

      The Molecular Theory calculations were performed at pH 8 for consistency with the experimental conditions used in our biophysical assays. These biophysical experiments were also performed at pH 8, following the conditions established in the original study where VP3 was first purified for crystallization (DOI: 10.1016/j.str.2007.10.023).

      (11) There is minimal evidence for the sequential binding model described in the abstract. The simulations do not resolve this model, nor is truly specific PI3P binding shown.

      In response to your concerns, we would like to emphasize that our simulations provide robust evidence supporting the two more important aspects of the sequential binding model: 1) Membrane Approach: In all simulations, VP3 consistently approaches the membrane via its positively charged C-terminal (Ct) region. 2) PI3P Recruitment: Once the protein is positioned flat on the membrane surface, PI3P is unequivocally recruited to the positively charged P2 region. The enrichment of PI3P in the proximity to the protein is clearly observed and has been quantified via radial distribution functions, as detailed in the manuscript and supplementary material.

      While we understand that opinions may vary on the sufficiency of the data to fully validate the model, we believe the results offer meaningful insights into the proposed binding mechanism. That said, we acknowledge that the specificity of VP3 binding may not be restricted solely to PI3P but could extend to phosphoinositides in general. To address this, we performed the new set of co-flotation experiments which are discussed in detail in our response to point 5.

      Reviewer #2 (Recommendations For The Authors):

      (1) Line 1: Consider changing the title to better reflect the mostly biochemical and computational data presented in the paper: "Mechanism of Birnavirus VP3 Interactions with PI3P-Containing Membranes". There are no data to show hijacking by a virus presented.

      We appreciate this recommendation, which was also expressed by reviewer #3. Additionally, we thank for the suggested title. We have replaced the title of the manuscript by a more specific one. Thus, our current is

      "On the Role of VP3-PI3P Interaction in Birnavirus Endosomal Membrane Targeting".

      (2) Lines 53-54 and throughout: Consider rephrasing "demonstrate" to "validate" to give credit to Gimenez et al., 2018, 2022 for discovery.

      Thanks for the suggestion. We have followed it accordingly. Please see line 52 from our revised version of the manuscript.

      (3) Line 56-59 and throughout: Consider tempering and rephrasing these conclusions that are based mostly on computational data. For example, change "unveil" to "suggest" or another term.

      We have now modified the wording throughout the manuscript.

      (4) The abstract could also emphasize that this study sought to map the resides within VP3 that are important for P13P interaction.

      Thanks for the suggestion. We have followed it accordingly. Please, see lines 53-55 from our revised version of the manuscript.

      (5) Lines 63-69: This Significance paragraph seems tangential. The findings in this paper aren't at all related to the evolutionary link between birnaviruses and positive-strand RNA viruses. The significance of the work for me lies in the deep biochemical/biophysical insights into how a viral protein interacts with membranes to nucleate its replication factory.

      We have re-written the significance paragraph highlighting the mechanistic aspect of our findings. Please, see lines 62-67 in our revised version of the manuscript.

      (6) Line 74: Please define "IDBV" abbreviation.

      We apologize for the missing information. We have defined the IBDV abbreviation in our revised version of the manuscript (please, see line 73).

      (7) Line 88: Please define "pVP2" abbreviation.

      We apologize for the missing information. We have defined the pVP2 abbreviation in our revised version of the manuscript (please, see line 87).

      (8) Lines 101-105: Please change references (8, 9, 10) to be consistent with the rest of the manuscript (names, year).

      We apologize for this mistake. These citations are identifiable and consistent in the revised version of the manuscript (lines 100-105).

      (9) Line 125: For a broad audience, consider explaining that recombinant His-2xFYVE domain is known to exhibit PI3P-binding specificity and was used as a positive control.

      Thanks for the recommendation. We have incorporated a brief explanation supporting the use of His-2xFYVE as a positive control in our revised version of the manuscript. Please, see lines 127-129.

      (10) Lines 167-171: The quantitative data in Figure S3 shows that there was a non-significant co-localization coefficient of the R<sub>200</sub>D mutant. For transparency, this should be stated in the Results section when referenced.

      We agree with this recommendation. We have clearly mentioned it in the revised version of the manuscript. Please, see lines 177-179. Also, we have referred this fact when introducing the assays performed using the purified GST-2xFYVE, shown in Figure 3. Please, see lines 182-184.

      (11) Lines 156 and 173: These Results section titles have nearly identical wording. Consider rephrasing to make it distinct.

      We agree with the reviewer’s observation. In fact, we sought to do it on purpose as for them to be a “wordplay”, but we understand that could result in a awkwarded redundancy. So, in the revised version of the manuscript, both titles are:

      Role of VP3 P2 in the association of VP3 with the EE membrane (line 163).

      VP3 P2 mediates VP3-PI3P association to EE membranes (line 182).

      (12) Line 194: Is it alternatively possible that the R<sub>200</sub>D mutant lost its capacity to dimerize, and that in turn impacted PI3P interaction?

      Thanks for the relevant question. VP3 was crystallized and its structure reported in (Casañas et al., 2008) (DOI: 10.1016/j.str.2007.10.023). In that report, the authors showed that the two VP3 subunits associate in a symmetrical manner by using the crystallographic two-fold axes. Each subunit contributes with its 30% of the total surface to form the dimer, with 81 interprotomeric close contacts, including polar bonds and van der Waals contacts. The authors identified the group of residues involved in these interactions, among which the R<sub>200</sub> is not included. Addittionally, the authors determined that the interface of the VP3 dimer in crystals is biologically meaningful (not due to the crystal packing).

      To confirm that the lack of binding was not due to misfolding of the mutant, we compared the circular dichroism spectra of mutant and wild type proteins, without detecting significant differences (shown in Figure 4B). These observations do not exclude the possibility mentioned by the reviewer, but constitute solid evidences, we believe, to validate our observations.

      (13) Lines 231-243: Consider changing verbs to past tense (i.e., change "is" to "was") for the purposes of consistency and tempering.

      Thanks for the recommendation, we have proceeded as suggested. Please, see lines 249-262 in our revised version of the manuscript.

      (14) Lines 306-308: Is there any information about whether it is free VP3 (v. VP3 complexed in RNP) that binds to membrane? I am just trying to wrap my head around how these factories form during infection.

      Thanks for pointing this out. We first observed that in infected cell, all the components of the RNPs [VP3, VP1 (the viral polymerase) and the dsRNA] were associated to the endosomes. Since by this moment it had been already elucidated that VP3 "wrapped" de dsRNA within the RNPs (Luque et al., 2009) (DOI: 10.1016/j.jmb.2008.11.029), we sought that VP3 was most probably leading this association. We answered yes after studying its distribution, also endosome-associated, when ectopically expressed. These results were published in (Delgui et al., 2013) (DOI: 10.1128/jvi.03152-12).

      Thus, in our subsequent studies, we have worked with both, the infection-derived or the ectopically expressed VP3, to advance in elucidating the mechanism by which VP3 hijacks the endosomal membranes and its relevancy for viral replication, reported in this current manuscript.

      (15) Lines 320-334: This last paragraph discussing evolutionary links between birnaviruses and positive-strand RNA viruses seems tangential and distracting. Consider reducing or removing.

      Thanks for highlighting this aspect of our work. Maybe difficult to follow, but in the context of other evidences reported for the Birnaviridae family of viruses, we strongly believe that there is an evolutionary aspect in having observed that these dsRNA viruses replicate associated to membranous organelles, a hallmark of +RNA viruses. However, we agree with the reviewer that this might not be the main point of our manuscript, so we reduced this paragraph accordingly. Please, see lines 358-367 in our revised version of the manuscript.

      (16) Lines 322-324: Change "RdRd" to "RdRp" if keeping paragraph.

      Thanks. We have corrected this mistake in lines 360 and 361.

      (17) Figures 1A, 1B, and throughout: Again, please check and explain protein sizes and amounts. This would improve the clarity of the manuscript.

      All our flotation assays were performed using 1 mM concentration of purified protein in a final volume of 100 mL (mentioned in M&M section). The complete fusion protein His-2xFYVE (shown in Figs. 1A and 4A left panel) is 954 base pairs-long and contains 317 residues (~35 kDa). The complete fusion protein His-VP3 FL (shown in Figs. 1B and 1G left panel) is 861 base pairs-long and contains 286 residues (~32 kDa). The complete fusion protein His-VP3 DCt (shown in Fig. 1G, right panel) is 753 bp-long and contains 250 residues (~28 kDa). The complete fusion protein His-VP3 FL R<sub>200</sub>D (shown in Fig. 4A right panel) is 861 bp-long and contains 286 residues (~32 kDa). This latter information was incorporated in our revised version of the manuscript. Please, see lines 381-382, 396-397 and 399-400 from the M&M section, and lines in the corresponding figure legends.

      (18) Figures 1B and 1G show different results for PI3P(+) membranes. I see protein associated with the top fraction in 1B, but I don't see any such result in 1G.

      As already mentioned, liposome-based methods, such as the co-flotation assay, are well-established and widely regarded as the preferred approach for studying protein-phosphoinositide interactions. However, this approach is rather qualitative, as density gradient separation reveals whether the protein is located in the top fractions (bound to liposomes) or the bottom fractions (unbound). Our quantifications aim to demonstrate differences in the bound fraction between liposome populations with and without PI3P. Given the setting of the co-flotation assays, each protein-liposome system [2xFYVE-PI3P(-), 2xFYVE-PI3P(+), VP3-PI3P(-), or VP3-PI3P(+)] is assessed separately, and even if the conditions are homogeneous, it’s not surprising to observe differences in the protein level between each one. Indeed, the revised version of the manuscript include a membrane for Figure 1G, were His-VP3 FL associated with the top fraction is more clear. Please, see the new version of Figure 1G.

      (19) Figure 1C: Please include cryo-EM images of the liposome PI3P(-) variables to assess the visual differences of the liposomal membranes under these conditions.

      Thanks for the recommendation. it has been verified that there is no binding of gold particles to liposomes PI3P(-) when they are incubated solely with the gold-particle reagent, or when they are pre-incubated with the gold-particle reagent with either His-2xFYVE or His-VP3 FL. We have incorporated a new panel in Figure 1C showing a representative image of these results. Please, see lines 143-144 in the revised version of our manuscript and our revised version of Figure 1C.

      (20) Figures 2D, 2E, and 3A: The puncta are not obvious in these images. Consider adding Zoomed panels.

      We apologize for this aspect of Figures 2 and 3, also highlighted by reviewer #1. We believe that this was due to the low quality resulting from the PDF conversion of the original files. For Figure 3A, we have homogenized its aspect with those from 3B. Regarding Figure 2, we have incorporated zoomed panels, as suggested. Please, see the revised versions of both Figures.

      (21) Figure 4A: There is almost no protein in the control PI3P(+) blot. Why? Also, the quantification shows no significant membrane association for this control. This result is different from Figure 1A and very confusing (and concerning).

      We apologize for the confusion. We replaced membranes for Figure 4A (left panel) with more similar band intensities to that shown in Figure 1A. Please, visit our new version of Figure 4. The quantification shows no significant difference in the association to liposomes PI3P(+) compared to liposomes PI3P(+); it’s true and this is due to, once more, the intrinsically lack of homogeneity of co-flotation assays. However, this one shown in Figure 4A is a redundant control (has been shown in Figure 1A) and we believe that the new membrane is qualitative eloquent.

      Reviewer #3 (Recommendations For The Authors):

      (1) Overall, the title is general and does not summarize the study. I recommend making the title more specific. The current title is better suited for a review as opposed to a research article. This study provides further biophysical details on the interaction. This should be reflected in the title.

      We appreciate this recommendation, which was also expressed by reviewer #2. We have chosen a new title for the manuscript: “On the Role of VP3-PI3P Interaction in Birnavirus Endosomal Membrane Targeting”.

      (2) References 8,9,10 are important but they were not correctly cited in the work, this should be corrected.

      We apologize for this mistake. These citations are identifiable in our revised version of the manuscript. See lines 100-105.

      (3) Flotation experiments and cryo-EM convincingly show that VP3 binds to membranes in a PIP3-dependent manner. However, it would be advisable to include a control for cryo-EM using liposomes that do not contain PIP3 but are incubated with HIS-VP3-FL. This would allow us to rule out any unspecific binding that might not be detected on WB.

      Thanks for the advice, also given by reviewer #2. We confirmed that no gold particles were bound on liposomes PI3P(-) even when incubated with the Ni-NTA reagent alone or pre-incubated with His-2xFYVE of His-VP3 FL. We have incorporated a new panel to Figure 1C showing a representative image of these results. Please, see lines 143-144 in the revised version of the manuscript and see the revised version of Figure 1C.

      (4) It is not clear what is the difference between WB in B and WB in G. Figure 1G seems to show the same experiment as shown in B, is this a repetition? In both cases, plots next to WBs show quantification with bars, do they represent STD or SEM? Legend A mentions significance p>0.01 (**) but the plot shows ***. This should be corrected.

      The Western blot membrane in Figure 1B shows the result of co-flotation assay using His-VP3 FL protein, while the Western blot membrane in Figure 1G (left panel) shows a co-flotation assay using His-VP3 FL protein as a positive control. In another words, in 1B the His-VP3 FL protein is the question while in 1G (left panel) it’s the co-flotation positive control for His-VP3 DCt. The bar plots next to Western blots show quantification, the mean and the STD. Thanks for highlighting this inconsistency. We have now corrected it on the revised version of the manuscript.

      (5) It would be useful to indicate positively charged residues and P2 on the AF2 predicted structure in Fig 1.

      These are indicated in panels A and B of Figure 2.

      (6) Figure 1 legend: Change cryo-fixated liposomes to cryo-fixation or better to "liposomes were vitrified". There is a missing "o" in the cry-fixation in the methods section.

      Thanks for the recommendation. We have modified Figure 1. legend to "liposomes were vitrified" (line 758), and fixed the word cryo-fixation in the methods section (line 512).

      (7) Figure 2B. It is not clear how the punctated phenotype was unbiasedly characterized (Figure 2D). I see no difference in the representative images. Magnified images should be shown. This should be measured as colocalization (Pearson's and Mander's coefficient) with an early endosomal marker Rab5. Perhaps this figure could be consolidated with Figure 3.

      Unfortunately, the lack of clarity in Figure 2D was due to the PDF conversion of the original files. Please, observe the high-quality original image above in response to reviewer #1, where we have additionally included zoomed panels, as also suggested by the other reviewers. For quantification of the co-localization of VP3 and either EGFP-Rab5 orEGFP-2xFYVE, the Manders M2 coefficient was calculated out of approximately 30 cells per construct and experiment and were shown in Figure S3 and Figure 3A, respectively, in our previous version of the manuscript.

      (8) PIP3 antagonist drugs should be used to further substantiate the results. If PIP3 specifically recruits VP3, this interaction should be abolished in the presence of PIP3 drug and VP3 should show a diffused signal.

      We certainly agree with this point. These experiments were performed and the results were reported in (Gimenez et al., 2020). Briefly, in that work, we blocked the synthesis of PI3P in QM7 cells in a stable cell line overexpressing VP3, QM7-VP3, with either the pan-PI3Kinase (PI3K) inhibitor LY294002, or the specific class III PI3K Vps34 inhibitor Vps34-IN1. In Figure 4, we showed that 98% of the cells treated with these inhibitors had the biosensor GFP-2FYVE dissociated from EEs, evidencing the depletion of PI3P in EEs (Figure 4A). In QM7-VP3 cells, we showed that the depletion of PI3P by either inhibitor caused the dissociation of VP3 from EEs and the disaggregation of VP3 puncta toward a cytosolic distribution (Figure 4B). Moreover, since this observation was crucial for our hipothesis, these results were further confirmed with an alternative strategy to deplete PI3P in EEs. We employed a system to inducibly hydrolyze endosomal PI3P through rapamycin-induced recruitment of the PI3P-myotubularin 1 (MTM1) to endosomes in cells expressing MTM1 fused to the FK506 binding protein (FKBP) and the rapamycin-binding domain fused to Rab5, using the fluorescent proteins mCherry-FKBP-MTM1 and iRFP-FRB-Rab5, as described in (Hammond et al., 2014). These results, shown in Figures 5, 6 and 7 in the same manuscript, further reinforced the notion that PI3P mediates and is necessary for the association of VP3 protein with EEs.

      (9) The authors should show the localization of VP3 in IBDV-infected cells and treat cells with PI3P antagonists. The fact that R<sub>200</sub> is not rescued does not necessarily mean that this is because of the failed interaction with PI3P. As the authors wrote in the discussion: VP3 bears multiple essential roles during the viral life cycle (line 305).

      Indeed, after having confirmed that the VP3 lost its localization associated to the endosomes after the treatment of the cells with PI3P antagonists, we demonstrated that depletion of PI3P significantly reduced the production of IBDV progeny. For this aim, we used two approaches, the inhibitor Vps34-IN1 and an siRNA against VPs34. In both cases, we observed a significantly reduced production of IBDV progeny (Figures 9 and 10). Specifically related to the reviewer’s question, the localization of VP3 in IBDV-infected cells and treated with PI3P antagonists was shown and quantified in Figure 9a.

      (10) Could you provide adsorption-free energy profiles and MD simulations also for the R<sub>200</sub> mutant?

      Following the reviewer’s suggestion, we have added a new figure to the supplementary information (Figure S15). Instead of presenting a full free-energy profile for each protein, we focused on the adsorption free energy (i.e., the minimum of the adsorption free-energy profile) for VP3 ΔNt and its mutants, VP3 ΔNt R<sub>200</sub>D and VP3 ΔNt P2 Mut, as a function of salt concentration. The aim was to compare the adsorption free energy of the three proteins and evaluate the effect of electrostatic forces on it, which become increasingly screened at higher salt concentrations. As shown in the referenced figure, reducing the number of positively charged residues from VP3 ΔNt to VP3 ΔNt P2 Mut systematically weakens the protein’s binding to the membrane. This effect is particularly pronounced at lower salt concentrations, underscoring the importance of electrostatic interactions in the adsorption of the negatively charged VP3 onto the anionic membrane.

      (11) Liposome deformations in the presence of VP3 are interesting (Figure 6G), were these also observed in Figure 1C?

      Good question. The liposome deformations in the presence of VP3 shown in Figure 6G were a robust observation since, as mentioned, it was detectable in 36% of the liposomes PI3P(+), while they were completely absent in PI3P(-) liposomes. However, and unfortunately, the same deformations were not detectable in experiments performed using gold particles shown in Figure 1C. In this regard, we think that it might be possible that the procedure of gold particles incubation itself, or even the presence of the gold particles in the images, would somehow “mask” the deformations effect.

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    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public review): 

      Summary: 

      The authors aimed to confirm the association between the human leukocyte antigen (HLA)-II region and tuberculosis (TB) susceptibility within admixed African populations. Building upon previous findings from the International Tuberculosis Host Genetics Consortium (ITHGC), this study sought to address the limitations of small sample size and the inclusion of admixed samples by employing the Local Ancestry Allelic Adjusted (LAAA) model, as well as identify TB susceptibility loci in an admixed South African cohort. 

      Strengths: 

      The major strengths of this study include the use of six TB case-control datasets collected over 30 years from diverse South African populations and ADMIXTURE for global ancestry inference. The former represents comprehensive dataset used in this study and the later ensures accurate determination of ancestral contributions. In addition, the identified association in the HLA-DPB1 gene shows near-genomewide significance, enhancing the credibility of the findings. 

      Weaknesses: 

      The major weakness of this study includes insufficient significant discoveries and reliance on crossvalidation. This study only identified one variant significantly associated with TB status, located in an intergenic region with an unclear link to TB susceptibility. Despite identifying multiple lead SNPs, no other variants reached the genome-wide significance threshold, limiting the overall impact of the findings. The absence of an independent validation cohort, with the study relying solely on crossvalidation, is also a major limitation. This approach restricts the ability to independently confirm the findings and evaluate their robustness across different population samples. 

      Appraisal: 

      The authors successfully achieved their aims of confirming the association between the HLA-II region and TB susceptibility in admixed African populations. However, the limited number of significant discoveries, reliance on cross-validation, and insufficient discussion of model performance and SNP significance weaken the overall strength of the findings. Despite these limitations, the results support the conclusion that considering local ancestry is crucial in genetic studies of admixed populations. 

      Impact:  

      The innovative use of the LAAA model and the comprehensive dataset in this study make substantial contributions to the field of genetic epidemiology. 

      Reviewer #2 (Public review): 

      Summary: 

      This manuscript is about using different analytical approaches to allow ancestry adjustments to GWAS analyses amongst admixed populations. This work is a follow-on from the recently published ITHGC multi-population GWAS (https://doi.org/10.7554/eLife.84394), with a focus on the admixed South African populations. Ancestry adjustment models detected a peak of SNPs in the class II HLA DPB1, distinct from the class II HLA DQA1 loci significant in the ITHGC analysis. 

      Strengths: 

      Excellent demonstration of GWAS analytical pipelines in highly admixed populations. Further confirmation of the importance of the HLA class II locus in genetic susceptibility to TB. 

      Weaknesses: 

      Limited novelty compared to the group's previous existing publications and the body of work linking HLA class II alleles with TB susceptibility in South Africa or other African populations. This work includes only ~100 new cases and controls from what has already been published. High-resolution HLA typing has detected significant signals in both the DQA1 and DPB1 regions identified by the larger ITHGC and in this GWAS analysis respectively (Chihab L et al. HLA. 2023 Feb; 101(2): 124-137). Despite the availability of strong methods for imputing HLA from GWAS data (Karnes J et Plos One 2017), the authors did not confirm with HLA typing the importance of their SNP peak in the class II region. This would have supported the importance of this ancestry adjustment versus prior ITHGC analysis. 

      The populations consider active TB and healthy controls (from high-burden presumed exposed communities) and do not provide QFT or other data to identify latent TB infection. 

      Important methodological points for clarification and for readers to be aware of when reading this paper: 

      (1) One of the reasons cited for the lack of African ancestry-specific associations or suggestive peaks in the ITHGC study was the small African sample size. The current association test includes a larger African cohort and yields a near-genome-wide significant threshold in the HLA-DPB1 gene originating from the KhoeSan ancestry. The investigation is needed as to whether the increase in power is due to increased African samples and not necessarily the use of the LAAA model as stated on lines 295 and 296? 

      Thank you for your comment. The Manhattan plot in Figure 3 includes the results for all four models: the traditional GWAS model (GAO), the admixture mapping model (LAO), the ancestry plus allelic (APA) model and the LAAA model. In this figure, it is evident that only the LAAA model identified the association peak on chromosome 6, which lends support the argument that the increase in power is due to the use of the LAAA model and not solely due to the increase in sample size. 

      (2) In line 256, the number of SNPs included in the LAAA analysis was 784,557 autosomal markers; the number of SNPs after quality control of the imputed dataset was 7,510,051 SNPs (line 142). It is not clear how or why ~90% of the SNPs were removed. This needs clarification. 

      Thank you for your recommendation. In our manuscript (line 194), we mention that “…variants with minor allele frequency (MAF) < 1% were removed to improve the stability of the association tests.” A large proportion of imputed variants fell below this MAF threshold, and were subsequently excluded from this analysis. Below, we show the number of imputed variants across MAF bins for one of our datasets [RSA(A)] to substantiate this claim:  

      Author response image 1.

      (3) The authors have used the significance threshold estimated by the STEAM p-value < 2.5x10<sup>-6</sup> in the LAAA analysis. Grinde et al. (2019 implemented their significance threshold estimation approach tailored to admixture mapping (local ancestry (LA) model), where there is a reduction in testing burden. The authors should justify why this threshold would apply to the LAAA model (a joint genotype and ancestry approach). 

      Thank you for your recommendation. We describe in the methods (line 189 onwards) that the LAAA model is an extension of the APA model. Since the APA model itself simultaneously performs the null global ancestry only model and the local ancestry model (utilised in admixture mapping), we thus considered the use of a threshold tailored to admixture mapping appropriate for the LAAA model.  

      (4) Batch effect screening and correction (line 174) is a quality control check. This section is discussed after global and local ancestry inferences in the methods. Was this QC step conducted after the inferencing? If so, the authors should justify how the removed SNPs due to the batch effect did not affect the global and local ancestry inferences or should order the methods section correctly to avoid confusion. 

      Thank you for your comments. The batch effect correction method utilised a pseudo-case-control comparison which included global ancestry proportions. Thus, batch effect correction was conducted after ancestry inference. We excluded 36 627 SNPs that were believed to have been affected by the batch effect. We have amended line 186 to include the exact number of SNPs excluded due to batch effect. 

      The ancestry inference by RFMix utilised the entire merged dataset of 7 510 051 SNPs. Thus, the SNPs removed due to the batch effect make up a very small proportion of the SNPs used to conduct global and local ancestry inferences (less than 0.5%). As a result, we do not believe that the removed SNPs would have significantly affected the global and local ancestry inferences. However, we did conduct global ancestry inference with RFMix on each separate dataset as a sanity check. In the tables below, we show the average global ancestry proportions inferred for each separate dataset, the average global ancestry proportions across all datasets and the average global ancestry proportions inferred using the merged dataset. The SAC and Xhosa cohorts are shown in two separate tables due to the different number of contributing ancestral populations to each cohort. The differences between the combined average global ancestry proportions across the separate cohorts does not differ significantly to the global ancestry proportions inferred using the merged dataset. 

      Author response table 1.

      Comparison of global ancestry proportions across the separate SAC datasets and the merged cohort.

      Author response table 2.

      Comparison of global ancestry proportions in the Xhosa dataset and the merged cohort. 

      Reviewer #1 (Recommendations for the authors): 

      Suggestions for Improved or Additional Experiments, Data, or Analyses:   

      (1) It might be beneficial to consider splitting the data into separate discovery and validation cohorts rather than relying solely on cross-validation. This approach could provide a stronger basis for independently confirming the findings. 

      Thank you for your suggestion. However, we are hesitant to divide our already modest dataset (n=1544) into separate discovery and validation cohorts, as this would reduce the statistical power to detect significant associations.

      (2) Clearly stating the process of cross-validation in the methods section and reporting relevant validation statistics, such as accuracy, sensitivity, specificity, and area under the curve (AUC), would provide a more comprehensive assessment of the model's performance.  

      Thank you for your recommendation. We would like to highlight this article, “GWAS in the southern African context” (1), which evaluated the performance of the LAAA model compared to other models in three- and five-way admixed populations. Given the thorough evaluation of the model’s performance in that study, we did not find it necessary to reassess its performance in this manuscript.   

      (3) Analysing racial cohorts separately to see if you can replicate previous results and find significant markers in combined non-African populations that are not evident in African-only samples might be useful. 

      Thank you for your suggestion. We would like to respectfully note that race is a social construct, and its use as a proxy for genetic ancestry can be problematic (2). In our study, we rather rely on genetic ancestry inferred using ancestry inference software to provide a more accurate representation of our cohort's genetic diversity. Additionally, our cohort consists mostly of a highly admixed population group, with some individuals exhibiting ancestral contributions from up to five different global populations. Therefore, it is not possible to categorize our samples into distinct “Africanonly” or “non-African” groups.

      (4) It might be worthwhile to consider using polygenic risk scores (PRS) to combine multiple genetic influences. This approach could help in identifying cumulative genetic effects that are not apparent when examining individual SNPs.  

      Thank you for your recommendation. While constructing a polygenic risk score (PRS) is beyond the scope of the current study, but an ongoing interest in our group, we recognize its potential value and will consider incorporating this approach in future research endeavours or a separate publication. A recent publication by Majara et al showed that that PRS accuracy is low for all traits and varies across ancestrally and ethnically diverse South African groups (3).

      Recommendations for Improving the Writing and Presentation: 

      Including a more thorough discussion of the methodological limitations, such as the challenges of studying admixed populations and the potential limitations of the LAAA model, would provide a more balanced perspective. 

      Thank you for your suggestion. To provide a more balanced perspective, we included the limitations of our study in the discussion, from line 429 to like 451.

      Minor Corrections to the Text and Figures: 

      Including all relevant statistics would improve clarity. For example, providing confidence intervals for the odds ratios and discussing any observed trends or outliers would be beneficial. 

      Thank you for your recommendation. We have added 95% confidence intervals to all odds ratios reported in Table 3. However, beyond the association peak identified in the HL-II region associated with the phenotype, we do not observe any other trends or outliers in or LAAA analysis.  

      Reviewer #2 (Recommendations for the authors): 

      Points for improvement: 

      (1) Related to the different datasets and inclusions in previous publications, it would also be good to better understand the different numbers of cases and controls included across the previous and current analyses, or discussion thereof. For instance, the RSA(M) dataset includes 555/440 cases/controls for this analysis and only 410/405 cases/controls in the ITHGC analysis. Other discrepancies are noted across the other published datasets compared to those included in this analysis, and these always need to be detailed in a supplement or similar to better understand if this could have introduced bias or was in fact correct based on the additional ancestry-related restriction applied.  

      Thank you for your comments. Table 1 of our manuscript lists number of individuals in the RSA(M) dataset, including related individuals. As described in line 131, related individuals were subsequently excluded during quality control: “Individual datasets were screened for relatedness using KING software (Manichaikul et al., 2010) and individuals up to second degree relatedness were removed.” The ITHGC only reported the number of unrelated individuals included their analyses, which would account for the discrepancies in the reported number of cases and controls.  

      (2) The imbalance between cases and controls in this analysis is quite striking, and it is unusual to have the imbalance favour cases over controls. This contrasts with the ITHGC, where there are substantially more controls. There is no comment on how this could potentially impact this analysis. 

      Thank you for your comment. We have included a note on our case-control imbalance in the discussion:

      “While many studies discuss methods for addressing case-control imbalances with more controls than cases (which can inflate type 1 error rates (Zhou et al. 2018; Dai et al. 2021; Öztornaci et al. 2023), few address the implications of a large case-to-control ratio like ours (952 cases to 592 controls). To assess the impact of this imbalance, we used the Michigan genetic association study (GAS) power calculator (Skol et al. 2006). Under an additive disease model with an estimated prevalence of 0.15, a disease allele frequency of 0.3, a genotype relative risk of 1.5, and a default significance level of 7 × 10<sup>-6</sup>, we achieved an expected power of approximately 75%. With a balanced sample size of 950 cases and 950 controls, power would exceed 90%, but it would drop significantly with a smaller balanced cohort of 590 cases and 590 controls. Given these results, we proceeded with our analysis to maximize statistical power despite the case-control imbalance.” 

      Author response image 2.

      Minor comments 

      (1) Referencing around key points of TB epidemiology and disease states seems out of date, given recent epidemiology reviews and seminal nature or lancet review articles. Please update.  

      Thank you for your suggestion. We have included the following recent publications in the introductory paragraph: 

      Zaidi, S. M. A., Coussens, A. K., Seddon, J. A., Kredo, T., Warner, D., Houben, R. M. G. J., & Esmail, H. (2023). Beyond latent and active tuberculosis: a scoping review of conceptual frameworks. EClinicalMedicine, 66, 102332. https://doi.org/10.1016/j.eclinm.2023.102332

      Menzies, N. A., Swartwood, N., Testa, C., Malyuta, Y., Hill, A. N., Marks, S. M., Cohen, T., & Salomon, J. A. (2021). Time Since Infection and Risks of Future Disease for Individuals with Mycobacterium tuberculosis Infection in the United States. Epidemiology, 32(1), 70–78. https://doi.org/10.1097/EDE.0000000000001271  

      Cudahy, P. G. T., Wilson, D., & Cohen, T. (2020). Risk factors for recurrent tuberculosis after successful treatment in a high burden setting: a cohort study. BMC Infectious Diseases, 20(1), 789. https://doi.org/10.1186/s12879-020-05515-4  

      Escombe, A. R., Ticona, E., Chávez-Pérez, V., Espinoza, M., & Moore, D. A. J. (2019). Improving natural ventilation in hospital waiting and consulting rooms to reduce nosocomial tuberculosis transmission risk in a low resource setting. BMC Infectious Diseases, 19(1), 88. https://doi.org/10.1186/s12879-019-3717-9  

      Laghari, M., Sulaiman, S. A. S., Khan, A. H., Talpur, B. A., Bhatti, Z., & Memon, N. (2019). Contact screening and risk factors for TB among the household contact of children with active TB: a way to find source case and new TB cases. BMC Public Health, 19(1), 1274. https://doi.org/10.1186/s12889-0197597-0  

      Matose, M., Poluta, M., & Douglas, T. S. (2019). Natural ventilation as a means of airborne tuberculosis infection control in minibus taxis. South African Journal of Science, 115(9/10). https://doi.org/10.17159/sajs.2019/5737

      Smith, M. H., Myrick, J. W., Oyageshio, O., Uren, C., Saayman, J., Boolay, S., van der Westhuizen, L., Werely, C., Möller, M., Henn, B. M., & Reynolds, A. W. (2023). Epidemiological correlates of overweight and obesity in the Northern Cape Province, South Africa. PeerJ, 11, e14723. https://doi.org/10.7717/peerj.14723  

      (2) Lines 46 to 48 appear to have two contradictory statements next to each other. The first says there are numerous GWAS investigating TB susceptibility; the second says there are sparse. Please clarify.

      Thank you for bringing this to our attention. We have amended the lines as follows: 

      “Numerous genome-wide association studies (GWASs) investigating TB susceptibility have been conducted across different population groups. However, findings from these studies often do not replicate across population groups (Möller & Kinnear, 2020; Möller et al., 2018; Uren et al., 2017).”

      (3) Add ref in line 69 for two SAC populations.

      Thank you for your recommendation. We have included the citation for the ITHGC meta-analysis paper here: 

      “The authors described possible reasons for the lack of associations, including the smaller sample size compared to the other ancestry-specific meta-analyses, increased genetic diversity within African individuals and population stratification produced by two admixed cohorts from the South African Coloured (SAC) population (Schurz et al. 2024).”

      (4) Write out abbreviations the first time they appear (Line 121).

      Thank you for your recommendation. We have corrected the sentence as follows: 

      “Monomorphic sites were removed. Individuals were screened for deviations in Hardy-Weinberg Equilibrium (HWE) for each SNP and sites deviating from the HWE threshold of 10-5 were removed.”

      (5) It would be good in the supplement to see if there is a SNP peak in chromosome 20 with a hit that reached significance in the Bantu-speaking African ancestry.

      Thank you for your recommendation. We have included a regional plot for the lead variant identified on chromosome 20 originating from Bantu-speaking African ancestry in the supplementary material (Supplementary Figure 3).

      (6) It would be good to mention the p-values of rs28383206 from the ITHGC paper in this cohort for KhoeSan and Bantu-speaking African ancestries. 

      Thank you for your suggestion. We have included the following paragraph from line 352:

      “The lead variant identified in the ITHGC meta-analysis, rs28383206, was not present in our genotype or imputed datasets. The ITHGC imputed genotypes using the 1000 Genomes (1000G) reference panel (4). Variant rs28383206 has an alternate allele frequency of 11.26% in the African population subgroup within the 1000G dataset (https://www.ncbi.nlm.nih.gov/snp/rs28383206). However, rs28383206 is absent from our in-house whole-genome sequencing (WGS) datasets, which include Bantu-speaking African and KhoeSan individuals. This absence suggests that rs28383206 might not have been imputed in our datasets using the AGR reference panel, potentially due to its low alternate allele frequency in southern African populations. Our merged dataset contained two variants located within 800 base pairs of r_s28383206: rs482205_ (6:32576009) and rs482162 (6:32576019). However, these variants were not significantly associated with TB status in our cohort (Supplementary Table 1).” Supplementary Table 1 can be found in the supplementary material:

      (7) It would improve the readability of the ancestry proportions listed on lines 236 and 237 if these population groups were linked with the corresponding specific population used in Figure 1, as has been done in Table 2.

      Thank you for your suggestion. We have amended Figure 1 to include the corresponding population labels mentioned in Table 2.  

      (8) In line 209, it is not clear why the number of alleles of a specific ancestry at a locus is referred to as a covariate in admixture mapping when the corresponding marginal effect is the parameter of interest. 

      Thank you for bringing this to our attention. We have amended the description as follows: 

      “(2) Local ancestry (LA) model:

      This model is used in admixture mapping to identify ancestry-specific variants associated with a specific phenotype. The LA model evaluates the number of alleles of a specific ancestry at a locus and includes the corresponding marginal effect as a covariate in association analyses.”

      (9) Table 3 would benefit from a column on whether the SNP was genotyped or imputed. 

      Thank you for your suggestion. We have included a column indicating whether the SNP was genotyped or imputed, as well as an additional column with the INFO score for imputed genotypes. 

      (10) The authors should remove the print and download icons in Figure 1 on lines 240 and 241.

      Thank you for your suggestion. We have amended the figure as requested.  

      (11) In the quality control, the authors use a more relaxed threshold for missingness in individuals (90%) and genotypes (5%) and have strayed away from the conventional 97%-98%. An explanation of the choice of these thresholds will be helpful to the reader.

      Thank you for your suggestion. We aimed to use similar genotype and individual missingness thresholds outline by the ITHGC meta-analysis (which utilised a threshold of 10% for both genotype and individual missingness) and the previous LAAA analysis paper performed by Swart et al. in 2021. We have amended line 116 for more clarity: 

      “Individuals with genotype call rates less than 90% and SNPs with more than 5% missingness were removed as described previously (5).”

      References  

      (1) Swart Y, van Eeden G, Uren C, van der Spuy G, Tromp G, Moller M. GWAS in the southern African context. Cold Spring Harbor Laboratory. 2022;

      (2) Byeon YJJ, Islamaj R, Yeganova L, Wilbur WJ, Lu Z, Brody LC, et al. Evolving use of ancestry, ethnicity, and race in genetics research-A survey spanning seven decades. Am J Hum Genet. 2021 Dec 2;108(12):2215–23.

      (3) Majara L, Kalungi A, Koen N, Tsuo K, Wang Y, Gupta R, et al. Low and differential polygenic score generalizability among African populations due largely to genetic diversity. HGG Adv. 2023 Apr 13;4(2):100184.

      (4) Schurz H, Naranbhai V, Yates TA, Gilchrist JJ, Parks T, Dodd PJ, et al. Multi-ancestry metaanalysis of host genetic susceptibility to tuberculosis identifies shared genetic architecture. eLife. 2024 Jan 15;13.

      (5) Swart Y, Uren C, van Helden PD, Hoal EG, Möller M. Local ancestry adjusted allelic association analysis robustly captures tuberculosis susceptibility loci. Front Genet. 2021 Oct 15;12:716558.

    1. Author response:

      The following is the authors’ response to the original reviews.

      We thank the reviewers for their time and the thoughtful reviews on our manuscript. The reviewers brought good points regarding the sample size, and the low exposure in the South Asian cohort owing to their unique cultural and social practices. We recognize these as limitations of the paper and discussed these in the revised version. In the revised manuscript, we have taken the key suggestions by reviewers to 1) better illustrate the analytical flow and statistical methods, in particular, to show which datasets had been used in discovery, validation, and testing of the score – as a main figure in the manuscript and in the graphical abstract; 2) demonstrate there is no possibility of overfitting in our approach using statistical metrics of performance; 3) emphasize the goal was not for discovery (e.g. our own EWAS was not used for deriving the score), but to compare with existing EWASs and contrast the results from the white European and SA populations; 4) and supplement the analysis with previously derived maternal smoking, smoking and air pollution methylation score and to explore additional health outcomes in relation to lung health in newborns. Finally, we would also like to take this opportunity to re-iterate that it was not our objective to derive the most powerful methylation score of smoking nor to demonstrate the causal role of maternal smoking on birth weight via DNAm. We have restructure the manuscript as well as the discussion to clarify this. Please find below a point-by-point response to the comments below.

      Reviewer #1:

      The manuscript could benefit from a more detailed description of methods, especially those used to derive MRS for maternal smoking, which appears to involve overfitting. In particular, the addition of a flow chart would be very helpful to guide the reader through the data and analyses. The FDR correction in the EWAS corresponds to a fairly liberal p-value threshold. 

      We thank the reviewer for these good suggestions. In the revised manuscript, we have provided a flow chart as the new Figure 1, more detailed description of the method (added a subsection “Statistical analysis” under Materials and Methods) as well as metrics including measures of fit indices such as AUC and adjusted R2 for each validation and testing dataset to illustrate there is no danger of overfitting (in new Supplementary Table 5).

      The choice of use FDR was indeed arbitrary as there has been no consensus on what significance threshold, if any, should be used in the context of EWAS. Here we simply followed the convention in previous studies to contrast the top associated signals for their effects between different populations and with reported effect sizes. Throughout the manuscript, we have removed the notion of significant associations and used the phrase “top associated signals” or “top associations” when discussion EWAS results for individual CpGs.

      Reviewer #2:

      (1) The number of mothers who self-reported any smoking was very low, much lower than in the general population and practically non-existent in the South Asian population. As a result, all analyses appeared to have been underpowered. It is possibly for this reason that the authors chose to generate their DNA methylation model using previously published summary statistics. The resulting score is not of great value in itself due to the low-powered dataset used to estimate covariance between CpG sites. In fact, a score was generated for a much larger, better-powered dataset several years ago (Reese, EHP, 2017, PMID 27323799). 

      We thank the reviewer for pointing out the low exposure in the South Asian population, which we believe is complementary to the literature on maternal smoking that almost exclusively focused on white Europeans. However, the score was validating in the white European cohort (CHILD; current smoking 3.1%), which was reasonably similar to the trend that maternal cigarettes smoking is on the decline from 2016 to 2021, from 7.2% to 4.6% (Martin, Osterman, & Driscoll, 2023). This is also consistent with the fact that CHILD participants were recruited from major metropolitans of Canada with relatively high SES and education as compared to FAMILY.

      We do agree with the reviewers that a higher prevalence of maternal smoking in the validating sample could potential improve the power of the score. Our original analytical pipeline focused on CHILD as the validation dataset; FAMILY (see the new Figure 1) was used as the testing data. We alternatively provided an analytical scheme using FAMILY as the validation dataset, as it had a higher proportion of current smokers, however, this is limited by the number of CpGs available (128 in FAMILY vs. 2,619 in CHILD out of the 2,620 CpGs from (Joubert et al., 2016)). The results of all possible combinations of validation vs. testing and restriction of targeted array vs. HM450 are summarized in the new new Supplementary Table 5 and Supplementary Figure 5.

      To clarify, our choice to construct DNAm score using published summary statistics was not an ad-hoc decision due to the observed low power from CHILD EWAS. We agree with the reviewer that our study was indeed underpowered and was not originally intended for EWAS discovery. Thus, we specifically proposed to adopt a multivariate strategy from the literature of polygenic risk scores. This approach enabled us to leverage well-powered association signals without individual-level access to data with a sample size of n > 5,000 (Joubert et al., 2016). In comparison, the Reese maternal smoking score (Reese et al., 2017) had a discovery sample size of only n = 1,057. Our score was not out-performed, in fact, the AUC in both FAMILY (external validating dataset; n=411) and CHILD (external testing dataset; n=352) and was larger than that based on the Reese score as tabulated below (part of the new Supplementary Table 5).

      Author response table 1.

      Further, regarding the comment on the covariance matrix. Indeed, lassosum via elastic-net and summary data requires a reference covariance matrix that is consistent between the discovery data and external validation data. In fact, for moderately sized correlation/covariance values (r2 > 0.1), a sample size of >100 is sufficiently powered to detect it being different from 0 and thus used for estimation. Similar to the linkage disequilibrium of genotype data, the CpGs also exhibit a block-wise correlation structure and thus the theoretical framework of lassosum extends naturally to MRS.

      In the revised manuscript, we included the Reese score, as well as a few additional scores to compare their predictiveness of smoking phenotypes in white European cohorts. We note that the applicability was limited in the FAMILY cohort that was profiled using a targeted array and only 7 out of 28 of the CpGs in the Reese score were available. As a result, though the Reese score had similar performance than our derived score in CHILD (0.94 vs. 0.95), its performance in FAMILY was compromised (0.72 vs. 0.89).

      (2) The conclusion that "even minimal smoking exposure in South Asian mothers who were not active smokers showed a DNAm signature of small body size and low birthweight in newborns" is not warranted because no analyses were performed to show that the association between DNA methylation and birth size/weight was driven by maternal smoking. 

      We thank the reviewer for this subtle point – it was not our intention to suggest there was a causal relationship between DNA methylation and birth size that was mediated by maternal smoking. We meant to suggest that the maternal smoking methylation score was consistently associated with negative outcomes in newborns of both white European and South Asian mothers despite no maternal smoking was present in South Asian mothers. It is possible that maternal smoking MRS was capturing a lot more than just smoking and second-hand smoking, such as other environmental exposures that also lead to oxidative stress. These together are associated with reduced birth size/weight.

      In the revised manuscript, we have modified the conclusion above to:

      “Notably, these results indicate a consistent association between the DNAm signature of maternal smoking and a small body size and low birthweight in newborns, in both white European mothers who exhibited some amount of smoking and in South Asian mothers who themselves were not active smokers.”

      (3) Although it was likely that some mothers were exposed to second-hand smoke and/or pollution, data on this was either non-existent or not included in this study. Including this would have allowed a more novel investigation of the effects of smoke exposure on the pregnancies of non-smoking mothers.

      We agree with this comment – second-hand smoking was captured by self-reported weekly smoking exposure by the mothers. We reported the association with smoking exposure and found that it was not consistently associated with our methylation scores across the cohorts (cohort specific association p-values of 5.4×10-5, 3.4×10-5, and 0.58, for CHILD, FAMILY, and START; original Table 3), possibly due to the low exposure in South Asian population (max weekly exposure was 42 hrs in contrast to 168 hrs in FAMILY and 98 hrs in CHILD). Meanwhile, air pollution data are currently not available. Here we additionally performed the association between maternal smoking and air pollution methylation score, using key CpGs from the largest air pollution EWAS to-date (Gondalia et al., 2021). However, there was no association between the air pollution score and any maternal smoking phenotypes (ps > 0.4).

      (4) One of the European cohorts and half of the South Asian cohort had DNA methylation measured on only 2500 CpG sites. This set of sites included only 125 sites previously linked to prenatal smoking. The resulting model of prenatal smoking was small (only 11 CpG sites). It is possible that a large model may have been more powerful.

      That is correct – also see our response to R2 comment #1. In our previous analysis, we validated two scores (one based on CpGs on the < 3,000 CpGs array and the other one for the full HM450K). The score with more CpGs indeed had slightly better performance. We included this as one of the limitations of the paper. Nevertheless, it does not impact the conclusion that the scores (based on a larger or smaller model) are transferrable to diverse populations and can be used to comparatively study the DNAm influence of maternal smoking in newborns.

      The following was added in the discussion:

      “First, the customized array with a limited number of CpGs (<3,000) was designed in 2016 and many large EWASs on smoking and maternal smoking conducted more recently had not been included.”

      (5) The health outcomes investigated are potentially interesting but there are other possibly more important outcomes of interest such as birth complications, asthma, and intellectual impairment which are known to be associated with prenatal smoking.

      We thank the reviewer for bring up this point. One of the key health outcomes in the CHILD study was asthma, and data at later time points are available. However, we do not have similar outcomes collected in the other two studies (FAMILY and START), which focused on cardiometabolic health in young children. Thus, we did not initially include outcomes that were not available across all cohorts as the intention was to contrast the effects between populations.

      We recognize that this is an important question and decided to provide the association results for asthma and allergy at available time points in CHILD, FAMILY, and START. We also included mode of delivery via emergency C-section as an additional proxy outcome of birth complications. However, none of these were marginally (p < 0.05) associated with the DNAm smoking score. These are now included in the updated Supplementary Table 8.

      Reviewer #1 (Recommendations For The Authors):

      (1) The number of samples in the South Asian birth cohort given in the abstract (n = 887) does not match the sample size of the START cohort from the results section (results, page 7, line 139, n = 880). It is also different from the final analytical dataset size from the methods section (page 17, line 386, n = 890). Please clarify. 

      We thank the reviewer for pointing this out. In the abstract, it was the final sample sized used for EWAS (no missingness in smoking history). The 880 in result was a typo for 890, which contains three individuals with missing smoking data. These have been updated with the correct sample size for START cohort that had full epigenome-wide methylation data (n = 504, and 503 with non-missing smoking history).

      (2) Page 3, line 54: "consistent signal from the GFI1 gene (ps < 5×10-5)". Is ps a typo? If not then it might be clearer to state how many sites this included. 

      No, these summarized the six CpG sites in the GFI1 gene as outlined in Table 2. We have clarified in the abstract to show the number of CpG sites included.

      (3) Please report effect sizes together with information about the statistical significance (p values). 

      We have updated the manuscript with (standardized) effect sizes whenever possible along with p-values.

      (4) Page 4, line 80. This paragraph could be improved by adding a sentence explaining DNA methylation. 

      We thank the reviewer for this suggestion. A sentence was included to introduce DNAm at the beginning of the second paragraph:

      “DNA methylation is one of the most commonly studied epigenetic mechanisms by which cells regulate gene expression, and is increasingly recognized for its potential as a biomarker (13).”

      (5) Page 4, line 84. Sentence difficult to understand, please rephrase: "Our recent systematic review of 17 cord blood epigenome-wide association studies (EWAS) demonstrated that out of the 290 CpG sites reported, 19 sites were identified in more than one study; all of them associated with maternal smoking". 

      We have revised to clarify the review was on cord blood EWAS with five outcomes: maternal diabetes, pre-pregnancy body mass index, diet during pregnancy, smoking, and gestational age.

      “Our recent systematic review of 17 cord blood epigenome-wide association studies (EWAS) found that out of the 290 CpG sites reported to be associated with at least one of the following: maternal diabetes, pre-pregnancy body mass index (BMI), diet during pregnancy, smoking, and gestational age, 19 sites were identified in more than one study and all of them associated with maternal smoking.”

      (6) Page 5, line 93. The second part of the sentence is not necessary: "The majority of cohort studies have focused on participants of European ancestry, but few were designed to assess the influence of maternal exposures on DNA methylation changes in non-Europeans". 

      We have revised accordingly to:

      “Only a handful of cohort studies were designed to assess the influence of maternal exposures on DNA methylation changes in non-Europeans.”

      (7) Page 5, line 95. "It has been suggested that ancestral background could influence both systematic patterns of methylation (27), such as cell composition and smoking behaviours (28)". The sentence is slightly unclear. Could it be rephrased to say that cell composition differences may be present by ancestry, which can lead to differential DNAm patterns? 

      We have revised accordingly to:

      “It has been suggested that systematic patterns of methylation (Elliott et al., 2022), such as cell composition, could differ between individuals of different ancestral backgrounds, which could in turn confound the association between differential DNAm and smoking behaviours (Choquet et al., 2021).”

      (8) Page 5, line 108. How does reducing the number of predictors lead to more interpretable effect sizes? 

      This was meant as a general comment in the context of variable selection, whereby the fewer predictors there are, the effect size of each predictor becomes more interpretable. However, we recognize this comment might be irrelevant to the specific approaches we adopted. We have revised it to motivate methylation score as a powerful instrument for analysis:

      “Reducing the number of predictors and measurement noise in the data can lead to better statistical power and a more parsimonious instrument for subsequent analyses.”

      (9) Page 5, line 112. Health consequences seem a bit strong, given that the analysis describes correlations/associations. 

      We have revised it to “association with”:

      “In this paper, we investigated the epigenetic signature of maternal smoking on cord blood DNA methylation in newborns, as well as its influence on newborn and later life outcomes in one South Asian which refers to people who originate from the Indian subcontinent, and two predominantly European-origin birth cohorts.”

      Results

      (10) It would be very helpful to have a flow diagram to detail all of your analyses.

      We thank the reviewer for this suggestion. In the revised manuscript, we have provided a flow chart as the new Figure 1, updated the summary of analysis in . Table 3, and added a new Supplementary Table 5 for the DNAm score derivation, as well as more detailed description of the statistical analysis in the Materials and Methods under the subsection “Statistical analysis”.

      (11) Page 7, line 138. Please add a reference to the CHILD study. 

      We have added a reference of the CHILD study.

      (12) Tables in results and in supplemental data a) contain a mixture of fields describing the newborn and its mother (this is not true for Supplementary Table 2), b) lack column descriptions, c) lack descriptions of abbreviations and formatting used in tables, d) use different font types, e) lack descriptions of statistical tests that were used to obtain p-values, f) use inconsistent rounding. Please correct and add the missing information.

      We have consolidated the notation and nomenclature in all Tables and text. All numerical results are now rounded to 2 decimal places. The tests used were included in the Table headers as well as described in the Materials and Methods:

      “For continuous phenotypes, an analysis of variance (ANOVA) using the F-statistics or a two-sample t-test was used to compare the mean difference across the three cohorts or two groups, respectively. For categorical phenotypes, a chi-square test of independence was used to compare the difference in frequencies of observed categories. Note that three of the categories under smoking history in the START cohort had expected cell counts less than 5, and was thus excluded from the comparison, the reported p-value was for CHILD and FAMILY.”

      (13) Table 1. Sample sizes given in column descriptions do not add up to 1,650 (legend text).

      We thank the reviewer for pointing this out. The updated sample size is 1,267, based on the 352 CHILD samples, 411 FAMILY samples, and 352 START samples. Notice that we did not remove those without full smoking history data as Table 1 was intended for the epigenetic subsamples.

      (14) Page 7, line 156. Supplementary Tables are incorrectly numbered. In the text, Supplementary Table 4 comes after Supplementary Table 2.

      We thank the reviewer for catching this and have corrected the ordering of the Supplementary Tables and Figures. 

      (15) Page 7, line 158. "cell compositions" - do you mean estimated white cell proportions? 

      We have revised it to “estimated cord blood cell proportions” in the text throughout.

      (16) Smoking EWAS - do you see any overlap/directional consistency with the top findings from adult EWASs of smoking such as AHRR? 

      We annotated the top EWAS signals from the literature in the meta-analysis (new Figure 2; Supplementary Figures 1 and 3), but was only able to confirm associations in the GFI1 gene. The AHRR signals were also annotated, but below the FDR correction threshold as seen in new Figure 2 at the start of chromosome 5. We further added a new Supplementary Figure 3 to show the directional consistency with top findings (2,620 CpGs reported and 128 CpGs overlapped with our meta-analysis) from Joubert et al., 2016. The Pearson’s correlation coefficient with meta-analyzed effect for maternal smoking was 0.72 and for smoking exposure was 0.60.

      We added the following to Results:

      “Further, we observed consistency in the direction of association for the 128 CpGs that overlapped between our meta-analysis and the 2,620 CpGs with evidence of association for maternal smoking (19) (Supplementary Figure 3). Specifically, the Pearson’s correlation coefficient for maternal smoking and weekly smoking exposure was 0.72 and 0.60, respectively.”

      (17) Page 8, line 169. "also coincided with the GFI1 gene" this is a bit imprecise. Please report the correlation with the CpG from the maternal smoking analysis. 

      The CpG was inside the GFI1 gene, we have included the Pearson’s correlation with the top hit in the text below:

      “There were no CpGs associated with the ever-smoker status at an FDR of 0.05, though the top signal (cg09935388) was also mapped to the GFI1 gene (Pearson’s r2 correlation with cg12876356 = 0.75 and 0.68 in CHILD and FAMILY, respectively; Supplementary Figure 1).”

      (18) Page 8, line 171. Typo "ccg": "ccg01798813". 

      It has been corrected to “cpg01798813”.

      (19) Page 8, line 176. Please be clear about the phenotype used in these analyses. 

      The EWAS of weekly smoking exposure in START was removed in this version of the manuscript, in reflection of the results and the reviewer’s comments, as a result of this phenotyping being skewed and possibly leading to only spurious results (also see response to comment #20).

      We have clarified the phenotypes for these results under “Epigenetic Association of Maternal Smoking in White Europeans” below:

      “The maternal smoking and smoking exposure EWASs in CHILD did not yield any CpGs after FDR correction (Supplementary Figure 3).”

      (20) What was the genomic inflation for the EWASs? 474 loci in the South Asian EWAS seems like a lot of findings. Perhaps a more robust method (e.g., OSCA MOMENT) might help to control the false positive rate. 

      The genomic inflation factor was moderately across the cohorts for smoking exposure: 1.02 in CHILD, 0.94 in FAMILY, and 1.00 in START. However, there was more inflation in the tail of the distribution in START than the European cohorts. The empirical type I error rates at 0.01, 0.001, 0.00001, were high in START (x1.7, x5.7, and x165 times at each respective threshold), in contrast to CHILD (x1.06, x1.05, and x0.6) or FAMILY (x1.6, x1.9, and 0). The smoking exposure EWAS based on START was thus removed as these are likely false positives and there was very low smoking exposure to start with (11 reported weekly exposure between 2–42 hrs/week out of 462 with non-missing data). We have added the QQ-plots as well as the genomic inflation factor for the reported meta-analysis in the new Supplementary Figure 2. The following was added to the Results:

      “There was no noticeable inflation of empirical type I error in the association p-values from the meta-analysis, with the median of the observed association test statistic roughly equal to the expected median (Supplementary Figure 2).”

      (21) What is the targeted array? I don't think it has been introduced prior to this point. 

      We introduced it in the Materials and Methods under subsection “Methylation data processing and quality controls”. Considering this comment and previous comments on the ordering of Tables and Figures, we have decided to place Materials and Methods after Introduction and before Results.

      (22) The MRS section is described poorly in the results section. It is not clear where the 11 or 114 CpGs come from.

      We now include an analytical summary of all scores (derived or external from literature) in the new Supplementary Table 5. Further, we updated the description of scores in Materials and Methods under the subsection “Using DNA Methylation to Construct Predictive Models for Maternal Smoking” to clarify the source and types of MRSs derived:

      “To evaluate whether the targeted GMEL-EPIC array design has comparable performance as the epigenome-wide array to evaluate the epigenetic signature of maternal smoking, a total of three MRSs were constructed, two using the 128 CpGs available in all cohorts – across the HM450K and targeted GMEL-EPIC arrays – and with either CHILD (n = 347 with non-missing smoking history) or FAMILY (n = 397) as the validation cohort, and another using 2,107 CpGs that were only available in CHILD and START samples with CHILD as the validation cohort. Henceforth, we referred to these derived maternal smoking scores as the FAMILY targeted MRS, CHILD targeted MRS, and the HM450K MRS, respectively.”

      (23) Page 9, line 187. "There was no statistically significant difference between the two scores in all samples (p = 1.00) or among non-smokers (p = 0.24).". How was the significance assessed? Please describe the models (outcome, covariates, model type) used for comparing the two models. It would also be good to report the correlation between the scores.

      We have added a subsection “Statistical analysis” under Materials and Methods that described the tests. The correlation between scores is now summarized as a heatmap across all cohorts in the new Supplementary Figure 6.

      “For each cohort, we contrasted the three versions of the derived scores using an analysis of variance analysis (ANOVA) along with pairwise comparisons using a two-sample t-test to examine how much information might be lost due to the exclusion of more than 10-fold CpGs at the validation stage. We also examined the correlation structure between all derived and external MRSs using a heatmap summarizing their pairwise Pearson’s correlation coefficient.”

      (24) Please include the number of samples in the training/validation and in the test set in the methods and in the results.

      We thank the reviewer for this suggestion. In the revised manuscript, we have provided a flow chart as the new Figure 1 and more detailed description of the method in the Materials and Methods. Please also see response to comment #22. The training sample size is based on Joubert et al., (2016), which is 5,647. For our main analyses, the validation sample with non-missing phenotypes remained the CHILD cohort (n=347), while the FAMILY (n=397) and START (n=503) samples were the independent testing data. We alternatively provided another scenario, in which the FAMILY sample was the validation cohort, while CHILD and START were the testing cohorts. The exact sample size and performance metrics for each scenario and score are clearly summarized in the new Supplementary Table 5.

      (25) Table 3. Please clarify the type of information contained in the four last columns (p-value?).

      Yes – these are the individual cohort p-values. We have taken the suggestion from comment #12 to fully describe all columns and fields.

      (26) Page 10, line 215: "The meta-analysis revealed no heterogeneity in the direction nor the effect size of associations between populations". Please quote/refer to the results. 

      In the revision, the heterogeneity p-values were quoted and the relevant tables (Supplementary Table 8) were added to this sentence.

      (27) Figure 2 has issues with x labels. Due to the low number of ever smokers in START, the boxplot may not be the best visualisation method. It would also benefit from listing n's per group.

      We appreciate this comment to improve the figure presentation. We increased the font size for the X-labels. The sample size for each group in START was also labeled in the new Figure 3 (previously Figure 2).

      Discussion

      (28) Studying the association between maternal smoking and cord blood DNAm is interesting from a biological perspective as it allows for assessing the immediate and long-term effects of maternal smoking on newborn health. However, in terms of calculating the MRS, what are the benefits of using cord blood over the mother's blood? We know that blood-based DNAm smoking score is a powerful predictor of long-term smoking status. 

      The reviewer raises an interesting point – abundant literature supports that DNAm changes are tissue-specific. While mother’s blood DNAm smoking score reflect the long-term exposure to smoking in mothers, the cord blood DNAm captures the consequence of such long-term exposure for newborn health. One of the key results of our study is showing that established DNAm signatures of maternal smoking, which is known to mediate birth size and weight in white Europeans (these references were cited in the original manuscript), carries the same effect of reducing birth weight and size in the South Asian population. This is a critical finding from a DoHaD and public health perspective, as DNAm signatures of maternal smoking, irrespective of the smoking status of the mother, can influence the health trajectory of the newborns.

      We have expanded our discussion based on this suggestion to highlight the unique features of studying maternal smoking via different tissues and their implications. The following was added to the discussion:

      “There are several advantages of using a cord blood based biomarker from the DoHaD perspective. Firstly, cord blood provides a direct reflection of the in utero environment and fetal exposure to maternal smoking. Additionally, since cord blood is collected at birth, it eliminates potential confounding factors such as postnatal exposures that may affect maternal blood samples. Furthermore, studying cord blood DNAm allows for the assessment of epigenetic changes specifically relevant to the newborn, offering valuable information on the potential long-term health implications.”

      (29) Page 13, line 285: "Fourth" without "third".

      It has been revised accordingly.

      Methods 

      (30) The methods section does not contain all the details required to replicate the analysis. Whenever statistical analysis is conducted, this section should clearly describe the type of the analysis (linear regression, t-test, etc.) and name the dependent and independent variables. Sample sizes should also be given. 

      We added further details of test used and sample size for each analysis. We have also included a new “Statistical analysis” subsection under Materials and Methods.

      (31) Please describe MRS testing in the methods.

      We tested MRS with respect to binary and continuous smoking phenotypes using a logistic and linear regression, respectively. The predictive value was assessed using area under the roc curve for the binary outcome and an adjusted R2 for the continuous outcome. These were added to the new “Statistical analysis” subsection under Materials and Methods. See response to comments #22-24, and #30.

      (32) Please describe the methods used to compare the two versions of MRS for maternal

      smoking.

      It was a two-sample t-test, which was described in the Figure legends. We have now added this to the new “Statistical analysis” subsection under Materials and Methods.

      (33) Please describe testing the associations between MRS and Offspring Anthropometrics in more detail.

      We added further details on the regression model and the test for association in the methods. We have now added this to the new “Statistical analysis” subsection under Materials and Methods.

      (34) Meta analysing the 450k and GMEL arrays is going to substantially reduce the number of CpGs under investigation.

      We agree with the reviewer that this is not optimal for signal discovery. However, this is the only way we could synthesize evidence across the cohorts as FAMILY samples were only processed using the customized array. We added the following as a limitation of the study in the discussion.

      “First, the customized array with a limited number of CpGs (<3,000) was designed in 2016 and many large EWASs on smoking and maternal smoking conducted more recently had not been included.”

      (35) Page 16, line 364: GDM abbreviation was used in the results section (line 145), yet it is introduced in line 364. 

      Thank you for catching this, we have removed the duplicate.

      (36) Page 17, line 381: Given the stated importance of ancestry, why not restrict the sample to genetically confirmed groups?

      The reviewer has a valid point that ancestry, either perceived or genetic, can introduce additional heterogeneity due to potential differences in genetics, cultural and social practices, and lifestyles. Genetic data are indeed available for a subset of the individuals. In the original version of the manuscript, we used a stringent ancestry calling method by mapping all individuals with the 1000 Genomes samples from continental populations. The final definition was based on a combination of self-reported and genetically confirmed ancestry. However, if we restricted only to genetically confirmed groups, the sample size would be reduced to 312 (vs. 411), 268 (vs. 352), and 488 (vs. 504) in FAMILY, CHILD, and START, respectively.

      We compared the mean difference in the beta-values of the top associated CpGs and the derived MRS between those genetically confirmed vs. self-reported ancestral groups, and observed no material difference. These results are now included in the Supplementary Materials as part of the sensitivity analysis. Thus, given these considerations, we decided to use this complementary approach to retain the maximum number of samples while ensuring some aspect of ancestral homogeneity.

      “To maximize sample size in FAMILY and CHILD, we retained either self-identified or genetically confirmed Europeans based on available genetic data (Supplementary Table 1).”

      (37) Page 18, line 397: sensitivity analysis not sensitive analysis.

      Thank you for catching this, we have revised accordingly.

      (38) Page 18, line 409: smoking was rank transformed however, it would be good to see regression diagnostics for the lead loci in the EWAS to check that assumptions were met. 

      We thank the reviewer for this suggestion. Smoking exposure is indeed skewed and in fact very much zero-inflated across the cohorts. The raw phenotype violated several model assumptions in terms of variance heteroskedasticity, outlying values (influential points), and linearity. The diagnostics suggested improved deviation from model assumption, yet some aspects of the violation remained at a lesser degree. We included a comparison of results before and after transformation and model diagnostics for the lead CpG using CHILD and FAMILY data in the Supplementary Materials. The following was added to the results:

      “As a sensitivity analysis, we repeated the analysis for the continuous smoking exposure under rank transformation vs. raw phenotype for the associated CpG in GFI1 and examined the regression diagnostics (Supplementary Material), and found that the model under rank-transformation deviated less from assumptions.”

      (39) Page 19, line 418: FDR seems quite a lenient threshold, especially when genome-wide significance thresholds exist. I would be inclined to view the EWAS findings as null.

      The choice of use FDR to was indeed arbitrary as there has been no consensus on what significance threshold, if any, should be used in the context of EWAS. The significance threshold for GWAS (Pe’er et al., 2008) probably does not apply directly to EWAS as the number of effective tests will likely differ between genome-wide genetic variants and CpGs. The Bonferroni corrected p-value threshold in this context would be 0.05/200,050=2.5´10-7, which is still less stringent than the GWAS significance threshold. We originally decided to follow the convention of previous studies and use FDR to filter out a subset of plausible associations to contrast the top association signals for their effects between different populations and with reported effect sizes.

      We have revised the manuscript throughout by removing the notion of significant associations, and instead used the phrase “top associated signals” or “top associations” when discussion EWAS results for individual CpGs. The following was added to Materials and Methods to clarify the choice of our threshold:

      “For each EWAS or meta-analysis, the false discovery rate (FDR) adjustment was used to control multiple testing and we considered CpGs that passed an FDR-adjusted p-value < 0.05 to be relevant for maternal smoking.”

      (40) I do not understand Supplementary Figure 6 - how have the data been standardised? Why not plot the CpGs on the beta-value scale?

      The standardized values were plotted as the reported p-values for the mean and variance equality tests (i.e. ANOVA F-test, Levene’s test, Anderson-Darling test) were based on these transformed values to reduce inflation due to non-normality. We have since removed this comparison and kept only the comparison of the overall score as the number of CpGs in the HM450k score (143 CpGs) for comparison is too high to be visually interpretable.

      (41) It is my understanding, that the MRS for maternal smoking was constructed using external weights projected and regularised using elastic net (effectively trained) in CHILD cohort. The results section discusses associations between maternal smoking history and outcomes in CHILD, FAMILY, and START. Training and testing the score in the same sample (cohort) may result in overfitting and therefore should not be implemented.

      The original MRS was constructed using external weights from an independent discovery sample (Joubert et al., 2016; n > 5,000) and the LASSO validation was done in CHILD (n = 352), external testing was in FAMILY and START. This was the lassosum framework whereby we leverage larger sample size from external studies to select more plausible CpGs as candidates to include in the model. Thus, training, validation, and testing were not done in the same samples. We have included a Figure 1 to illustrate the updated analytical flow and a graphical abstract to summarize the methods.

      (42) Is it a concern that the findings don't seem to replicate Joubert's results, which came from a much larger study?

      Replication is usually done in samples much larger than the discovery samples, thus it is not a concern that we were unable to confirm all signals from Joubert et al., (2016). However, 6/7 of the top associations (FDR adjusted p-value < 0.05) in the meta-analysis were declared as significant in Joubert et al. (2016). In addition, the fact that using Joubert’s summary statistics, we were able to derive MRSs that were strongly associated with both smoking history and weekly exposure suggests shared signals. Also see response to  R1 comment #16 for a comparison of effect consistency.

      (43) Please check that all analysis scripts have been uploaded to Github and that the EWAS results are publicly available.

      We thank the reviewer for this suggestion. All updated scripts and EWAS results are available on Github. We are working to have the results also submitted to EWAS catalog.

      Reviewer #2 (Recommendations For The Authors):

      The impact of this study is reduced due to previous findings:

      (1) Previous studies have already shown that DNA methylation may mediate the effect of maternal smoking on birth size/weight (see e.g.https://doi.org/10.1098/rstb.2018.0120https://doi.org/10.1093/ije/dyv048).

      We thank the reviewer for this point and would like to take the opportunity to clarify that it was not our objective to examine whether there was a causal relationship, between DNA methylation and birth size that was mediated by maternal smoking. One of the key messages of our study is to evaluate whether epigenetic associations – at individual CpGs and aggregated as a score – are consistent between white European and South Asian populations. One way to examine this is through using established DNAm signatures of maternal smoking, which is known to mediate birth size and weight in white Europeans (these references were cited in the original manuscript), and confirm whether they also carry the same effect on birth outcomes in the South Asian population.

      Indeed, our results support that maternal smoking methylation score was consistently associated with negative outcomes in newborns of both white European and South Asian mothers despite no maternal smoking was present in South Asian mothers. These collective point to the possibility that the maternal smoking MRS was capturing a lot more than just smoking and second-hand smoking, but potentially other environmental exposures that also lead to oxidative stress. These together are associated with health consequences, including reduced birth size/weight. One of the candidates for such exposure is air pollution as some of the maternal smoking CpGs were previously linked to air pollution. However, we were unable to assess this hypothesis directly without the air pollution data, and the air pollution methylation score was not associated with smoking history (Supplementary Figure 5) nor smoking exposure (p > 0.4 in CHILD, FAMILY and START).

      The following was added to Materials and Methods under the subsection Using DNA Methylation to Construct Predictive Models for Maternal Smoking:

      “To benchmark and compare with existing maternal smoking MRSs, we calculated the Reese score using 28 CpGs (48,49),  Richmond score using 568 CpGs (49), Rauschert score using 204 CpGs (50), Joubert score using all 2,620 CpGs with evidence of association for maternal smoking (19), and finally a three-CpG score for air pollution (51). The details of these scores and score weight can be found in Supplementary Table 4.”

      The following was added to Results

      “Both produced methylation scores that were significantly associated with maternal smoking history (ANOVA F-test p-values =1.0×10-6 and 2.4×10-14 in CHILD and  6.9×10-16 and <2.2×10-16 in FAMILY), and the best among alternative scores for CHILD and FAMILY (Supplementary Table 5). With the exception of the air pollution MRS, all remaining scores were marginally associated with smoking history in both CHILD and FAMILY (Supplementary Figure 5).”

      (2) Due to the small study size and low levels of prenatal smoke exposure, the model derived here is of little value and is, in fact, superseded by a previously published model (PMID: 27323799). At the very least, the model should be evaluated here. A novel aspect of this study is the inclusion of a South Asian cohort. Unfortunately, smoke exposure is practically non-existent, so it is unclear how it can be used. The more interesting finding in this study is the possibility that environmental factors such as second-hand smoke or pollution may have similar effects on pregnancies as maternal smoking. Are these available? If so, they could be evaluated for associations with DNA methylation. This would be novel. 

      In the revised manuscript, we included the Reese score (Reese et al., 2017) and a few other maternal smoking scores for comparison. In the CHILD cohort, the performance was comparable to our derived score (AUC of 0.95 vs. 0.94 for Reese score), but its applicability was limited since the FAMILY dataset was profiled using a targeted array and only 7 out of 28 of the CpGs in the Reese score were available (AUC of 0.89 vs. 0.72 for Reese). As compared to the remaining scores from literature (see the new Supplementary Table 5 for complete results), Reese’s score has generally favorable performance.

      We did examine second-hand smoking in the original manuscript, showing a significant association with weekly maternal smoking exposure (original Table 3 and Supplementary Table 8). However, air pollution data is not available for assessment.

      (3) The other novel aspect is the evaluation of associations with outcomes later in life. Height and weight are interesting but impact could be gained by including other relevant outcomes such as birth complications, asthma, and intellectual impairment which are known to be associated with prenatal smoking. 

      We thank the reviewer for bring up this point. One of the key health outcomes in the CHILD study was asthma, and data at later time points are available. However, we do not have similar outcomes collected in the other two studies (FAMILY and START), which focused on cardiometabolic health in young children. Thus, we did not initially include outcomes that were not available across all cohorts as the intention was to contrast the effects between populations.

      We recognize that this is an important question and decided to provide the association results for mother reported asthma and allergy, but based on different definitions as these outcomes cannot be harmonized across the cohorts. We also included mode of delivery via emergency C-section as an additional proxy outcome of birth complication.

      The following was added to Materials and Methods:

      “Mode of delivery (emergency c-section vs. other) was collected at the time of delivery.”

      “Additional phenotypes included smoking exposures (hours per week) at home, potential allergy based on mother reporting any of: eczema, hay fever, wheeze, asthma, food allergy (egg, cow milk, soy, other) for her child in FAMILY and START, and asthma based on mother’s opinion in CHILD (“In your opinion, does the child have any of the following? Asthma”).”

      The following was added to Results:

      “The maternal smoking MRS was consistently associated with increasing weekly smoking exposure in children reported by mothers at the 1-year (0.51±0.15, FDR adjusted p= 0.0052) , 3-year (0.53±0.16, FDR adjusted p= 0.0052), and 5-year (0.40±0.15, FDR adjusted p= 0.021) visits with similar effects.”

      “We did not find any association with self-reported allergy or asthma in children at later visits (Supplementary Table 8). Further, there was no evidence of association between the MRS and any maternal outcomes (Supplementary Table 8).”

      REFERENCES:

      Gondalia, R., Baldassari, A., Holliday, K. M., Justice, A. E., Stewart, J. D., Liao, D., . . . Whitsel, E. A. (2021). Epigenetically mediated electrocardiographic manifestations of sub-chronic exposures to ambient particulate matter air pollution in the Women's Health Initiative and Atherosclerosis Risk in Communities Study. Environ Res, 198, 111211. doi:10.1016/j.envres.2021.111211

      Joubert, B. R., Felix, J. F., Yousefi, P., Bakulski, K. M., Just, A. C., Breton, C., . . . London, S. J. (2016). DNA Methylation in Newborns and Maternal Smoking in Pregnancy: Genome-wide Consortium Meta-analysis. Am J Hum Genet, 98(4), 680-696. doi:10.1016/j.ajhg.2016.02.019

      Martin, J. A., Osterman, M. J. K., & Driscoll, A. K. (2023). Declines in Cigarette Smoking During Pregnancy in the United States, 2016-2021. NCHS Data Brief(458), 1-8. Retrieved from https://www.ncbi.nlm.nih.gov/pubmed/36723453

      Reese, S. E., Zhao, S., Wu, M. C., Joubert, B. R., Parr, C. L., Haberg, S. E., . . . London, S. J. (2017). DNA Methylation Score as a Biomarker in Newborns for Sustained Maternal Smoking during Pregnancy. Environ Health Perspect, 125(4), 760-766. doi:10.1289/EHP333

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      The individual roles of both cosolvents and intrinsically disordered proteins (IDPs) in desiccation have been well established, but few studies have tried to elucidate how these two factors may contribute synergistically. The authors quantify the synergy for the model and true IDPs involved with desiccation and find that only the true IDPs have strong desiccation tolerance and synergy with cosolvents. Using these as model systems, they quantify the local (secondary structure vis-a-vi CD spectroscopy) and global dimensions (vis-a-vi the Rg of SAXS experiments) and find no obvious changes with the co-solvents. Instead, they focus on the gelation of one of the IDPs and, using theory and experiments, suggest that the co-solvents may enable desiccation tolerance, an interesting hypothesis to guide future in vivo desiccation studies. A few minor points that remain unclear to this reviewer are noted.

      Strengths:

      This paper is quite extensive and has significant strengths worth highlighting. Notably, the number and type of methods employed to study IDPs are quite unusual, employing CD spectroscopy, SAXS measurements, and DSC. The use of the TFE is an exciting integration of the physical chemistry of cosolvents into the desiccation field is a nice approach and a clever way of addressing the gap of the lack of conformational changes depending on the cosolvents. Furthermore, I think this is a major point and strength of the paper; the underlying synergy of cosolvents and IDPs may lie in the thermodynamics of the dehydration process.

      Figure S6A is very useful. I encourage readers who are confused about the DSC analysis, interpretation, and calculation to refer to it.

      Weaknesses:

      Overall, the paper is sound and employs strong experimental design and analysis. However, I wish to point out a few minor weaknesses.

      Perhaps the largest, in terms of reader comprehension, focuses on the transition between the model peptides and real IDPs in Figures 1 and 2. Notably, little is discussed with respect to the structure of the IDPs and what is known. Notably, I was confused to find out when looking at Table 1 that many of the IDPs are predicted to be largely unordered, which seemed to contrast with some of the CD spectroscopy data. I wonder if the disorder plots are misleading for readers. Can the authors comment more on this confusion? What are these IDPs structurally?

      We apologize for the confusion caused here and thank the reviewer for this astute observation. Our CD spectroscopy data suggests all LEA proteins are almost entirely disordered under aqueous conditions, with a single major minimum at 200 nm, although most have a small inflection around 220 nm, indicating a small proportion of helicity (Fig. 3A). The notable exception here is CAHS D, which – in line with our work and the work of many others – possesses a substantial degree of transient helicity in the linker region (residues 100-200), giving rise to a more pronounced minimum at 220 nm. These conclusions are consistent with our SAXS data (Fig. 4), which predict a radius of gyration far larger than a globular folded protein of the same number of residues should have (15-20 Å). The structural predictions (both Metapredict and AlphaFold2), however, imply several of the proteins to be ordered; AvLEA1C and HeLEA68614 are both predicted to have large folded regions based on metapredict disorder scores. We believe this is an erroneous prediction driven by these regions' propensity to acquire helicity in the context of desiccation (Fig 3B) and/or when interacting with clients. As such, our computational analysis is at odds with the experimental data because these proteins are all poised to undergo a coil-to-helix transition, an effect our parallel work has proposed is important for their function (see Biswas et al. Prot. Sci. 2024). The ability of AlphaFold2 to predict bound-state or transient helices has been previously documented (Alderson et al PNAS 2023)

      To address this discrepancy, the caption for Table 1 reads: “We note that the reason many of these profiles contain large folded regions is because the amphipathic LEA and CAHS proteins are predicted to form helices, which metapredict infers and incorrectly highlights these regions as ‘folded’ when really they are disordered in isolation”. We have also added additional context and information to the caption for Fig. S9 “We note that the structural predictions from AlphaFold2 contain largely ordered structures. We believe this is due to the propensity of these proteins to form helices in the context of drying or when interacting with a client. This has been shown in cases where an IDR contains residual helicity or is folded upon binding [70].”

      Related to the above thoughts, the alpha fold structures for the LEA proteins are predicted (unconfidently) as being alpha-helical in contrast to the CD data. Does this complicate the TFE studies and eliminate the correlation for the LEA proteins?

      AlphaFold2 predicted helicity in disordered regions is commonly observed, and thought to indicate a possible “bound” helical state (Alderson et al. PNAS 2023). As shown by the CD data, in aqueous conditions no secondary structure exists. It is only in the desiccated state - the path to which requires proteins to reach excessively high concentrations - that this secondary structure appears. Underlying our TFE model is that the AlphaFold2 predicted secondary structure is indicative of the state the proteins are in at high abundance, which occurs as cells ramp up protectant expression and as water is removed from the system. Under these assumptions, the CD data is in agreement with the AlphaFold2 predictions, and our analysis holds. This is explained in the methods under “Transfer Free Energy (TFE) Calculations” - but we have now also added an additional sentence to this effect in the main text: “Using a similar AlphaFold2-based approach for LEA proteins and for BSA, we can make correlations between the Gtr of the disorder-to-order transition and synergy (Fig. S8F-K). Interestingly, AlphaFold2 predictions of our LEA proteins were broadly helical, which is in contrast to our experimental characterization of these proteins in aqueous solutions. However, this is not unusual for AlphaFold2 predictions and could possibly represent a “bound” conformation for the proteins [70].”

      Additionally, the notation that the LEA and BSA proteins do not correlate is unclear to this reviewer, aren't many of the correlations significant, having both a large R^2 and significant p-value?

      We thank the reviewer for pointing this out. While BSA and some LEA proteins have values that correlate with synergy, there’s more to consider in assessing the relevance of these correlations. For example, we cannot claim that the value is physiologically relevant without observing an actual structural change in the protein. Furthermore, several of these proteins (BSA and AvLEA1C) were found to be not significantly synergistic in the LDH assay, and any correlation should, therefore, also be considered non-significant. We have added a sentence to the results to clarify this: “For a subset of these proteins, we see a statistically significant correlation between G and synergy. However, this data is purely computational. For CAHS D, we saw our predictions recapitulated in changes in the protein structure, and for the LEA proteins we do not. Thus, we conclude that cosolutes do not induce synergy in our LEA proteins through a change in folding.”

      The calculation of synergy seems too simplistic or even problematic to me. While I am not familiar with the standards in the desiccation field, I think the approach as presented may be problematic due to the potential for higher initial values of protection to have lower synergies (two 50%s for example, could not yield higher than 100%).

      We acknowledge the reviewer’s concern about our synergy calculation. We would like to highlight the use of sub-optimal protective concentrations in our synergy assays similar to studies previously reported in the desiccation field (Nguyen et al. 2022; Kim et al. 2018).

      As the reviewer pointed out, we agree that there is a theoretical 100% threshold in our experiments which if we hit, we cannot distinguish between individual additive vs synergistic effects. To avoid the situation of reaching the near maximal protection levels (~100%), we intentionally select a sub-optimal concentration of the protectants that are below the maximum efficacy level for individual protectants to use in our assays. This limits the potential for initial higher values of the protectants so that their combined effect is not maximized, and there is always the potential for synergy. We would also like to point out that we never actually hit that 100% threshold in any of our synergy experiments, which warrants that any observed increase in protection is attributed to a true synergistic effect between the protectants.

      Instead, I would think one would need to really think of it as an apparent equilibrium constant between functional and non-functional LDH (Kapp = [Func]/[Not Func] and frac = Kapp/(1+Kapp) or Kapp = frac/(1-frac) ) Then after getting the apparent equilibrium constants for the IDP and cosolvent (KappIDP and KappCS), the expected additive effect would be frac = (KappIDP+KappCS)/(1+KappIDP+KappCS).

      Consequently, the extent of synergy could be instead calculated as KappBOTH-KappIDP-KappCS. Maybe this reviewer is misunderstanding. It is recommended that the authors clarify why the synergy calculation in the manuscript is reasonable.

      We thank the reviewer for this suggestion. In the desiccation field, the synergy calculations that we used is the standard method that people use, so that’s what we present in our main manuscript. However, we have now quantified synergy through two new approaches: one, as suggested by the reviewer, using the equilibrium constant (Kapp) as a metric, and the other using the Bliss Independent model, which is a common approach for calculating synergy in drug combination studies. We see minimal differences in terms of the synergy scores using these different methods. We have included the results for these additional methods in supplemental figure S3.

      Related to the above, the authors should discuss the utility of using molar concentration instead of volume fraction or mass concentration. Notably, when trehalose is used in concentration, the volume fraction of trehalose is much smaller compared to the IDPs used in Figure 2 or some in Figure 1. Would switching to a different weighted unit impact the results of the study, or is it robust to such (potentially) arbitrary units?

      We thank the reviewer for this comment. Indeed, in studies of cosolute effect, concentration units can alter the conclusions of the study (Auton and Bolen 2004). In our case, the relevant figures where we use a concentration scale (1B and 2B) are not germane to the main conclusions: The only use of these PD50 values is to determine a sub-optimal concentration at which ~30% of the LDH is protected. While it is true that the number for the concentration of e.g., trehalose will be dramatically different if we were to use mass fraction units, the rest of the work and all our conclusions would be exactly the same.

      Additionally, our use of a molar ratio when discussing synergy is a direct result of the way we think about such synergy: Since the concentration of both protein and cosolute can change by orders of magnitude during drying, it is the copy numbers of both proteins and cosolute that are conserved in this process, and it is this unit that we think is important to the protective effect (rather than the partial molar volume, for example, which would be changing as the system dries).

      Reviewer #2 (Public Review):

      Summary:

      The paper aims to investigate the synergies between desiccation chaperones and small molecule cosolutes, and describe its mechanistic basis. The paper reports that IDP chaperones have stronger synergies with the cosolutes they coexist with, and in one case suggests that this is related to oligomerization propensity of the IDP.

      Strengths:

      The study uses a lot of orthogonal methods and the experiments are technically well done. They are addressing a new question that has not really been addressed previously.

      Weaknesses:

      The conclusions are based on a few examples and only partial correlations. While the data support mechanistic conclusions about the individual proteins studied, it is not clear that the conclusions can be generalized to the extent proposed by the authors due to small effect sizes, small numbers of proteins, and only partial correlations.

      Thank you for bringing this up. We agree that we should not generalize our results to other systems based on the evidence we have for the proteins used in our study. We have altered our discussion to highlight that this may apply to other IDPs, and that future experiments must be done to support this: “Additionally, we want to point out that our results cannot necessarily be generalized to all desiccation-related IDPs. More experiments will be needed to assess the relevance of cosolute effects to functional synergy and IDP folding in the context of desiccation and beyond. This remains an important future direction for the field.”

      The authors pose relevant questions and try to answer them through a systematic series of experiments that are all technically well-conducted. The data points are generally interpreted appropriately in isolation, however, I am a little concerned about a tendency to over-generalize their findings. Many of the experiments give negative or non-conclusive results (not a problem in itself), which means that the overall storyline is often based on single examples.

      We agree with the reviewer’s point. As mentioned earlier, we have modified our manuscript to reflect that our findings are based on the six proteins that we studied, and we can only speculate about other desiccation-related IDPs based on our results.

      For example, the central conclusion that IDPs interact synergistically with their endogenous co-solute (Figure 2E) is largely driven by one outlier from Arabidopsis. The rest are relatively close to the diagonal, and one could equally well suggest that the cosolutes affect the IDPs equally (which is also the conclusion in 1F).

      We appreciate the reviewer’s concern regarding our conclusion in Figures 2E and 1F. We would like to highlight that our conclusions that IDPs interact synergistically with their endogenous cosolute are based on statistical analysis. Our data shows that full-length proteins that were synergistic with both cosolutes are always significantly more synergistic with the endogenous cosolute (Fig. 2E, Fig. S2C-E). For example, the nematode protein is synergistic with both trehalose and sucrose, but is significantly more synergistic with trehalose, the endogenous nematode cosolute, than with sucrose (Fig S2D).

      This is not the case in 1F. In Fig. 1F, it is to note that not only are the points close to the diagonal, but most points are close to zero along both axes indicating no synergy. In fact, many points have negative synergy (antagonistic effect).

      We do recognize that our conclusions are based on the study of a specific set of six IDPs, and we do not want to overreach in our conclusions. To acknowledge this, we have now added text to emphasize that our conclusion is based on the six proteins that we tested, and we speculate it might apply to other systems: “Our data shows that these six IDPs synergize best with their endogenous cosolute to promote desiccation tolerance and we speculate that this may apply to other desiccation-related IDPs”.

      Similarly, the mechanistic explanations tend to be based on single examples. This is somewhat unavoidable as biophysical studies cannot be done on thousands of proteins, but the text should be toned down to reflect the strength of the conclusions.

      We acknowledge the reviewer’s concern. We have modified our manuscript accordingly to reflect that the mechanistic insights we gained are for the six proteins we tested empirically. These changes can be found throughout the manuscript. None of our experiments rule out the possibility that other LEA proteins or CAHS proteins may show different structural transitions, or that other IDPs may take on structural changes in response to the cosolutes.

      The central hypothesis revolves around the interplay between cosolutes and IDP chaperones comparing chaperones from species with different complements of cosolutes. In Table 1, it is mentioned that Arabidopsis uses both trehalose and sucrose as a cosolute, yet experiments are only done with either of these cosolutes and Arabidopsis is counted in the sucrose column. While it makes sense to compare them separately from a biophysical point of view, the ability to test the co-evolution of these systems is somewhat diminished by this. At least it should be discussed clearly.

      We appreciate the reviewer’s comment. As is mentioned in Table 1, Arabidopsis uses both trehalose and sucrose as cosolute. As such, we would predict that the Arabidopsis proteins would respond positively to both cosolutes. We would like to point out that Arabidopsis is counted in both trehalose and sucrose columns.

      We would also like to emphasize that multiple osmolytes exist in all organisms as a desiccation response and a simple IDP-cosolute system is far from a true recapitulation of a desiccating system. We have touched on this in the discussion and explicitly addressed the presence of both cosolutes in Arabidopsis and the need for further experiments to test for synergistic interactions using both or multiple mediators to illustrate synergy in multiple cosolute systems: “It is important to note that desiccation-tolerant organisms employ multiple cosolutes to counteract the effects of desiccation. The use of a single cosolute-IDP system in our in vitro experiments does not accurately mirror the diverse cosolute changes in desiccating systems. For instance, Arabidopsis seeds enrich both trehalose and sucrose, among other cosolutes. This demands the necessity of future experiments that incorporate both or multiple cosolutes and assess their synergistic effects, thus elucidating the intricate synergy in multi-cosolute systems.”

      It would be helpful if the authors could spell out the theoretical basis of how they quantify synergy. I understand what they are doing - and maybe there are no better ways to do it - but it seems like an approach with limitations. The authors identify one in that the calculation only works far from 100%, but to me, it seems there would be an equally strict requirement to be significantly above 0%. This would suggest that it is used wrongly in Figure 6H, where there is no effect of betaine (at least as far as the color scheme allows one to distinguish the different bars). In this case, the authors cannot really conclude synergy or not, it could be a straight non-synergistic inhibition by betaine.

      We appreciate the reviewer’s concern about the theoretical basis of how we quantify synergy. We do acknowledge the limitation of our LDH protection/synergy assay only produces interpretable data when our protectant/mixture yields protection levels within the range 0 and below 100%. Betaine was not protective in any of the concentrations we tested in this study. In line with the reviewer’s comment, we also acknowledge that within our experimental procedures, the inhibitory effects of betaine cannot be accurately captured, considering that LDH activity is ~0% without protectants. However, in our positive control in which LDH is co-incubated with betaine or betaine and CAHS D overnight in the hydrated state, we do not see a loss of enzymatic function of LDH nullifying a direct inhibition by betaine. We have added this text in our manuscript: “Glycine betaine on its own is not protective to LDH during drying nor does it inhibit LDH activity (Fig. S8E)”.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      The conclusion in lines 195-196 seems overstated as the length dependence could be strongly changed in non-tested concentrations or those that are not possible experimentally. Notably, the IDPs in Figure 2 are around 200AA and only transition in the ranges tested for these peptides. Some other conclusions around this point seem a little overstated.

      We acknowledge the reviewer’s concern about the potential variability of the length dependence of the motifs at concentrations beyond those tested. However, we would like to highlight that higher concentrations of the tandem repeats (At22 and At44) inactivated LDH during the incubation period, as was seen with  the 11-mer motifs. This meant we could not evaluate protection by these motifs at concentrations beyond those plotted in Fig. 1A. This behavior was not observed for the full-length proteins. Regardless, we have toned down the conclusion in lines 195-196 to only reflect our results for the 2X and 4X repeats of At11 which now reads “We synthesized 2X (At22) and 4X (At44) tandem repeats of the A. thaliana 11-mer LEA_4 motif (At11). At22 and At44 show minimal potency in preserving in vitro LDH function during drying (Fig. 1A, Fig. S1A).”

      Reviewer #2 (Recommendations For The Authors):

      Figure 3: The focus on the ratio 222/210 seems inappropriate. That would indeed be useful for telling apart e.g. an alpha-to-beta transition, or formation of coiled coils. However, for a helix-to-coil equilibrium, which is likely to dominate here, it will not be especially sensitive as demonstrated e.g. by BSA in the dry state.

      We thank the reviewer for this comment. The use of ratios to measure structural transition is primarily to eliminate the effects of concentrations on the graph. It is clear from Fig. 3A and Fig. 3B that a structural transition occurs between the aqueous and the desiccated state. This is also very clear from the 222/210 ratio that we use (Fig. 3C), for every construct other than BSA - which indeed does not seem to undergo a dramatic structural change in the desiccated state. We have clarified this now in the description of the results: “Using this metric, all LEAs and CAHS D display a clear increase in helical propensity upon being desiccated (Fig. 3C). On the other hand, the helical propensity of BSA remains very similar to its hydrated state, indicating that no dramatic structural change took place (Fig. 3C).

      Minor comments:

      Figure 1F is not mentioned in the text.

      We have included Fig. 1F in the text.

      Some technical details missing for SAXS experiments.

      We thank the reviewer for pointing this out. We’ve added additional technical details to the main text, and directed readers to the methods for more information.

      It is well known that BSA is in a monomer-dimer equilibrium and this is normally taken into account in data analysis as this is often a calibration sample.

      We’ve calculated for BSA, and correlated the resulting data with synergy. This can be found in figure S7M and figure S8I.

      Line 247: "BSA, which comes from cows, which of course have no capacity for anhydrobiosis" - This seems like a rather strong statement without a reference. Did the authors consider reanimating beef jerky by soaking it in water? ;-)

      This is a great idea, and we hope to assign this project to our next rotation student.

      Minor suggestions for figures (that are generally very well done):

      Figure 1-4: Consider using the color scheme to indicate what the endogenous cosolutes are. Even though this info is in table one, it would still improve readability.

      We have added the colored organismal icons for all figures in which the plain black ones were previously used, including supplementals.

      Figure 4: consider adding some white space between the two concentration series of solutes to avoid being read as a single concentration series.

      We have updated this figure to clearly separate each sample by osmolyte.

      Figure 6H: Consider changing the colors for Betaine and CAHS D, so they are easier to distinguish. They are hard to tell apart on a printout.

      We have adjusted the colors for betaine and CAHS D.

    1. Authorr Response

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      The objective of this investigation was to determine whether experimental pain could induce alterations in cortical inhibitory/facilitatory activity observed in TMS-evoked potentials (TEPs). Previous TMS investigations of pain perception had focused on motor evoked potentials (MEPs), which reflect a combination of cortical, spinal, and peripheral activity, as well as restricting the focus to M1. The main strength of this investigation is the combined use of TMS and EEG in the context of experimental pain. More specifically, Experiment 1 investigated whether acute pain altered cortical excitability, reflected in the modulation of TEPs. The main outcome of this study is that relative to non-painful warm stimuli, painful thermal stimuli led to an increase on the amplitude of the TEP N45, with a larger increase associated with higher pain ratings. Because it has been argued that a significant portion of TEPs could reflect auditory potentials elicited by the sound (click) of the TMS, Experiment 2 constituted a control study that aimed to disentangle the cortical response related to TMS and auditory activity. Finally, Experiment 3 aimed to disentangle the cortical response to TMS and reafferent feedback from muscular activity elicited by suprathreshold TMS applied over M1. The fact that the authors accompanied their main experiment with two control experiments strengthens the conclusion that the N45 TEP peak could be implicated in the perception of painful stimuli.

      Perhaps, the addition of a highly salient but non-painful stimulus (i.e. from another modality) would have further ruled out that the effects on the N45 are not predominantly related to intensity/saliency of the stimulus rather than to pain per se.

      We thank the reviewer for their comment on the possibility of whether stimulus intensity influences the N45 as opposed to pain per se. We agree that the ideal experiment would have included multiple levels of stimulation. We would argue, however, that that in Experiment 1, despite the same level of stimulus intensity for all participants (46 degrees), individual differences in pain ratings were associated with the change in the N45 amplitude, suggesting that the results cannot be explained by stimulus intensity, but rather by pain intensity.

      Reviewer #2 (Public Review):

      The authors have used transcranial magnetic stimulation (TMS) and motor evoked potentials (MEPs) and TMS-electroencephalography (EEG) evoked potentials (TEPs) to determine how experimental heat pain could induce alterations in these metrics.
In Experiment 1 (n = 29), multiple sustained thermal stimuli were administered over the forearm, with the first, second, and third block of stimuli consisting of warm but non-painful (pre-pain block), painful heat (pain block) and warm but non-painful (post-pain block) temperatures respectively. Painful stimuli led to an increase in the amplitude of the fronto-central N45, with a larger increase associated with higher pain ratings. Experiments 2 and 3 studied the correlation between the increase in the N45 in pain and the effects of a sham stimulation protocol/higher stimulation intensity. They found that the centro-frontal N45 TEP was decreased in acute pain. The study comes from a very strong group in the pain fields with long experience in psychophysics, experimental pain, neuromodulation, and EEG in pain. They are among the first to report on changes in cortical excitability as measured by TMS-EEG over M1. While their results are in line with reductions seen in motor-evoked responses during pain and effort was made to address possible confounding factors (study 2 and 3), there are some points that need attention. In my view the most important are:

      1) The method used to calculate the rest motor threshold, which is likely to have overestimated its true value : calculating highly abnormal RMT may lead to suprathreshold stimulations in all instances (Experiment 3) and may lead to somatosensory "contamination" due to re-afferent loops in both "supra" and "infra" (aka. less supra) conditions.

      The method used to assess motor threshold was the TMS motor threshold Assessment Tool (MTAT) which estimates motor threshold using maximum likelihood parametric estimation by sequential testing (Awiszus et al., 2003; Awiszus and Borckardt, 2011). This was developed as a quicker alternative for calculating motor threshold compared to the traditional Rossini-Rothwell method which involves determining the lowest intensity that evokes at least 5/10 MEPs of at least 50 microvolts. The method has been shown to achieve the same accuracy of determining motor threshold as the traditional Rossini-Rothwell method, but with fewer pulses (Qi et al., 2011; Silbert et al., 2013).

      We have now made this clearer in the manuscript:

      “The RMT was determined using the TMS motor thresholding assessment tool, which estimates the TMS intensity required to induce an MEP of 50 microvolts with a 50% probability using maximum likelihood parametric estimation by sequential testing (Awiszus, 2003; Awiszus & Borckardt, 2011). This method has been shown to achieve the accuracy of methods such as the Rossini-Rothwell method (Rossini et al., 1994; Rothwell et al., 1999) but with fewer pulses (Qi, Wu, & Schweighofer, 2011; Silbert, Patterson, Pevcic, Windnagel, & Thickbroom, 2013). The test stimulus intensity was set at 110% RMT to concurrently measure MEPs and TEPs during pre-pain, pain and post-pain blocks.”

      Therefore, the high RMTs in our study cannot be explained by the threshold assessment method. Instead, they are likely explained by aspects of the experimental setup that increased the distance between the TMS coil and the scalp, including the layer of foam placed over the coil, the EEG cap and the fact that the electrodes we used had a relatively thick profile. This has been explained in the paper:

      “We note that the relatively high RMTs are likely due to aspects of the experimental setup that increased the distance between the TMS coil and the scalp, including the layer of foam placed over the coil, the EEG cap and relatively thick electrodes (6mm)”

      Awiszus, F. (2003). TMS and threshold hunting. In Supplements to Clinical neurophysiology (Vol. 56, pp. 13-23). Elsevier.

      Qi, F., Wu, A. D., & Schweighofer, N. (2011). Fast estimation of transcranial magnetic stimulation motor threshold. Brain stimulation, 4(1), 50-57.

      Silbert, B. I., Patterson, H. I., Pevcic, D. D., Windnagel, K. A., & Thickbroom, G. W. (2013). A comparison of relative-frequency and threshold-hunting methods to determine stimulus intensity in transcranial magnetic stimulation. Clinical Neurophysiology, 124(4), 708-712.

      2) The low number of pulses used for TEPs (close to ⅓ of the usual and recommended)

      We agree that increasing the number of pulses can increase the signal to noise ratio. During piloting, participants were unable to tolerate the painful stimulus for long periods of time and we were required to minimize the number of pulses per condition.

      We note that there is no set advised number of trials in TMS-EEG research. According to the recommendations paper, the number of trials should be based on the outcome measure e.g., TEP peaks vs. frequency domain measures vs. other measures and based on previous studies investigating test-retest reliability (Hernandez-Pavon et al., 2023). The choice of 66 pulses per condition was based on the study by Kerwin et al., (2018) showing that optimal concordance between TEP peaks can be found with 60-100 TMS pulses delivered in the same run (as in the present study). The concordance was particularly higher for the N40 peak at prefrontal electrodes, which was the key peak and electrode cluster in our study. We have made this clearer:

      “Current recommendations (Hernandez-Pavon et al., 2023) suggest basing the number of TMS trials per condition on the key outcome measure (e.g., TEP peaks vs. frequency measures) and based on previous test-retest reliability studies. In our study the number of trials was based on a test-retest reliability study by (Kerwin, Keller, Wu, Narayan, & Etkin, 2018) which showed that 60 TMS pulses (delivered in the same run) was sufficient to obtain reliable TEP peaks (i.e., sufficient within-individual concordance between the resultant TEP peaks of each trial).”

      Further supporting the reliability of the TEP data in our experiment, we note that the scalp topographies of the TEPs for active TMS at various timepoints (Figures 5, 7 and 9) were similar across all three experiments, especially at 45 ms post-TMS (frontal negative activity, parietal-occipital positive activity).

      In addition to this, the interclass correlation coefficient (Two-way fixed, single measure) for the N45 to active suprathreshold TMS across timepoints for each experiment was 0.90 for Experiment 1 (across pre-pain, pain, post-pain time points), 0.74 for Experiment 2 (across pre-pain and pain conditions), and 0.95 for Experiment 3 (across pre-pain conditions). This suggests that even with the fluctuations in the N45 induced by pain, the N45 for each participant was stable across time, further supporting the reliability of our data. These ICCs are now reported in the supplementary material (subheading: Test-retest reliability of N45 Peaks).

      Hernandez-Pavon, J. C., Veniero, D., Bergmann, T. O., Belardinelli, P., Bortoletto, M., Casarotto, S., ... & Ilmoniemi, R. J. (2023). TMS combined with EEG: Recommendations and open issues for data collection and analysis. Brain Stimulatio, 16(3), 567-593

      Kerwin, L. J., Keller, C. J., Wu, W., Narayan, M., & Etkin, A. (2018). Test-retest reliability of transcranial magnetic stimulation EEG evoked potentials. Brain stimulation, 11(3), 536-544.

      Lack of measures to mask auditory noise.

      In TMS-EEG research, various masking methods have been proposed to suppress the somatosensory and auditory artefacts resulting from TMS pulses, such as white noise played through headphones to mask the click sound (Ilmoniemi and Kičić, 2010), and a thin layer of foam placed between the TMS coil and EEG cap to minimize the scalp sensation (Massimini et al., 2005). However, recent studies have shown that even when these methods are used, sensory contamination of TEPs is still present, as shown by studies that show commonalities in the signal between active and sensory sham conditions that mimic the auditory/somatosensory aspects of real TMS (Biabani et al., 2019; Conde et al., 2019; Rocchi et al., 2021). This has led many authors (Biabani et al., 2019; Conde et al., 2019) to recommend the use of sham conditions to control for sensory contamination. To separate the direct cortical response to TMS from sensory evoked activity, Experiment 2 included a sham TMS condition that mimicked the auditory/somatosensory aspects of active TMS to determine whether any alterations in the TEP peaks in response to pain were due to changes in sensory evoked activity associated with TMS, as opposed to changes in cortical excitability. Therefore, the lack of auditory masking does not impact the main conclusions of the paper.

      We have made this clearer:

      “… masking methods have been used to suppress these sensory inputs, (Ilmoniemi and Kičić, 2010; Massimini et al., 2005). However recent studies have shown that even when these methods are used, sensory contamination of TEPs is still present, as shown by commonalities in the signal between active and sensory sham conditions that mimic the auditory/somatosensory aspects of real TMS (Biabani et al., 2019; Conde et al., 2019; Rocchi et al., 2021). This has led many leading authors (Biabani et al., 2019; Conde et al., 2019) to recommend the use of sham conditions to control for sensory contamination.”

      Ilmoniemi, R. J., & Kičić, D. (2010). Methodology for combined TMS and EEG. Brain topography, 22, 233-248.

      Massimini, M., Ferrarelli, F., Huber, R., Esser, S. K., Singh, H., & Tononi, G. (2005). Breakdown of cortical effective connectivity during sleep. Science, 309(5744), 2228-2232.

      Biabani, M., Fornito, A., Mutanen, T. P., Morrow, J., & Rogasch, N. C. (2019). Characterizing and minimizing the contribution of sensory inputs to TMS-evoked potentials. Brain stimulation, 12(6), 1537-1552.

      Conde, V., Tomasevic, L., Akopian, I., Stanek, K., Saturnino, G. B., Thielscher, A., ... & Siebner, H. R. (2019). The non-transcranial TMS-evoked potential is an inherent source of ambiguity in TMS-EEG studies. Neuroimage, 185, 300-312.

      Rocchi, L., Di Santo, A., Brown, K., Ibáñez, J., Casula, E., Rawji, V., ... & Rothwell, J. (2021). Disentangling EEG responses to TMS due to cortical and peripheral activations. Brain stimulation, 14(1), 4-18.

      3) A supra-stimulus heat stimulus not based on individual HPT, that oscillates during the experiment and that lead to large variations in pain intensity across participants is unfortunate.

      The choice of whether to calibrate or fix stimulus intensity is a contentious question in experimental pain research. A recent discussion by Adamczyk et al., (2022) explores the pros and cons of each approach and recommends situations where one method may be preferred over the other. That paper suggests that the choice of the methodology is related to the research question – when the main outcome of the research is objective (neurophysiological measures) and researchers are interested in the variability in pain ratings, the fixed approach is preferrable. Given we explored the relationship between MEP/N45 modulation by pain and pain intensity, this question is better explored by using the same stimulus intensity for all participants, as opposed to calibrating the intensity to achieve a similar level of pain across participants.

      We have made this clearer:

      “Given we were interested in the individual relationship between pain and excitability changes, the fixed temperature of 46ºC ensured larger variability in pain ratings as opposed to calibrating the temperature of the thermode for each participant (Adamczyk et al., 2022).”.

      Adamczyk, W. M., Szikszay, T. M., Nahman-Averbuch, H., Skalski, J., Nastaj, J., Gouverneur, P., & Luedtke, K. (2022). To calibrate or not to calibrate? A methodological dilemma in experimental pain research. The Journal of Pain, 23(11), 1823-1832.

      So is the lack of report on measures taken to correct for a fortuitous significance (multiple comparison correction) in such a huge number of serial paired tests.

      Note that we used a Bayesian approach for all analyses as opposed to the traditional frequentist approach. In contrast to the frequentist approach, the Bayesian approach does not require corrections for multiple comparisons (Gelman et al., 2000) given that they provide a ratio representing the strength of evidence for the null vs. alternative hypotheses as opposed to accepting or rejecting the null hypothesis based on p-values. As such, throughout the paper, we frame our interpretations and conclusions based on the strength of evidence (e.g. anecdotal/weak, moderate, strong, very strong) as opposed to referring to the significance of the effects.

      Gelman A, Tuerlinckx F. (2000). Type S error rates for classical and Bayesian single and multiple comparison procedures. Computational statistics, 15(3):373-90.

      Reviewer #3 (Public Review):

      The present study aims to investigate whether pain influences cortical excitability. To this end, heat pain stimuli are applied to healthy human participants. Simultaneously, TMS pulses are applied to M1 and TMS-evoked potentials (TEPs) and pain ratings are assessed after each TMS pulse. TEPs are used as measures of cortical excitability. The results show that TEP amplitudes at 45 msec (N45) after TMS pulses are higher during painful stimulation than during non-painful warm stimulation. Control experiments indicate that auditory, somatosensory, or proprioceptive effects cannot explain this effect. Considering that the N45 might reflect GABAergic activity, the results suggest that pain changes GABAergic activity. The authors conclude that TEP indices of GABAergic transmission might be useful as biomarkers of pain sensitivity.

      Pain-induced cortical excitability changes is an interesting, timely, and potentially clinically relevant topic. The paradigm and the analysis are sound, the results are mostly convincing, and the interpretation is adequate. The following clarifications and revisions might help to improve the manuscript further.

      1) Non-painful control condition. In this condition, stimuli are applied at warmth detection threshold. At this intensity, by definition, some stimuli are not perceived as different from the baseline. Thus, this condition might not be perfectly suited to control for the effects of painful vs. non-painful stimulation. This potential confound should be critically discussed.

      In Experiment 3, we also collected warmth ratings to confirm whether the pre-pain stimuli were perceived as different from baseline. This detail has been added to them methods:

      “In addition to the pain rating in between TMS pulses, we collected a second rating for warmth of the thermal stimulus (0 = neutral, 10 = very warm) to confirm that the participants felt some difference in sensation relative to baseline during the pre-pain block. This data is presented in the supplementary material”.

      We did not include these data in the initial submission but have now included it in the supplemental material. These data showed warmth ratings were close to 2/10 on average. This confirms that the non-painful control condition produced some level of non-painful sensation.

      2) MEP differences between conditions. The results do not show differences in MEP amplitudes between conditions (BF 1.015). The analysis nevertheless relates MEP differences between conditions to pain ratings. It would be more appropriate to state that in this study, pain did not affect MEP and to remove the correlation analysis and its interpretation from the manuscript.

      The interindividual relationship between changes in MEP amplitude and individual pain rating is statistically independent from the overall group level effect of pain on MEP amplitude. Therefore, conclusions for the individual and group level effects can be made independently.

      It is also important to note that in the pain literature, there is now increasing emphasis placed on investigating the individual level relationship between changes in cortical excitability and pain as opposed to the group level effect (Seminowicz et al., 2019; Summers et al., 2019). As such, it is important to make these results readily available for the scientific community.

      We have made this clearer:

      ‘As there is now increasing emphasis placed on investigating the individual level relationship between changes in cortical excitability and pain and not only the group level effect, (Chowdhury et al., 2022; Seminowicz et al., 2018; Seminowicz, Thapa, & Schabrun, 2019; Summers et al., 2019) we also investigated the correlations between pain ratings and changes in MEP (and TEP) amplitude”

      Chowdhury, N. S., Chang, W. J., Millard, S. K., Skippen, P., Bilska, K., Seminowicz, D. A., & Schabrun, S. M. (2022). The Effect of Acute and Sustained Pain on Corticomotor Excitability: A Systematic Review and Meta-Analysis of Group and Individual Level Data. The Journal of Pain, 23(10), 1680-1696.

      Summers, S. J., Chipchase, L. S., Hirata, R., Graven-Nielsen, T., Cavaleri, R., & Schabrun, S. M. (2019). Motor adaptation varies between individuals in the transition to sustained pain. Pain, 160(9), 2115-2125.

      Seminowicz, D. A., Thapa, T., & Schabrun, S. M. (2019). Corticomotor depression is associated with higher pain severity in the transition to sustained pain: a longitudinal exploratory study of individual differences. The Journal of Pain, 20(12), 1498-1506.

      3) Confounds by pain ratings. The ISI between TMS pulses is 4 sec and includes verbal pain ratings. Considering this relatively short ISI, would it be possible that verbal pain ratings confound the TEP? Moreover, could the pain ratings confound TEP differences between conditions, e.g., by providing earlier ratings when the stimulus is painful? This should be carefully considered, and the authors might perform control analyses.

      It is unlikely that the verbal ratings contaminated the TEP response as the subsequent TMS pulse was not delivered until the verbal rating was complete and given that each participant was cued by the experimenter to provide the pain rating after each pulse (rather than the participant giving the rating at any time). As such, it would not be possible for participants to provide earlier ratings to more painful stimuli.

      We have made this clearer:

      "To avoid contamination of TEPs by verbal ratings, the subsequent TMS pulse was not delivered until the verbal rating was complete, and the participant was cued by the experimenter to provide the pain rating after each pulse.”

      4) Confounds by time effects. Non-painful and painful conditions were performed in a fixed order. Potential confounds by time effects should be carefully considered.

      Previous research suggests that pain alters neural excitability even after pain has subsided. In a recent meta-analysis (Chowdhury et al., 2022) we found effect sizes of 0.55-0.9 for MEP reductions 0-30 minutes after pain had resolved. As such, we avoided intermixing pain and warm blocks given subsequent warm blocks would not serve as a valid baseline, as each subsequent warm block would have residual effects from the previous pain blocks.

      Chowdhury, N. S., Chang, W. J., Millard, S. K., Skippen, P., Bilska, K., Seminowicz, D. A., & Schabrun, S. M. (2022). The Effect of Acute and Sustained Pain on Corticomotor Excitability: A Systematic Review and Meta-Analysis of Group and Individual Level Data. The Journal of Pain, 23(10), 1680-1696.

      At the same time, given there was no conclusive evidence for a difference in N45 amplitude between pre-pain and post-pain conditions of Experiment 1 (Supplementary Figure 1), it is unlikely that the effect of pain was an artefact of time i.e., the explanation that successive thermal stimuli applied to the skin results an increase in the N45, regardless of whether the stimuli are painful or not. We will make this point in our next revision.

      We have discussed this issue:

      “Lastly, future research should consider replicating our experiment using intermixed pain and no pain blocks, as opposed to fixed pre-pain and pain blocks, to control for order effects i.e., the explanation that successive thermal stimuli applied to the skin results an increase in the N45 peak, regardless of whether the stimuli are painful or not. However, we note that there was no conclusive evidence for a difference in N45 peak amplitude between pre-pain and post-pain conditions of Experiment 1 (Supplementary Figure 1), suggesting it is unlikely that the observed effects were an artefact of time.”

      5) Data availability. The authors should state how they make the data openly available.

      We have uploaded the MEP, TEP and pain data on the Open science framework https://osf.io/k3psu/

      Reviewer #1 (Recommendations For The Authors):

      I think the study is quite solid and I only have very minor recommendations for the authors:

      • Introduction, p. 3: "Functional magnetic resonance imaging has helped us understand where in the brain pain is processed". This is an overstatement. fMRI provides us with potential biomarkers (e.g. "the pain signature"), but the specificity of these responses for pain is debated and we still do not know where in the brain pain is processed.

      We have amended to:

      “functional magnetic resonance imaging has assisted in the localization of brain structures implicated in pain processing”

      • Introduction, p. 5: "neural baseline" should be "neutral baseline"?

      We thank the reviewer for identifying this – this has now been amended.

      Reviewer #2 (Recommendations For The Authors):

      INTRODUCTION

      The introduction mentions how important extra-motor areas can be explored by TMS-EEG, then the effects of DLPFC rTMS on TEPs ... but you do not explore the DLPFC... Perhaps the introduction should be reframed.

      The current work explores cortical excitability throughout the brain (as shown in our cluster-based permutation and source localization analyses), so our investigations are in line with the introductions statement about the importance of studying non-motor areas.

      The reference to DLPFC rTMS was to highlight current existing research that has applied TMS-EEG to understand pain. It was not used as a methodological rationale to investigate the DLPFC in the present study. To make the research gap clearer, we state:

      “While these studies assist us in understanding whether TEPs might mediate rTMS-induced pain reductions, no study has investigated whether TEPs are altered in direct response to pain”

      Lignes 63-65 the term "TMS" is used to refer to motor corticospinal excitability measures, in contrast to TMS-EEG measures of TEPs. Then the authors come back to TMS-EEG and then again back to MEPs. This is rather confusing: TMS means TMS... the concept of MEP/ motor corticospinal excitability measures is not intuitive when using the term "TMS". I suggest using motor corticospinal excitability measures when referring to MEP/MEP-based measures of cortical excitability...) and M1TMS-EEG-evoked potentials (usually abbreviated to TEPs) to refer to TMS-EEG responses as measured here.

      Throughout the manuscript, we now use the term TEPs when referring to TMS-EEG measures, and MEPs when referring to TMS-EMG measure. The use of TEPs vs. MEPs will make it easier for readers to follow which measures we are referring to.

      Line 83: "As such, the precise origin of the pain mechanism cannot be localized." Please rephrase, the sentence conveys the idea that it is indeed possible to localize the origin of a pain mechanism with a different approach, and we know this is not currently possible, irrespective of the methodological setup.

      We have replaced this with:

      “This makes it unclear as to whether pain processes occur at the cortical, spinal or peripheral level.”

      How can one predetermine the temperature that will be perceived as painful by someone else, and not base it on individual HPT? This is against principles of psychophysics. Please comment. Attesting all participants had HPT below 46 is important, but then being stimulated at 46C when our HPT is 45C is different from when our HPT is 39C. Please explain why the pain intensity was not standardised based on individual HPT.

      Please refer to our response to the public review related to the issue

      Line 38: "if we had used an alternative design with blocks of warm stimuli intermixed with blocks of painful stimuli, the warm stimuli blocks would not serve as a valid non-painful baseline". I do not understand why it is not possible to have a pain-free baseline, followed by a pain/warm sequence.

      In our study, we had the choice of either intermixing blocks or to use a fixed sequence. Previous research suggests that pain alters neural excitability even after pain has subsided. In a recent meta-analysis (Chowdhury et al., 2022) we found effect sizes of 0.55-0.9 for MEP reductions 0-30 minutes after pain had resolved. As such, we avoided intermixing pain and warm blocks given subsequent warm blocks would not serve as a valid baseline, as each subsequent warm block would have residual effects from the previous pain blocks.

      We have updated the manuscript to be clearer about why we used a fixed sequence:

      “The pre-pain/pain/post-pain design has been commonly used in the TMS-MEP pain literature, as many studies have demonstrated strong changes in corticomotor excitability that persist beyond the painful period. Indeed, in a systematic review, we showed effect sizes of 0.55-0.9 for MEP reductions 0-30 minutes after pain had resolved (Chowdhury et al., 2022). As such, if we had used an alternative design with blocks of warm stimuli intermixed with blocks of painful stimuli, the warm stimuli blocks would not serve as a valid non-painful baseline”

      Chowdhury, N. S., Chang, W. J., Millard, S. K., Skippen, P., Bilska, K., Seminowicz, D. A., & Schabrun, S. M. (2022). The Effect of Acute and Sustained Pain on Corticomotor Excitability: A Systematic Review and Meta-Analysis of Group and Individual Level Data. The Journal of Pain, 23(10), 1680-1696.

      Please explain, and provide evidence that stimulation of people with predetermined temperatures is able to create warm/pain/warm sensations, without entraining pain in the last warm stimulation.

      A previous study by Dube et al. (2011) used sequences of warm (36°C), painful and neutral (32° C) and found that participants did not experience pain at any time when the temperature was at a warm temperature of 36°C. We have now cited this study:

      “Based on a previous study (Dubé & Mercier, 2011) which also used sequences of painful (50ºC) and warm (36°C) thermal stimuli, we did not anticipate that the stimulus in the pain block would entrain pain in the post-pain block”

      Dubé, J. A., & Mercier, C. (2011). Effect of pain and pain expectation on primary motor cortex excitability. Clinical neurophysiology, 122(11), 2318-2323.

      METHODS

      It is not clear if participants with chronic pain, present in 20% of the general population, were excluded. If they were, please provide "how" in methods.

      We excluded participants with a history or presence of acute/chronic pain. This has now been clarified:

      “Participants were excluded if they had a history of chronic pain condition or any current acute pain”

      Line 489: the definition of warm detection threshold is unusual, please provide a reference.

      We used an identical method to Furman et al., (2020). We have made the reference to this clearer: “Warmth, cold and pain thresholds were assessed in line with a previous study (Furman et al., 2020)”

      Furman, A. J., Prokhorenko, M., Keaser, M. L., Zhang, J., Chen, S., Mazaheri, A., & Seminowicz, D. A. (2020). Sensorimotor peak alpha frequency is a reliable biomarker of prolonged pain sensitivity. Cerebral Cortex, 30(12), 6069-6082.

      In Experiment 2, please explain how the lack of randomisation between "pre-pain" and "pain" may have influenced results.

      Given we tried to replicate Experiment 1’s methodology as close as possible (to isolate the source of the effect from Experiment 1) we chose to repeat the same sequence of blocks as Experiment 1: pre-pain followed by pain.

      Given there was no conclusive evidence for a difference in N45 amplitude between pre-pain and post-pain conditions of Experiment 1 (Supplementary Figure 1), it is unlikely that the effect of pain was an order effect i.e., the explanation that successive thermal stimuli applied to the skin results an increase in the N45, regardless of whether the stimuli are painful or not.

      We now discuss the issue of randomization:

      “Lastly, future research should consider replicating our experiment using intermixed pain and no pain blocks, as opposed to fixed pre-pain and pain blocks, to control for order effects i.e. the explanation that successive thermal stimuli applied to the skin results an increase in the N45 peak, regardless of whether the stimuli are painful or not. However, we note that there was no conclusive evidence for a difference in N45 peak amplitude between pre-pain and post-pain conditions of Experiment 1 (Supplementary Figure 1), suggesting it is unlikely that the observed effects were an artefact of time”

      Also, in Methods in general, disclose how pain intensity was assessed, and how.

      Pain intensity was assessed using a verbal rating scale (0 = no pain, and 10 = most pain imaginable). We have provided more detail:

      “During each 40 second thermal stimulus, TMS pulses were manually delivered, with a verbal pain rating score (0 = no pain, and 10 = worst pain imaginable) obtained between pulses. To avoid contamination of TEPs by verbal ratings, the subsequent TMS pulse was not delivered until the verbal rating was complete, and the participant was cued by the experimenter to provide the pain rating after each pulse”

      Please explain how auditory masking was made during data collection.

      Auditory masking noise was not played through the headphones, given that Experiment 2 controlled for auditory evoked potentials. We have made this clearer:

      “Auditory masking was not used. Instead, auditory evoked potentials resulting from the TMS click sound were controlled for in Experiment 2”

      Please explain if online TEP monitoring was used during data collection

      Online TEP monitoring was not available with our EEG software. We have made this clearer in the manuscript:

      “Online TEP monitoring was not available with the EEG software”

      Line 499: what is subthreshold TMS here? You are measuring TEPs, and not MEPs initially, so you may have a threshold for MEPs and TEPs, which are not the same.

      The intensity was calibrated relative to the MEP response (rather than TEP response) - this has now been clarified:

      “… and the inclusion of a subthreshold TMS (90% of resting motor threshold) condition intermixed within both the pre-pain and pain blocks.”

      Please provide a reference and a figure to illustrate the electric stimulation used in the sham procedure in Study 2

      The apparatus for the electrical stimulation is shown in Figure 7A, and was based on previous papers using electrical stimulation over motor cortex to simulate the somatosensory aspect of real TMS (Chowdhury et al., 2022; Gordon et al., 2022; Rocchi et al., 2021). We have made this clearer:

      “Electrical stimulation was based on previous studies attempting to simulate the somatosensory component of active TMS (Chowdhury et al., 2022; Gordon et al., 2022; Rocchi et al., 2021)”

      Gordon, P. C., Jovellar, D. B., Song, Y., Zrenner, C., Belardinelli, P., Siebner, H. R., & Ziemann, U. (2021). Recording brain responses to TMS of primary motor cortex by EEG–utility of an optimized sham procedure. Neuroimage, 245, 118708.

      Chowdhury, N. S., Rogasch, N. C., Chiang, A. K., Millard, S. K., Skippen, P., Chang, W. J., ... & Schabrun, S. M. (2022). The influence of sensory potentials on transcranial magnetic stimulation–Electroencephalography recordings. Clinical Neurophysiology, 140, 98-109.

      Rocchi, L., Di Santo, A., Brown, K., Ibánez, J., Casula, E., Rawji, V., ... & Rothwell, J. (2021). Disentangling EEG responses to TMS due to cortical and peripheral activations. Brain stimulation, 14(1), 4-18.

      It is not so common to use active electrodes for TMS-EEG. Please confirm the electrodes used and if they are c-ring TMS compatible and provide reference if otherwise (or actual papers recommending active ones)

      To be more specific about the electrode type we have indicated:

      “Signals were recorded from 63 TMS-compatible active electrodes (6mm height, 13mm width), embedded in an elastic cap (ActiCap, Brain Products, Germany), in line with the international 10-10 system”

      A paper directly comparing TEPs between active and passive electrodes found no difference between the two and concluded TEPs can be reliably obtained using active electrodes (Mancuso et al., 2021). There is also evidence that active electrodes have better signal quality than passive electrodes at higher impedance levels (Laszlo et al., 2014).

      This information has now been added to the paper:

      “Active electrodes result in similar TEPs (both magnitude and peaks) to more commonly used passive electrodes (Mancuso et al., 2021). There is also evidence that active electrodes have higher signal quality than passive electrodes at higher impedance levels (Laszlo, Ruiz-Blondet, Khalifian, Chu, & Jin, 2014).”

      There is a growing literature showing that monophonic pulses are not reliable for TEPs when compared to biphasic ones, please provide references. https://doi.org/10.1016/j.brs.2023.02.009

      The reference provided by the reviewer states that biphasic and monophasic pulses both have advantages and disadvantages, rather than stating “monophonic pulses are not reliable for TEPs”. While there is some evidence that the artefacts resulting from monophasic pulses are larger than biphasic pulses, the EEG signal still returns to baseline levels within 5ms of the TMS pulse (Rogasch et al., 2013). Moreover, one paper (Casula et al. 2018) found that the resultant TEPs evoked by monophasic pulses are larger than those resulting from biphasic pulses. The authors postulated that monophasic pulses are more effective at activating widespread cortical areas than biphasic pulses. Ultimately the reference provided by the reviewer concludes that “effect of pulse shape on TEPs has not been systematically investigated and more studies are needed”.

      Rogasch, N. C., Thomson, R. H., Daskalakis, Z. J., & Fitzgerald, P. B. (2013). Short-latency artifacts associated with concurrent TMS–EEG. Brain stimulation, 6(6), 868-876.

      Casula, E. P., Rocchi, L., Hannah, R., & Rothwell, J. C. (2018). Effects of pulse width, waveform and current direction in the cortex: A combined cTMS-EEG study. Brain stimulation, 11(5), 1063-1070.

      In most heads, a pulse in the PA direction is not obtained by a coil oriented 45o to the midline. The later induced later-medial pulses, good to obtain MEPs

      We followed previous studies measuring MEPs from the ECRB elbow muscle (Schabrun et al., 2016; de Martino et al., 2019) whereby the TMS coil handle was angled at 45 degrees relative to the midline in order to induce a posterior-anterior current. We are not aware of literature that shows that the 45 degrees orientation does not induce a posterior anterior current in most heads.

      Schabrun, S. M., Christensen, S. W., Mrachacz-Kersting, N., & Graven-Nielsen, T. (2016). Motor cortex reorganization and impaired function in the transition to sustained muscle pain. Cerebral Cortex, 26(5), 1878-1890.

      De Martino, E., Seminowicz, D. A., Schabrun, S. M., Petrini, L., & Graven-Nielsen, T. (2019). High frequency repetitive transcranial magnetic stimulation to the left dorsolateral prefrontal cortex modulates sensorimotor cortex function in the transition to sustained muscle pain. Neuroimage, 186, 93-102.

      The definition of RMT is (very) unusual. RMT provides small 50microV MEPs in 50% of times. If you obtain MEPs at 50microV you are supra threshold!

      The TMS motor threshold assessment tool calculates threshold in the same manner as other threshold tools – it calculates the intensity that elicits an MEP of 50 microvolts, 50% of the time. We have made this clearer:

      “The RMT was determined using the TMS motor thresholding assessment tool, which estimates the TMS intensity required to induce an MEP of 50 microvolts with a 50% probability using maximum likelihood parametric estimation by sequential testing (Awiszus and Borckardt, 2011). This method has been shown to achieve the accuracy of methods such as the Rossini-Rothwell method (Rossini et al., 1994; Rothwell et al., 1999) but with fewer pulses (Qi et al., 2011; Silbert et al., 2013).”

      Please inform the inter TMS pulse interval used of TEPs and whether they were randomly generated.

      The pulses were delivered manually – the interval was not randomly generated – as stated:

      “As TMS was delivered manually, there was no set interpulse interval. However, the 40 second stimulus duration allowed for 11 pulses for each heat stimulus …. (~ 4 seconds in between …)”

      Why have you stimulated suprathreshold on M1 when assessing TEP´s? The whole idea is that large TEPs can be obtained at lower intensities below real RMT and that prevents re-entering loops of somatosensory and joint movement inputs that insert "noise" to the TEPs.

      The suprathreshold intensity was used to concurrently measure MEPs during pre-pain, pain and post-pain blocks.

      We have made this clearer:

      “The test stimulus intensity was set at 110% RMT to concurrently measure MEPs and TEPs during pre-pain, pain and post-pain blocks.”

      The influence of re-afferent muscle activity was controlled for in Experiment 3.

      Did you assess pain intensity after each of the TEP pulses? Please discuss how such a cognitive task may have influenced results

      Pain intensity was assessed after each TMS pulse, as stated:

      “TMS pulses were manually delivered, with a verbal pain rating score (0 = no pain, and 10 = most pain imaginable) obtained between pulses”

      Reviewer 3 also brought up a concern of whether the verbal rating task might have influenced the TEPs. However, it is unlikely that the task contaminated the TEP response as the subsequent TMS pulse was not delivered until the verbal rating was complete and given that each participant was cued by the experimenter to provide the pain rating after each pulse (rather than the participant giving the rating at any time). We have made this clearer where we state:

      “To avoid contamination of TEPs by verbal ratings, the subsequent TMS pulse was not delivered until the verbal rating was complete, and the participant was cued by the experimenter to provide the pain rating after each pulse”

      The QST approach is unusual. Please confirm the sequence of CDT, WDT and HPT were not randomised and that no interval beyond 6sec were used. Proper references are welcome.

      In line with a previous study (Furman et al., 2020), the sequence of the CPT, WDT and HPT were not randomized, and the interval was not more than 6 seconds.

      We have made this clearer:

      “A total of three trials was conducted for each test to obtain an average, with an interstimulus interval of six seconds. The sequence of cold, warmth and pain threshold was the same for all participants (Furman et al. 2020)”

      Performing 60 pulses for TEPs is unusual, and against the minimum number in recommendations

      Please explain and comment.https://doi.org/10.1016/j.brs.2023.02.009

      Please refer to our previous response to this concern in the public reviews.

      Line 578: when you refer to "heat" the reader may confound warm/heat with heat meaning suprathreshold. Please revise the wording.

      We have now replaced the word heat stimulus with thermal stimulus.

      Why were Bayesian statistics used instead as frequentist ones?

      We have made this clearer:

      “Given we were interested in determining the evidence for pain altering TEP peaks in certain conditions (e.g., active TMS) and pain not altering TEP peaks in other conditions (sham TMS), we used a Bayesian approach as opposed to a frequentist approach, which considers the strength of the evidence for the alternative vs. null hypothesis”

      RESULTS

      There is a huge response with high power after 100ms- Please discuss if you believe auditory potentials may have influenced it.

      It is indeed possible that auditory potentials were present at 100ms. We now state:

      “Indeed, the signal at ~100ms post-TMS from Experiment 1 may reflect an auditory N100 response”

      The presence of auditory contamination does not impact the main conclusions of the paper given this was controlled for in Experiment 2.

      Please discuss how pain ranging from 3-10 may have influenced results in the "PAIN" situation,

      It is anticipated that the fixed thermal stimulus intensity approach would lead to large variations in pain ratings (Adamczyk et al., 2022). This is a recommended approach when the aim of the research is to determine relationships between neurophysiological measures and individual differences in pain sensitivity (Adamczyk et al., 2022). Indeed, we were interested in whether alterations in neurophysiological measures were associated with pain intensity, and we found that higher pain ratings were associated with smaller reductions in MEP amplitude and larger increases in N45 amplitude.

      Adamczyk, W. M., Szikszay, T. M., Nahman-Averbuch, H., Skalski, J., Nastaj, J., Gouverneur, P., & Luedtke, K. (2022). To calibrate or not to calibrate? A methodological dilemma in experimental pain research. The Journal of Pain, 23(11), 1823-1832.

      Please indicate if any participants offered pain after warm stimulation ( possible given secondary hyperalgesia after so many plateaux of heat stimulation).

      As stated in the results “All participants reported 0/10 pain during the pre-pain and post-pain blocks”.

      Please discuss the potential effects of having around 10% of "bad channels) In average per experiment per participants, its impacts in source localisation and in TEP measurement. Same for >5 epochs excluded by participant.

      The number of bad channels has been incorrectly stated by the reviewer as being 10% on average per experiment per participant, whereas the correct number of reported bad channels was 3%, 4.7% and 9.8% for Experiment 1, 2 and 3 respectively (see supplementary material). These numbers are below the accepted number of bad channels to interpolate (10%) in EEG pipelines (e.g., Debnath et al., 2020; Kayhan et al., 2022), so it is unlikely that our channel exclusions significantly influenced the quality of our source localization an TEP data.

      Debnath, R., Buzzell, G. A., Morales, S., Bowers, M. E., Leach, S. C., & Fox, N. A. (2020). The Maryland analysis of developmental EEG (MADE) pipeline. Psychophysiology, 57(6), e13580.

      Kayhan, E., Matthes, D., Haresign, I. M., Bánki, A., Michel, C., Langeloh, M., ... & Hoehl, S. (2022). DEEP: A dual EEG pipeline for developmental hyperscanning studies. Developmental cognitive neuroscience, 54, 101104.

      The number of excluded epochs is unlikely to have influenced the results given there was evidence for no difference in the number of rejected epochs between conditions (E1 BF10 = 0.145, E2 BF10 = 0.27, E3 BF10 = 0.169 – these BFs have now been reported in the supplementary material), and given the reliability of the N45 was high (see response to previous comment on the number of trials per condition).

      HPT of 42.9 {plus minus} 2.5{degree sign}C means many participants had HPT close to 46oC. Please discuss

      While some participants did indeed have pain thresholds close to 46 degrees, they nonetheless reported pain during the test blocks. While such participants may have reported less pain compared to others, we aimed for larger variations in pain ratings, given one of the research questions was to determine why pain intensity differs between individuals (given the same noxious stimulus). Indeed, we showed that this variation was meaningful (pain intensity was related to alterations in N45 and MEP amplitude).

      Please explain the sentence : line 139 "As such, if we had used an alternative design with blocks of warm stimuli intermixed with blocks of painful stimuli, the warm stimuli blocks would not serve as a valid non-painful baseline." I cannot see why.

      Please refer to our previous point on why the fixed sequence was included.

      And on the top of that heat was not individualised according to HPT.

      Please refer to our previous point on why we used a fixed stimulus approach.

      Sequences of warm/heat were not randomised. Please refer to our previous point on the why the sequence of blocks was not randomized.

      Line 197: "However, as this is the first study investigating the effects of experimental pain on TEPsamplitude, there were no a priori regions or timepoints of interest to compare betweenconditions". This is not clear. It means you have not measured the activity (size of the N45) under the electrode closest to the TMS coil? The TEP is supposed to by higher under the stimulated target/respective corresponding electrode…

      We are not aware of any current recommendations that state that the region of interest should be based on the site of stimulation. The advantage of TMS-EEG is that it allows characterisation of cortical excitability changes throughout the brain, not just the site of stimulation. We based our region of interest on a cluster-based permutation analysis, as recommended by Frömer, Maier, & Abdel Rahman, (2018)

      Frömer, R., Maier, M., & Abdel Rahman, R. (2018). Group-level EEG-processing pipeline for flexible single trial-based analyses including linear mixed models. Frontiers in neuroscience, 12, 48.

      Please explain where N45 values came from.

      The N45 was calculated using the TESA peak function (Rogasch et al., 2017) which identifies a data point which is larger/smaller than +/- 5 data points within a specified time window (e,g, 40-70ms post-TMS as in the present study). Where multiple peaks are found, the amplitude of the largest peak is returned. Where no peak is found, the amplitude at the specified latency is returned.

      Rogasch, N. C., Sullivan, C., Thomson, R. H., Rose, N. S., Bailey, N. W., Fitzgerald, P. B., ... & Hernandez-Pavon, J. C. (2017). Analysing concurrent transcranial magnetic stimulation and electroencephalographic data: A review and introduction to the open-source TESA software. Neuroimage, 147, 934-951.

      If only the cluster assessment was made please provide the comparison between P45 from the target TMS channel location in pre pain vs pain.

      We assume the reviewer is referring to the N45 rather than P45, and that by “target” TMS channel they are referring to the stimulated region.

      We first clarify that there is no “target” channel given the motor hotspot differs between individuals and so the channel that is closest to the site of stimulation will always differ.

      Secondly, as stated above, we are not aware of any current recommendations in TMS-EEG research that states that the region of interest for TEP analysis should be based on the site of stimulation. The advantage of TMS-EEG is that it allows characterisation of cortical excitability throughout the brain, not just the site of stimulation. If we based our ROI on the target channel only, we would lose valuable information about excitability changes occurring in other brain regions.

      Lastly, the N45 was localized at frontocentral electrodes, which is also where the cluster differences emerged. As such, we do not believe it would be informative to compare N45 peak amplitude at the region of stimulation.

      Also explain how correction for multiple comparisons was made

      Please refer to our response to the public review related to this issue.

      And report data from pain vs post-pain.

      The pain vs. post-pain comparisons are now reported in the Supplementary material.

      There is a strong possibility the response at N85 is an auditory /muscle signal. Please provide the location of this response.

      We have opted not to include the topography at 85ms in the main paper as it would introduce too much clutter into the figures (which are already very dense), and because the topography was very similar to the topography at 100ms. As an example, for the reviewer, in Author response image 1 we have shown the topography for the pre-pain condition of Experiment 1.

      Author response image 1.

      Experiment 2: I have a strong impression both active TEPs and sham TEPs were contaminated by auditory (and muscle) noise. Please explain.

      While it possible that auditory noise may have influenced TEPs in the active and sham groups, it does not impact the main conclusions of the paper, given that the purpose of the sham condition was to control for auditory and somatosensory stimulation resulting from TMS.

      While muscle activity may also affect have influenced the TEPs in active and sham conditions, we used fastICA in all conditions to suppress muscle activity. The fastICA algorithm (Rogasch et al., 2017) runs an independent component analysis on the data, and classifies components as neural, TMS-evoked muscle, eye movements and electrode noise, based on a set of heuristic thresholding rules (e.g., amplitude, frequency and topography of the components). Components classified as TMS-evoked muscle/other muscle artefacts are then removed. In the supplementary material, we further report that the number of components removed did not differ between conditions, suggesting the impact of muscle artefacts are not larger in some conditions vs. others.

      Rogasch, N. C., Sullivan, C., Thomson, R. H., Rose, N. S., Bailey, N. W., Fitzgerald, P. B., ... & Hernandez-Pavon, J. C. (2017). Analysing concurrent transcranial magnetic stimulation and electroencephalographic data: A review and introduction to the open-source TESA software. Neuroimage, 147, 934-951.

      Experiment 3: One interpretation can be that both supra and sub-threshold TMS were leading to somatosensory re-afferent responses, based on the way RMT was calculated, which hyper estimate the RMT and delivers in reality 2 types of supra-threshold stimulations. Please discuss

      Please refer to our response to the public review related to this issue.

      Please provide correlation between N45 size and MEPs amplitudes.

      This has now been included:

      “There was no conclusive evidence of any relationship between alterations in MEP amplitude during pain, and alterations in N100, N45 and P60 amplitude during pain (see supplementary material).”<br /> The supporting statistics for these analyses have been included in the supplementary material.

      DISCUSSION

      Line 303: " The present study determined whether acute experimental pain induces alterations in cortical inhibitory and/or facilitatory activity observed in TMS-evoked potentials".

      Well, no. The study assessed the N45, and was based on it. It did not really explore other metrics in a systematic fashion. P60 and N100 changes were not replicated in experiments 2 and 3..

      We assume the reviewer is stating that we did not assess other TEP peaks (such as the N15, P30 and P180). However, we did indeed assess these peaks in a systematic fashion. First, we identified the ROI by using a cluster-based analysis. This is a recommended approach when the ROI is unclear (Frömer, Maier, & Abdel Rahman, 2018). We then analysed the TEP representing the mean voltage across the electrodes within the cluster, and then identified any differences in all peaks between conditions (not just the N45). This has been made clearer in the manuscript.

      This has now been included:

      “For all experiments, the mean TEP waveform of any identified clusters from Experiment 1 were plotted, and peaks (e.g., N15, P30, N45, P60, N100) were identified using the TESA peak function (Rogasch et al., 2017)”

      Frömer, R., Maier, M., & Abdel Rahman, R. (2018). Group-level EEG-processing pipeline for flexible single trial-based analyses including linear mixed models. Frontiers in neuroscience, 12, 48.

      And the N45 is not related to facilitatory or inhibitory activity, it is a measure of an evoked response indicating excitability

      Evidence suggests the N45 is mediated by GABAAergic neurotransmission (inhibitory activity), as drugs which increase GABAA receptor activity increase the amplitude of the N45 (Premoli et al., 2014) and drugs which decrease GABAA receptor activity decrease the amplitude of the N45 (Darmani et al., 2016). As such, we and various other empirical papers (e.g., Bellardinelli et al., 2021; Noda et al., 2021; Opie at 2019 ) and review papers (Farzan & Bortoletto, 2022; Tremblay et al., 2019) have interpreted changes in the N45 peak as reflecting changes in cortical inhibitory/GABAA mediated activity.

      Premoli, I., Castellanos, N., Rivolta, D., Belardinelli, P., Bajo, R., Zipser, C., ... & Ziemann, U. (2014). TMS-EEG signatures of GABAergic neurotransmission in the human cortex. Journal of Neuroscience, 34(16), 5603-5612.

      Belardinelli, P., König, F., Liang, C., Premoli, I., Desideri, D., Müller-Dahlhaus, F., ... & Ziemann, U. (2021). TMS-EEG signatures of glutamatergic neurotransmission in human cortex. Scientific reports, 11(1), 8159.

      Darmani, G., Zipser, C. M., Böhmer, G. M., Deschet, K., Müller-Dahlhaus, F., Belardinelli, P., ... & Ziemann, U. (2016). Effects of the selective α5-GABAAR antagonist S44819 on excitability in the human brain: a TMS–EMG and TMS–EEG phase I study. Journal of Neuroscience, 36(49), 12312-12320.

      Noda, Y., Barr, M. S., Zomorrodi, R., Cash, R. F., Lioumis, P., Chen, R., ... & Blumberger, D. M. (2021). Single-pulse transcranial magnetic stimulation-evoked potential amplitudes and latencies in the motor and dorsolateral prefrontal cortex among young, older healthy participants, and schizophrenia patients. Journal of Personalized Medicine, 11(1), 54.

      Farzan, F., & Bortoletto, M. (2022). Identification and verification of a'true'TMS evoked potential in TMS-EEG. Journal of neuroscience methods, 378, 109651.

      Opie, G. M., Foo, N., Killington, M., Ridding, M. C., & Semmler, J. G. (2019). Transcranial magnetic stimulation-electroencephalography measures of cortical neuroplasticity are altered after mild traumatic brain injury. Journal of Neurotrauma, 36(19), 2774-2784.

      Tremblay, S., Rogasch, N. C., Premoli, I., Blumberger, D. M., Casarotto, S., Chen, R., ... & Daskalakis, Z. J. (2019). Clinical utility and prospective of TMS–EEG. Clinical Neurophysiology, 130(5), 802-844.

      Line 321: why have you not measured SEPs in experiment 3?

      It is not possible to directly measure the somatosensory evoked potentials resulting from a TMS pulse, given that the TMS pulse produces a range of signals including cortical activity, muscle/eye blink responses, auditory responses, somatosensory responses and other artefacts. While some researchers attempt to isolate the SEP from TMS using pre-processing methods such as ICA, others use control conditions such as sensory sham conditions (to control for the “tapping” artefact) or subthreshold intensity conditions (to control for reafferent muscle activity), as we have done in Experiment 2 and 3 of our study.

      We have now stated this in the manuscript:

      “As it is extremely challenging to isolate and filter these auditory and somatosensory evoked potentials using pre-processing pipelines, masking methods have been used to suppress these sensory inputs, (Ilmoniemi and Kičić, 2010; Massimini et al., 2005). However recent studies have shown that even when these methods are used, sensory contamination of TEPs is still present, as shown by commonalities in the signal between active and sensory sham conditions that mimic the auditory/somatosensory aspects of real TMS (Biabani et al., 2019; Conde et al., 2019; Rocchi et al., 2021). This has led many leading authors (Biabani et al., 2019; Conde et al., 2019) to recommend the use of sham conditions to control for sensory contamination”

      Line 365: SICI is dependent on GABAa activity. But the way the text is written if conveys the idea that TMS pulses "activate" GABA receptors, which is weird...Please rephrase.

      This has now been reworded.

      “SICI refers to the reduction in MEP amplitude to a TMS pulse that is preceded 1-5ms by a subthreshold pulse, with this reduction believed to be mediated by GABAA neurotransmission (Chowdhury et al., 2022)”

      Reviewer #3 (Recommendations For The Authors):

      -Key references Ye et al., 2022 and Che et al., 2019 need to be included in the reference list.

      These references have now been included in the reference list.

      -Heat pain stimuli and TMS stimuli are applied simultaneously. Sometimes the term "stimulus" is used without specifying whether it refers to TMS pulses or heat pain stimuli. Clarifying this whenever the word "stimulus" is used would enhance clarity for the reader.

      We have now clarified the use of the word “stimulus” throughout the paper.

      -Panels A-D in Figure 6 should be correctly labeled in the text and the figure legend.

      Figure 6 Panel labels have now been amended.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1:

      Watanuki et al used metabolomic tracing strategies of U-13C6-labeled glucose and 13C-MFA to quantitatively identify the metabolic programs of HSCs during steady-state, cell-cycling, and OXPHOS inhibition. They found that 5-FU administration in mice increased anaerobic glycolytic flux and decreased ATP concentration in HSCs, suggesting that HSC differentiation and cell cycle progression are closely related to intracellular metabolism and can be monitored by measuring ATP concentration. Using the GO-ATeam2 system to analyze ATP levels in single hematopoietic cells, they found that PFKFB3 can accelerate glycolytic ATP production during HSC cell cycling by activating the rate-limiting enzyme PFK of glycolysis. Additionally, by using Pfkfb3 knockout or overexpressing strategies and conducting experiments with cytokine stimulation or transplantation stress, they found that PFKFB3 governs cell cycle progression and promotes the production of differentiated cells from HSCs in proliferative environments by activating glycolysis. Overall, in their study, Watanuki et al combined metabolomic tracing to quantitatively identify metabolic programs of HSCs and found that PFKFB3 confers glycolytic dependence onto HSCs to help coordinate their response to stress. Even so, several important questions need to be addressed as below:

      We sincerely appreciate the constructive feedback from the reviewer. Additional experiments and textual improvements have been made to the manuscript based on your valuable suggestions. In particular, the major revisions are as follows: First, we investigated the extent to which other metabolites, not limited to the glycolytic system, affect metabolism in HSCs after 5-FU treatment. Second, the extent to which PFKFB3 contributes to the expansion of the HSPC pool in the bone marrow was adjusted to make the description more accurate based on the data. Finally, we overexpressed PFKFB3 in HSCs derived from GO-ATeam2 mice and confirmed that PRMT1 inhibition did not reduce the ATP concentration. We believe that the reviewer's valuable comments have further deepened our knowledge of the significance of glycolytic activation by PFKFB3 that we have demonstrated. Our response to the "Recommendations for Authors" is listed first, followed by our responses to all "Public Review" comments as follows:

      (Recommendations For The Authors):

      1. The methods used in key experiments should be described in more detail. For example, in the section on ‘Conversion of GO-ATeam2 fluorescence to ATP concentration’, the knock-in strategy for GO-ATeam2 should be described, as well as U-13C6 -glucose tracer assays.

      As per your recommendation, we have described the key experimental method in more detail in the revised manuscript: the GO-ATeam2 knock-in method was reported by Yamamoto et al. 1. Briefly, they used a CAG promoter-based knock-in strategy targeting the Rosa26 locus to generate GO-ATeam2 knock-in mice. A description of the method has been added to Methods and the reference has been added to the citation.

      For the U-13C6-glucose tracer analysis, the following points were added to describe the details of the analysis: First, a note was added that the number of cells used for the in vitro tracer analysis was the number of cells used for each sample. Second, we added the solution from which the cells were collected by sorting. We added that the incubation was performed under 1% O2 and 5% CO2.

      1. Confusing image label of Supplemental Figure 1H should be corrected in line 253.

      We have corrected the incorrect figure caption on line 217 in the revised manuscript to "Supplemental Figure 1N" as you suggested.

      1. The percentage of the indicated cell population should also be shown in Figure S1B.

      As you indicated, we have included the percentages for each population in Supplemental Figure 1B.

      Author response image 1.

      1. Please pay attention to the small size of the marks in the graph, such as in Figure S1F and so on.

      As you indicated, we have corrected the very small text contained in Figure S1F. Similar corrections have been made to Figures S1B and S5A.

      1. Please pay attention to the label of line in Figure S6A-D.

      Thank you very much for the advice. We have added line labels to the graph in the original Figures S6A–D.

      (Specific comments)

      1. Based on previous reports, the authors expanded the LSK gate to include as many HSCs as possible (Supplemental Figure 1B). However, while they showed the gating strategy on Day 6 after 5-FU treatment, results from other time-points should also be displayed to ensure the strict selection of time-points.

      Thank you for pointing this out. First, we did not enlarge the Sca-1 gating in this study. We apologize for any confusion caused by the incomplete description. The gating of c-Kit is based on that shown by Umemoto et al (Figure EV1A) 2, who used 250 mg/kg 5-FU, so their c-Kit reduction is more pronounced than ours.

      We followed this study and compared c-Kit expression in Lin-Sca-1+CD150+CD48-EPCR+ gates to BMMNCs on day 6 after 5-FU administration (150 mg/kg). The results are shown below.

      Author response image 2.

      Since the MFI of c-Kit was downregulated, we used gating that extended the c-Kit gate to lower-expression regions on day 6 after 5-FU administration (revised Figure S1C). At other time points, LSK gating was the same as in the PBS-treated group, as noted in the Methods.

      1. In Figure 1, the authors examined the metabolite changes on Day 6 after 5-FU treatment. However, it is important to consider whether there are any dynamic adjustments to metabolism during the early and late stages of 5-FU treatment in HSCs compared to PBS treatment, in order to coordinate cell homeostasis despite no significant changes in cell cycle progression at other time-points.

      Thank you for pointing this out. Below are the results of the GO-ATeam2 analysis during the very early phase (day 3) and late phase (day 15) after 5-FU administration (revised Figures S7A–H).

      Author response image 3.

      In the very early phase, such as day 3 after 5-FU administration, cell cycle progression had not started (Figure S1C) and was not preceded by metabolic changes. Meanwhile, in the late phase, such as day 15 after 5-FU administration, the cell cycle and metabolism returned to a steady state. In summary, the timing of the metabolic changes coincided with that of cell cycle progression. This point is essential for discussing the cell cycle-dependent metabolic system of HSCs and has been newly included in the Results (page 11, lines 321-323).

      1. As is well known, ATP can be produced through various pathways, including glycolysis, the TCA cycle, the PPP, NAS, lipid metabolism, amino acid metabolism and so on. Therefore, it is important to investigate whether treatment with 5-FU or oligomycin affects these other metabolic pathways in HSCs.

      As the reviewer pointed out, ATP production by systems other than the glycolytic system of HSCs is also essential. In this revised manuscript, we examined the effects of the FAO inhibitor (Etomoxir, 100 µM) and the glutaminolysis inhibitor 6-diazo-5-oxo-L-norleucine (DON, 2mM) alone or in combination on the ATP concentration of HSCs after PBS or 5-FU treatment. As shown below, there was no apparent decrease in ATP concentration (revised Figures S7J–M).

      Author response image 4.

      Fatty acid β-oxidation activity was also measured in 5-FU-treated HSCs using the fluorescent probe FAOBlue and was unchanged compared to PBS-treated HSCs (revised Figure S7N).

      Author response image 5.

      Notably, the addition of 100 µM etomoxir plus glucose and Pfkfb3 inhibitors resulted in a rapid decrease in ATP concentration in HSCs (revised Figures S7O–P). This indicates that etomoxir partially mimics the effect of oligomycin, suggesting that at a steady state, OXPHOS is driven by FAO, but can be compensated by the acceleration of the glycolytic system by Pfkfb3. Meanwhile, the exposure of HSCs to Pfkfb3 inhibitors in addition to 2 mM DON, which is an extremely high dose considering that the Ki value of DON for glutaminase is 6 µM, did not reduce ATP (revised Figures S7O–P). This suggests that ATP production from glutaminolysis is limited in HSCs at a steady state.

      Author response image 6.

      These points suggest that OXPHOS is driven by fatty acids at a steady state, but unlike the glycolytic system, FAO is not further activated by HSCs after 5-FU treatment. The results of these analyses and related descriptions are included in the revised manuscript (page 11, lines 332-344).

      1. In part 2, they showed that oligomycin treatment of HSCs exhibited activation of the glycolytic system, but what about the changes in ATP concentration under oligomycin treatment? Are other metabolic systems affected by oligomycin treatment?

      Thank you for your thoughtful comments. The relevant results we have obtained so far with the GO-ATeam2 system are as follows: First, OXPHOS inhibition in the absence of glucose significantly decreases the ATP concentration of HSCs (Figure 4C). Meanwhile, OXPHOS inhibition in the presence of glucose maintains the ATP concentration of HSCs (Figure 5B). Since it is difficult to imagine a completely glucose-free environment in vivo, it is thought that ATP concentration is maintained by the acceleration of the glycolytic system even under hypoxic or other conditions that inhibit OXPHOS.

      Meanwhile, glucose tracer analysis shows that OXPHOS inhibition suppresses nucleic acid synthesis (NAS) except for the activation of the glycolytic system (Figures 2C–F). This is because phosphate groups derived from ATP are transferred to nucleotide mono-/di-phosphate in NAS, but OXPHOS, the main source of ATP production, is impaired, along with the enzyme conjugated with OXPHOS in the process of NAS (dihydroorotate dehydrogenase, DHODH). We have added a new paragraph in the Discussion section (page 17, lines 511-515) to provide more insight to the reader by summarizing and discussing these points.

      1. In Figure 5M, it would be helpful to include a control group that was not treated with 2-DG. Additionally, if Figure 5L is used as the control, it is unclear why the level of ATP does not show significant downregulation after 2-DG treatment. Similarly, in Figure 5O, a control group with no glucose addition should be included.

      Thank you for your advice. The experiments corresponding to the control groups in Figures 5M and O were in Figures 5L and N, respectively, but we have combined them into one graph (revised Figures 5L–M). The results more clearly show that PFKFB3 overexpression enhances sensitivity to 2-DG, but also enhances glycolytic activation upon oligomycin administration.

      Author response image 7.

      1. In this study, their findings suggest that PFKFB3 is required for glycolysis of HSCs under stress, including transplantation. In Figure 7B, the results showed that donor-derived chimerism in PB cells decreased relative to that in the WT control group during the early phase (1 month post-transplant) but recovered thereafter. Although the transplantation cell number is equal in two groups of donor cells, it is unclear why the donor-derived cell count decreased in the 2-week post-transplantation period and recovered thereafter in the Pfkgb3 KO group. Therefore, they should provide an explanation for this. Additionally, they only detected the percentage of donor-derived cells in PB but not from BM, which makes it difficult to support the argument for Increasing the HSPC pool.

      As pointed out by the reviewer, it is interesting to note that the decrease in peripheral blood chimerism in the PFKFB3 knockout is limited to immediately after transplantation and then catches up with the control group (Figure 7B). We attribute this to the fact that HSPC proliferation is delayed immediately after transplantation in PFKFB3 deficiency, but after a certain time, PB cells produced by the delayed proliferating HSPCs are supplied. In support of this, the PFKFB3 knockout HSPCs did not exhibit increased cell death after transplantation (Figure 7K), while a delayed cell cycle was observed (Figures 7G–J). A description of this point has been added to the Discussion (page 19, lines 573-579).

      In addition, the knockout efficiency in bone marrow cells could not be verified because the number of cells required for KO efficiency analysis was not available. Therefore, we have added a statement on this point and have toned down our overall claim regarding the extent to which PFKFB3 is involved in the expansion of the HSPC pool (page 15, lines 474-476).

      1. In Figure 7E, they collected the BM reconstructed with Pfkfb3- or Rosa-KO HSPCs two months after transplantation, and then tested their resistance to 5-FU. However, the short duration of the reconstruction period makes it difficult to draw conclusions about the effects on steady-state blood cell production.

      We agree that we cannot conclude from this experiment alone that PFKFB3 is completely unnecessary in steady state because, as you pointed out, the observation period of the experiment in Figure 7E is not long. We have toned down the claim by stating that PFKFB3 is only less necessary in steady-state HSCs compared to proliferative HSCs (page 15, lines 460-461).

      1. PFK is allosterically activated by PFKFB, and other members of the PFKFB family could also participate in the glycolytic program. Therefore, they should investigate their function in contributing to glycolytic plasticity in HSCs during proliferation. Additionally, they should also analyze the protein expression and modification levels of other members. Although PFKFB3 is the most favorable for PFK activation, the role of other members should also be explored in HSC cell cycling to provide sufficient reasoning for choosing PFKFB3.

      To further justify why we chose PFKFB3 among the PFKFB family members, we reviewed our data and the publicly available Gene Expression Commons (GEXC) 3. PFKFB3 is the most highly expressed member of the PFKFB family in HSCs (revised Figure 4F), and its expression increases with proliferation (Author response image 9). In addition to this, we have also cited the literature 4 indicating that AZ PFKFB3 26 is a Pfkfb3-specific inhibitor that we used in this paper, and added a note to this point (that it is specific) (page 11, lines 327-329). Through these revisions, we sought to strengthen the rationale for Pfkfb3 as the primary target of the analysis.

      Author response image 8.

      Author response image 9.

      1. In this study, the authors identified PRMT1 as the upstream regulator of PFKFB3 that is involved in the glycolysis activation of HSCs. However, PRMT1 is also known to participate in various transcriptional activations. Thus, it is important to determine whether PRMT1 affects glycolysis through transcriptional regulation or through its direct regulation of PFKFB3? Additionally, the authors should investigate whether PRMT1i inhibits ATP production in normal HSCs. Moreover, could we combine Figure 6I and 6J for analysis. Finally, the authors could conduct additional rescue experiments to demonstrate that the effect of PRMT1 inhibitors on ATP production can be rescued by overexpression of PFKFB3.

      Although PRMT1 inhibition reduced m-PFKFB3 levels in HSCs, 5-FU treatment also reduced or did not alter Pfkfb3 transcript levels (Figures 6B, G) and the expression of genes such as Hoxa7/9/10, Itga2b, and Nqo1, which are representative transcriptional targets of PRMT1, in proliferating HSCs after 5-FU treatment (revised Figure S9).

      Author response image 10.

      These results suggest that PRMT1 promotes PFKFB3 methylation, which increases independently of transcription in HSCs after 5-FU treatment.

      A summary analysis of the original Figures 6I and 6J is shown below (revised Figure 6I).

      Author response image 11.

      Finally, we tested whether the inhibition of the glycolytic system and the decrease in ATP concentration due to PRMT1 inhibition could be rescued by the retroviral overexpression of PFKFB3. We found that PFKFB3 overexpression did not decrease the ATP concentration in HSCs due to PRMT1 inhibition (revised Figure 6J). Therefore, PFKFB3 overexpression mitigated the decrease in ATP concentration caused by PRMT1 inhibition. These data and related statements have been added to the revised manuscript (page 14, lines 427-428).

      Author response image 12.

      Reviewer #2:

      In the manuscript Watanuki et al. want to define the metabolic profile of HSCs in stress/proliferative (myelosuppression with 5-FU), and mitochondrial inhibition and homeostatic conditions. Their conclusions are that during proliferation HSCs rely more on glycolysis (as other cell types) while HSCs in homeostatic conditions are mostly dependent on mitochondrial metabolism. Mitochondrial inhibition is used to demonstrate that blocking mitochondrial metabolism results in similar features of proliferative conditions.

      The authors used state-of-the-art technologies that allow metabolic readout in a limited number of cells like rare HSCs. These applications could be of help in the field since one of the major issues in studying HSCs metabolism is the limited sensitivity of the“"standard”" assays, which make them not suitable for HSC studies.

      However, the observations do not fully support the claims. There are no direct evidence/experiments tackling cell cycle state and metabolism in HSCs. Often the observations for their claims are indirect, while key points on cell cycle state-metabolism, OCR analysis should be addressed directly.

      We sincerely appreciate the reviewer's constructive comments. Thank you for highlighting the importance of the highly sensitive metabolic assay developed in this study and the findings based on it. Meanwhile, the reviewer's comments have made us aware of areas where we can further improve this manuscript. In particular, in the revised manuscript, we have performed further studies to demonstrate the link between the cell cycle and metabolic state. Specifically, we further subdivided HSCs by the uptake of in vivo-administered 2-NBDG and performed cell cycle analysis. Next, HSCs after PBS or 5-FU treatment were analyzed by a Mito Stress test using the Seahorse flux analyzer, including ECAR and OCR, and a more direct relationship between the cell cycle state and the metabolic system was found. We believe that the reviewer's valuable suggestions have helped us clarify more directly the importance of the metabolic state of HSCs in response to cell cycle and stress that we wanted to show and emphasize the usefulness of the GO-ATeam2 system. Our response to "Recommendations For The Authors" is listed first, followed by our responses to all comments in "Public Review" as follows:

      (Recommendations For The Authors):

      In general, I believe it would be important:

      1. to directly associate cell cycle state with metabolic state. For example, by sorting HSC (+/- 5FU) based on their cell cycle state (exploiting the mouse model presented in the manuscript or by defining G0/G1/G2-S-M via Pyronin/Hoechst staining which allow to sort live cells) and follow the fate of radiolabeled glucose.

      Thank you for raising these crucial points. Unfortunately, it was difficult to perform the glucose tracer analysis by preparing HSCs with different cell cycle states as you suggested due to the amount of work involved. In particular, in the 5-FU group, more than 60 mice per group were originally required for an experiment, and further cell cycle-based purification would require many times that number of mice, which we felt was unrealistic under current technical standards. As an alternative, we administered 2-NBDG to mice and fractionated HSCs at the 2-NBDG fluorescence level for cell cycle analysis. The results are shown below (revised Figure S1M). Notably, even in the PBS-treated group, HSCs with high 2-NBDG uptake were more proliferative than those with low 2-NBDG uptake and are comparable to HSCs after 5-FU treatment, although the overall population of HSCs exiting the G0 phase and entering the G1 phase increased after 5-FU treatment. In both PBS/5-FU-treated groups, these large differences in cell cycle glucose utilization suggest a direct link between HSC proliferation and glycolysis activation. If a more sensitive type of glucose tracer analysis becomes available in the future, it may be possible to directly address the reviewer's comments. We see this as a topic for the future. The descriptions of the above findings and perspectives have been added to the Results and Discussion section (page 7, lines 208-214, page 20, lines 607-610).

      Author response image 13.

      1. Use other radio labeled substrates (fatty acid, glutamate)

      Thank you very much for your suggestion. While this is an essential point for future studies, we believe it is not the primary focus of the paper. We are planning another research project on tracer analysis using labeled fatty acids and glutamates, which we will report on in the near future. We have clearly stated in the Abstract and Introduction of the revised manuscript, that the focus of this study is on changes in glucose metabolism when HSCs are stressed (page 3, line 75 and 87, page 5, lines 135).

      Instead, we added the following analyses of metabolic changes in fatty acids and glutamate using the GO-ATeam2 system. HSCs derived from GO-ATeam2 mice treated with PBS or 5-FU were used to measure changes in ATP concentrations after exposure to the fatty acid beta-oxidation (FAO) inhibitor etomoxir and the glutaminolysis inhibitor 6-diazo-5-oxo-L-norleucine (DON). Etomoxir was used at 100 µM, a concentration that inhibits FAO without inhibiting mitochondrial electron transfer complex I, as previously reported 5. DON was used at 2 mM, a concentration that sufficiently inhibits the enzyme as the Ki for glutaminase is 6 µM. In this experiment, etomoxir alone, DON alone, or etomoxir and DON in combination did not decrease the ATP concentration of HSCs in the PBS and 5-FU groups (revised Figures S7J–M), suggesting that FAO and glutaminolysis were not essential for ATP production in HSCs in the short term. Thus, according to the analysis using the GO-Ateam2 system, HSCs exposed to acute stresses change the efficiency of glucose utilization (accelerated glycolytic ATP production) rather than other energy sources. Since there are reports that FAO and glutaminolysis are required for HSC maintenance in the long term 5,6, compensatory pathways may be able to maintain ATP levels in the short term. A description of these points has been added to the Discussion (page 11, lines 332-344).

      Author response image 14.

      1. Include OCR analyses.

      In addition to the ECAR data of the Mito Stress test (original Figures 2G–H), OCR data were added to the revised manuscript (revised Figures 2H, S3D). Compared to c-Kit+ myeloid progenitors (LKS- cells), HSC showed a similar increase in ECAR, while the decrease in OCR was relatively limited. A possible explanation for this is that glycolytic and mitochondrial metabolism are coupled in c-Kit+ myeloid progenitors, whereas they are decoupled in HSCs. This is also suggested by the glucose plus oligomycin experiment in Figures 5B, C, and S6A–D (orange lines). In summary, in HSCs, glycolytic and mitochondrial ATP production are decoupled and can maintain ATP levels by glycolytic ATP production alone, whereas in progenitors including GMPs, the two ATP production systems are constantly coupled, and glycolysis alone cannot maintain ATP concentration. We have added descriptions of these points in the Results and Discussion section (page 8, lines 240-243, page 18, lines 558-561).

      Author response image 15.

      Next, a Mito Stress test was performed using HSCs derived from PBS- or 5-FU-treated mice in the presence or absence of oligomycin (revised Figures 1G–H, S3A–B). Without oligomycin treatment, ECAR in 5-FU-treated HSCs was higher than in PBS-treated HSCs, and OCR was unchanged. Oligomycin treatment increased ECAR in both PBS- and 5-FU-treated HSCs, whereas OCR was unchanged in PBS-treated HSCs, but significantly decreased in 5-FU-treated HSCs. Changes in ECAR in response to oligomycin differed between HSC proliferation or differentiation: ECAR increased in 5-FU-treated HSCs but not in LKS- progenitors (original Figures 2G–H). This suggests a metabolic feature of HSCs in which the coupling of OXPHOS with glycolysis seen in LKS- cells is not essential in HSCs even after cell cycle entry. The results and discussion of this experiment have been added to page 7, lines 194-201 and page 18, lines 558-561).

      Author response image 16.

      1. Correlate proliferation-mitochondrial inhibition-metabolic state

      We agree that it is important to clarify this point. First, OXPHOS inhibition and proliferation similarly accelerate glycolytic ATP production with PFKFB3 (Figures 4G, I, and 5F–I). Meanwhile, oligomycin treatment rapidly decreases ATP in HSCs with or without 5-FU administration (Figure 4C). These results suggest that OXPHOS is a major source of ATP production both at a steady state and during proliferation, even though the analysis medium is pre-saturated with hypoxia similar to that in vivo. This has been added to the Discussion section (page 17, lines 520-523).

      1. Tune down the claim on HSCs in homeostatic conditions since from the data it seems that HSCs rely more on anaerobic glycolysis.

      Thanks for the advice. The original Figures S2C, D, F, and G show that HSC is dependent on the anaerobic glycolytic system even at a steady state, so we have toned down our claims (page 7, lines 192-194).

      1. For proliferative HSCs mitochondrial are key. When you block mitochondria with oligomycin there's the biggest drop in ATP.

      In the revised manuscript, we have tried to highlight the key findings that you have pointed out. First, we mentioned in the Discussion (page 17, lines 523-525) that previous studies suggested the importance of mitochondria in proliferating HSCs. Meanwhile, the GO-ATeam2 and glucose tracer analyses in this study newly revealed that the glycolytic system activated by PFKFB3 is activated during the proliferative phase, as shown in Figure 4C. We also confirmed that mitochondrial ATP production is vital in proliferating HSCs, and we hope to clarify the balance between ATP-producing pathways and nutrient sources in future studies.

      1. To better clarify this point authors, authors should do experiments in hypoxic conditions and compare it to oligomycin treatment and showing that mito-inhibition acts differently on HSCs (considering that all these drugs are toxic for mitochondria and induce rapidly stress responses ex: mitophagy).

      We apologize for any confusion caused by not clearly describing the experimental conditions. As pointed out by the reviewer, we also recognize the importance of experiments in a hypoxic environment. All GO-ATeam2 analyses were performed in a medium saturated sufficiently under hypoxic conditions and analyzed within minutes, so we believe that the medium did not become oxygenated (page S5-S6, lines 160-163 in the Methods). Despite being conducted under such hypoxic conditions, the substantial decrease in ATP after oligomycin treatment is intriguing (original Figures 4C, 5B, 5C). The p50 value of mitochondria (the partial pressure of oxygen at which respiration is half maximal) is 0.1 kPa, which is less than 0.1% of the oxygen concentration at atmospheric pressure 7. Thus, biochemically, it is consistent that OXPHOS can maintain sufficient activity even in a hypoxic environment like the bone marrow. We are currently embarking on a study to determine ATP concentration in physiological hypoxic conditions using in vivo imaging within the bone marrow, which we hope to report in a separate project. We have discussed these points, technical limitations, and perspectives in the Discussion section (page 20, lines 610-612).

      • In Figure 1 C, D, E and F, the comparison should be done as unpaired t test and the control group should not be 1 as the cells comes from different individuals.

      Thank you very much for pointing this out. We have reanalyzed and revised the figures (revised Figures 1C–F)

      Author response image 17.

      • In Figure S2A, the post-sorting bar of 6PG, R5P and S7P are missing.

      Metabolites below the detection threshold (post-sorting samples of 6PG, R5P, and S7P) are now indicated as N.D. (not detected) (revised Figure S2A).

      Author response image 18.

      • In the 2NBDG experiments, authors should add the appropriate controls, since it has been shown that 2NBDG cellular uptake do not correctly reflect glucose uptake (Sinclair LV, Immunometabolism 2020) (a cell type dependent variations) thus inhibitors of glucose transporters should be added as controls (cytochalasin B; 4,6-O-ethylidene-a-D-glucose) it would be quite challenging to test it in vivo but it would be sufficient to show that in vitro in the different HSPCs analyzed.

      We appreciate the essential technical point raised by the reviewer. In the revised manuscript, we performed a 2-NBDG assay with cytochalasin B and phloretin as negative controls. After PBS treatment, 2-NBDG uptake was higher in 5-FU-treated HSCs compared to untreated HSCs. This increase was inhibited by both cytochalasin B and phloretin. In PBS-treated HSCs, cytochalasin B did not downregulate 2-NBDG uptake, whereas phloretin did. Although cytochalasin B inhibits glucose transporters (GLUTs), it is also an inhibitor of actin polymerization. Therefore, its inhibitory effect on GLUTs may be weaker than that of phloretin. We have revised the figure (revised Figure S1L) and added the corresponding description (page 7, lines 207-208).

      Author response image 19.

      • S5C: authors should show the cell number for each population. If there's a decreased in % in Lin- that will be reflected in all HSPCs. Comparing the proportion of the cells doesn't show the real impact on HSPCs.

      Thank you for your insightful point. In the revision, we compared the numbers, not percentages, of HSPCs and found no difference in the number of cells in the major HSPC fractions in Lin-. The figure has been revised (revised Figure S6C) and the corresponding description has been added (page 10, lines 296-299).

      Author response image 20.

      Minor:

      1. In S1 F-G is not indicated in which day post 5FU injection is done the analysis. I assume on day 6 but it should be indicated in the figure legend and/or text.

      Thank you for pointing this out. As you assumed, the analysis was performed on day 6. The description has been added to the legend of the revised Figure S1G.

      1. S1K is not described in the text. What are proliferative and quiescence-maintaining conditions? The analyses are done by flow using LKS SLAM markers after culture? How long was the culture?

      Thank you for your comments. First, the figure citation on line 250 was incorrect and has been corrected to Figure S1N. Regarding the proliferative and quiescence-maintaining conditions, we have previously reported on these 8. In brief, these are culture conditions that maintain HSC activity at a high level while allowing for the proliferation or maintenance of HSCs in quiescence, achieved by culturing under fatty acid-rich, hypoxic conditions with either high or low cytokine concentrations. Analysis was performed after one week of culture, with the HSC number determined by flow cytometry based on the LSK-SLAM marker. While these are mentioned in the Methods section, we have added a description in the main text to highlight these points for the reader (page 7, lines 214-217).

      1. In Figure 5G, why does the blue line (PFKFB3 inhibitor) go up in the end of the real-time monitoring? Does it mean that other compensatory pathway is turned on?

      As you have pointed out, we cannot rule out the possibility that other unknown compensatory ATP production pathways were activated. We have added a note in the Discussion section to address this (page 18, lines 555-556).

      1. In Figure S6H&J, the reduction is marginal. Does it mean that PKM2 is not important for ATP production in HSCs?

      The activity of the inhibitor is essential in the GO-ATeam2 analysis. The commercially available PKM2 inhibitors have a higher IC50 value (IC50 = 2.95 μM in this case). Nevertheless, the effect of reducing the ATP concentration was observed in progenitor cells, but not in HSCs. The report by Wang et al. 9 on the analysis using a PKM2-deficient model suggests a stronger effect on progenitor cells than on HSCs. Our results are similar to those of the previous report.

      (Specific comments)

      Specifically, there are several major points that rise concerns about the claims:

      1. The gating strategy to select HSCs with enlarged Sca1 gating is not convincing. I understand the rationale to have a sufficient number of cells to analyze, however this gating strategy should be applied also in the control group. From the FACS plot seems that there are more HSCs upon 5FU treatment (Figure S1b). How that is possible? Is it because of the 20% more of cycling cells at day 6? To prove that this gating strategy still represents a pure HSC population, authors should compare the blood reconstitution capability of this population with a "standard" gated population. If the starting population is highly heterogeneous then the metabolic readout could simply reflect cell heterogeneity.

      Thank you for pointing this out. First, we did not enlarge the Sca-1 gating in this study. We apologize for any confusion caused by the incomplete description. The gating of c-Kit is based on that shown by Umemoto et al (Figure EV1A) 2, who used 250 mg/kg 5-FU, so their c-Kit reduction is more pronounced than ours.

      We followed this study and compared c-Kit expression in the Lin-Sca-1+CD150+CD48-EPCR+ gates to BMMNCs on day 6 after 5-FU administration (150 mg/kg). The results are shown below.

      Author response image 21.

      Since the MFI of c-Kit was downregulated, we used gating that extended the c-Kit gate to lower expression regions on day 6 after 5-FU administration (revised Figure S1C).

      At other time points, LSK gating was the same as in the PBS-treated group, as noted in the Methods.

      The reason why the number of HSCs appears to be higher in the 5-FU group is because most of the differentiated blood cells were lost due to 5-FU administration and the same number of cells as in the PBS group were analyzed by FACS, resulting in a relatively higher number of HSCs. The legend of Figure S1 shows that the number of HSCs in both the PBS and 5-FU groups appeared to increase because the same number of BMMNCs was obtained at the time of analysis (page S22, lines 596-598).

      Regarding cellular heterogeneity, from a metabolic point of view, the heterogeneity in HSCs is rather reduced by 5-FU administration. As shown in Figure S3A–C, this is simulated under stress conditions, such as after 5-FU administration or during OXPHOS inhibition, where the flux variability in each enzymatic reaction is significantly reduced. GO-ATeam2 analysis after 5-FU treatment showed no increase in cell population variability. After 2-DG treatment, ATP concentrations in HSCs were widely distributed from 0 mM to 0.8 mM in the PBS group, while more than 80% of those in the 5-FU group were less than 0.4 mM (Figures 4B, D). HSCs may have a certain metabolic diversity at a steady state, but under stress conditions, they may switch to a more specialized metabolism with less cellular heterogeneity in order to adapt.

      1. S2 does not show major differences before and after sorting. However, a key metabolite like Lactate is decreased, which is also one of the most present. Wouldn't that mean that HSCs once they move out from the hypoxic niche, they decrease lactate production? Do they decrease anaerobic glycolysis? How can quiescent HSC mostly rely on OXPHOS being located in hypoxic niche?

      2. Since HSCs in the niche are located in hypoxic regions of the bone marrow, would that not mimic OxPhos inhibition (oligomycin)? Would that not mean that HSCs in the niche are more glycolytic (anaerobic glycolysis)?

      3. In Figure 5B, the orange line (Glucose+OXPHOS inhibition) remains stable, which means HSCs prefer to use glycolysis when OXPHOS is inhibited. Which metabolic pathway would HSCs use under hypoxic conditions? As HSCs resides in hypoxic niche, does it mean that these steady-state HSCs prefer to use glycolysis for ATP production? As mentioned before, mitochondrial inhibition can be comparable at the in vivo condition of the niche, where low pO2 will "inhibit" mitochondria metabolism.

      Thank you for the first half of comment 2 on the technical features of our approach. First, as you have pointed out, there is minimal variation and stable detection of many metabolites before and after sorting (Figure S2A), suggesting that isolation from the hypoxic niche and sorting stress do not significantly alter metabolite detection performance. This is consistent with a previous report by Jun et al. 10. Meanwhile, lactate levels decreased by sorting. Therefore, if the activity of anaerobic glycolysis was suppressed in stressed HSCs, it may be difficult to detect these metabolic changes with our tracer analysis. However, in this study, several glycolytic metabolites, including an increase in lactate, were detected in HSCs from 5-FU-treated mice compared with HSCs from PBS-treated mice that were similarly sorted and prepared, suggesting an increase in glycolytic activity. In other words, we may have been fortunate to detect the stress-induced activation of the glycolytic system beyond the characteristic of our analysis system that lactate levels tend to appear lower than they are. Given that damage to the bone marrow hematopoiesis tends to alleviate the low-oxygen status of the niche 11, we postulate that this upregulated aerobic glycolysis arises intrinsically in HSCs rather than from external conditions.

      The second half of comment 2, and comments 7 and 10, are essential and overlapping comments and will be answered together. Although genetic analyses have shown that HSCs produce ATP by anaerobic glycolysis in low-oxygen environments 9,12, our GO-ATeam2 analysis in this study confirmed that HSCs also generate ATP via mitochondria. This is also supported by Ansó's prior findings where the knockout of the Rieske iron–sulfur protein (RISP), a constituent of the mitochondrial electron transport chain, impairs adult HSC quiescence and bone marrow repopulation 13. Bone marrow is a physiologically hypoxic environment (9.9–32.0 mmHg 11). However, the p50 value of mitochondria (the partial pressure of oxygen at which respiration is half maximal) is below 0.1% oxygen concentration at atmospheric pressure (less than 1 mmHg) 7. This suggests that OXPHOS can retain sufficient activity even under physiologically hypoxic conditions. We are currently initiating efforts to discern ATP concentrations in vivo within the bone marrow under physiological hypoxia. This will be reported in a separate project in the future. Admittedly, when we began this research, we did not anticipate the significant mitochondrial reliance of HSCs. As we previously reported, the metabolic uncoupling of glycolysis and mitochondria 12 may enable HSCs to activate only glycolysis, and not mitochondria, under stress conditions such as post-5-FU administration, suggesting a unique metabolic trait of HSCs. We have included these technical limitations and perspectives in the Discussion section (page 17, lines 520-523).

      1. The authors performed challenging experiments to track radiolabeled glucose, which are quite remarkable. However, the data do not fully support the conclusions. Mitochondrial metabolism in HSCs can be supported by fatty acid and glutamate, thus authors should track the fate of other energy sources to fully discriminate the glycolysis vs mito-metabolism dependency. From the data on S2 and Fig1 1C-F, the authors can conclude that upon 5FU treatment HSCs increase glycolytic rate.

      2. FIG.2B-C: Increase of Glycolysis upon oligomycin treatment is common in many different cell types. As explained before, other radiolabeled substrates should be used to understand the real effect on mitochondria metabolism.

      Thank you for your suggestion. While this is essential for future studies, we believe it is not the primary focus of the paper. We are planning another research project on tracer analysis using labeled fatty acids and glutamates, which we will report on in the near future. We have clearly stated in the Abstract and Introduction of the revised manuscript that the focus of this study is on changes in glucose metabolism when HSCs are stressed (page 3, line 75 and 87, page 5, lines 135).

      Instead, we have added the following analyses of metabolic changes in fatty acids and glutamate using the GO-ATeam2 system: HSCs derived from GO-ATeam2 mice treated with PBS or 5-FU were used to measure changes in ATP concentrations after exposure to the fatty acid beta-oxidation (FAO) inhibitor etomoxir and the glutaminolysis inhibitor 6-diazo-5-oxo-L-norleucine (DON). Etomoxir was used at 100 µM, a concentration that inhibits FAO without inhibiting mitochondrial electron transfer complex I, as previously reported 5. DON was used at 2 mM, a concentration that sufficiently inhibits the enzyme as the Ki for glutaminase is 6 µM. In this experiment, etomoxir alone, DON alone, or etomoxir and DON in combination did not decrease the ATP concentration of HSCs in the PBS and 5-FU groups (revised Figures S7J–M), suggesting that FAO and glutaminolysis were not essential for ATP production in HSCs in the short term. Thus, according to the analysis using the GO-Ateam2 system, HSCs exposed to acute stresses change the efficiency of glucose utilization (accelerated glycolytic ATP production) rather than other energy sources. Since there are reports that FAO and glutaminolysis are required for HSC maintenance in the long term 5,6, compensatory pathways may be able to maintain ATP levels in the short term. A description of these points has been added to the Discussion (page 17, lines 525-527).

      Author response image 22.

      Fatty acid β-oxidation activity was also measured in 5-FU-treated HSCs using the fluorescent probe FAOBlue and was unchanged compared to PBS-treated HSCs (revised Figure S7N).

      Author response image 23.

      Notably, the addition of 100 µM etomoxir plus glucose and Pfkfb3 inhibitors resulted in a rapid decrease in ATP concentration in HSCs (revised Figures S7O–P). This indicates that etomoxir partially mimics the effect of oligomycin, suggesting that at a steady state, OXPHOS is driven by FAO, but can be compensated by the acceleration of the glycolytic system by Pfkfb3. Meanwhile, the exposure of HSCs to Pfkfb3 inhibitors in addition to 2 mM DON did not reduce ATP (revised Figures S7O–P). This suggests that ATP production from glutaminolysis is limited in HSCs at a steady state.

      Author response image 24.

      These points suggest that OXPHOS is driven by fatty acids at a steady state, but unlike the glycolytic system, FAO is not further activated by HSCs after 5-FU treatment. The results of these analyses and related descriptions are included in the revised manuscript (page 11, lines 332-344).

      1. In Figure S1, 5-FU leads to the induction of cycling HSCs and in figure 1, 5-FU results in higher activation of glycolysis. Would it be possible to correlate these two phenotypes together? For example, by sorting NBDG+ cells and checking the cell cycle status of these cells?

      We appreciate the reviewer’s insightful comments. We administered 2-NBDG to mice and fractionated HSCs at the 2-NBDG fluorescence level for cell cycle analysis. The results are shown below (revised Figure S1M). Notably, even in the PBS-treated group, HSCs with high 2-NBDG uptake were more proliferative than HSCs with low 2-NBDG uptake and were comparable to HSCs after 5-FU treatment, although the overall population of HSCs that exited the G0 phase and entered the G1 phase increased after 5-FU treatment. In both PBS/5-FU-treated groups, these profound differences in cell cycle glucose utilization suggest a direct link between HSC proliferation and glycolysis activation. Descriptions of the above findings and perspectives have been added to the Results and Discussion section (page 7, lines 208-214, page 20, lines 607-610).

      Author response image 25.

      1. Why are only ECAR measurements (and not OCR measurements) shown? In Fig.2G, why are HSCs compared with cKit+ myeloid progenitors, and not with MPP1? The ECAR increased observed in HSC upon oligomycin treatment is shared with many other types of cells. However, cKit+ cells have a weird behavior. Upon oligo treatment cKit+ cells decrease ECAR, which is quite unusual. The data of both HSCs and cKit+ cells could be clarified by adding OCR curves. Moreover, it is recommended to run glycolysis stress test profile to assess the dependency to glycolysis (Glucose, Oligomycin, 2DG).

      In addition to the ECAR data of the Mito Stress test (original Figures 2G–H), OCR data were added in the revised manuscript (revised Figures 2H, S3D). Compared to c-Kit+ myeloid progenitors (LKS- cells), HSC exhibited a similar increase in ECAR, while the decrease in OCR was relatively limited. This may be because glycolytic and mitochondrial metabolism are coupled in c-Kit+ myeloid progenitors, whereas they are decoupled in HSCs. This is also suggested by the glucose plus oligomycin experiment in Figures 5B, C, and S6A–D (orange lines). In summary, in HSCs, glycolytic and mitochondrial ATP production are decoupled and can maintain ATP levels by glycolytic ATP production alone, whereas in progenitors including GMPs, the two ATP production systems are constantly coupled, and glycolysis alone cannot maintain the ATP concentration. While we could not conduct a glycolysis stress test, we believe that Pfkfb3-dependent glycolytic activation, which is evident in the oligomycin+glucose+Pfkfb3i experiment, is only apparent in HSCs when subjected to glucose+oligomycin treatment (original Figures 5F–I). We have added descriptions of these points in the Results and Discussion section (page 8, lines 240-243, page 18, lines 558-561).

      Author response image 26.

      FIG.3 A-C. As mentioned previously, the flux analyses should be integrated with data using other energy sources. If cycling HSCs are less dependent to OXPHOS, what happen if you inhibit OXHPHOS in 5-FU condition? Since the authors are linking OXPHOS inhibition and upregulation of Glycolysis to increase proliferation, do HSCs proliferate more when treated with oligomycin?

      First, please see our response to comments 3 and 5 regarding the first part of this comment about the flux analysis of other energy sources. According to the analysis using the GO-Ateam2 system, stressed HSCs change the efficiency of glucose utilization (accelerated glycolytic ATP production) rather than other energy sources. The change in ATP concentration after OXPHOS inhibition for 5-FU-treated HSCs is shown in Figures 4C and E, suggesting that the activity of OXPHOS itself does not increase. HSCs after oligomycin treatment and HSCs after 5-FU treatment are similar in that they activate glycolytic ATP production. However, inhibition of OXPHOS did not induce the proliferation of HSCs (original Figure S1K). This suggests that proliferation activates glycolysis and not that activation of the glycolytic system induces proliferation. This similarity and dissimilarity of glycolytic activation upon proliferation and OXPHOS inhibition is discussed in the Discussion section (page 16-17, lines 505-515).

      1. FIG.4 shows that in vivo administration of radiolabeled glucose especially marks metabolites of TCA cycle and Glycolysis. The authors interpret enhanced anaerobic glycolysis, but I am not sure this is correct; if more glycolysis products go in the TCA cycle, it might mean that HSC start engaging mitochondrial metabolism. What do the authors think about that?

      Thank you for pointing this out. We believe that the data are due to two differences in the experimental features between in vivo (Figure S5) and in vitro (Figures 1 and S2) tracer analysis. The first difference is that in in vivo tracer analysis, unlike in vitro, all cells can metabolize U-13C6-glucose. Another difference is that after glucose labeling in vivo, it takes approximately 120–180 minutes to purify HSCs to extract metabolites, and processing on ice may result in a gradual progression of metabolic reactions within HSCs. As a result, in vivo tracer analysis may detect an increased influx of labeled carbon derived from U-13C6-glucose into the TCA cycle over an extended period. However, it is difficult to interpret whether this influx of labeled carbon is derived from the direct influx of glycolysis or the re-uptake by HSCs of metabolites that have been metabolized to other metabolites in other cells. Meanwhile, as shown in Figure 4C using the GO-ATeam2 system, ATP production from mitochondria is not upregulated by 5-FU treatment. This suggests that even if the direct influx from glycolysis into the TCA cycle is increased, the rate of ATP production does not exceed that of glycolysis. Despite these technical caveats in interpretation, the results of in vivo and in vitro tracer analyses are considered essential. In particular, we consider the increased labeling of metabolites involved in glycolysis and nucleotide synthesis to be crucial. We have added a discussion of these points, including experimental limitations (page 17-18, lines 530-545).

      1. FIG.4: the experimental design is not clear. Are BMNNCs stained and then put in culture? Is it 6-day culture or BMNNCs are purified at day 6 post 5FU? FIG-4B-C The difference between PBS vs 5FU conditions are the most significant; however, the effect of oligomycin in both conditions is the most dramatic one. From this readout, it seems that HSCs are more dependent on mitochondria for energy production both upon 5FU treatment and in PBS conditions.

      We apologize for the incomplete description of the experimental details. The experiment involved dispensing freshly stained BMMNC with surface antigens into the medium and immediately subjecting them to flow cytometry analysis. For post-5-FU treatment HSCs, mice were administered with 5-FU (day 1), and freshly obtained BMMNCs were analyzed on day 6. The analysis of HSCs and progenitors was performed by gating each fraction within the BMMNC (original Figure S5A). We have added these details to ensure that readers can grasp these aspects more clearly (page S5, lines 155-158).

      As pointed out by the reviewer, we understand that HSCs produce more ATP through OXPHOS. However, ATP production by glycolysis, although limited, is observed under steady-state conditions (post-PBS treatment HSC), and its reliance increases during the proliferation phase (post-5-FU treatment HSC) (original Figures 4B, D). Until now, discussions on energy production in HSCs have focused on either glycolysis or mitochondrial functions. However, with the GO-ATeam2 system, it has become possible for the first time to compare their contributions to ATP production and evaluate compensatory pathways. As a result, it became evident that while OXPHOS is the main source of ATP production, the reliance on glycolysis plastically increases in response to stress. This has led to a better understanding of HSC metabolism. These points are included in the Discussion as well (page 16, lines 479-488).

      1. FIG.6H should be extended with cell cycle analyses. There are no differences between 5FU and ctrl groups. If 5FU induces HSCs cycling and increases glycolysis I would expect higher 2-NBDG uptake in the 5FU group. How do the authors explain this?

      Thank you for your comments. In the original Figure 6H, we found that 2-NBDG uptake correlated with mPFKFB3 levels in both the 5-FU and PBS groups. mPfkfb3 levels remained low in the few HSCs with low 2-NBDG uptake in the 5-FU group.

      In the revised manuscript, to directly relate glucose utilization to the cell cycle, we administered 2-NBDG to mice and fractionated HSCs at the 2-NBDG fluorescence level for cell cycle analysis. The results are shown below (revised Figure S1M). Notably, even in the PBS-treated group, HSCs with high 2-NBDG uptake were more proliferative than those with low 2-NBDG uptake and are comparable to HSCs after 5-FU treatment, although the overall population of HSCs that exited the G0 phase and entered the G1 phase increased after 5-FU treatment. The large differences in glucose utilization per cell cycle observed in both PBS/5-FU-treated groups suggest a direct link between HSC proliferation and glycolysis activation. Descriptions of the above findings have been added to the Results and Discussion ((page 7, lines 208-214, page 20, lines 607-610).

      Author response image 27.

      1. In S7 the experimental design is not clear. What are quiescent vs proliferative conditions? What does it mean "cell number of HSC-derived colony"? Is it a CFU assay? Then you should show colony numbers. When HSCs proliferate, they need more energy thus inhibition of metabolism will impact proliferation. What happens if you inhibit mitochondrial metabolism with oligomycin?

      Regarding the proliferative and quiescence-maintaining conditions, we have previously reported on these 8. In brief, these are culture conditions that maintain HSC activity at a high level while allowing for the proliferation or maintenance of HSCs in quiescence, achieved by culturing under fatty acid-rich, hypoxic conditions with either high or low cytokine concentrations. Analysis was performed after one week of culture, with the HSC number determined by flow cytometry based on the LSK-SLAM marker. While these are mentioned in the Methods section, we have added a description in the main text to highlight these points for the reader (page 7, lines 214-217).

      In vitro experiments with the oligomycin treatment of HSCs showed that OXPHOS inhibition activates the glycolytic system, but does not induce HSC proliferation (original Figure S1K). This suggests that proliferation activates glycolysis and not that activation of the glycolytic system induces proliferation. This similarity and dissimilarity of glycolytic activation upon proliferation and OXPHOS inhibition is discussed in the Discussion (page 16-17, lines 505-515).

      1. In FIG 7 since homing of HSCs is influenced by the cell cycle state, should be important to show if in the genetic model for PFKFB3 in HSCs there's a difference in homing efficiency.

      In response to the reviewer's comments, we knocked out PFKFB3 in HSPCs derived from Ubc-GFP mice, transplanted 200,000 HSPCs into recipients (C57BL/6 mice) post-8.5Gy irradiation, and harvested the bone marrow of recipients after 16 h to compare homing efficiency (revised Figure S10H). Even with the knockout of PFKFB3, no significant difference in homing efficiency was detected compared to the control group (Rosa knockout group). These results suggest that the short-term reduction in chimerism due to PFKFB3 knockout is not due to decreased homing efficiency or cell death by apoptosis (Figure 7K) but a transient delay in cell cycle progression. We have added descriptions regarding these findings in the Results and Discussion sections (page 15, lines 470-471, page 19, lines 576-578).

      Author response image 28.

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    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1:

      In this study, Fang H et al. describe a potential pathway, ITGB4-TNFAIP2-IQGAP1-Rac1, that may involve in the drug resistance in triple negative breast cancer (TNBC). Mechanistically, it was demonstrated that TNFAIP2 bind with IQGAP1 and ITGB4 activating Rac1 and the following drug resistance. The present study focused on breast cancer cell lines with supporting data from mouse model and patient breast cancer tissues. The study is interesting. The experiments were well controlled and carefully carried out. The conclusion is supported by strong evidence provided in the manuscript. The authors may want to discuss the link between ITGB4 and Rac1, between IQGAP1 and Rac1, and between TNFAIP2 and Rac1 as compared with the current results obtained. This is important considering some recent publications in this area (Cancer Sci 2021, J Biol Chem 2008, Cancer Res 2023). In addition, some key points need to be addressed in order to support their conclusion in full.

      Thanks for your positive comments.

      1) It is rarely found studies using the term of "DNA damage drug resistance". Do the authors mean "DNA damage and drug resistance" or "DNA damage-related drug resistance" or "DNA damage-induced drug resistance"? It is better to define "DNA damage drug resistance" in the manuscript if it is not a common term in the field.

      We agree with you that the description "DNA damage-related drug resistance" is better so that we revised it uniformly in the manuscript.

      2) For Figure 4A, it is stated the IQGAP1 is identified via IP-MS. However, the MS results are not presented in the Figure or in the supplementary. In Figure 4A, only the IP results with silver staining was presented. Moreover, based on the silver staining here, a bunch of proteins were increased in TNFAIP2 overexpression group compared to the vector group. Especially, there is a much clearer band at 52kDa. The authors didn't explain why they chose IQGAP1 and ITGB4 which are less clear than the protein(s) at 52kDa.

      Supplementary table 1 is our mass spectrometry results. There are two reasons for choosing ITGB4 and IQGAP1. Firstly, we selected the proteins that indeed interact with TNFAIP2 according to our verification experiments. Secondly, we were interested in the mechanism by which TNFAIP2 promoting DNA damage-related drug resistance, and we found that ITGB4 promoted drug resistance, while IQGAP1 activated Rac1.

      3) According to the images in Figure 4C, the efficiency of si-IQGAP1 is limited. The authors could analyze the WB image to confirm the inhibition efficiency of si-IQGAP1.

      We analyzed the WB images and the quantitative results are as follows in Author response image 1. The knockdown efficiency is acceptable.

      Author response image 1.

      4) In Figure 5B, I wonder whether the authors can explain why the IgG could immunoprecipitate similar amount of ITGB4 protein as input group.

      In this experiment, the Input group had relatively less loading amount (5%), while the IgG group had nonspecific binding.

      5) According to the results from Figure 6B, the inhibition efficiency of shITGB4#1 is much higher than shITGB4#2. However, the effects of shITGB4#1 on GTP-Rac1 are similar to or even weaker than those of shITGB4#2 in both HCC1806 and HCC1937. Can this be explained?

      The possible reason is that downregulation of ITGB4 expression to a certain level is sufficient to inhibit the activation of Rac1.

      6) In Figure 6F, there are double bands for ITGB4 while only one band shows in other Figures. Please find a better representative image here.

      ITGB4 has a cleaved band in addition to the main band. These two bands could be separated when we used a low concentration SDS-PAGE gel.

      7) In the manuscript, GAPDH, b-Actin and Tubulin are used in different experiments as internal controls. Is there any specific reason to using different internal controls for different experiments here?

      There is no specific reason using different internal controls. These experiments were conducted by different person. Each individual chose different internal controls based on the protein sizes.

      8) I cannot find Table 1 for the correlation results for TNFAIP2 and ITGB4. I wonder whether Figure 8E is the Table 1 as is mentioned, since it is stated in line 561 that Figure 8E is "the work model of this paper" but actually Figure 8F is. If Figure 8E is the correlation results, I highly recommended the scatter plots graph is used here to present more clear and visualized correlation between TNFAIP2 and ITGB4.

      Figure 8E is indeed the correlation result. In addition, Figure 8E could not be presented as scatter plot graph because the pattern of TNFAIP2 and ITGB4 expression is negative or positive according to the determination of IHC results which was carried out by professional pathologists.

      9) Throughout the whole manuscript, no description of N number was found in figure legends or in Methods for in vitro experiments. N number is important for statistical analysis.

      All our experiments have set up three replicates. We provide this information in figure legends.

      Reviewer #2:

      Breast cancer is the most common malignant tumor in women. One of subtypes in breast cancer is so called triple-negative breast cancer (TNBC), which represents the most difficult subtype to treat and cure in the clinic. Chemotherapy drugs including epirubicin and cisplatin are widely used for TNBC treatment. However, drug resistance remains as a challenge in the clinic. The authors uncovered a molecular pathway involved in chemotherapy drug resistance, and molecular players in this pathway represent as potential drug targets to overcome drug resistance. The experiments are well designed and the conclusions drawn mostly were supported by the data. The findings have potential to be translated into the clinic.

      Thanks for your positive comments.

      1) In Introduction, the statement of "Breast cancer is the most common malignant tumor in women, and the morbidity and mortality rates of female malignant tumors are ranked first in the world" is inaccurate.

      We have revised the description as“Breast cancer is the most commonly diagnosed cancer and the leading cause of cancer death in women”.

      2) In Materials and Methods, "Immunopurification and silver staining" is not correct, which should be replaced with "Immunoprecipitation and silver staining".

      We replaced the description in the manuscript according to your suggestion.

      3) It is unclear Why the authors chose the two TNBC cell lines, HCC1806 and HCC1937, for cell models in this work.

      We chose these two cell lines according to our previous work“KLF5 promotes breast cancer proliferation, migration and invasion in part by upregulating the transcription of TNFAIP2” (doi: 10.1038/onc.2015.263. Epub 2015 Jul 20).

      4) To demonstrate TNFAIP2 and ITGB4 confer TNBC drug resistance in vivo, the knockdown efficiency of animal experiments was not shown.

      The knockdown efficiency of animal experiments was shown below. We added this result into Figure 2-figure supplement 2G and Figure 5-figure supplement 2N.

      5) I would strongly suggest the authors seek help from a language editing service to improve the manuscript.

      We improved the manuscript by using a professional English language editing service and we have carefully revised the manuscript.

      Reviewer #3:

      In this manuscript, Fang and colleagues found that IQGAP1 interacts with TNFAIP2, which activates Rac1 to promote drug resistance in TNBC. Furthermore, they found that ITGB4 could interact with TNFAIP2 to promote TNBC drug resistance via the TNFAIP2/IQGAP1/Rac1 axis by promoting DNA damage repair.

      This work has good innovation and high potential clinical significance. However, there are several unsolved concerns that have to be addressed.

      Thanks for your positive comments.

      1) In the manuscript, there are four drugs used for in vitro cell experiments, why is olaparib (AZD) not used for in vivo animal experiments?

      There are two reasons why we did not choose AZD. First,the killing effect of AZD is not as strong as that of BMN. Second, AZD is more expensive than BMN. We finally chose BMN for animal experiments.

      2) In Figure 4B, why the immunoprecipitation experiments is done in HCC1806 cell line?

      In our previous study “KLF5 promotes breast cancer proliferation, migration and invasion in part by upregulating the transcription of TNFAIP2” (doi: 10.1038/onc.2015.263. Epub 2015 Jul 20), we found that TNFAIP2 knockdown could obviously inhibit the activation of Rac1 in HCC1806 when compared to the result in HCC1937. So, we used HCC1806 cell line to perform the IP-Mass assay.

      3) There should be data showing the knockdown effect of TNFAIP2 and ITGB4 in animal experiments.

      We addressed the same question above (Reviewer #2, Question#4).

      4) When screening the interaction regions between ITGB4 and TNFAIP2, why the TNFAIP2 protein truncation strategy is to delete the N-terminus?

      In fact, we also deleted the C-terminus, but the deletion of C-terminus of TNFAIP2 did not affect the interaction.

      5) In the manuscript, "input" should be changed to "Input".

      We corrected it.

      6) There should be a space between "Figure" and numbers.

      We add a space between "Figure" and numbers.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      Tobón and Moser reveal a remarkable amount of presynaptic diversity in the fundamental Ca dependent exocytosis of synaptic vesicles at the afferent fiber bouton synapse onto the pilar or mediolar sides of single inner hair cells of mice. These are landmark findings with profound implications for understanding acoustic signal encoding and presynaptic mechanisms of synaptic diversity at inner hair cell ribbon synapses. The paper will have an immediate and long-lasting impact in the field of auditory neuroscience.

      Main findings: 1) Synaptic delays and jitter of masker responses are significantly shorter (synaptic delay: 1.19 ms) at high SR fibers (pilar) than at low SR fibers (mediolar; 2.57 ms). 2) Masked evoked EPSC are significantly larger in high SR than in low SR. 3) Quantal content and RRP size are 14 vesicles in both high and low SR fibers. 4) Depression is faster in high SR synapses suggesting they have a higher release probability and tighter Ca nanodomain coupling to docked vesicles. 5) Recovery of master-EPSCs from depletion is similar for high and low SR synapses, although there is a slightly faster rate for low SR synapses that have bigger synaptic ribbons, which is very interesting. 6) High SR synapses had larger and more compact (monophasic) sEPSCs, well suited to trigger rapidly and faithfully spikes. 7) High SR synapses exhibit lower voltage (~sound pressure in vivo) dependent thresholds of exocytosis.

      Strengths:

      Great care was taken to use physiological external pH buffers and physiological external Ca concentrations. Paired recordings were also performed at higher temperatures with IHCs at physiological resting membrane potentials and in more mature animals than previously done for paired recordings. This is extremely challenging because it becomes increasingly difficult to visualize bouton terminals when myelination becomes more prominent in the cochlear afferents.

      In addition, perforated patch recordings were used in the IHC to preserve its intracellular milieu intact and thus extend the viability of the IHCs. The experiments are tour-de-force and reveal several novel aspects of IHC ribbon synapses. The data set is rich and extensive. The analysis is detailed and compelling.

      We would like to thank the reviewer for the appreciation of our work and the comments that helped us to improve our manuscript. We detail our responses to the comments below.

      Weaknesses:

      (1) Materials and Methods: Please provide whole-cell Rs (series resistance ) and Cm (membrane capacitance) average +/- S.E.M. (or SD) values for IHC and afferent fiber bouton recordings. The Cm values for afferents have been estimated to be about 0.1 pF (Glowatzki and Fuchs, 2002) and it would be interesting to know if there are differences in these numbers for high and low SR afferents. Is it possible to estimate Cm from the capacitative transient time constant? Minimal electronic filtering would be required for that to work, so I realize the authors may not have this data and I also realize that the long cable of the afferents do not allow accurate Cm measurements, but some first order estimate would be very interesting to report, if possible.

      In response to the reviewer’s comment, we now added the estimates of series resistance and membrane capacitance for IHC and bouton recordings in Material and Methods and in the Figure 1 – figure supplement 1. Our estimate for bouton Cm is on average 1.7 ± 0.09 pF, a value that compares well to the literature. For example, Glowatzki and Fuchs (2002) provided estimates ranging 0.5-2 pF for recordings from afferent inner hair cell synapses in rats that showed a capacitance transient. In own prior work on afferent inner hair cell synapses of pre-hearing mice, we found estimates of 2.6 ± 0.5 pF (Chapochnikov et al., 2014) and 1.9 ± 0.2 pF (Takago et al., 2019). Keen and Hudspeth (2006) reported capacitances of 1–4 pF for afferent terminals in the bullfrog amphibian papilla. There was no difference in bouton Cm between high SR (1.78 ± 0.19 pF) and low SR synapses (1.68 ± 0.11 pF; p = 0.6575, unpaired t test).

      (2) Page 20, 26 and Figure 4: With regard to synaptic delays at auditory hair cell synapses: please see extensive studies done in Figure 11 of Chen and von Gersdorff (JNeurosci., 2019); this showed that synaptic delays are 1.26 ms in adult bullfrog auditory hair cells at 31oC, which is very similar to the High SR fibers (1.19 ms; Fig.4B and page 20). During ongoing depolarizations (e.g. during a sustained sine wave) the synaptic delay can be reduced to just 0.72 ms for probe EPSCs, which is a more usual number for mature fast synapses. This paper should, thus, be cited and briefly discussed in the Discussion. So a significant shortening of delay occurs for the probe response and this is also observed in young rat IHC synapses (see Goutman and Glowatzki, 2011).

      We thank the reviewer for this comment. We have analysed the synaptic delay of the probe response and included it in Figure 4 – figure supplement 1. Contrary to the findings from Goutman and Glowatzki (2011) and Chen and von Gersdorff (2019), we did not observe a shortening of the synaptic delay for the probe response compared to the masker response. This difference might arise from the duration of the masker stimulus and/or the IHC holding potential. Synaptic facilitation in hair cells seems to occur only when the RRP is not depleted by the first stimulus (Cho et al., 2011). Our 100 ms masker depolarization from a holding potential of -58 mV effectively depleted the synapse RRP (Figure 4D), while both studies mentioned above used relatively short depolarizations (2 in rat and 20 ms in bullfrog) from a holding potential around -90 mV, which most likely didn’t deplete the RRP. Indeed, when using partially RRP depleting stimuli of 10 ms, Goutman (2011) observed longer synaptic latencies and smaller responses to the second stimulus. We have included this discussion in the last paragraph of the results section.

      Additionally, we would also like to note that we referred to the important work on frog hair cell synapses in the manuscript, yet aimed to focus on relating synaptic heterogeneity of mammalian inner hair cell synapses to the functional diversity of type I spiral ganglion neurons that unlike the frog afferents show little branching of their peripheral neurites (in only ~15% of the neurons). We think it will be very interesting to study the aspect of presynaptic heterogeneity in the bullfrog amphibian papilla, but assume that the converging input of several active zones onto a single afferent might provide a different encoding scheme than in the mammalian cochlea.

      (3) Gaussian-like (and/or multi-peak) EPSC amplitude distributions were obtained in more mature rat IHCs by Grant et al. (see their Figure 4G; JNeurosci. 2010; postnatal day 19-21). The putative single quanta peak was at 50 pA and the main peak was at 375 pA. The large mean suggests a low CV (probably < 0.4). However, Fig. 2F shows a mean of about 100 pA and CV = 0.7 for spontaneous EPSCs. This major difference deserves some more discussion. I suppose that one possible explanation may be that the current paper holds the IHC membrane potential fixed at -58 mV, whereas Grant et al. (2010) did not control the IHC membrane potential and spontaneous fluctuations in the Vm may have depolarized the IHC, thus producing larger evoked EPSCs that are triggered by Ca channel openings. Some discussion that compares these differences and possible explanations would be quite useful for the readers.

      We understand the reviewer’s concern. We have now included the amplitude distribution of sEPSCs recorded from 12 boutons without patch-clamping the IHC (Figure 2–figure supplement 1, panel A). The rest of the recording conditions (i.e., artificial perilymph-like solution, physiological temperature and age) were identical to the conditions used for the paired recordings. Both the range of spontaneous rate (0 up to 16.33 sEPSC/s) and the amplitude distribution (peak at -40 pA and CV of 0.66) were comparable to the values we obtained when clamping the IHC resting potential at -58 mV. In addition, for two of our pairs, we established the bouton recording first, measured the spontaneous release, then established the perforated patch-clamp of the IHC and measured the spontaneous release again with IHC held at -58 mV. For pair #l300321_1, the SR before clamping the IHC was 0.0125 sEPSC/s, with a maximal AmpsEPSC of -110 pA (avg. -52 pA). The SR while holding the IHC at -58 mV was 0.36 sEPSCs/s, with a maximal AmpsEPSC of -140 pA (avg. -46 pA). For pair #l200522_2, the SR changed from 0.07 sEPSC/s to 0. The maximal AmpsEPSC before clamping the IHC was -70 pA (avg. -31 pA). Overall, our data recorded without controlling the IHC argues against the resting potential of -58 mV as a major source of differences in EPSC rate and amplitudes compared to previous studies.

      Nonetheless, it is important to note that the experimental conditions used in our study differ from previous reports in several aspects. Our extracellular solution contains the physiological pH buffer bicarbonate instead of the fast buffer HEPES, as well as TEA and Cs+ for proper isolation of the Ca2+ currents. Both pH and potassium channel blockers can alter the excitability of the cell and, consequently, the spontaneous and evoked release. For instance, despite maintaining a similar extracellular pH (7.3 to 7.4), the choice of bicarbonate or HEPES for the extracellular solution can influence differently the regulation of the intracellular pH of the cell (Michl et al., 2019). Indeed, the activity of ion channels and receptors (e.g., AMPAR), and the resting potential can change depending on the extracellular buffer used (Hare and Owen, 1998, Vincent et al., 2019, Cho and von Gersdorff, 2014; and review Sinning and Hübner, 2013). Additionally, the animal model and the age range could be a source of difference. In rats, the EPSC amplitude distribution seems to change with maturation but not with K+ stimulation (Grant et al., 2010) or voltage depolarizations (Goutman and Glowatzki, 2007). This however does not seem to be the case for afferent boutons recorded from mice. In resting conditions (i.e. 5.8 mM extracellular K+), average EPSC amplitudes are around -100 to -150 pA for both prehearing (Chapochnikov et al., 2014) and hearing mice (Niwa et al., 2021 and the present study). Upon stimulation (40 mM K+ or voltage depolarizations), the mean EPSC amplitude does not change in prehearing mice (Jing et al., 2013; Takaba et al., 2019), but it significantly increases in hearing mice (Niwa et al., 2021 and the present study). In p20 and p30 mice, the mean EPSC amplitude was predominantly below -100 pA at rest and only increased above -100 pA after stimulation with 40 mM K+ (Niwa et al., 2021). Similarly, our reported avg. AmpsEPSC is below -150 pA, while the evoked EPSCs reached average amplitudes above -200 pA (Figure 1–figure supplement 1, panel F and Figure 4 – figure supplement 1, panel F).

      We have included the aforementioned points in the discussion under the section "Diversity of spontaneous release and their topographical segregation”.

      Reviewer #2 (Public Review):

      Summary:

      The study by Jaime-Tobon & Moser is a truly major effort to bridge the gap between classical observations on how auditory neurons respond to sounds and the synaptic basis of these phenomena. The so-called spiral ganglion neurons (SGNs) are the primary auditory neurons connecting the brain with hair cells in the cochlea. They all respond to sounds increasing their firing rates, but also present multiple heterogeneities. For instance, some present a low threshold to sound intensity, whereas others have high threshold. This property inversely correlates with the spontaneous rate, i.e., the rate at which each neuron fires in the absence of any acoustic input. These characteristics, along with others, have been studied by many reports over the years. However, the mechanisms that allow the hair cells-SGN synapses to drive these behaviors are not fully understood.

      Strengths:

      The level of experimental complexity described in this manuscript is unparalleled, producing data that is hardly found elsewhere. The authors provide strong proof for heterogeneity in transmitter release thresholds at individual synapses and they do so in extremely complex experimental settings. In addition, the authors found other specific differences such as in synaptic latency and max EPSCs. A reasonable effort is put into bridging these observations with those extensively reported in in vivo SGNs recordings. Similarities are many and differences are not particularly worrying as experimental conditions cannot be perfectly matched, despite the authors' efforts in minimizing them.

      We would like to thank the reviewer for the appreciation of our work and the comments that helped us to improve our manuscript. We detail our responses to the comments below.

      Weaknesses:

      Some concern surges in relation to mismatches with previous reports of IHC-SGN synapses function. EPSCs at these synapses present a peculiar distribution of amplitudes, shapes, and rates. These characteristics are well-established and some do not seem to be paralleled in this study. Here, amplitude distributions are drastically shifted to smaller values, and rates of events are very low, all compared with previous evidence. The reasons for these discrepancies are unclear. The rate at which spontaneous EPSCs appear is an especially sensitive matter. A great part of the conclusions relies on the definition of which of the SGNs (or should say synapses) belong to the low end and which to the high end in the spectrum of spontaneous rates. The data presented by the authors seem a bit off and the criteria used to classify recordings are not well justified. The authors should clarify the origin of these differences since they do not seem to come from obvious reasons such as animal ages, recording techniques, mouse strain, or even species.

      We understand the reviewer’s concern. We have now included the amplitude distribution of sEPSCs recorded from 12 boutons without patch-clamping the IHC (Figure 2–figure supplement 1, panel A). The rest of the recording conditions (i.e., artificial perilymph-like solution, physiological temperature and age) were identical to the conditions used for the paired recordings. Both the range of spontaneous rate (0 up to 16.33 sEPSC/s) and the amplitude distribution (peak at -40 pA and CV of 0.66) were comparable to the values we obtained when clamping the IHC resting potential at -58 mV. In addition, for two of our pairs, we established the bouton recording first, measured the spontaneous release, then established the perforated patch-clamp of the IHC and measured the spontaneous release again with IHC held at -58 mV. For pair #l300321_1, the SR before clamping the IHC was 0.0125 sEPSC/s, with a maximal AmpsEPSC of -110 pA (avg. -52 pA). The SR while holding the IHC at -58 mV was 0.36 sEPSCs/s, with a maximal AmpsEPSC of -140 pA (avg. -46 pA). For pair #l200522_2, the SR changed from 0.07 sEPSC/s to 0. The maximal AmpsEPSC before clamping the IHC was -70 pA (avg. -31 pA). Overall, our data recorded without controlling the IHC argues against the resting potential of -58 mV as a major source of differences in EPSC rate and amplitudes compared to previous studies.

      Additionally, as noted on the section “Diversity of spontaneous release and their topographical segregation”, our SR values also agree with the range of 0.1 – 16.42 spikes/s reported by Wu et al., (2016) using loose patch recordings from p15-p17 rats. 90% of the paired recordings (and 60% of the bouton recordings) of our dataset were obtained from mice between p14-p17, where spontaneous activity is still low compared to older age groups (p19-p21: 0 – 44.22 spikes/s; p29p32: 0.11 – 54.9 spikes/s Wu et al., 2016; p28: 0 – 47.94 spikes/s, Siebald at al., 2023). There are two additional aspects to consider: i) about 40% of the SGN spikes seem to be generated intrinsically (not activated by an EPSP, ergo an EPSC) at p15-p18 (Wu et al., 2016); and ii) the presence of a spike or EPSC is the sole determinant of a successful recording when the IHC is not stimulated (either by K+ or voltage), thus, these type of experiments undersample fibers with low SR.

      We have included the aforementioned points in the discussion under the section "Diversity of spontaneous release and their topographical segregation”.

      Reviewer #3 (Public Review):

      Summary:

      "Bridging the gap between presynaptic hair cell function and neural sound encoding" by Jaime Tobon and Moser uses patch-clamp electrophysiology in cochlear preparations to probe the pre- and post-synaptic specializations that give rise to the diverse activity of spiral ganglion afferent neurons (SGN). The experiments are quite an achievement! They use paired recordings from pre-synaptic cochlear inner hair cells (IHC) that allow precise control of voltage and therefore calcium influx, with post-synaptic recordings from type I SGN boutons directly opposed to the IHC for both presynaptic control of membrane voltage and post-synaptic measurement of synaptic function with great temporal resolution.

      Strengths

      Any of these techniques by themselves are challenging, but the authors do them in pairs, at physiological temperatures, and in hearing animals, all of which combined make these experiments a real tour de force. The data is carefully analyzed and presented, and the results are convincing. In particular, the authors demonstrate that post-synaptic features that contribute to the spontaneous rate (SR) of predominantly monophasic post-synaptic currents (PSCs), shorter EPSC latency, and higher PSC rates are directly paired with pre-synaptic features such as a lower IHC voltage activation and tighter calcium channel coupling for release to give a higher probability of release and subsequent increase in synaptic depression. Importantly, IHCs paired with Low and High SR afferent fibers had the same total calcium currents, indicating that the same IHC can connect to both low and high SR fibers. These fibers also followed expected organizational patterns, with high SR fibers primarily contacting the pillar IHC face and low SR fibers primarily contacting the modiolar face. The authors also use in vivo-like stimulation paradigms to show different RRP and release dynamics that are similar to results from SGN in vivo recordings. Overall, this work systematically examines many features giving rise to specializations and diversity of SGN neurons.

      We would like to thank the reviewer for the appreciation of our work and the comments that helped us to improve our manuscript. We detail our responses to the comments below.

      Weaknesses / Comments / edits:

      (1) The careful analysis of calcium coupling and EPSC metrics is especially nice. Can the authors speculate as to why different synapses (likely in the same IHC) would have different calcium cooperativity?

      The finding of different apparent Ca2+ cooperativities among IHC synapses is intriguing. Paired pre- and postsynaptic patch-clamp recordings (this work and (Jaime Tobón and Moser, 2023)) and single synapse imaging of presynaptic Ca2+ signals and glutamate release (Özçete and Moser, 2021) jointly support this notion. Both methodologies complement each other. Imaging allows to assess the presynaptic Ca2+ of the specific synapse, while in paired recordings release is related to the whole cell Ca2+ influx. Paired recordings, on the other hand, provide the sensitivity and temporal resolution to assess the initial release rate with short stimuli (2 to 10 ms), which avoids an impact of RRP depletion and ongoing SV replenishment that needs to be considered for the longer stimuli used in imaging (50 ms). Both approaches agree on the finding of tighter coupling of Ca2+ channels and release sites (i.e., lower apparent Ca2+ cooperativity during depolarization within the range of receptor potentials) at pillar synapses. Moreover, the present study took advantage of recording individual release events [which was not achieved by imaging] and further supported the hypothesis that high SR SGNs receive input from active zones with tighter coupling than low SR SGNs. However, our two non-overlapping data sets for paired patch-clamp recordings (this work and (Jaime Tobón and Moser, 2023)) found a narrower range of apparent Ca2+ cooperativities compared to results from single synapse imaging (Özçete and Moser, 2021). This might reflect the technical differences described above. Future studies, potentially combining paired patch-clamp recordings with imaging of presynaptic Ca2+ signals will be needed to scrutinize this aspect.

      We think that the different Ca2+ cooperativities reflect subtle differences in the topography of presynaptic Ca2+ channels and vesicular release sites at the specific IHC active zones. The work of Özçete and Moser (2021) indicated that indeed, apparent Ca2+ cooperativities differ among active zones even within the same inner hair cell. Synaptic heterogeneity within one individual cell can expand its coding capacity. In the case of IHCs, differences in the Ca2+ dependence of synaptic release, in addition to the heterogeneous voltage dependence, appears to diversify the response properties (i.e., synaptic vesicle release probability) of individual synapses to the same stimulus. This is particularly important for sound intensity and temporal coding.

      We have included the aforementioned points in the discussion under the section "Candidate mechanisms distinguishing evoked release at low and high SR synapses”.

      (2) On the bottom of page 6 it would be helpful to mention earlier how many pillar vs modiolar fibers were recorded from, otherwise the skewness of SRs (figure 2H could be thought to be due to predominantly recordings from modiolar fibers. As is, it reads a bit like a cliff-hanger.

      Done!

      (3) The contrasts for some of the data could be used to point out that while significant differences occur between low and high SR fibers, some of these differences are no longer apparent when comparing modiolar vs pillar fibers (eg by contrasting Figure 2C and 2K). This can indicate that indeed there are differences between the fiber activity, but that the activity likely exists in a gradient across the hair cell faces. Pointing this out at the top of page 10 (end of the first paragraph) would be helpful, it would make the seemingly contradictory voltage dependence data easier to understand on first read (voltage-dependence of release is significantly different between different SR fibers (figure 3) but is not significantly different between fibers on different HC faces (figure S3).

      Done!

      (4) It should be acknowledged that although the use of post-hearing animals here (P14-23) ensures that SGN have begun to develop more mature activity patterns (Grant et al 2010), the features of the synapses and SGN activity may not be completely mature (Wu et al 2016 PMID: 27733610). Could this explain some of the 'challenges' (authors' section title) detailed on page 28, first full paragraph?

      Done!

      (5) In the discussion on page 24, the authors compare their recorded SR of EPSCs to measure values in vivo which are higher. Could this indicate that in vivo, the resting membrane potential of IHCs is more depolarized than is currently used for in vitro cochlear experiments?

      That is indeed one possible explanation among others. We have expanded the discussion about the factors that could affect the SR in ex vivo experiments.

      (6) The results showing lower calcium cooperativity of high SR fibers are powerful, but do the authors have an explanation for why the calcium cooperativity of < 2 is different from that (m = 3-4) observed in other manuscripts?

      We assume this question to potentially result from a misunderstanding. Using membrane capacitance measurements and Ca2+ uncaging, Beutner et al. (2001) reported a high intrinsic Ca2+ cooperativity of inner hair cell exocytosis (m = 4-5). Based on this data, it has been proposed that the binding of 4-5 Ca2+ ions is required to trigger the fusion of a synaptic vesicle in IHCs. However, given the shortcoming of Ca2+ uncaging, we and others aimed to further study this aspect using alternative methods. By varying the current of single Ca2+ channels in apical IHCs of hearing mice, several studies reported a high apparent Ca2+ cooperativity (m = 3-5) that is thought to reflect the high intrinsic cooperativity (Brandt et al., 2005; Wong et al., 2014; Özçete and Moser, 2021; Jaime Tobón and Moser, 2023).

      On the other hand, the apparent Ca2+ cooperativity observed upon changing the number of open Ca2+ channels would also reflect the active zone topography (i.e., number and distance of Ca2+ channels to the vesicular release site). In the present study, we used different depolarizations within the range of receptor potentials and found a low apparent Ca2+ cooperativity (m < 2) in 93% of the studied synapses. Other studies in apical IHCs from hearing mice used similar and alternative methods to change the number of open Ca2+ channels and also estimated an apparent cooperativity of < 2 (Brandt et al., 2005; Johnson et al., 2005; Johnson et al., 2007; Wong et al., 2014; Özçete and Moser, 2021; Jaime Tobón and Moser, 2023). The fact that these estimates are smaller than those seen upon changes in single Ca2+ current has been taken to indicate that SV release is governed by one or few Ca2+ channels in nanometer proximity (Ca2+ nanodomain-like control of SV exocytosis), building on classical synapse work (Augustine et al., 1991). 

      In contrast, comparable recordings from mouse IHCs before the onset of hearing (Wong et al., 2014) revealed more similar apparent Ca2+ cooperativities (m ~3) for both changes in the number of open Ca2+ channels and changes in single Ca2+ channel current. This suggests that IHCs before the onset of hearing employ a Ca2+ microdomain-like control of SV exocytosis in which release is governed by the combined activity of several Ca2+ channels in >100 nm distance to the release site. A Ca2+ microdomain-like control of SV exocytosis was also reported for basocochlear IHCs (Johnson et al., 2017).

      Recommendations for the authors:

      As explained in the public reviews of Reviewers 1 and 2, some mismatches between the data presented here and previous reports from the literature have been identified. It is recommended that you discuss those mismatches, perhaps in relation to the choice of patchclamping the hair cells at -58mV.

      We have addressed this point thoroughly in the revised MS. Please see our response to the public review.

      Reviewer #1 (Recommendations For The Authors):

      Minor suggestions and corrections:

      (1) Figures 3 and 4 show beautiful data with paired recordings. Figure 3 shows 10 ms pulses, whereas Fig. 4 shows 100 ms depolarizing pulses. The example in Fig. 3A shows asynchronous release after Ca channel closure, whereas Fig. 4 does not show this so prominently. Was there quite a bit of variability in the asynchronous release from different cell pairs, or was this correlated with pulse duration?

      The asynchronous release is also present after 100 ms depolarizing pulses (please see the updated panel A of Figure 4). However, we have not analysed asynchronous release and think that this would be beyond the scope of the current MS. For clarity, we have added dashed lines in the EPSC traces of Figs. 3 and 4 to indicate the on and off-set of the depolarization.

      (2) Differences in apex and basal IHC ribbon synapse nanodomain to microdomain Ca channel coupling to exocytosis-sensor have been reported also for gerbil IHCs (see Johnson et al., JNeurosci., 2017). This may be worth mentioning since it is another indication of major synaptic diversity in the mammalian cochlea, this time from low to frequency-located IHCs.

      Done

      (3) Page 22: change "hight SR" to "high SR".

      Done

      (4) Page 27: change "addess" to "addressed".

      Done

      Reviewer #2 (Recommendations For The Authors):

      Major points:

      (1) As indicated in methods, recording stretches of 5-10 seconds were used to determine the SR of a given SGN. This seems too short for a reasonable estimate of the SR in these neurons. Also, the reported SRs for these mature mice are not only much lower than those measured in in-vivo SGN extracellular recordings but also compared to those reported in ex-vivo rat recordings. Why this discrepancy? The authors decided to estimate SR by voltage-clamping IHCs at a fixed value of - 58 mV, which they take from Johnson, 2015. I wonder if it is not more reasonable to use a range of IHC holdings and measure SR at those, instead of using a single one. It is hard to visualize a very strong argument for using strictly -58 mV. In addition, mapping out a range of holding potentials could provide additional information on IHCs resting membrane potential in physiological conditions.

      Related to this point, considering that SR values found in the ex-vivo preparation are much lower than those described in in-vivo situations, is it fair to use the same 1 sp/s criteria, as in Taberner & Liberman, to segregate low and high? Shouldn't this value be adjusted to the overall lower SR? This criterion is naturally critical for the consequent evaluation of other SGN properties.

      Finally, on this same problem of IHC Vh, does -58 mV estimate include the 19 mV liquid junction potential? How does it compare with the activation threshold of calcium influx at modiolar vs pillar synapses (see imaging studies)?

      We had proactively discussed the challenges of relating ex vivo and in vivo data in the preprint provided for review. While we consider the outcome of our study helpful for better understanding the relation of afferent synaptic heterogeneity and diverse firing properties of SGNs, we do not claim that the assumptions based on literature (such as on the physiological resting potential) represent ground truth.

      When carefully revising the MS, we have expanded on the discussion to address the points raised here, particularly regarding the lower SR and sEPSC amplitudes. As this and the other reviewer commented in the public review, these experiments were hard to achieve and we consider repeating them with a range of IHC holding potentials (then not only for spontaneous rate of transmission, but also for in depth characterization of evoked release) to be beyond the scope of the present study.

      We do appreciate the suggestion to adjust the distinction between low and high SR given the overall lower rates. However, we would like to refrain from it, as i) we consider it quite arbitrary to define another criterium and ii) we would like to avoid any apparent cherry-picking bias.

      Finally, yes, of course, the -58 mV represent the liquid junction potential corrected holding potential. Our average IHC whole-cell Vhalf ICa (-38.86 mV for high SR and -37.60 mV for low SR) compares well with previous reports of average whole-cell Vhalf ICa (-35.44 mV) and average synaptic Vhalf Rhod-FF (-41.15 mV) (Özçete and Moser, 2021). Additionally, our Vhalf QEPSC distribution (ranging from -53.97 to -31.72 mV) also compares well with the Vhalf iGluSnFR distribution (ranging from -45.25 to -29.86 mV) obtained by imaging of synaptic glutamate release (Özçete and Moser, 2021).

      2) EPSCs amplitude distributions in Figure 2 seem very different from those reported before by Grant et al., 2010 and Niwa et al., 2021 (even Chapochnikov et al., 2014; although not sure if the animal ages match). The average amplitudes of EPSCs reported here, for either pillar or modiolar SGNs, seem way smaller than those reported previously. The authors should provide a convincing explanation for this critical deviation from the consensual results.

      Please refer to our response to the public review (point #3).

      3) Rise time analysis in Fig. 2 supp 1. The actual values seem too long, again, compared to reported values. Also, what would these differences between modiolar and pillar represent?

      Previous reports on mouse, rat, turtle and bullfrog focused mainly on the rise times (or time to peak) of monophasic EPSCs: about 0.39 ms (p8-p11 mouse; Chapochnikov et al., 2014, Takago et al., 2019), 0.33-0.58 ms (p7-p14 rat; Yi at al., 2010, Grant et al., 2010, Glowatzki and Fuchs, 2002), 0.17-0.29 ms (p15-p21 rat; Chapochnikov et al., 2014, Huang and Moser, 2018, Grant et al., 2010), 0.1-0.2 ms (turtle auditory papilla; Schnee et al., 2013) and 0.15-0.2 ms (bullfrog 31ºC and 22ºC; Li et al., 2009, Chen and von Gersdorff, 2019). Regarding multiphasic EPSCs, some studies have reported rise times (or times to peak) of about 1.5 ms (p8-p11 mouse; Takago et al., 2019), 1.1 ms (p8-p11 rat; Grant et al., 2010) and 0.6-0.8 ms (p15-p21 rats; Huang and Moser, 2018, Chapochnikov et al., 2014, Grant et al., 2010). When we factor in the waveform of the sEPSCs, our rise times are comparable to the literature:

      Author response table 1.

      Thus, IHC synapses with higher SR and predominantly located at the pillar side appear to have sEPSCs with faster rise times regardless of their waveform. This might be a consequence of the fusion kinetics of the synaptic vesicles which are tightly influenced by the Ca2+ influx (Huang and Moser, 2018). Additionally, differences in the composition and density of the postsynaptic AMPA receptors could play a role in the rise time of the EPSC (Rubio et al., 2017). 

      4) One of the most impressive observations of the in-vivo SGN physiology is the difference in sound threshold among specific fibers. This can vary over tens of dB of sound pressure levels.

      The representation of this phenomenon when using an ex-vivo preparation is not obvious. Overall, it has been reported that IHC Vm is a good proxy for stimulus intensity. Consequently, the authors reported an 'IHC Vm threshold' at the start of SGN synaptic activity for each recording. This can be found in Figure 3 Eii, where values vary between -65 to -30 mV. This is already an important finding. However, the representative traces on panel A only diverge by 5 mV. It would be very interesting to the reader to have represented in the figure recordings that can better illustrate this wide range of values.

      We agree with the reviewer regarding the impressive difference in the sound thresholds recorded in vivo. To illustrate better illustrate our findings, we have chosen a different representative trace for the high SR synapse.

      5) On the masker-probe experiments it would be interesting to look at the synaptic delay of the probe pulses. Are they different between high and low SR synapses?

      We have now included the results of the synaptic delay of the probe response (Figure 4– supplementary figure 1). Despite not being statistically significant, the eEPSC probe latency of high SR is on average faster than low SR.

      Reviewer #3 (Recommendations For The Authors):

      (1) The terms monophasic and compact are used interchangeably. This is fine, but perhaps compact could be defined earlier, otherwise, readers may think that 'compact' means 'short' (as is sometimes euphemistically used to describe short people), which then makes phrasing such as the figure legend for figure 2 a bit confusing. This could be included at first use in a figure as well, in figure 1B where the two types of EPSCs are first shown.

      Done, now explained and preferentially used monophasic.

      (2) Check for mention of figure panels in the results text - for example, there is no mention in the results text of figure 2A, 2I,

      Done

      (3) The locations of some of the statistics are inconsistent. This is fine if the authors have a reason for including the stats where they did, but in some cases, the stats are duplicated (for example figure 2J, 2K, 2L, the stats are in both the figure legend and the results text, then check throughout).

      Done

      (4) The color coding in figure 4 is confusing in panel A - does orange still mean a high SR fiber here? The legend indicates that orange is for EPSCs, but does not specify charge. It could be helpful to show both a high and low SR response, both for EPSCs and for charge. 

      Thanks for pointing us to this aspect: we have carefully revised the figure and figure legend for clarity. We also included an exemplary response of a low SR synapse in the figure.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Recommendations For The Authors:

      Reviewer #1:

      ●      It might help the reader if you make it explicit that mDES allows you to create an approximate amalgam of different kinds of experiences by assuming that, across individuals, there is a general consensus of experiences at particular points in the movie. Whether this assumption is an accurate reflection of the way in which each individual's brain is an important, testable prediction that could be discussed/examined in different projects. For instance, in other projects there are clear idiosyncratic responses to the same naturalistic stimuli: https://www.ncbi.nlm.nih.gov/pmc/articles/PMC8064646/.

      Thank you, this is an excellent point. We have included this article in our revision and expanded on the introduction to emphasize how this study relates to our work. Additionally, we have included an additional figure that helps illustrate how mDES can be used to evaluate the idiosyncrasy for each respective thought component to visually display the variance across moments in the film:

      Page 6-7 [137-148] In our study, we used multi-dimensional experience sampling (mDES) to describe ongoing thought patterns during the movie-watching experience [8]. mDES is an experience sampling method that identifies different features of thought by probing participants about multiple dimensions of their experiences. mDES can provide a description of a person’s thoughts, generating reliable thought patterns across laboratory cognitive tasks [22, 32, 33] and in daily life [34, 35], and is sensitive to accompanying changes in brain activity [24, 36]. Studies that use mDES to describe experience ask participants to provide experiential reports by answering a set of questions about different features of their thought on a continuous scale from 1 (Not at all) to 10 (Completely) [24, 32-41]. Each question describes a different feature of experience such as if their thoughts are oriented in the future or the past, about oneself or other people, deliberate or intrusive in nature, and more (See methods for a full list of questions used in the current study).

      ●      A cartoon describing the mDES technique could be helpful for uninitiated readers.

      Thank you for your suggestion, we have added an additional figure (Figure 3) that illustrates the process of mDES in the laboratory during this experiment, clarifying that participants answer mDES items using a slider to indicate their score (rather than expressing it verbally).

      ●      Did the authors check for any measures of reliability across mDES estimates other than split-half reliability? For instance, the authors could demonstrate construct validity by showing that engagement with certain features of the thought-sampling space aligned with specific points in the movies. If so, the start of the Results section would be a great place to demonstrate the reliability of the approach. For instance, did any two participants sample the same 15-second window of time in a particular stimulus? If so, you could compare their experience samples to determine whether the method was extensible across subjects.

      This is a great point, thank you very much for highlighting this. We have eight individuals at each time point in our analysis, which is probably not enough to calculate meaningful reliability measures. However, we have added a time series analysis of experience in each clip to our revision (Figure 3). In these time plots, it is possible to see clear moments in the film in which scores do not straddle 0 (using 95% CI), and often, these persist across successive moments (Figure 3; see time-series plot four for the clearest example).  When the confidence intervals of a sampling epoch do not overlap with zero, this suggests a high degree of agreement in thought content across participants. At the same time, our analysis shows that individual differences do exist since the relative presence of each component for each participant was linked to objective measures of movie watching (in this case, comprehension). In this revision we have specifically addressed this question by conducting ANOVAs to determine how scores on each component across the clip (See also supplementary table 11). This additional analysis shows that mDES effectively captures shared aspects of movie-watching and is also sensitive to individual variation (since it can describe individual differences).

      Page 15 [304-323]: Next, we examined how each pattern of thought changes across each movie clip. For this analysis, we conducted separate ANOVA for each film clip for the four components (see Table 1 and Figure 3). Clear dynamic changes were observed in several components for different films. We analyzed these data using an Analysis of Variance (ANOVA) in which the time in each clip were explanatory variables of interest. This identified significant change in “Episodic Social Cognition” scores across Little Miss Sunshine, F(1, 712) = 10.80, p = .001, , η2 = .03, and Citizenfour, F(1, 712) = 5.23, p = .023, , η2 = .02. There were also significant change in “Verbal Detail” scores across Little Miss Sunshine, F(1, 712) = 31.79, p <.001, η2 = .09. Lastly, there were significant changes in “Sensory Engagement” scores for both Citizenfour, F(1, 712) = 6.22, p = .013, η2 = .02, and 500 Days of Summer, F(1, 706) = 80.41, p <.001, η2 = .18. These time series are plotted in Figure 3 and highlight how mDES can capture the dynamics of different types of experience across the three movie clips. Moreover, in several of these time series plots, it is clear that thought patterns reported extend beyond adjacent time periods (e.g. scores above zero between time periods 150 to 400 for Sensory Engagement in 500 days of Summer and for time periods between 175 and 225 for Verbal Detail in Little Miss Sunshine). It is important to note that no participant completed experience sampling reports during adjacent sampling points (see Supplementary Figure 7), so the length of these intervals indicates agreement in how specific scenes within a film were experienced and conserved across different individuals. Notably, the component with the least evidence for temporal dynamics was “Intrusive Distraction.”

      ●      P10: "Generation of the thought-space" - how stable are these word clouds to individual subjects? If there are subject-specific differences, are there ways to account for this with some form of normalization?

      Thank you for bringing up this point. Our current goal was to show how the average experience of one group of participants relates to the brain activity of a second group. In this regard it is important to seek the patterns of similarity across individuals in how they experience the film. However, as is normal in our studies using mDES, we can also use the variation from the mean to predict other cognitive measures and, in this way, account for the variability that individuals have in their movie-watching experience. In other words, the word clouds reflect the mean of a particular dimension, so when an individual score is close to 0, their thought content does not align with this dimension -- however, deviating scores, positive or negative, indicating that this dimension provides meaningful information about the individual's experience. Evidence of the meaningful nature of this variation can be seen in the links between the reported thoughts and the individuals’ comprehension (e.g. individuals whose thoughts do not contain strong evidence of “Intrusive Distraction”, or in other words, a negative score, tended to do better on comprehension tests of information in the movies they watched).

      ●      P11: "Variation in thought patterns" - can the authors use a null model here to demonstrate that the associations they've observed would occur above chance levels (e.g., for a comparison of time series with similar temporal autocorrelation but non-preserved semantic structure)? Further, were there any pre-defined hypotheses over whether any of the three different movies would engage any of the 4 observed dimensions?

      This is a great point. We chose to sample from three distinctly different films to help us understand if mDES was sensitive to different semantic and affective features of films. Our analysis, therefore, shows that at a broad level, mDES is able to discriminate between films, highlighting its broad sensitivity to variation in semantic or affective content. Armed with this knowledge, researchers in the future could derive mechanistic insights into how the semantic features may influence the mDES data. For example, future studies could ask participants to watch movies in a scrambled order to understand how varying the structure of semantics or information breaks the mapping between brains and ongoing experience. In this revision we have amended the text to reflect this possibility:

      Page 34 [674-679]. Our analysis shows that mDES is able to discriminate between films, highlighting its broad sensitivity to variation in semantic or affective content. Armed with this knowledge, we propose that in the future, researchers could derive mechanistic insights into how the semantic features may influence the mDES data. For example, it may be possible to ask participants to watch movies in a scrambled order to understand how the structure of semantic or information influences the mapping between brains and ongoing experience as measured by mDES.

      ●      P14: "Brain - Thought Mappings: Voxel-space Analysis" - this is a cool analysis, and a nice validation of the authors' approach. I would personally love to see some form of reliability analysis on these approaches - e.g., do the same locations in the cerebral cortex align with the four features in all three movies? Across subjects?

      This is another great point, and we thank you for your enthusiasm. The data we have has only sampled mDES during a relatively short period of brain activity which we suspect would make an individual-by-individual analysis underpowered. In the future, however, it may be possible to adopt a precision mapping approach in which we sample mDES during longer periods of movie watching and identify how group-level mappings of experience relate to brain activity within a single subject. To reflect this possibility, we have amended the text in this revision in the following way:

      Page 34-35 [672-687]: In addition, our study is correlational in nature, and in the future, it could be useful to generate a more mechanistic understanding of how brain activity maps onto the participants' experience. Our analysis shows that mDES is able to discriminate between films, highlighting its broad sensitivity to variation in semantic or affective content. Armed with this knowledge, we propose that in the future, researchers could derive mechanistic insights into how the semantic features may influence the mDES data. For example, it may be possible to ask participants to watch movies in a scrambled order to understand how the structure of semantic or information influences the mapping between brains and ongoing experience as measured by mDES. Finally, our study focused on mapping group-level patterns of experience onto group-level descriptions of brain activity. In the future, it may be possible to adopt a “precision-mapping” approach by measuring longer periods of experience using mDES and determining how the neural correlates of experience vary across individuals who watched the same movies while brain activity was collected [1]. In the future, we anticipate that the ease with which our method can be applied to different groups of individuals and different types of media will make it possible to build a more comprehensive and culturally inclusive understanding of the links between brain activity and movie-watching experience

      Reviewer #2:

      (1) The three-dimensional scatter plot in Figure 2 does not represent "Intrusive Distraction." Would it make sense to color-code dots by this important dimension?

      Thank you for this suggestion. Although it could be possible to indicate the location of each film in all four dimensions, we were worried that this would make the already complex 3-D space confusing to a naive reader. In this case, we prefer to provide this information in the form of bar graphs, as we did in the previous submission.

      (2) The coloring of neural activation patterns in Figure 3 is not distinct enough between the different dimensions of thought. Please reconsider color intensities or coding. The same applies to the left panel in Figure 4.

      Thanks for this comment; we found it quite difficult to find a colour mapping that allows us to show the distinction between four states in a simple manner, yet we believe it is valuable to show all of the results on a similar brain. Nonetheless, to provide a more fine-grained viewing of our results in this revision we have provided a supplementary figure (Supplementary Figure 6) that shows each of the observed patterns of activity in isolation.

      (3) The new method (mDES) is mentioned too often without explanation, making it hard to follow without referring to the methods section. It would be helpful to state prominently that participants rated their thoughts on different dimensions instead of verbalizing them.

      Thank you for this point, we have adjusted the Introduction to clarify and expand on the mDES method. We have also included an example of the mDES method in an additional figure that we have now included to visually express how participants respond to mDES probes (Figure 3).

      Page 6-7 [136-148]: In our study, we used multi-dimensional experience sampling (mDES) to describe ongoing thought patterns during the movie-watching experience [2]. mDES is an experience sampling method that identifies different features of thought by probing participants about multiple dimensions of their experiences. mDES can provide a description of a person’s thoughts, generating reliable thought patterns across laboratory cognitive tasks [3-5] and in daily life [6, 7], and is sensitive to accompanying changes in brain activity when reports are gained during scanning [8, 9]. Studies that use mDES to describe experience ask participants to provide experiential reports by answering a set of questions about different features of their thought on a continuous scale from 1 (Not at all) to 10 (Completely) [3, 5-14]. Each question describes a different feature of experience, such as if their thoughts are oriented in the future or the past, about oneself or other people, deliberate or intrusive in nature, and more (See Methods for a full list of questions used in the current study).

      Author response image 1.

      (4) Reporting of single-movie thought patterns seems quite extensive. Could this be condensed in the main text?

      Thank you for this point, upon re-visiting the manuscript, we have adjusted the text to be more concise.

      Reviewer #3:

      ●      This is a very elegant experiment and seems like a very promising approach. The text is currently hard to read.

      Thank you for this point, we have since revisited the text and adjusted the manuscript to be more concise and add more clarity.

      ●      The introduction (+ analysis goals) fails to explain the basic aspects of the analysis and dataset. It is not clear how many participants and datapoints were used to establish the group-level thought patterns, nor is it entirely clear that the fMRI data is a separate existing dataset. Some terms are introduced and highlighted and never revisited (e.g decoupled states and the role of the DMN).

      Thank you for this critique, we have since adjusted the introduction to clearly explain the difference between Sample 1 and Sample 2 and further clarify that the fMRI data is an entirely separate, independent sample compared to the laboratory mDES sample:

      Page 7-8 [158-174]: Thus, to overcome this obstacle, we developed a novel methodological approach using two independent sample participants. In the current study, one set of 120 participants was probed with mDES five times across the three ten-minute movie clips (11 minutes total, no sampling in the first minute). We used a jittered sampling technique where probes were delivered at different intervals across the film for different people depending on the condition they were assigned. Probe orders were also counterbalanced to minimize the systematic impact of prior and later probes at any given sampling moment. We used these data to construct a precise description of the dynamics of experience for every 15 seconds of three ten-minute movie clips. These data were then combined with fMRI data from a different sample of 44 participants who had already watched these clips without experience sampling [15]. By combining data from two different groups of participants, our method allows us to describe the time series of different experiential states (as defined by mDES) and relate these to the time series of brain activity in another set of participants who watched the same films with no interruptions. In this way, our study set out to explicitly understand how the patterns of thoughts that dominate different moments in a film in one group of participants relate to the brain activity at these time points in a second set of participants and, therefore, better understand the contribution of different neural systems to the movie-watching experience.

      Page 8-9 [177-188] The goal of our study, therefore, was to understand the association between patterns of brain activity over time during movie clips in one group of participants and the patterns of thought that participants reported at the corresponding moment in a different set of participants (see Figure 1). This can be conceptualized as identifying the mapping between two multi-dimensional spaces, one reflecting the time series of brain activity and the other describing the time series of ongoing experience (see Figure 1 right-hand panel). In our study, we selected three 11-minute clips from movies (Citizenfour, Little Miss Sunshine and 500 Days of Summer) for which recordings of brain data in fMRI already existed (n = 44) [15] (Figure 1, Sample 1). A second set of participants (n = 120) viewed the same movie clips, providing intermittent reports on their thought patterns using mDES (Figure 1, Sample 2). Our goal was to understand the mapping between the patterns of brain activity at each moment of the film and the reports of ongoing thought recorded at the same point in the movies.

      ●      It is unclear what the utility of the method is - is it meant to be done in fMRI studies on the same participants? Or is the idea to use one sample to model another?

      Great point, thank you for highlighting this important question. This paper aimed to interrogate the relationship between experience and neural states while preserving the novelty of movie-watching. Although it could be done in the same sample, it may be difficult to collect frequent reports of experience without interrupting the dynamics of the brain. However, in the future it could be possible to collect mDES and brain activity in the same individuals while they watched movies. For example, our prior studies (e.g. [9]) where we combined mDES with openly-available brain data activity during tasks. In the future, this online method could also be applied during movie watching to identify direct mapping between brain activity and films. However, this online approach would make it very expensive to produce the time series of experience across each clip given that it would require a large number of participants (e.g. 200 as we used in our current study). The following has been included in our manuscript:

      Page 7 [149-159] One challenge that arises when attempting to map the dynamics of thought onto brain activity during movie watching is accounting for the inherently disruptive nature of experience sampling: to measure experience with sufficient frequency to map the dynamics of thoughts during movies would disrupt the natural dynamics of the brain and would also alter the viewer’s experience (for example, by pausing the film at a moment of suspense). Therefore, if we periodically interrupt viewers to acquire a description of their thoughts while recording brain activity, this could impact capturing important dynamic features of the brain. On the other hand, if we measured fMRI activity continuously over movie-watching (as is usually the case), we would lack the capacity to directly relate brain signals to the corresponding experiential states. Thus, to overcome this obstacle, we developed a novel methodological approach using two independent sample participants

      ●      The conclusions currently read as somewhat trivial (e.g "Our study, therefore, establishes both sensory and association cortex as core features of the movie-watching experience", "Our study supports the hypothesis that perceptual coupling between the brain and external input is a core feature of how we make sense of events in movies").

      Thank you for this comment. In this revision we have attempted to extend the theoretical significance of our work in the discussion (for example, in contrasting the links between Intrusive distraction and the other components). To this end we have amended the text in this revision by including the following sections:

      Page 33-35 [654-687]: Importantly, our study provides a novel method for answering these questions and others regarding the brain basis of experiences during films that can be applied simply and cost-effectively. As we have shown mDES can be combined with existing brain activity allowing information about both brain activity and experience to be determined at a relatively low cost.  For example, the cost-effective nature of our paradigm makes it an ideal way to explore the relationship between cognition and neural activity during movie-watching during different genres of film. In neuroimaging, conclusions are often made using one film in naturalistic paradigm studies [16]. Although the current study only used three movie clips, restraining our ability to form strong conclusions regarding how different patterns of thought relate to specific genres of film, in the future, it will be possible to map cognition across a more extensive set of movies and discern whether there are specific types of experience that different genres of films engage. One of the major strengths of our approach, therefore, is the ability to map thoughts across groups of participants across a wide range of movies at a relatively low cost.

      Nonetheless, this paradigm is not without limitations. This is the first study, as far as we know, that attempts to compare experiential reports in one sample of participants with brain activity in a second set of participants, and while the utility of this method enables us to understand the relationship between thought and brain activity during movies, it will be important to extend our analysis to mDES data during movie watching while brain activity is recorded. In addition, our study is correlational in nature, and in the future, it could be useful to generate a more mechanistic understanding of how brain activity maps onto the participants experience. Our analysis shows that mDES is able to discriminate between films, highlighting its broad sensitivity to variation in semantic or affective content. Armed with this knowledge, we propose that in the future, researchers could derive mechanistic insights into how the semantic features may influence the mDES data. For example, it may be possible to ask participants to watch movies in a scrambled order to understand how the structure of semantic or information influences the mapping between brains and ongoing experience as measured by mDES. Finally, our study focused on mapping group-level patterns of experience onto group-level descriptions of brain activity. In the future it may be possible to adopt a “precision-mapping” approach by measuring longer periods of experience using mDES and determining how the neural correlates of experience vary across individuals who watched the same movies while brain activity was collected [1]. In the future, we anticipate that the ease with which our method can be applied to different groups of individuals and different types of media will make it possible to build a more comprehensive and culturally inclusive understanding of the links between brain activity and movie-watching experience

      ●      The beginning of the discussion is very clear and explains the study very well. Some of it could be brought up in the intro/analysis goal sections.

      Thank you for this comment, this is an excellent idea. We have revisited the introduction and analysis goals section to mirror this clarity across the manuscript.

      ●      The different components are very interesting, and not entirely clear. Some examples in the text could help. Especially regarding your thought that verbal components would refer to a "decoupled" mental verbal analysis participants might be performing in their thoughts.

      Thank you for this point. We would prefer not to elaborate on this point since, at present, it would simply be conjecture based on our correlational design. However, we have included a section in the discussion which explains how, in principle, we would draw more mechanistic conclusions (for example, by shuffling the order of scenes in a movie as suggested by another reviewer). In the current revision, we have amended the text in the following way:

      Page 34 [674-679]: Our analysis shows that mDES is able to discriminate between films, highlighting its broad sensitivity to variation in semantic or affective content. Armed with this knowledge, we propose that in the future, researchers could derive mechanistic insights into how the semantic features may influence the mDES data. For example, it may be possible to ask participants to watch movies in a scrambled order to understand how the structure of semantic or information influences the mapping between brains and ongoing experience as measured by mDES

      ●      The reference to using neurosynth as performing a meta-analysis seems a little stretched.

      We have adjusted the manuscript to remove ‘meta-analysis’ when referring to the analysis computed with neurosynth. Thank you for bringing this to our attention.

      ●      State-space is defined as brain-space in the methods.

      Thank you, we have since updated this.

      ●      It could be useful to remind the reader what thought and brain spaces are at the top of the state-space results section.

      This is an excellent point, and it has since been updated to remind the reader of thought- and brain-space. Thank you for this comment.

      Page 24 [458-467]: Our next analysis used a “state-space” approach to determine how brain activity at each moment in the film predicted the patterns of thoughts reported at these moments (for prior examples in the domain of tasks, see [12, 17], See Methods). In this analysis, we used the coordinates of the group average of each TR in the “brain-space” and the coordinates of each experience sampling moment in the “thought-space.”. To clarify, the location of a moment in a film in “brain-space” is calculated by projecting the grand mean of brain activity for each volume of each film against the first five dimensions of brain activity from a decomposition of the Human Connectome Project (HCP) resting state data, referred to as Gradients 1-5. “Thought-space” is the decomposition of mDES items to create thought pattern components, referred to as “Episodic Knowledge”, “Intrusive Distraction”, “Verbal Detail” and “Sensory Engagement.”

      ●      DF missing from the t-test for episodic knowledge/grad 4.

      Thank you for catching this, the degrees of freedom has since been included in this revision.

      Page 24 [474-476]: First, we found a significant main effect of Gradient 4 (DAN to Visual), which predicted the similarity of answers to the “Episodic Knowledge” component, t(2046) = 2.17, p = .013, η2 = .01.

      Public Reviews:

      Reviewer #1:

      ●      The lack of direct interrogation of individual differences/reliability of the mDES scores warrants some pause.

      Our study's goal was to understand how group-level patterns of thought in one group of participants relate to brain activity in a different group of participants. To this end, we decomposed trial-level mDES data to show dimensions that are common across individuals, which demonstrated excellent split-half reliability. Then we used these data in two complementary ways. First, we established that these ratings reliably distinguished between the different films (showing that our approach is sensitive to manipulations of semantic and affective features in a film) and that these group-level patterns were also able to predict patterns of brain activity in a different group of participants (suggesting that mDES dimensions are also sensitive to broad differences in how brain activity emerges during movie watching). Second, we established that variation across individuals in their mDES scores predicted their comprehension of information from the films. This establishes that when applied to movie-watching, mDES is sensitive to individual differences in the movie-watching experience (as determined by an individual's comprehension). Given the success of this study and the relative ease with which mDES can be performed, it will be possible in the future to conduct mDES studies that hone in on the common and distinct features of the movie-watching experience.

      Reviewer #2:

      (1) The dimensions of thought seem to distinguish between sensory and executive processing states. However, it is unclear if this effect primarily pertains to thinking. I could imagine highly intrusive distractions in movie segments to correlate with stagnating plot development, little change in scenery, or incomprehensible events. Put differently, it may primarily be the properties of the movies that evoke different processing modes, but these properties are not accounted for. For example, I'm wondering whether a simple measure of engagement with stimulus materials could explain the effects just as much. How can the effects of thinking be distinguished from the perceptual and semantic properties of the movie, as well as attentional effects? Is the measure used here capturing thought processes beyond what other factors could explain?

      Our study used mDES to identify four distinct components of experience, each of which had distinct behavioural and neural correlates and relationships to comprehension. Together this makes it unlikely that a single measure of engagement would be able to capture the range of effects we observed in our study. For example, “Intrusive Distraction” was associated with regions of association cortex, while the other three components highlighted regions of sensory cortex. Behaviorally, we found that some components had a common effect on comprehension (e.g. “Intrusive distraction” was related to worse comprehension across all films), while others were linked to clear benefits to comprehension in specific films (e.g. “Episodic Knowledge” was associated with better comprehension in only one of the films). Given the complex nature of these effects, it would be difficult for a single metric of engagement to explain this pattern of results, and even if it did, this could be misleading because our analysis implies that they are better explained by a model of movie-watching experience in which there are several relatively orthogonal dimensions upon which our experience can vary.

      At the same time, we also found that films vary in the general types of experience they can engender. For example, Citizenfour was high on “Intrusive Distraction” and participants performed relatively low on comprehension. This shows that manipulations of the semantic and affective content of films also have implications for the movie-watching experience. This pattern is consistent with laboratory studies that applied mDES during tasks and found that different tasks evoke different types of experience (for example, patterns of ‘intrusive’ thoughts were common in movie clips that were suspenseful, [18]). At the same time, in the same study, patterns of intrusive thought across the tasks were also associated with trait levels of dysphoria reported by participants. Other studies using mDES in daily life have shown that the data can be described by multiple dimensions and that each of these types of thought is more prevalent in certain activities than others ([19]). For example, in daily life, patterns of ‘intrusive distraction’ thoughts were more prevalent when individuals were engaged in activities that were relatively unengaging (such as resting). Collectively, therefore, studies using mDES suggest that is likely that human thought is multidimensional in nature and that these dimensions vary in a complex way in terms of (a) the contexts that promote them, and (b) how they are impacted by features of the individual (whether they be traits like anxiety or depression or memory for information in a film).

      (2) I'm skeptical about taking human thought ratings at face value. Intrusive distraction might imply disengagement from stimulus materials, but it could also be an intended effect of the movie to trigger higher-level, abstract thinking. Can a label like intrusive distraction be misleading without considering the actual thought and movie content?

      Our method uses a data-driven approach to identify the dimensions that best describe the range of answers that our participants provided to describe their experience. We use these dimensions to understand how these patterns of thought emerge in different contexts and how they vary across individuals (in this case, in different movies, but in other studies, laboratory tasks [3, 8, 9, 12, 20-22] or activities in daily life[6, 7]). These context relationships help constrain interpretations of what the components mean. For example, “Intrusive Distraction” scores were highest in the film with the most real-world significance for the participants (Citizenfour) and were associated with worse comprehension. In daily life, however, patterns of “Intrusive Distraction” thoughts tend to occur when activities engage in non-demanding activities, like resting. Psychological perspectives on thoughts that arise spontaneously occur in this manner since there is evidence that they occur in non-demanding tasks with no semantic content (when there is almost no external stimulus to explain the occurrence of the experience, see [23]), however, other studies have shown that specific cues in the environment can also cue the experience (see [23]). Consistent with this perspective, and our current data, patterns of ‘Intrusive Distraction’ thought are likely to arise for multiple reasons, some of which are more intrinsic in nature (the general association with poor comprehension across all films) and others which are extrinsic in nature (the elevation of intrusive distraction in Citizenfour).

      It is also important to note that our data-driven approach also found patterns of experience that provide more information about the content of their experience, for example, the dimension of “Episodic Knowledge” is characterized by thoughts based on prior knowledge, involving the past, and concerning oneself, and was most prevalent in the romance film (500 Days of Summer). Likewise, “Sensory Engagement” was associated with experiences related to sensory input and positive emotionality and occurred more during the romance movie (500 Days of Summer) than in the documentary (Citizenfour) and was linked to increased brain activity across the sensory systems. This shows that mDES can also provide information about the content of that experience, and discriminate between different sources of experience. In the future, it will be possible to improve the level of detail regarding the content of experiences by changing the questions used to interrogate experience.     

      (3) A jittered sampling approach is used to acquire thought ratings every 15 seconds. Are ratings for the same time point averaged across participants? If so, how consistent are ratings among participants? High consistency would suggest thoughts are mainly stimulus-evoked. Low consistency would question the validity of applying ratings from one (group of) participant(s) to brain-related analyses of another participant.

      In this experiment, we sampled experience every 15 seconds in each clip, and in each sampling epoch, we gained mDES responses from eight participants. Furthermore, no participant was sampled at an adjacent time point, as our approach jittered probes approximately 2 minutes apart (See Supplementary Figure 7). To illustrate the consistency of mDES data, we have included an additional figure (Figure 3) highlighting how experience varies over time in each clip. It is evident from these plots that there are distinct moments in which group-averaged reported thoughts across participants are stable and that these can extend across adjacent sampling points (i.e. when the confidence intervals of the score at a timepoint do not overlap with zero). Therefore, in some cases, adjacent sampling points, consisting of different sets of eight participants, describe their experiences as having similar positions on the same mDES dimension. This suggests that there is agreement among individuals regarding how they experienced a specific moment in a film, and in some cases, this agreement was apparent in successive sets of eight participants. Together, our findings indicate a conservation of agreement across participants that spans multiple moments in a film. A clear example of agreement on experience across multiple sets of 10 participants can be seen between 150-400 seconds in the clip from 500 Days of Summer for the dimension of “Sensory Engagement” (time series plot 4 in Figure 3).

      (4) Using three different movies to conclude that different genres evoke different thought patterns (e.g., line 277) seems like an overinterpretation with only one instance per genre.

      We found that mDES was able to distinguish between each film on at least one dimension of experience. In other words, information encoded in the mDES dimensions was sensitive to variation in semantic and affective experiences in the different movie clips. This provides evidence that is necessary but not sufficient to conclude that we can distinguish different genres of films (i.e. if we could not distinguish between films, then we would not be able to distinguish genres). However, it is correct that to begin answering the broader question about experiences in different genres then it would be necessary to map cognition across a larger set of movies, ideally with multiple examples of each genre.

      (5) I see no indication that results were cross-validated, and no effect sizes are reported, leaving the robustness and strength of effects unknown.

      Thank you for drawing this to our attention. We have re-run the LMMs and ANOVA models to include partial eta-squared values to clarify the strength of the effects in each of our reported outcomes.

      Reviewer #3:

      ●      What are the considerations for treating high-order thought patterns that occur during film viewing as stable enough to be used across participants? What would be the limitations of this method? (Do all people reading this paper think comparable thoughts reading through the sections?)

      It is likely, based on our study, that films can evoke both stereotyped thought patterns (i.e. thoughts that many people will share) and others that are individualistic. It is clear that, in principle, mDES is capable of capturing empirical information on both stereotypical thoughts and idiosyncratic thoughts. For example, clear differences in experiences across films and, in particular, during specific periods within a film, show that movie-watching can evoke broadly similar thought patterns in different groups of participants (see Figure 3 right-hand panel). On the other hand, the association between comprehension and the different mDES components indicate that certain individuals respond to the same film clip in different ways and that these differences are rooted in objective information (i.e. their memory of an event in a film clip). A clear example of these more idiosyncratic features of movie watching experience can be seen in the association between “Episodic Knowledge” and comprehension. We found that “Episodic Knowledge” was generally high in the romance clip from 500 Days of Summer but was especially high for individuals who performed the best, indicating they remembered the most information. Thus good comprehends responded to the 500 Days of Summer clip with responses that had more evidence of “Episodic Knowledge” In the future, since the mDES approach can account for both stereotyped and idiosyncratic features of experience, it will be an important tool in understanding the common and distinct features that movie watching experiences can have, especially given the cost effective manner with which these studies can be run.   

      ●      How does this approach differ from collaborative filtering, (for example as presented in Chang et al., 2021)?

      Our study is very similar to the notion of collaborative filtering since we can use an approach that is similar to crowd-sourcing as a tool for understanding brain activity. One of its strengths is its generalizability since it is also a method that can be used to understand cognition because it is not limited to movie-watching. We can use the same mDES method to sample cognition in multiple situations in daily life ([6, 19]), while performing tasks in the behavioural lab [18, 24], and while brain activity is being acquired [8, 25, 26]. In principle, therefore, we can use mDES to understand cognition in different contexts in a common analytic space (see [27] for an example of how this could work)

      Page 5 [106-110]: In our study, we acquired experiential data in one group of participants while watching a movie clip and used these data to understand brain activity recorded in a second set of participants who watched the same clip and for whom no experiential data was recorded. This approach is similar to what is known as “collaborative filtering” [28].

      ●      In conclusion, this study tackles a highly interesting subject and does it creatively and expertly. It fails to discuss and establish the utility and appropriateness of its proposed method.

      Thank you very much for your feedback and critique. In our revision and our responses to these questions, we provided more information about the method's robustness utility and application to understanding cognition.

      References

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      (2) Smallwood, J., et al., The neural correlates of ongoing conscious thought. Iscience, 2021. 24(3).

      (3) Konu, D., et al., Exploring patterns of ongoing thought under naturalistic and conventional task-based conditions. Consciousness and Cognition, 2021. 93.

      (4) Smallwood, J., et al., The default mode network in cognition: a topographical perspective. Nature Reviews Neuroscience, 2021. 22(8): p. 503-513.

      (5) Turnbull, A., et al., Age-related changes in ongoing thought relate to external context and individual cognition. Consciousness and Cognition, 2021. 96: p. 103226.

      (6) McKeown, B., et al., The impact of social isolation and changes in work patterns on ongoing thought during the first COVID-19 lockdown in the United Kingdom. Proceedings of the National Academy of Sciences, 2021. 118(40): p. e2102565118.

      (7) Mulholland, B., et al., Patterns of ongoing thought in the real world. Consciousness and Cognition, 2023. 114: p. 103530.

      (8) Konu, D., et al., A role for the ventromedial prefrontal cortex in self-generated episodic social cognition. NeuroImage, 2020. 218: p. 116977.

      (9) Turnbull, A., et al., Left dorsolateral prefrontal cortex supports context-dependent prioritisation of off-task thought. Nature Communications, 2019. 10.

      (10) Ho, N.S.P., et al., Facing up to the wandering mind: Patterns of off-task laboratory thought are associated with stronger neural recruitment of right fusiform cortex while processing facial stimuli. NeuroImage, 2020. 214: p. 116765.

      (11) Karapanagiotidis, T., et al., Tracking thoughts: Exploring the neural architecture of mental time travel during mind-wandering. NeuroImage, 2017. 147: p. 272-281.

      (12) McKeown, B., et al., Experience sampling reveals the role that covert goal states play in task-relevant behavior. Scientific Reports, 2023. 13(1): p. 21710.

      (13) Vatansever, D., et al., Distinct patterns of thought mediate the link between brain functional connectomes and well-being. Network Neuroscience, 2020. 4(3): p. 637-657.

      (14) Wang, H.-T., et al., Dimensions of Experience: Exploring the Heterogeneity of the Wandering Mind. Psychological Science, 2017. 29(1): p. 56-71.

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      (19) Mulholland, B., et al., Patterns of ongoing thought in the real world. Consciousness and cognition, 2023. 114: p. 103530.

      (20) Christoff, K., et al., Experience sampling during fMRI reveals default network and executive system contributions to mind wandering. Proc Natl Acad Sci U S A, 2009. 106(21): p. 8719-24.

      (21) Zhang, M., et al., Perceptual coupling and decoupling of the default mode network during mind-wandering and reading. eLife, 2022. 11: p. e74011.

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      (27) Chitiz, L., et al., Mapping cognition across lab and daily life using experience-sampling. 2023.

      (28) Chang, L.J., et al., Endogenous variation in ventromedial prefrontal cortex state dynamics during naturalistic viewing reflects affective experience. Science Advances, 2021. 7(17): p. eabf7129.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      This is an interesting study investigating the mechanisms underlying membrane targeting of the NLRP3 inflammasome and reporting a key role for the palmitoylation-depalmitoylation cycle of cys130 in NRLP3. The authors identify ZDHHC3 and APT2 as the specific ZDHHC and APT/ABHD enzymes that are responsible for the s-acylation and de-acylation of NLRP3, respectively. They show that the levels of ZDHHC3 and APT2, both localized at the Golgi, control the level of palmitoylation of NLRP3. The S-acylation-mediated membrane targeting of NLRP3 cooperates with polybasic domain (PBD)-mediated PI4P-binding to target NLRP3 to the TGN under steady-state conditions and to the disassembled TGN induced by the NLRP3 activator nigericin.

      However, the study has several weaknesses in its current form as outlined below.

      (1) The novelty of the findings concerning cys130 palmitoylation in NLRP3 is unfortunately compromised by recent reports on the acylation of different cysteines in NLRP3 (PMID: 38092000), including palmitoylation of the very same cys130 in NLRP3 (Yu et al https://doi.org/10.1101/2023.11.07.566005), which was shown to be relevant for NLRP3 activation in cell and animal models. What remains novel and intriguing is the finding that NLRP3 activators induce an imbalance in the acylation-deacylation cycle by segregating NLRP3 in late Golgi/endosomes from de-acylating enzymes confined in the Golgi. The interesting hypothesis put forward by the authors is that the increased palmitoylation of cys130 would finally contribute to the activation of NLRP3. However, the authors should clarify the trafficking pathway of acylated-NLRP3. This pathway should, in principle, coincide with that of TGN46 which constitutively recycles from the TGN to the plasma membrane and is trapped in endosomes upon treatment with nigericin. 

      We think the data presented in our manuscript are consistent with the majority of S-acylated NLRP3 remaining on the Golgi via S-acylation in both untreated and nigericin treated cells. We have performed an experiment with BrefeldinA (BFA), a fungal metabolite that disassembles the Golgi without causing dissolution of early endosomes, that further supports the conclusion that NLRP3 predominantly resides on Golgi membranes pre and post activation. Treatment of cells with BFA prevents recruitment of NLRP3 to the Golgi in untreated cells and blocks the accumulation of NLRP3 on the structures seen in the perinuclear area after nigericin treatment (see new Supplementary Figure 4A-D). We do see some overlap of NLRP3 signal with TGN46 in the perinuclear area after nigericin treatment (see new Supplementary Figure 2E), however this likely represents TGN46 at the Golgi rather than endosomes given that the NLRP3 signal in this area is BFA sensitive.  As with 2-BP and GFP-NLRP3C130S, GFP-NLRP3 spots also form in BFA / nigericin co-treated cells but not with untagged NLRP3. These spots also do not show any co-localisation with EEA1, suggesting that under these conditions, endosomes don’t appear to represent a secondary site of NLRP3 recruitment in the absence of an intact Golgi. However, we cannot completely rule out that some NLRP3 may recruited to endosomes at some point during its activation.

      (2) To affect the S-acylation, the authors used 16 hrs treatment with 2-bromopalmitate (2BP). In Figure 1f, it is quite clear that NLRP3 in 2-BP treated cells completely redistributed in spots dispersed throughout the cells upon nigericin treatment. What is the Golgi like in those cells? In other words, does 2-BP alter/affect Golgi morphology? What about PI4P levels after 2-BP treatment? These are important missing pieces of data since both the localization of many proteins and the activity of one key PI4K in the Golgi (i.e. PI4KIIalpha) are regulated by palmitoylation.

      We thank the reviewer for highlighting this point and agree that it is possible the observed loss of NLRP3 from the Golgi might be due to an adverse effect of 2-BP on Golgi morphology or PI4P levels. We have tested the effect of 2-BP on the Golgi markers GM130, p230 and TGN46. 2BP has marginal effects on Golgi morphology with cis, trans and TGN markers all present at similar levels to untreated control cells (Supplementary Figure 2B-D). We also tested the effect of 2-BP on PI4P levels using mCherry-P4M, a PI4P biosensor. Surprisingly, as noted by the reviewer, despite recruitment of PI4K2A being dependent on S-acylation, PI4P was still present on the Golgi after 2-BP treatment, suggesting that a reduction in Golgi PI4P levels does not underly loss of NLRP3 from the Golgi (Supplementary Figure 2A). The pool of PI4P still present on the Golgi following 2-BP treatment is likely generated by other PI4K enzymes that localise to the Golgi independently of S-acylation, such as PI4KIIIB. We have included this data in our manuscript as part of a new Supplementary Figure 2. 

      (3) The authors argue that the spots observed with NLRP-GFP result from non-specific effects mediated by the addition of the GFP tag to the NLRP3 protein. However, puncta are visible upon nigericin treatment, as a hallmark of endosomal activation. How do the authors reconcile these data? Along the same lines, the NLRP3-C130S mutant behaves similarly to wt NLRP3 upon 2-BP treatment (Figure 1h). Are those NLRP3-C130S puncta positive for endosomal markers? Are they still positive for TGN46? Are they positive for PI4P?

      This is a fair point given the literature showing overlap of NLRP3 puncta formed in response to nigericin with endosomal markers and the similarity of the structures we see in terms of size and distribution to endosomes after 2BP + nigericin treatment. We have tested whether these puncta overlap with EEA1, TGN46 or PI4P (Supplementary Figure 2A, E-G). The vast majority of spots formed by GFP-NLRP3 co-treated with 2-BP and nigericin do not co-localise with EEA1, TGN46 or PI4P. This is consistent with these spots potentially being an artifact, although it has recently been shown that human NLRP3 unable to bind to the Golgi can still respond to nigericin (Mateo-Tórtola et al., 2023). These puncta might represent a conformational change cytosolic NLRP3 undergoes in response to stimulation, although our results suggest that this doesn’t appear to happen on endosomes.

      (4) The authors expressed the minimal NLRP3 region to identify the domain required for NLRP3 Golgi localization. These experiments were performed in control cells. It might be informative to perform the same experiments upon nigericin treatment to investigate the ability of NLRP3 to recognize activating signals. It has been reported that PI4P increases on Golgi and endosomes upon NG treatment. Hence, all the differences between the domains may be lost or preserved. In parallel, also the timing of such recruitment upon nigericin treatment (early or late event) may be informative for the dynamics of the process and of the contribution of the single protein domains.

      This is an interesting point which we thank the reviewer for highlighting. However, we think that each domain on its own is not capable of responding to nigericin as shown by the effect of mutations in helix115-125 or the PB region in the full-length NLRP3 protein. NLRP3HF, which still contains a functional PB region, isn’t capable of responding to nigericin in the same way as wild type NLRP3 (Supplementary Figure 6C-D). Similarly, mutations in the PB region of full length NLRP3 that leave helix115-125 intact show that helix115-125 is not sufficient to allow enhanced recruitment of NLRP3 to Golgi membranes after nigericin treatment (Supplementary Figure 9A). We speculate that helix115-125, the PB region and the LRR domain all need to be present to provide maximum affinity of NLRP3 for the Golgi prior to encounter with and S-acylation by ZDHHC3/7. Mutation or loss of any one of the PB region, helix115-125 or the LRR lowers NLRP3 membrane affinity, which is reflected by reduced levels of NLRP3 captured on the Golgi by S-acylation at steady state and in response to nigericin. 

      (5) As noted above for the chemical inhibitors (1) the authors should check the impact of altering the balance between acyl transferase and de-acylases on the Golgi organization and PI4P levels. What is the effect of overexpressing PATs on Golgi functions?

      We have checked the effect of APT2 overexpression on Golgi morphology and can show that it has no noticeable effect, ruling out an impact of APT on Golgi integrity as the reason for loss of NLRP3 from the Golgi in the presence of overexpressed APT2. We have included these images as Supplementary Figure 11H-J. 

      It is plausible that the effects of ZDHHC3 or ZDHHC7 on enhanced recruitment of NLRP3 to the Golgi may be via an effect on PI4P levels since, as mentioned above, both enzymes are involved in recruitment of PI4K2A to the Golgi and have previously been shown to enhance levels of PI4K2A and PI4P on the Golgi when overexpressed (Kutchukian et al., 2021). However, NLRP3 mutants with most of the charge removed from the PB region, which are presumably unable to interact with PI4P or other negatively charged lipids, are still capable of being recruited to the Golgi by excess ZDHHC3. This would suggest that the effect of overexpressed ZDHHC3 on NLRP3 is largely independent of changes in PI4P levels on the Golgi and instead driven by helix115-125 and S-acylation at Cys-130. The latter point is supported by the observation that NLRP3HF and NLRP3Cys130 are insensitive to ZDHHC3 overexpression.

      At the levels of HA-ZDHHC3 used in our experiments with NLRP3 (200ng pEF-Bos-HAZDHHC3 / c.a. 180,000 cells) we don’t see any adverse effect on Golgi morphology (Author response image 1), although it has been noted previously by others that higher levels of ZDHHC3 can have an impact on TGN46 (Ernst et al., 2018). ZDHHC3 overexpression surprisingly has no adverse effects on Golgi function and in fact enhances secretion from the Golgi (Ernst et al., 2018).  

      Author response image 1.

      Overexpression of HA-ZDHHC3 does not impact Golgi morphology. A) Representative confocal micrographs of HeLaM cells transfected with 200 ng HA-ZDHHC3 fixed and stained with antibodies to STX5 or TGN46. Scale bars = 10 µm. 

      Reviewer #2 (Public Review):

      Summary:

      This paper examines the recruitment of the inflammasome seeding pattern recognition receptor NLRP3 to the Golgi. Previously, electrostatic interactions between the polybasic region of NLRP3 and negatively charged lipids were implicated in membrane association. The current study reports that reversible S-acylation of the conserved Cys-130 residue, in conjunction with upstream hydrophobic residues plus the polybasic region, act together to promote Golgi localization of NLRP3, although additional parts of the protein are needed for full Golgi localization. Treatment with the bacterial ionophore nigericin inhibits membrane traffic and prevents Golgi-associated thioesterases from removing the acyl chain, causing NLRP3 to become immobilized at the Golgi. This mechanism is put forth as an explanation for how NLRP3 is activated in response to nigericin.

      Strengths:

      The experiments are generally well presented. It seems likely that Cys-130 does indeed play a previously unappreciated role in the membrane association of NLRP3.

      Weaknesses:

      The interpretations about the effects of nigericin are less convincing. Specific comments follow.

      (1) The experiments of Figure 4 bring into question whether Cys-130 is S-acylated. For Cys130, S-acylation was seen only upon expression of a severely truncated piece of the protein in conjunction with overexpression of ZDHHC3. How do the authors reconcile this result with the rest of the story?

      Providing direct evidence of S-acylation at Cys-130 in the full-length protein proved difficult. We attempted to detect S-acylation of this residue by mass spectrometry. However, the presence of the PB region and multiple lysines / arginines directly after Cys-130 made this approach technically challenging and we were unable to convincingly detect S-acylation at Cys-130 by M/S. However, Cys-130 is clearly important for membrane recruitment as its mutation abolishes the localisation of NLRP3 to the Golgi. It is feasible that it is the hydrophobic nature of the cysteine residue itself which supports localisation to the Golgi, rather than S-acylation of Cys-130. A similar role for cysteine residues present in SNAP-25 has been reported (Greaves et al., 2009). However, the rest of our data are consistent with Cys-130 in NLRP3 being S-acylated. We also refer to another recently published study which provides additional biochemical evidence that mutation of Cys-130 impacts the overall levels of NLRP3 S-acylation (Yu et al., 2024). 

      (2) Nigericin seems to cause fragmentation and vesiculation of the Golgi. That effect complicates the interpretations. For example, the FRAP experiment of Figure 5 is problematic because the authors neglected to show that the FRAP recovery kinetics of nonacylated resident Golgi proteins are unaffected by nigericin. Similarly, the colocalization analysis in Figure 6 is less than persuasive when considering that nigericin significantly alters Golgi structure and could indirectly affect colocalization. 

      We agree that it is likely that the behaviour of other Golgi resident proteins are altered by nigericin. This is in line with a recent proteomics study showing that nigericin alters the amount of Golgi resident proteins associated with the Golgi (Hollingsworth et al., 2024) and other work demonstrating that changes in organelle pH can influence the membrane on / off rates of Rab GTPases (Maxson et al., 2023). However, Golgi levels of other peripheral membrane proteins

      that associate with the Golgi through S-acylation, such as N-Ras, appear unaltered (Author response image 2.), indicating a degree of selectivity in the proteins affected. Our main point here is that NLRP3 is amongst those proteins whose behaviour on the Golgi is sensitive to nigericin and that this change in behaviour may be important to the NLRP3 activation process, although this requires further investigation and will form the basis of future studies. 

      The reduction in co-localisation between NLRP3 and APT2, due to alterations in Golgi organisation and trafficking, was the point we were trying to make with this figure, and we apologise if this was not clear. We think that the changes in Golgi structure and function caused by nigericin potentially affect the ability of APT2 to encounter NLRP3 and de-acylate it. We have added a new paragraph to the results section to hopefully explain this more clearly. We recognise that our results supporting this hypothesis are at present limited and we have toned down the language used in the results section to reflect the nature of these findings..  

      Author response image 2.

      S-acylated peripheral membrane proteins show differential sensitivity to nigericin. A) Representative confocal micrographs of HeLaM cells coexpressing GFP-NRas and an untagged NLRP3 construct. Cells were left untreated or treated with 10 µM nigericin for 1 hour prior to fixation. Scale bars = 10 µm. B) Quantification of GFP-NRas or NLRP3 signal in the perinuclear region of cells treated with or without nigericin

      Recommendations for the authors:

      Reviewer #2 (Recommendations For The Authors):

      (1) Does overnight 2-BP treatment potentially have indirect effects that could prevent NLRP3 recruitment? It would be useful here to show some sort of control confirming that the cells are not broadly perturbed.

      Please see our response to point (2) raised by reviewer #1 which is along similar lines. 

      (2) In Figure 5, "Veh" presumably is short for "Vehicle". This term should be defined in the legend.

      We have now corrected this.

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      Hollingsworth, L.R., P. Veeraraghavan, J.A. Paulo, J.W. Harper, and I. Rauch. 2024. Spatiotemporal proteomic profiling of cellular responses to NLRP3 agonists. bioRxiv.

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    1. Author response:

      The following is the authors’ response to the original reviews.

      We are grateful for these balanced, nuanced evaluations of our work concerning the observed epistatic trends and our interpretations of their mechanistic origins. Overall, we think the reviewers have done an excellent job at recognizing the novel aspects of our findings while also discussing the caveats associated with our interpretations of the biophysical effects of these mutations. We believe it is important to consider both of these aspects of our work in order to appreciate these advances and what sorts of pertinent questions remain.

      Notably, both reviewers are concerned that our lack of experimental approaches to compare the conformational properties of GnRHR variants weakens our claims. We would first humbly suggest that this constitutes a more general caveat that applies to nearly all investigations of the cellular misfolding of α-helical membrane proteins. Whether or not any current in vitro folding measurements report on conformational transitions that are relevant to cellular protein misfolding reactions remains an active area of debate (discussed further below). Nevertheless, while we concede that our structural and/ or computational evaluations of various mutagenic effects remain speculative, prevailing knowledge on the mechanisms of membrane protein folding suggest our mutations of interest (V276T and W107A) are highly unlikely to promote misfolding in precisely the same way. Thus, regardless of whether or not we were able experimentally compare the relevant folding energetics of GnRHR variants, we are confident that the distinct epistatic interactions formed by these mutations reflect variations in the misfolding mechanism and that they are distinct from the interactions that are observed in the context of stable proteins. In the following, we provide detailed considerations concerning these caveats in relation to the reviewers’ specific comments.

      Reviewer #1 (Public Review):

      The paper carries out an impressive and exhaustive non-sense mutagenesis using deep mutational scanning (DMS) of the gonadotropin-releasing hormone receptor for the WT protein and two single point mutations that I) influence TM insertion (V267T) and ii) influence protein stability (W107A), and then measures the effect of these mutants on correct plasma membrane expression (PME).

      Overall, most mutations decreased mGnRHR PME levels in all three backgrounds, indicating poor mutational tolerance under these conditions. The W107A variant wasn't really recoverable with low levels of plasma membrane localisation. For the V267T variant, most additional mutations were more deleterious than WT based on correct trafficking, indicating a synergistic effect. As one might expect, there was a higher degree of positive correlation between V267T/W107A mutants and other mutants located in TM regions, confirming that improper trafficking was a likely consequence of membrane protein co-translational folding. Nevertheless, context is important, as positive synergistic mutants in the V27T could be negative in the W107A background and vice versa. Taken together, this important study highlights the complexity of membrane protein folding in dissecting the mechanism-dependent impact of disease-causing mutations related to improper trafficking.

      Strengths

      This is a novel and exhaustive approach to dissecting how receptor mutations under different mutational backgrounds related to co-translational folding, could influence membrane protein trafficking.

      Weaknesses

      The premise for the study requires an in-depth understanding of how the single-point mutations analysed affect membrane protein folding, but the single-point mutants used seem to lack proper validation.

      Given our limited understanding of the structural properties of misfolded membrane proteins, it is unclear whether the relevant conformational effects of these mutations can be unambiguously validated using current biochemical and/ or biophysical folding assays. X-ray crystallography, cryo-EM, and NMR spectroscopy measurements have demonstrated that many purified GPCRs retain native-like structural ensembles within certain detergent micelles, bicelles, and/ or nanodiscs. However, helical membrane protein folding measurements typically require titration with denaturing detergents to promote the formation of a denatured state ensemble (DSE), which will invariably retain considerable secondary structure. Given that the solvation provided by mixed micelles is clearly distinct from that of native membranes, it remains unclear whether these DSEs represent a reasonable proxy for the misfolded conformations recognized by cellular quality control (QC, see https://doi.org/10.1021/acs.chemrev.8b00532). Thus, the use and interpretation of these systems for such purposes remains contentious in the membrane protein folding community. In addition to this theoretical issue, we are unaware of any instances in which GPCRs have been found to undergo reversible denaturation in vitro- a practical requirement for equilibrium folding measurements (https://doi.org/10.1146/annurev-biophys-051013-022926). We note that, while the resistance of GPCRs to aggregation, proteolysis, and/ or mechanical unfolding have also been probed in micelles, it is again unclear whether the associated thermal, kinetic, and/ or mechanical stability should necessarily correspond to their resistance to cotranslational and/ or posttranslational misfolding. Thus, even if we had attempted to validate the computational folding predictions employed herein, we suspect that any resulting correlations with cellular expression may have justifiably been viewed by many as circumstantial. Simply put, we know very little about the non-native conformations are generally involved in the cellular misfolding of α-helical membrane proteins, much less how to measure their relative abundance. From a philosophical standpoint, we prefer to let cells tell us what sorts of broken protein variants are degraded by their QC systems, then do our best to surmise what this tells us about the relevant properties of cellular DSEs.

      Despite this fundamental caveat, we believe that the chosen mutations and our interpretation of their relevant conformational effects are reasonably well-informed by current modeling tools and by prevailing knowledge on the physicochemical drivers of membrane protein folding and misfolding. Specifically, the mechanistic constraints of translocon-mediated membrane integration provide an understanding of the types of mutations that are likely to disrupt cotranslational folding. Though we are still learning about the protein complexes that mediate membrane translocation (https://doi.org/10.1038/s41586-022-05336-2), it is known that this underlying process is fundamentally driven by the membrane depth-dependent amino acid transfer free energies (https://doi.org/10.1146/annurev.biophys.37.032807.125904). This energetic consideration suggests introducing polar side chains near the center of a nascent TMDs should almost invariably reduce the efficiency of topogenesis. To confirm this in the context of TMD6 specifically, we utilized a well-established biochemical reporter system to confirm that V276T attenuates its translocon-mediated membrane integration (Fig. S1)- at least in the context of a chimeric protein. We also constructed a glycosylation-based topology reporter for full-length GnRHR, but ultimately found its’ in vitro expression to be insufficient to detect changes in the nascent topological ensemble.

      In contrast to V276T, the W107A mutation is predicted to preserve the native topological energetics of GnRHR due to its position within a soluble loop region. W107A is also unlike V276T in that it clearly disrupts tertiary interactions that stabilize the native structure. This mutation should preclude the formation of a structurally conserved hydrogen bonding network that has been observed in the context of at least 25 native GPCR structures (https://doi.org/10.7554/eLife.5489). However, without a relevant folding assay, the extent to which this network stabilizes the native GnRHR fold in cellular membranes remains unclear. Overall, we admit that these limitations have prevented us from measuring how much V276T alters the efficiency of GnRHR topogenesis, how much the W107A destabilizes the native fold, or vice versa. Nevertheless, given these design principles and the fact that both reduce the plasma membrane expression of GnRHR, as expected, we are highly confident that the structural defects generated by these mutations do, in fact, promote misfolding in their own ways. We also concede that the degree to which these mutagenic perturbations are indeed selective for specific folding processes is somewhat uncertain. However, it seems exceedingly unlikely that these mutations should disrupt topogenesis and/ or the folding of the native topomer to the exact same extent. From our perspective, this is the most important consideration with respect to the validity of the conclusions we have made in this manuscript.

      Furthermore, plasma membrane expression has been used as a proxy for incorrect membrane protein folding, but this not necessarily be the case, as even correctly folded membrane proteins may not be trafficked correctly, at least, under heterologous expression conditions. In addition, mutations can affect trafficking and potential post-translational modifications, like glycosylation.

      While the reviewer is correct that the sorting of folded proteins within the secretory pathway is generally inefficient, it is also true that the maturation of nascent proteins within the ER generally bottlenecks the plasma membrane expression of most α-helical membrane proteins. Our group and several others have demonstrated that the efficiency of ER export generally appears to scale with the propensity of membrane proteins to achieve their correct topology and/ or to achieve their native fold (see https://doi.org/10.1021/jacs.5b03743 and https://doi.org/10.1021/jacs.8b08243). Notably, these investigations all involved proteins that contain native glycosylation and various other post-translational modification sites. While we cannot rule out that certain specific combinations of mutations may alter expression through their perturbation of post-translational GnRHR modifications, we feel confident that the general trends we have observed across hundreds of variants predominantly reflect changes in folding and cellular QC. This interpretation is supported by the relationship between observed trends in variant expression and Rosetta-based stability calculations, which we identified using unbiased unsupervised machine learning approaches (compare Figs. 6B & 6D).

      Reviewer #2 (Public Review):

      Summary:

      In this paper, Chamness and colleagues make a pioneering effort to map epistatic interactions among mutations in a membrane protein. They introduce thousands of mutations to the mouse GnRH Receptor (GnRHR), either under wild-type background or two mutant backgrounds, representing mutations that destabilize GnRHR by distinct mechanisms. The first mutant background is W107A, destabilizing the tertiary fold, and the second, V276T, perturbing the efficiency of cotranslational insertion of TM6 to the membrane, which is essential for proper folding. They then measure the surface expression of these three mutant libraries, using it as a proxy for protein stability, since misfolded proteins do not typically make it to the plasma membrane. The resulting dataset is then used to shed light on how diverse mutations interact epistatically with the two genetic background mutations. Their main conclusion is that epistatic interactions vary depending on the degree of destabilization and the mechanism through which they perturb the protein. The mutation V276T forms primarily negative (aggravating) epistatic interactions with many mutations, as is common to destabilizing mutations in soluble proteins. Surprisingly, W107A forms many positive (alleviating) epistatic interactions with other mutations. They further show that the locations of secondary mutations correlate with the types of epistatic interactions they form with the above two mutants.

      Strengths:

      Such a high throughput study for epistasis in membrane proteins is pioneering, and the results are indeed illuminating. Examples of interesting findings are that: (1) No single mutation can dramatically rescue the destabilization introduced by W107A. (2) Epistasis with a secondary mutation is strongly influenced by the degree of destabilization introduced by the primary mutation. (3) Misfolding caused by mis-insertion tends to be aggravated by further mutations. The discussion of how protein folding energetics affects epistasis (Fig. 7) makes a lot of sense and lays out an interesting biophysical framework for the findings.

      Weaknesses:

      The major weakness comes from the potential limitations in the measurements of surface expression of severely misfolded mutants. This point is discussed quite fairly in the paper, in statements like "the W107A variant already exhibits marginal surface immunostaining" and many others. It seems that only about 5% of the W107A makes it to the plasma membrane compared to wild-type (Figures 2 and 3). This might be a low starting point from which to accurately measure the effects of secondary mutations.

      The reviewer raises an excellent point that we considered at length during the analysis of these data and the preparation of the manuscript. Though we remain confident in the integrity of these measurements and the corresponding analyses, we now realize this aspect of the data required further discussion and documentation which we have provided in the revised version of the manuscript as is described in the following.

      Still, the authors claim that measurements of W107A double mutants "still contain cellular subpopulations with surface immunostaining intensities that are well above or below that of the W107A single mutant, which suggests that this fluorescence signal is sensitive enough to detect subtle differences in the PME of these variants". I was not entirely convinced that this was true.

      We made this statement based on the simple observation that the surface immunostaining intensities across the population of recombinant cells expressing the library of W107A double mutants was consistently broader than that of recombinant cells expressing W107A GnRHR alone (see Author response image 1 for reference). Given that the recombinant cellular library represents a mix of cells expressing ~1600 individual variants that are each present at low abundance, the pronounced tails within this distribution presumably represent the composite staining of many small cellular subpopulations that express collections of variants that deviate from the expression of W107A to an extent that is significant enough to be visible on a log intensity plot.

      Author response image 1.

      Firstly, I think it would be important to test how much noise these measurements have and how much surface immunostaining the W107A mutant displays above the background of cells that do not express the protein at all.

      For reference, the average surface immunostaining intensity of HEK293T cells transiently expressing W107A GnRHR was 2.2-fold higher than that of the IRES-eGFP negative, untransfected cells within the same sample- the WT immunostaining intensity was 9.5-fold over background by comparison. Similarly, recombinant HEK293T cells expressing the W107A double mutant library had an average surface immunostaining intensity that was 2.6-fold over background across the two DMS trials. Thus, while the surface immunostaining of this variant is certainly diminished, we were still able to reliably detect W107A at the plasma membrane even under distinct expression regimes. We have included these and other signal-to-noise metrics for each experiment in the Results section of the revised manuscript.

      Beyond considerations related to intensity, we also previously noticed the relative intensity values for W107A double mutants exhibited considerable precision across our two biological replicates. If signal were too poor to detect changes in variant expression, we would have expected a plot of the intensity values across these two replicates to form a scatter. Instead, we found DMS intensity values for individual variants to be highly correlated from one replicate to the next (Pearson’s R2 = 0.95, see Author response image 2 for reference). This observation empirically demonstrates that this assay consistently differentiated between variants that exhibit slightly enhanced immunostaining from those that have even lower immunostaining than W107A GnRHR. We have included these discussion points in the Results section as well as scatter plots for replicate variant intensities within all three genetic backgrounds in Figure S3 of the revised manuscript.

      Author response image 2.

      But more importantly, it is not clear if under this regimen surface expression still reports on stability/protein fitness. It is unknown if the W107A retains any function or folding at all. For example, it is possible that the low amount of surface protein represents misfolded receptors that escaped the ER quality control.

      While we believe that such questions are outside the scope of this work, we certainly agree that it is entirely possible that some of these variants bypass QC without achieving their native fold. This topic is quite interesting to us but is quite challenging to assess in the context of GPCRs, which have complex fitness landscapes that involve their propensity to distinguish between different ligands, engage specific components associated with divergent downstream signaling pathways, and navigate between endocytic recycling/ degradation pathways following activation. In light of the inherent complexity of GPCR function, we humbly suggest our choice of a relatively simple property of an otherwise complex protein may be viewed as a virtue rather than a shortcoming. Protein fitness is typically cast as the product of abundance and activity. Rather than measuring an oversimplified, composite fitness metric, we focused on one variable (plasma membrane expression) and its dominant effector (folding). We believe restraining the scope in this manner was key for the elucidation of clear mechanistic insights.

      The differential clustering of epistatic mutations (Fig. 6) provides some interesting insights as to the rules that dictate epistasis, but these too are dominated by the magnitude of destabilization caused by one of the mutations. In this case, the secondary mutations that had the most interesting epistasis were exceedingly destabilizing. With this in mind, it is hard to interpret the results that emerge regarding the epistatic interactions of W107A. Furthermore, the most significant positive epistasis is observed when W107A is combined with additional mutations that almost completely abolish surface expression. It is likely that either mutation destabilizes the protein beyond repair. Therefore, what we can learn from the fact that such mutations have positive epistasis is not clear to me. Based on this, I am not sure that another mutation that disrupts the tertiary folding more mildly would not yield different results. With that said, I believe that the results regarding the epistasis of V276T with other mutations are strong and very interesting on their own.

      We agree with the reviewer. In light of our results we believe it is virtually certain that the secondary mutations characterized herein would be likely to form distinct epistatic interactions with mutations that are only mildly destabilizing. Indeed, this insight reflects one of the key takeaway messages from this work- stability-mediated epistasis is difficult to generalize because it should depend on the extent to which each mutation changes the stability (ΔΔG) as well as initial stability of the WT/ reference sequence (ΔG, see Figure 7). Frankly, we are not so sure we would have pieced this together as clearly had we not had the fortune (or misfortune?) of including such a destructive mutation like W107A as a point of reference.

      Additionally, the study draws general conclusions from the characterization of only two mutations, W107A and V276T. At this point, it is hard to know if other mutations that perturb insertion or tertiary folding would behave similarly. This should be emphasized in the text.

      We agree. Our findings suggest different mutations may not behave similarly, which we believe is a key finding of this work. We have emphasized this point in the Discussion section of the revised manuscript as follows:

      “These findings suggest the folding-mediated epistasis is likely to vary among different classes of destabilizing mutations in a manner that should also depend on folding efficiency and/ or the mechanism(s) of misfolding in the cell.”

      Some statistical aspects of the study could be improved:

      (1) It would be nice to see the level of reproducibility of the biological replicates in a plot, such as scatter or similar, with correlation values that give a sense of the noise level of the measurements. This should be done before filtering out the inconsistent data.

      We thank the reviewer for this suggestion and will include scatters for each genetic background like the one shown above in Figure S3 of the revised version of the manuscript.

      (2) The statements "Variants bearing mutations within the C- terminal region (ICL3-TMD6-ECL3-TMD7) fare consistently worse in the V276T background relative to WT (Fig. 4 B & E)." and "In contrast, mutations that are 210 better tolerated in the context of W107A mGnRHR are located 211 throughout the structure but are particularly abundant among residues 212 in the middle of the primary structure that form TMD4, ICL2, and ECL2 213 (Fig. 4 C & F)." are both hard to judge. Inspecting Figures 4B and C does not immediately show these trends, and importantly, a solid statistical test is missing here. In Figures 4E and F the locations of the different loops and TMs are not indicated on the structure, making these statements hard to judge.

      We apologize for this oversight and thank the reviewer for pointing this out. We utilized paired Wilcoxon-Signed Rank Tests to evaluate the statistical significance of these observations and modified the description of these findings in the revised version of the results section as follows:

      “Variants bearing mutations within the C-terminal regions including ICL3, TMD6, and TMD7 fare consistently worse in the V276T background relative to WT (paired Wilcoxon-Signed Rank Test p-values of 0.0001, 0.02, and 0.005, respectively) (Fig. 4 B & E). Given that V276T perturbs the cotranslational membrane integration of TMD6 (Fig. S1, Table S1), this directional bias potentially suggests that the apparent interactions between these mutations manifest during the late stages of cotranslational folding. In contrast, mutations that are better tolerated in the context of W107A mGnRHR are located throughout the structure but are particularly abundant among residues in the middle of the primary structure that form ICL2, TMD4, and ECL2 (paired Wilcoxon-Signed Rank Test p-values of 0.0005, 0.0001, and 0.004, respectively) (Fig. 4 C & F).”

      (3) The following statement lacks a statistical test: "Notably, these 98 variants are enriched with TMD variants (65% TMD) relative to the overall set of 251 variants (45% TMD)." Is this enrichment significant? Further in the same paragraph, the claim that "In contrast to the sparse epistasis that is generally observed between mutations within soluble proteins, these findings suggest a relatively large proportion of random mutations form epistatic interactions in the context of unstable mGnRHR variants". Needs to be backed by relevant data and statistics, or at least a reference.

      We thank the reviewer for this reasonable suggestion. In the revised manuscript, we included the results of a paired Wilcoxon-Signed Rank Test that confirms the statistical significance of this observation and modified the Results section to reflect this as follows:

      “Notably, these 98 variants are enriched with TMD variants (65% TMD) relative to the overall set of 251 variants (45% TMD, Fisher’s Exact Test p = 0.0019). These findings suggest random mutations form epistatic interactions in the context of unstable mGnRHR variants in a manner that depends on the specific folding defect (V276T vs. W107A) and topological context.”

      Reviewer #1 (Recommendations for the Authors):

      As far as this reviewer is aware, the effect of the V267T variant on MP insertion has not been measured directly; its position corresponds to T277 in TMD6 of human GnRHR that has been measured for TM insertion, but given the clear lack of conservation (threonine vs valine) the mutation in TM6 could potentially have a different impact on the mouse homologue. Please clarify what the predicted delta TM for insertion is between human and mouse GnRHR is? Moreover, I would argue that single TM insertion by tethering to Lep is insufficient to understand MP insertion/folding, as neighbouring TM helices could help to drive TM6 insertion. Has ER microsome experiments for mouse GnRHR also been carried out in the context of neighbouring helices?

      We included measurements (and predictions) of the impact of the V276T substitution on the translocon-mediated membrane integration of the mouse TMD6 in the context of a chimeric Lep protein (see Fig. S1 & Table S1). Our results reveal that this substitution decreases the efficiency of TMD6 membrane integration by ~10%. Though imperfect, this prevailing biochemical assay remains popular for a variety of theoretical and technical reasons. Importantly, extensive experimental testing of this system has shown that these measurements report apparent equilibrium constants that are well-described by two-state equilibrium partitioning models (see DOIs 10.1038/nature03216 and 10.1038/nature06387). This observation provides a reasonable rationale to interpret these measurements using energetic models as we have in this work (see Table S1). From a technical perspective, the Lep system is also advantageous due to the fact that this protein is generally well expressed in the context of in vitro translation systems containing native membranes, which generally ensures a consistent signal to noise and dynamic range for membrane integration measurements. Nevertheless, the reviewers are correct that membrane integration efficiencies are likely distinct in the context of the native mGnRHR protein. For these reasons, we attempted to develop a glycosylation-based topology reporter prior to the posting and submission of this manuscript. However, all GnRHR reporters we tested were poorly expressed in vitro and the resulting 35S-labeled proteins only generated faint smears on our phosphorimaging screens that could not be interpreted. For these reasons, we chose to rely the Lep measurements for these investigations.

      The lack of a more relevant topological reporter is one of many challenges we faced in our investigations of this unstable, poorly behaved protein. We share the reviewer’s frustrations concerning the speculative aspects of this work. Nevertheless, there is increasing appreciation for the fact that our perspectives on protein biophysics have been skewed by our continuing choice to focus on the relatively small set of model proteins that are compatible with our favored methodologies (doi: 10.1016/j.tibs.2013.05.001). We humbly suggest this work represents an example of how we can gain a deeper understanding of the limits of biochemical systems when we instead choose to study the unsavory bits of cellular proteomes. But this choice requires a willingness to make some reasonable assumptions and to lean on energetic/ structural modeling from time to time. Despite this limitation, we believe there is still tremendous value in this compromise.

      What is the experimental evidence the W107A variant affects the protein structure? Has its melting temperature with and without inverse agonist binding for WT vs the W107A variant been measured, for example? Even heat-FSEC of detergent-solubilised membranes would be informative to know how unstable the W107A variant is. If is very unstable in detergent, then it could be that recovery mutants are going to be unlikely as you are already starting with a poor construct showing poor folding/localisation.

      We again understand the rationale for this concern, but do not believe that thermal melting measurements are likely to report the same sorts of conformational transitions involved in cellular misfolding. Heating up a protein to the point in which membranes (or micelles) are disrupted and the proteins begin to form insoluble aggregates is a distinct physical process from those that occur during co- and post-translational folding within intact ER membranes at physiological temperatures (discussed further in the Response to the Reviews). Indeed, as the reviewer points out below, there seems to be little evidence that secretion is linked to thermal stability or various other metrics that others have attempted to optimize for the sake of purification and/ or structural characterization. Thus, we believe it would be just as speculative to suggest thermal aggregation represents a relevant metric for the propensity of membrane proteins to fold in the cell. The physical interpretation of membrane protein misfolding reaction remains contentious in our field due to the key fact that the denatured states of helical membrane proteins remain highly structured in a manner that is hard to generalize beyond the fact that the denatured states retain α-helical secondary structure (doi: 10.1146/annurev-biophys-051013-022926). This is in stark contrast to soluble proteins, where random coil reference states have proven to be generally useful for energetic interpretations of protein stability. For reference, our lab is currently working to leverage epistatic measurements like this to map the prevailing physiological denatured states of an integral membrane protein. Our current findings suggest that non-native electrostatic interactions form in the context of misfolded states. We hope that more information on the structural aspects of these states will help us to develop and interpret meaningful folding measurements within the membrane.

      For reference, even in cases when quantitative folding measurements can be achieved, their relevance remains actively debated. As a point of reference, the corresponding author of this work previously worked on the stability and misfolding of another human α-helical membrane protein (PMP22). Like GnRHR, PMP22 is prone to misfolding in the secretory pathway and is associated with dozens of pathogenic mutations that cause protein misfolding. To understand how the thermodynamic stability of this protein is linked to secretion, the corresponding author purified PMP22, reconstituted it into n-Dodecyl-phosphocholine (DPC) micelles, and measured its resistance to denaturation by an anionic denaturing detergent (Lauryl Sarcosine, LS). The results were initially perplexing due to the fact that equilibrium unfolding curves manifested as an exponential decay (rather than a sigmoid) and relaxation kinetics appeared to be dominated by the rate constant for unfolding (doi: 10.1021/bi301635f). Unfortunately, these data could not be fit with existing folding models due to the lack of a folded protein baseline and the absence of a folding arm in the chevron plot. We eventually found that a full sigmoidal unfolding transition and refolding kinetics could be measured upon addition of 15% (v/v) glycerol. Our measurements revealed that the free energy of unfolding in DPC micelles was 0 kcal/ mol (without glycerol). This shocking lack of WT stability made it impossible to directly measure the effects of destabilizing mutations that enhance misfolding- you can’t measure the unfolding of a protein that is already unfolded. We ultimately had to instead infer the energetic effects of such mutations from the thermodynamic coupling between cofactor binding and folding (doi: 10.1021/jacs.5b03743). Finally, after demonstrating the resulting ΔΔGs correlated with both cellular trafficking and disease phenotype, we still faced justified scrutiny about the relevance of these measurements due to the fact that they were carried out in micelles. For these reasons, we do not feel that additional biophysical measurements will add much to this work until more is understood about the nature of misfolding reactions in the membrane and how to effectively recapitulate it in vitro. We also note that PMP22 is secreted with 20% efficiency in mammalian cell lines, which is 20-fold more efficient than human GnRHR under similar conditions (doi: 10.1016/j.celrep.2021.110046). Thus, we suspect equilibrium unfolding measurements are likely out of reach using previously described measurements.

      Our greatest evidence suggesting W107A destabilizes the protein has to do with the fact that it deletes a highly conserved structural contact and that this structural modification kills its secretion. The fact that this mutation clearly reduces the escape of GnRHR from ER quality control is a classic indicator of misfolding that represents the cell’s way of telling us that the mutation compromises the folding of the nascent protein in some way or another. Precisely how this mutation remodels the nascent conformational ensemble of nascent GnRHR and how this relates to the free energy difference between the native and non-native portions of its conformational ensemble under cellular conditions is a much more challenging question that lies beyond the scope of this investigation (and likely beyond the scope of what’s currently possible). Indeed, there is an entire field dedicated to understanding such. Nevertheless, the difference in the epistatic interactions formed by W107A and V276T is at the very least consistent with our speculative interpretation that these two mutations vary in their misfolding mechanism and/ or in the extent to which they destabilize the protein. For these reasons, we feel the main conclusions of this manuscript are well-justified.

      Please clarify if the protein is glycosylated or not and, if it is, how would this requirement affect the conclusions of your analysis?

      As we noted in the Response to the Reviewers, which also constitutes a published portion of the final manuscript, this protein is indeed glycosylated. We were well aware of this aspect of the protein since inception of this project and do not think this changes our interpretation at all. Most membrane proteins are glycosylated, and several groups have demonstrated in various ways that the secretion efficiency of glycoproteins is proportional to certain stability metrics for secreted soluble proteins and membrane proteins alike. Generally, mutations that enhance misfolding do not change the propensity of the nascent chain to undergo N-linked glycosylation, which occurs during translation before protein synthesis and/ or folding is complete. Misfolded proteins typically carry lower weight glycans, which reflects their failure to advance from the ER to the Golgi, where N-linked glycans are modified and O-linked glycans are added. From our perspective, glycosyl modifications just ensure that nascent proteins are engaged by calnexin and other lectin chaperones involved in QC. It does not decouple folding from secretion efficiency. In the case of PMP22 (described above), we found that removal of its glycosylation site allows the nascent protein to bypass the lectin chaperones in a manner that enhances its plasma membrane expression eight-fold (doi: 10.1016/j.jbc.2021.100719). Similar to WT, the expression of several misfolded PMP22 variants also significantly increases upon removal of the glycosylation site. Nevertheless, their expression is still significantly lower than the un-glycosylated WT protein, and the expression patterns of the mutants relative to WT was quite similar across this panel of un-glycosylated proteins. Thus, while glycosylation certainly impacts secretion, it does not change its dependence on folding efficiency within the ER. There are many layers of partially redundant QC within the ER, and it seems that folding imposes a key bottleneck to secretion regardless of which QC proteins are involved. For these reasons, we do not think glycosylation (or other PTMs) should factor into our interpretation of these results.

      One caveat with the study is that there is a poor understanding of the factors that decide if the protein should be trafficked to the PM or not. Even secretory proteins not going through the calnexin/reticulum cycle (as they have no N-linked glycans), might still get stuck in the ER, despite the fact they are functional. Could this be a technical issue of heterologous expression overloading the Sec system?

      While we agree that there is much to be learned about this topic, we disagree with the notion that our understanding of folding and secretion is insufficient to generally interpret the molecular basis of the observed trends. In collaboration with various other groups, the corresponding author of this paper has shown for several other proteins that the stability of the native topology and the native tertiary structure can constrain secretion efficiency (see dois: 10.1021/jacs.8b08243, 10.1021/jacs.5b03743, and 10.1016/j.jbc.2021.100423). Moreover, the Balch and Kelly groups demonstrated many years ago that relatively simple models for the coupling between folding and chaperone binding can recapitulate the observed effects of mutations on the secretion efficiency of various proteins (doi: 10.1016/j.cell.2007.10.025). Given a wide body of prevailing knowledge in this area, we believe it is entirely reasonable to assume that the conformational effects of these mutation have a dominant effect on plasma membrane expression.

      Whether or not some of the proteins retained in the ER are folded and/ or functional is an interesting question, but is outside the scope of this work. Various lines of evidence concerning approaches to rescue misfolded membrane proteins suggest many of these variants are likely to retain residual function once they escape the ER, which may suggest there are pockets of foldable/ folded proteins within the ER. But it seems generally clear that the efficiency of folding in the ER bottlenecks secretion regardless of whether or not the ER contains some fraction of folded/ functional protein. We note that it is certainly possible, if not likely, that secretion efficiency is likely to be higher at lower expression levels (doi: 10.1074/jbc.AC120.014940). However, the mutational scanning platform used in this work was designed such that all variants are expressed from an identical promoter at the same location within the genome. Thus, for the purposes of these investigations, we believe it is entirely fair to draw “apples-to-apples” comparisons of their relative effects on plasma membrane expression.

      Please see Francis Arnold's paper on this point and their mutagenesis library of the channelrhodopsin (https://www.pnas.org/doi/10.1073/pnas.1700269114), which further found that 20% of mutations improved WT trafficking. Some general comparisons to this paper might be informative.

      We agree that it may be interesting to compare the results from this paper to those in our own. Indeed, we find that 20% of the point mutations characterized herein also enhance the expression of WT mGnRHR, as mentioned in the Results section. However, we think it might be a bit premature to suggest this is a more general trend in light of the fact that the channelrhodopsins engineered in those studies were not of eukaryotic origin and have likely resulted from distinct evolutionary constraints. We ultimately decided against adding more on this to our already lengthy discussion in order to maintain focus on the mechanisms of epistasis.

      Chris Tate and others have shown that there is a high frequency of finding stabilising point mutations in GPCRs and this is the premise of the StAR technology used to thermostabilise GPCRs in the presence of different ligands, i.e. agonist vs inverse agonists. As far as I am aware, there is a poor correlation between expression levels and thermostability (measured by ligand binding to detergent-solubilised membranes). As such, it is possible that some of the mutants might be more stable than WT even though they have lower levels of PME.

      We believe the disconnect between thermostability and expression precisely speaks to our main point about the suitability of current membrane protein folding assays for the questions we address herein. The degradative activity of ER quality control has not necessarily selected for proteins that are resistant to thermal degradation and/ or are suitable for macromolecular crystallography. For this reason, it is often not so difficult to engineer proteins with enhanced thermal stability. We do not believe this disconnect signals that quality control is insensitive to protein folding and stability, but rather that it is more likely to recognize conformational defects that are distinct from those involved in thermal degradation and/ or aggregation. Indeed, recent work from the Fluman group, which builds on a wider body of previous observations, has shown that the exposure of polar groups within the membrane is a key factor that recruits degradation machinery (doi: 0.1101/2023.12.12.571171). It is hard to imagine that these sorts of conformational defects are the same as those involved in thermal aggregation.

      Reviewer #2 (Recommendations For The Authors):

      (1) I believe that by focusing more on the epistasis with V276T, and less on W107A, the paper could be strengthened significantly.

      We appreciate this sentiment. But we believe the comparison of these two mutants really drive home the point that destabilizing mutations are not equivalent with respect to the epistatic interactions they form.

      (2) In the abstract - please define the term epistasis in a simple way, to make it accessible to a general audience. For example - negative epistasis means that... this should be explicitly explained.

      We thank the reviewer for this suggestion. To meet eLife formatting, we had to cut down the abstract significantly. We simplified this as best we could in the following statement:

      “Though protein stability is known to shape evolution, it is unclear how cotranslational folding constraints modulate the synergistic, epistatic interactions between mutations.”

      We also define positive and negative epistasis in the results section as follows:

      “Positive Ɛ values denote double mutants that have greater PME than would be expected based on the effects of single mutants. Negative Ɛ values denote double mutants that have lower PME than would be expected based on the effects of single mutants. Pairs of mutations with Ɛ values near zero have additive effects on PME.”

      (3) The title is quite complex and might deter readers from outside the protein evolution field. Consider simplifying it.

      We thank the reviewer for this suggestion. We have simplified the title to the following:

      “Divergent Folding-Mediated Epistasis Among Unstable Membrane Protein Variants”

      (4) The paper could benefit from a simple figure explaining the different stages of membrane protein folding (stages 1+2) to make it more accessible to readers from outside the membrane protein field.

      This is a great suggestion. We incorporated a new schematic in the revised manuscript that outlines the nature of these processes (see Fig. 1A in the revised manuscript).

      (5) For the FACS-Seq experiment - it was not clear to me if and when all cells are pulled together. For example - are the 3 libraries mixed together already at the point of transfection, or are the transfected cells pulled together at any point before sorting? This could have some implications on batch effects and should, therefore, be explicitly mentioned in the main text.

      We thank the reviewer for this suggestion. We modified the description of the DNA library assembly to emphasize that the mutations were generated in the context of three mixed plasmid pools, which were then transfected into the cells and sorted independently:

      “We then generated a mixed array of mutagenic oligonucleotides that collectively encode this series of substitutions (Table S3) and used nicking mutagenesis to introduce these mutations into the V276T, W107A, and WT mGnRHR cDNAs (Medina-Cucurella et al., 2019), which produced three mixed plasmid pools.”

      (6) The following description in the text is quite confusing. It would be better to simplify it considerably or remove it: "scores (Ɛ) were then determined by taking the log of the double mutant fitness value divided by the difference between the single mutant fitness values (see Methods)."

      We thank the reviewer for this valuable feedback and have simplified the text as follows:

      “To compare epistatic trends in these libraries, we calculated epistasis scores (Ɛ) for the interactions that these 251 mutations form with V276T and W107A by comparing their relative effects on PME of the WT, V276T, and W107A variants using a previously described epistasis model (product model, see Methods) (Olson et al. 2014).”

    1. Author Response

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      This work provides new mechanistic insights into the competitive inhibition in the mammalian P2X7 receptors using structural and functional approaches. The authors solved the structure of panda (pd) P2X7 in the presence of the classical competitive antagonists PPNDS and PPADS. They find that both drugs bind to the orthosteric site employed by the physiological agonist ATP. However, owing to the presence of a single phosphate group, they prevent movements in the flipper domain required for channel opening. The authors performed structure-based mutational analysis together with electrophysiological characterization to understand the subtype-specific binding of these drugs. It is known from previous studies that P2X1 and P2X3 are more sensitive to these drugs as compared to P2X7, hence, the residues adjacent to the ATP binding site in pdP2X7 were mutated to those present in P2X1. They observed that mutations of Q143, I214, and Q248 into lysine (hP2X1) increased the P2X7 sensitivity to PPNDS, whereas in P2X1, mutations of these lysines to alanine reduced sensitivity to PPNDS, suggesting that these key residues contribute to the subunit-specific sensitivity to these drugs. Similar experiments were done in hP2X3 to demonstrate its higher sensitivity to PPNDS. This preprint provides a useful framework for developing subtype-specific drugs for the family of P2X receptor channels, an area that is currently relatively unexplored.

      We appreciate the time and effort Reviewer #1 devoted to this review, and we have addressed the specific comments below.

      (1) Why was the crystallization construct of panda P2X7 used for structural studies instead of rat P2X7 with the cytoplasmic ballast which is a more complete receptor that is closely related to the human receptor? Can the authors provide a justification for this choice?

      We appreciate this comment. We did try to express the rat P2X7 receptor in its full-length form based on a previous report (Cell 2019, PMID: 31587896), but the expression of the receptor was not successful for an unknown reason. Instead, we employed a truncated construct of panda P2X7 based on the findings described another previous report (eLife 2016, PMID: 27935479). This truncated construct also possesses ATP-dependent channel activity (eLife 2016, PMID: 27935479). Thus, we understand that the full-length P2X7 construct would be preferable, particularly for addressing the function of the cytoplasmic domain; however, the main focus of this study was on PPNDS/PPNADS recognition and the associated structural changes in the ATP binding pocket, which we believe are less likely to be severely affected by truncation of the cytoplasmic domain. In support of this expectation, our mutational analyses are consistent with the structures in this study. Therefore, we believe that the use of the truncation construct in this study is justified.

      (2) Was there a good reason why hP2X1 and hP2X3 currents were recorded in perforated patches, whereas pdP2X7 currents were recorded using the whole-cell configuration? It seems that the extent of rundown is less of a problem with perforated patch recordings. Can the authors comment and perhaps provide a justification? It would also be good to present data for repeated applications of ATP alone using protocols similar to those for testing antagonists so the reader can better appreciate the extent of run down with different recording configurations for the different receptors.

      We thank the reviewer for bringing up this point. The whole-cell configuration is the most commonly used method in patch-clamp experiments; therefore, we used this method to record the current of pdP2X7 (Author response image 1). However, the whole-cell configuration is not suitable for all experiments; for example, the currents of P2X1 and P2X3 recorded by this method show a severe "rundown" effect. The "rundown" effect prevents accurate calculation of the inhibition rate of the antagonist, and to obtain more accurate results, we used perforated patches to record the currents of hP2X1 and hP2X3.

      Author response image 1.

      Representative current traces of pdP2X7, hP2X3, and hP2X1 after repeated applications of ATP. The pdP2X7 currents were recorded using the whole-cell configuration, and the hP2X1 and hP2X3 currents were recorded using perforated patches.

      (3) The data in Fig. S1, panel A shows multiple examples where the currents activated by ATP after removal of the antagonist are considerably smaller than the initial ATP application. Is this due to rundown or incomplete antagonist unbinding? It is interesting that this wasn't observed with hP2X1 and hP2X3 even though they have a higher affinity for the antagonist. Showing examples of rundown without antagonist application would help to distinguish these distinct phenomena and it would be good for the authors to comment on this in the text. It is also curious why a previous study on pdP2X7 did not seem to have problems with rundown (see Karasawa and Kawate. eLife, 2016).

      We thank the reviewer for bringing up this point. We believe that this difference may be the result of incomplete antagonist unbinding. A similar phenomenon has been observed in previous studies of pdP2X7 (eLife 2016, PMID: 27935479). In the previous experiment, the currents activated by ATP after removal of the antagonist A740003 did not return to the initial value upon ATP application, whereas activation by ATP after removal of the antagonist GW791343 immediately restored the initial value upon ATP application (Fig. 1C of eLife 2016, PMID: 27935479). This may be because different inhibitors dissociate differently from pdP2X7. In our experiments, we assumed that PPNDS/PPADS was not completely dissociated from P2X7 even after 20 min of elution. The activation of P2X7 by ATP without antagonists showed no rundown effect (Author response image 1); therefore, we calculated the inhibition rate of the antagonist according to the precontrol.

      (4) The written presentation could be improved as there are many instances where the writing lacks clarity and the reader has to guess what the authors wish to communicate.

      To address this comment, we made changes to the text, particularly by following the

      Recommendations for The Authors

      Reviewer #1 (Recommendations For The Authors):

      (1) The way the manuscript is written could be greatly improved. There are many confusing sections where the reader has to guess what the authors wish to convey. For example, on page 9 "In addition, the mutation of Val173 to aspartate, as observed in pdP2X7, significantly decreased the sensitivity to PPNDS (Fig. 6B)." It appears from this sentence that Asp is present in P2X7, which is incorrect, please rephrase. There are many more examples of confusing sentences that need to be carefully edited to improve comprehension.

      To address this comment, we extensively modified the text to avoid this kind of misunderstanding. Please see the manuscript file with the track changes.

      (2) Please use either a 1-letter or 3-letter code for amino acid residues throughout the manuscript to maintain uniformity.

      We made this correction throughout the revised manuscript.

      (3) In Figure 1 on the right side, including the nearby density and side chains for interacting residues of PPNDS and PPADS would give more information and reliability for the density of the drugs.

      We appreciate this comment. The corresponding information is shown in Fig. S7.

      (4) Typo: Figure S1, E, and F panels - please correct the y-axis label to Inhibition.

      We corrected the typo in Fig. S1.

      (5) Please rewrite the legends for Fig. S3 and S5. They are confusing. The figure shows 3D classification using Relion, however, the legend suggests it was done using Cryosparc. Please clarify.

      We apologize for the confusion. Before applying C3 symmetry, all steps including 3D classification were performed in Relion 3.1. With C3 symmetry, we performed further refinement using Cryosparc v4.2.1 by non-uniform refinement. We have corrected the figure legends accordingly.

      (6) For Fig. S3 and S5 increase the resolution and size of representative micrographs, and also please provide scale bars.

      We have corrected Figures S3 and S5 accordingly.

      (7) Please add the 3D classification protocol performed in Relion/Cryosparc in the methods section as well.

      We added the corresponding description to the revised manuscript (Lines 9-14, Page 16).

      (8) In Table S1, under the initial model the authors state 'this study' when they should report the use of 5U1L according to the methods section.

      We corrected Table S1 in accordance with this comment.

      (9) The authors should consider combining the raw data shown in Figure S1 in Figure 6 as it provides stronger support for the conclusions than the bar graphs shown in Figure 6B.

      We appreciate the comment and fully understand the intention of Reviewer #1. Nevertheless, we would like to keep Figure S1, since it was also mentioned earlier together with Figure 1. In addition, if we combine Figure S1 with Figure 6, the result would be too large to present as a single figure.

      (10) In Figure 6A, please provide colored labels for both P2X7 and P2X1 to aid comprehension of the structural models.

      Based on this comment, we corrected the labels in Figure 6.

      (11) In the discussion, the authors write about comparisons with the docking study by Huo et al. JBC, 2018. Can they show the superimposition of their EM model with the previous studies' docking model in a supplementary figure for more clarity?

      We appreciate the constructive comments. However, unfortunately, the docking model in the previous study (JBC 2018, PMID: 29997254) is not available, so it is not possible to show the superimposition.

      Reviewer #2 (Public Review):

      Summary:

      P2X receptors play pivotal roles in physiological processes such as neurotransmission and inflammation, making them promising drug targets. This study, through cryo-EM and functional experiments, reveals the structural basis of the competitive inhibition of the PPNDS and PPADS on mammalian P2X7 receptors. Key findings include the identification of the orthosteric site for these antagonists, the revelation of how PPADS/PPNDS binding impedes channel-activating conformational changes, and the pinpointing of specific residues in P2X1 and P2X3 subtypes that determine their heightened sensitivity to these antagonists. These insights present a comprehensive understanding that could guide the development of improved drugs targeting P2X receptors. This work will be a valuable addition to the field.

      Strengths and weaknesses:

      The combination of structural experiments and mutagenesis analyses offers a deeper understanding of the mechanism. While the inclusion of MD simulation is appreciated, providing more insights from the simulation might further strengthen this already compelling story.”

      We appreciate the time and effort Reviewer #2 devoted to this review, and we have addressed the specific comments below.

      Reviewer #2 (Recommendations For The Authors):

      (1) On page 3, the sentence "ATP analogs are the most competitive inhibitors of P2X receptors but are typically unsuitable due to a lack of high specificity in vivo," might need additional context. Could the authors clarify if they are referring to the unsuitability of ATP analogs for medical applications?

      To address this comment, we have rewritten the sentence as follows (Lines 13-16, Page 3):

      ATP analogs are most common among competitive inhibitors for P2X receptors; however, they are generally unsuitable for in vivo applications due to their relatively low specificity, which may result in off-target toxicity. This issue arises because the human body contains numerous ATP-binding proteins.

      (2) Fig. S1. I am curious why, for P2X7, the ATP-only current after removal of PPNDS/PPADS does not recover and become larger than the current in the presence of PPNDS/PPADS? Such behavior was not as pronounced in P2X1. Does that suggest PPNDS/PPADS might remain bound and can not be removed when the P2X7 channel is closed?

      We thank the reviewer for bringing up this point. We believe that this difference may be the result of incomplete antagonist unbinding. A similar phenomenon has been observed in previous studies of pdP2X7 (eLife 2016, PMID: 27935479). In the previous experiment, the currents activated by ATP after removal of the antagonist A740003 did not return to the initial value upon ATP application, whereas activation by ATP after removal of the antagonist GW791343 immediately restored the initial value upon ATP application (Fig. 1C of eLife 2016, PMID: 27935479). We strongly agree with the reviewer that this may be due to the difficulty of dissociating the antagonist from pdP2X7.

    1. Author response:

      The following is the authors’ response to the original reviews.

      We would like to thank both Editors and reviewers for their valuable time, careful reading, and constructive comments. The comments have been highly valuable and useful for improving the quality of our study, as well as important in guiding the direction of our present and future research. In the revised manuscript, we have incorporated the necessary changes including additional experimental data as suggested; please find our detailed pointby-point response to the reviewer’s comments and the changes we have made in the manuscript as follows.

      Reviewer #1 (Public Review):

      In this work, the authors have explored how treating C. albicans fungal cells with EDTA affects their growth and virulence potential. They then explore the use of EDTA-treated yeast as a whole-cell vaccine in a mouse model of systemic infection. In general, the results of the paper are unsurprising. Treating yeast cells with EDTA affects their growth and the addition of metals rescues the phenotype. Because of the significant growth defects of the cells, they don't infect mice and you see reduced virulence. Injection with these cells effectively immunises the mice, in the same way that heatkilled yeast cells would. The data is fairly sound and mostly well-presented, and the paper is easy to follow. However, I feel the data is an incremental advance at best, and the immune analysis in the paper is very basic and descriptive.

      Strengths:

      Detailed analysis of EDTA-treated yeast cells

      Weaknesses:

      • Basic immune data with little advance in knowledge.

      • No comparison between their whole-cell vaccine and others tried in the field.

      • The data is largely unsurprising and not novel.

      Reply: Thank you so much for appreciating our effort to generate a whole cell anti-fungal vaccine by treating C. albicans cells with EDTA. Also, we appreciate your comment that the manuscript is sound and well-presented. However, we are afraid that the respected reviewer assumed the CAET cells as dead cells while they only divide relatively slower than the untreated cells. In the revised manuscript, we have presented additional evidence to show that CAET are live cells (Supp. Figs 2) and based on the new data, we expect a positive change in the reviewer’s opinion. Since CAET is a live strain, the data presented here is novel.

      Reviewer #2 (Public Review):

      Summary:

      Invasive fungal infections are very difficult to treat with limited drug options. With the increasing concern of drug resistance, developing an antifungal vaccine is a high priority. In this study, the authors studied the metal metabolism in Candida albicans by testing some chelators, including EDTA, to block the metal acquisition and metabolism by the fungus. Interestingly, they found EDTAtreated yeast cells grew poorly in vitro and non-pathogenic in vivo in a murine model. Mice immunized by EDTA-treated Candida (CAET) were protected against challenge with wild-type Candida cells. RNA-Seq analysis to survey the gene expression profile in response to EDTA treatment in vitro revealed upregulation of genes in metal homeostasis and downregulation of ribosome biogenesis. They also revealed an induction of both pro- and anti-inflammatory cytokines involved in Th1, Th2 and Th17 host immune response in response to CAET immunization. Overall, this is an interesting study with translational potential.

      Strengths:

      The main strength of the report is that the authors identified a potential whole-cell live vaccine strain that can provide full protection against candidiasis. Abundant data both on in vitro phenotype, gene expression profile, and host immune response have been presented.

      Weaknesses:

      A weakness is that the immune mechanism of CAET-mediated host protection remains unclear. The immune data is somewhat confusing. The authors only checked cytokines and chemokines in blood. The immune response in infected tissues and antibody response may be investigated.

      Reply: Thank you very much for appreciating our work and finding our strain to be a live whole-cell anti-fungal vaccine strain with translational potential. Since the current study focused on the identification and detailed characterizations of a non-genetically modified live-attenuated strain and determination of its safety and efficacy as a potential vaccine candidate in the preclinical model, we have excluded the possible immune mechanisms involving CAET. In a separate study, we are currently investigating both cellular and molecular mechanisms that provide protective immunity in CAET-vaccinated mice.

      Reviewer #3 (Public Review):

      Summary:

      The authors are trying to find a vaccine solution for invasive candidiasis.

      Strengths:

      The testing of the antifungal activity of EDTA on Candida is not new as many other papers have examined this effect. The novelty here is the use of this EDTA-treated strain as a vaccine to protect against a secondary challenge with wild-type Candida.

      Weaknesses:

      However, data presented in Figure 5 and Figure 6 are not convincing and need further experimental controls and analysis as the authors do not show a time-dependent effect on the CFU of their vaccine formulation. The methodology used is also an issue. As it stands, the impact is minor.

      Reply: Thank you so much for appreciating our efforts to develop a novel vaccine against fungal infections. We are extremely sorry for the lack of clarity in our writing related to Figs. 5 and 6, we have now modified the text and hope that the respected reviewer will find these convincing.

      Recommendations for the authors:

      Although the reviewers recognize the importance of the manuscript, they would like to see: 1) comparisons between their whole-cell vaccine and others tried in the field, 2) an investigation of the immune response in infected tissues and antibody response, and 3) more controls in Figures 5 and 6, and a time-dependent effect on the colony-forming units of their vaccine formulation. Please, address the questions and submit a revised version together with a rebuttal letter addressing point-by-point raised by each reviewer.

      Reply: (1) We are afraid that a comparative study of a live and heat-killed cell vaccines will mislead the information presented here. This is the only non-genetically modified antifungal vaccine candidate therefore a comparison with a dead strain at present is unwarranted. We have now added supporting data to confirm that, the survivability of C. albicans cells was unaffected at 6 hr of EDTA treatment (CAET, Supp. Fig. S2). (2) Since the current study focused on the identification and a detailed characterization of a non-genetically modified live attenuated strain and its safety and efficacy as a potential vaccine candidate in the preclinical model, we have excluded the possible immune mechanisms involving CAET. However, in a separate study, we are currently investigating both cellular and molecular mechanisms that provide protective immunity in CAET-vaccinated mice. (3) The results of Figs 5 and 6 were misinterpreted by the respected reviewer, please see the explanation below.

      Reviewer #1 (Recommendations For The Authors):

      Some specific comments/suggestions for the authors: (1) What was the viability of the yeast after EDTA treatment? Is the delayed growth response because many cells died and it takes a while for remaining viable cells to catch up? This is important to know because it may mean the dose given to mice is substantially different and that should be accounted for. Some PI staining of the cells after treatment would help.

      Reply: The growth curve assays (Fig. 1A and 1E) were initiated with O.D.600nm=0.5 of each cultures (~ 107 cells/mL) and the analyses suggested that the EDTA-treated C. albicans cells grew slower than the untreated cells. Fig. 1B and 1F further demonstrated that EDTA has minimal effect on the survival of the strain up to 8 hrs post-exposure. The proportion of the number of cells increased without and with metal chelators almost remained the same for this duration (0 – 8 hrs). Therefore, for subsequent analyses, 6 hr treatment was selected and such treated cells were considered as CAET, which were actively dividing live cells, albeit slower than untreated cells. As suggested and to strengthen our finding, a time dependent SYTOX Green and Propidium iodide staining of C. albicans cells without and with EDTA treatment was carried out and analysed by flow cytometry and microscopy, respectively. Both analyses revealed that the percentage of dead cells up to 12 hrs of without and with EDTA treatment remained the same. The new data has now been added in the revised version of the manuscript as Supplementary figure 2.

      Author response image 1.

      (2) In line with the above, what was the viability of the CAET cells after 3h in media? In the macrophage in vitro experiments, how do you know the reduced viability of the CAET cells is macrophage-specific? Did you run a control of CAET cells in media on their own to determine how CFU changed in macrophage-free conditions? Is the proliferation rates of untreated and CAET cells different? That would affect CFSE labelling and results. These experiments would work better with a GFP-expressing C. albicans strain, which is widely available. In the images in Figure 4c, it looks like there are more hyphae in CAET than untreated - was hyphal induction checked/measured? That's important to know because more hyphae usually means more clumping and this can affect CFU counts (giving the impression of less CFU when actually there is more). Because of all the issues above, I'm not fully convinced by the uptake/killing data.

      Reply: As explained in response 1, we used actively dividing WT and CAET cells, and equal number of these cells were CFSE labelled. As can be seen in Fig.4A, the rate of phagocytosis was the same in 1 hr of pre-culture, but in the subsequent time points the double-positive cells were reduced in the case of CAET cells and that is due to fungal killing by macrophages. Fungal cells were released from the macrophages by warm water treatment and CFU was determined. Fig. 4B suggested that at 1hr of co-culture, the CFU of both fungal cells (WT and CAET) were the same and the fungal clearance was observed at later time points. Thus, the reduced viability of CAET cells was macrophagespecific. EDTA has minimal effect on hyphal transition without and with the presence of serum and the new data has now been provided in the revised version (Supplementary Fig. 3).

      Author response image 2.

      (3) Pooled data should be shown for all animal experiments.

      Reply: Thank you for the suggestion, wherever it was meaningful pooled data for the animal experiments have now been provided.

      (4) Immune cell counts/analysis in the kidney and bone marrow would be hugely helpful and more relevant to understanding immune responses following immunisation/infection. I think a more interesting analysis for the authors to consider would be to immunise with heat-killed yeast vs EDTAtreated yeast and see if there is a qualitative difference or better protection, i.e. is the EDTA-treated whole-cell vaccine superior to the heat-killed version? That is a better question to address. As it stands, the data in the paper is not surprising.

      Reply: The studies on cellular and molecular mechanisms underlying protective immunity in CAETvaccinated mice are under progress in a separate study. This study mostly focused on the identification and detailed characterization of a non-genetically modified live-attenuated strain and its safety and efficacy as a potential vaccine candidate in a preclinical model. We are afraid that a comparison of a live cell (CAET) with a dead cell (heat-killed) will dilute the content of the manuscript and will not be meaningful. It is well accepted that the heat-killed C. albicans strain only provides partial short-lived protection to re-challenge (Refs-PMIDs: 12146759, and 9916097), thus, it does not warrant any comparison with CAET.

      Reviewer #2 (Recommendations For The Authors):

      Overall, this is a highly interesting study. I have the following specific comments for clarification.

      (1) In the introduction, the authors mentioned other anti-candida vaccines that are mostly effective against Candida infection by inducing neutralizing antibodies. However, in their CAET vaccine candidate, they only checked the cellular immunity in blood and found a balanced immune response (both pro- and anti-inflammatory responses are induced). How about the antibody production in these mice? It is a bit surprising that both untreated Candida infection and CAET Candida infection produced similar immune activation based on Figure 6, yet the CAET immunization provides protection. Some innate cell recruitment is higher in untreated Ca infection than the CAET infected mice (Figure 5F). The overall results on immune response characterization did not seem to explain why the CAET infection led to host protection while untreated Ca infection cannot. Characterizing infected tissue immune cell differentiation and cytokine production may offer some additional insights.

      Reply: We agree with you that in this manuscript we have not provided any mechanistic study on the protective immunity in CAET-vaccinated mice. This will be demonstrated in a subsequent study.

      (2) In Figure 5, some critical data seem to be missing in panels B and C. The CFU and histopathological images for CAET-treated mice challenged by Ca should also be shown there for comparison. Although they did show some data in Figure 5E and Figure S4, it is necessary to have that data in 5B and 5C from the same experiment. Figure S4 is a very busy figure and the images are quite small. It may be necessary to use arrows to point out what information authors want to emphasize.

      Reply: Fig 5 B and 5C showed the data for mice that succumbed to infection. Since the other mice (saline control groups, CAET infected, CAET vaccinated, and re-challenged groups) survived, they were not sacrificed; therefore, the CFU data was not collected. In addition, we wanted to see the longevity of these survived mice and after 1 year of observations, they were handed over to the animal house for clearance as per the institutional guidelines. However, Figure 5E and Figure S4 (now Fig. S6) included all the mice groups as they were sacrificed at various time points irrespective of humane end points. As suggested FigS6 has now been modified and fungal cells were denoted by yellow arrows.

      (3) EDTA-treated yeast cells showed poor growth but also had thicker cell walls with high chitin, glucan, and mannan levels. What leads to its clearance in vivo remains unclear, as usually, cells with thick cell wall structures and low metabolism are more resistant to stress, e.g., dormant cells. Macrophages were shown to contribute to CAET killing in a phagocytosis assay (Figure 4). Checking cytokines produced by macrophages during co-incubation may offer some insights. In all, additional discussion on what caused in vivo clearance would be helpful.

      Reply: Mechanistic study on the protective immune responses of CAET will be demonstrated in a separate study. As suggested, the discussion section now contains additional information emphasising the in vivo clearance of CAET cells in the 3rd paragraph of discussion section.

      (4) Long paragraphs in the discussion section could be divided into a bigger number of shorter paragraphs.

      Reply: Thank you for the suggestion, it has now been modified in the revised version (7 short paragraphs). To make it more comprehensive, some of the content has been removed.

      Reviewer #3 (Recommendations For The Authors):

      (1) It is unclear how many cells were treated with 250 micromolar of EDTA for 6 hours before preparing the inoculum. It seems that only the OD was measured before adding EDTA. This is not a very rigorous and reproducible method.

      Reply: In this manuscript, we have repeatedly used the same protocol to generate CAET cells for various analyses. The O.D.600nm= 0.5 culture is equivalent to 107 C. albicans cells per mL and this information has now been added in the revised manuscript.

      (2) Upon treatment with 250 micromolar of EDTA, cells were harvested and counted to prepare the inoculum (5x10e5) for injecting it in mice. However, it appears that CFU of the inoculum was not done. Based on data shown in Fig. 1B, 250 micromolar of EDTA does inhibit Candida cell replication. Thus, the authors may have counted dead cells and, thus, injected dead cells together with live cells for the CAET inoculum. Thus, mice receiving this inoculum may have been infected (and vaccinated) with a lower number of live Candida cells.

      Reply: Please see a similar response to reviewer #1. EDTA has minimal effect on the survival of C. albicans cells at 6 hr (also see supp. Fig. S2). We have already mentioned the CFU analysis of untreated and CAET cells in the methodology section related to inoculum preparation.

      (3) It is unclear if 6 hours of treatment with 250 micromolar of EDTA is enough to induce a block of Candida cell replication. In Figure 1B, the authors treated for 24h. The authors are encouraged to wash the cells after 6 hours of treatment and see if their cell division will recover upon removal of EDTA.

      Reply: Thank you for the suggestion. At 6 hr treatment, survivability of C. albicans cells was unaffected upon EDTA exposure. PI and SYTOX GREEN staining confirmed it (Supp. Fig. 2). Additionally, as suggested a rescue experiment was carried out by exogenous addition of divalent metals after 6 hr EDTA treatment and growth/CFU analyses were followed thereafter. A modified Fig. 1 A and B with new data has been provided.

      (4) The data shown in Figure 5A is extremely exciting. However, the number of mice in each group (n=6) is too low. Normally, 10 mice per group are used for virulence studies unless the authors provide a power analysis that 6 mice per group will be sufficient. Also, CFU data were only provided for Ca and saline-Ca groups (Fig. 5B) and not for the other groups. CFU data should be provided for all mice.

      Reply: Thank you for the suggestion and a statistical analysis of Fig. 5A was provided in the revised version. The rationale behind not including all mice groups in Fig. 5B is already explained in a response to reviewer #2.

      (5) It is unclear how the authors differentiate between CFU arising from CAET or from WT Candida.

      Reply: Since the Fig 5 E demonstrated that no CAET cells were detected in the kidney beyond 10 days of inoculation, in the re-challenged mice group (1CAET 2 Ca), the fungal cells those detected in the 3rd and 7th days were from the later inoculated cells (brown colour).

      (6) Figure 5E: it is unclear if a 1 saline-2 saline (Figure legend) or if 1 saline-2 Ca (text) group was included. If the latter, where are the CFU? It is impossible that 1 saline-2 Ca mice have no CFU.

      Reply: Thank you so much for pointing this out. The legend has now been modified that include 1saline-2saline and 1CAET-2Ca.

      (7) It seems that CFU is significantly present in the kidney in the 1 CAET - 2 Ca group at day 7 but not at day 3. How is this possible? This is an extremely invasive model of infection, and the authors are challenging intravenously 500,000 live Candida cells. If by the 3rd day, the authors detect no CFU, then how is it possible that CFUs are arising on day 7?

      Reply: We do detect fungal cells on 3rd day in 1CAET 2 WT mice group (~2000 cells), albeit much lower than in 7 days (~11200 cells). A Log10 scale graph has now been provided for better representation.

      (8) Most importantly, if the authors are not detecting CFU at day 3, then earlier time points (e.g. day 2, day 1, or even 12 hours post-challenge) must be analyzed. The authors should show that CFU from the organs is decreasing in a time-dependent manner. Also, all CFU should be shown as Log10.

      Reply: please see the previous response.

      (9) Fig. 6: because it is unclear if the mice were challenged with the same inoculum of live Candida cells (untreated and treated with EDTA), the different cytokine profiles between the two groups could be simply due to the different inoculum sizes and not to the effect of EDTA on Ca.

      Reply: please see the previous response as given also for Reviewer 1.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer 1

      Comment 1: It is worth mentioning that the authors show that there are Arid1a transcripts that escape the Cre system. This might mask the phenotype of the Arid1a knockout, given that many sequencing techniques used here are done on a heterogeneous population of knockout and wild-type spermatocytes.

      Response: The proportions of undifferentiated spermatogonia (PLZF+) with detectable (ARID1A+) and non-detectable (ARID1A=) levels of ARID1A protein by immunostaining on testes cryosections obtained from 1-month old Arid1afl/fl (control) and Arid1acKO (CKO) males were 74% ARID1A negative (CKO) and 26% ARID1A positive (CKO) as compared to 95% ARID1A positive and 5% ARID1A negative in WT controls. The manuscript includes these data (page 5, lines 114-116). Furthermore, Western blot analysis of STA-Put purified pachytene WT and mutant spermatocytes showed significantly reduced levels of ARID1A protein in mutant cells (95% reduction). The manuscript has added these data (page 5, line 116 and Fig. S2).

      Comment 2: In relation to this, I think that the use of the term "pachytene arrest" might be overstated, since this is not the phenotype truly observed (these mice produce sperm).

      Response: Based on the profiling of prophase-I spermatocytes by co-staining for SYCP3 and ARID1A, we observed a marked reduction in mid-late pachytene spermatocytes that lacked ARID1A, indicating a failure to progress beyond pachynema in the absence of ARID1A (Table 1 in manuscript). Furthermore, we were unable to detect diplotene spermatocytes lacking ARID1A protein. Haploid spermatid populations isolated from Arid1acKO males appeared normal, expressing the wild-type allele, suggesting that they originated from spermatocytes that failed to undergo efficient Cre recombination (Fig. S3). Arid1acKO also produces viable sperm at a level equal to their wild-type controls (see page 5, lines 123-126). It is reasonable to conclude that the absence of ARID1A results in a pachynema arrest and that the viable sperm are from escapers. We cannot make any conclusions regarding the requirement of ARID1A for progression beyond pachynema.

      Comment 3: ARID1A is present throughout prophase I, and it might have pre-MSCI roles that impact earlier stages of Meiosis I, and cell death might be happening in these earlier stages too.

      Response: We did not observe an effect on the frequency of leptotene and zygotene spermatocytes lacking ARID1A. There appeared to be an accumulation of these prophase-I populations in response to the loss of ARID1A, consistent with a failure in progression beyond pachynema in the mutants (Table 1 in the manuscript).

      Additionally, we did not detect any significant difference in the numbers of undifferentiated spermatogonia expressing PLZF (also known as ZBTB16) in 1-month-old Arid1acKO relative to Arid1afl/fl males (see Table below, now included in the manuscript as supplemental Table 1). Therefore, the Arid1a conditional knockouts generated with a Stra8-Cre did not appear to impact earlier stages of spermatogenesis. However, potential roles of ARID1A early in spermatogenesis might be revealed using a more efficient and earlier-acting germline Cre transgene. In this case, an inducible Cre transgene would be needed, given the haploinsufficiency associated with Arid1a. Such haploinsufficiency was why we used the Stra8-Cre. The lack of Cre expression in the female germline allowed the transmission of the floxed allele maternally.

      Author response table 1.

      Comment 4: Overall, the research presented here is solid, adds new knowledge on how sex chromatin is silenced during meiosis, and has generated relevant databases for the field.

      Response: We thank the reviewer for this comment.

      Reviewer 2

      Comment 1: The conditional deletion mouse model of ARIDA using Stra8-cre showed inefficient deletion; spermatogenesis did not appear to be severely compromised in the mutants. Using this data, the authors claimed that meiotic arrest occurs in the mutants. This is obviously a misinterpretation.

      Response: As stated in response to Reviewer 1, testes cryosections obtained from 1-month-old control and mutant males showed that 74% are ARID1A negative (CKO) and 26% ARID1A positive (CKO) as compared to 95% ARID1A positive and 5% ARID1A negative in WT controls (page 5, lines 114-116). This difference is dramatic. Western blot analysis of STA-Put purified pachytene WT and mutant spermatocytes also showed a significant reduction of ARID1A protein in mutant cells (Fig. S2). We observed a marked decrease in mid-late pachytene spermatocytes that lacked ARID1A, indicating a failure to progress beyond pachynema without ARID1A (Table 1 from the manuscript). Furthermore, we were unable to detect any diplotene spermatocytes lacking ARID1A protein. These data suggest that the haploid spermatids originated from spermatocytes that failed to undergo efficient Cre recombination (Fig. S3). Comparison of cKO and wild-type littermate yielded nearly identical results (Avg total conc WT = 32.65 M/m; Avg total conc cKO = 32.06 M/ml), indicating that the cKO’s produce viable sperm at a level equal to their wild-type controls. Taken together, the conclusion that the absence of ARID1A results in a pachynema arrest and that the escapers produce the haploid spermatids is firm. By IF, we see that ~70% of the spermatocytes have deleted ARID1A. Therefore, we disagree with the reviewer’s comments that “spermatogenesis did not appear to be severely compromised in the mutants”.

      Comment 2: In the later parts, the authors performed next-gen analyses, including ATAC-seq and H3.3 CUT&RUN, using the isolated cells from the mutant mice. However, with this inefficient deletion, most cells isolated from the mutant mice appeared not to undergo Cre-mediated recombination. Therefore, these experiments do not tell any conclusion pertinent to the Arid1a mutation.

      Response: We agree that the ATAC-seq and CUT&RUN data were derived from a mixed population of pachytene spermatocytes consisting of mutants and, to a much lesser extent, escapers. As stated, based on our previous study (Menon et al., 2021, Nat. Commun., PMID: 34772938) and additional analyses in this current work, the undifferentiated spermatogonia lacking ARID1A indicates that Stra8-Cre is ~ 70% efficient. With this efficiency, we can detect striking changes in H3.3 occupancy and chromatin accessibility in the mutants relative to wild-type spermatocytes.

      Comment 3: Furthermore, many of the later parts of this study focus on the analysis of H3.3 CUT&RUN. However, Fig. S7 clearly suggests that the H3.3 CUT&RUN experiment in the wild-type simply failed. Thus, none of the analyses using the H3.3 CUT&RUN data can be interpreted.

      Response: We would like to draw the attention of the reviewer to a recent study (Fointane et al., 2022, NAR, PMID: 35766398) where the authors observed an identical X chromosome-wide spreading of H3.3 in mouse meiotic cells by ChIP-seq. The genomic distribution matches the microscopic observation of H3.3 coating of the sex chromosomes. Therefore, in normal spermatocytes, H3.3 distribution is pervasive across the X chromosome, with very few peaks observed in intergenic regions. Additionally, we detected H3.3 enrichment at TSSs of ARID1A-regulated autosomal genes in wild-type pachytene spermatocytes, albeit reduced relative to the mutants, indicating that the H3.3 CUT&RUN worked. For these reasons, we do not agree with the reviewer’s assessment that the H3.3 CUT&RUN experiment failed in the wild type.

      Comment 4: If the author wishes to study the function of ARID2 in spermatogenesis, they may need to try other cre-lines to have more robust phenotypes, and all analyses must be redone using a mouse model with efficient deletion of ARID2.

      Response: As noted, we chose Stra8-Cre to conditionally knockout Arid1a because ARID1A is haploinsufficient during embryonic development. The lack of Cre expression in the maternal germline allows for transmission of the floxed allele, allowing for the experiments to progress.

      Reviewer 3

      Comment 1: A challenge with the author's CKO model is the incomplete efficiency of ARID1A loss, due to incomplete CRE-mediated deletion. The authors effectively work around this issue, but they don't state specifically what percentage of CKO cells lack ARID1A staining. This information should be added.

      Response: Our data indicate that Stra8-Cre is ~ 70% efficient. This information has been added.

      Comment 2: They refer to cells that retain ARID1A staining in CKO testes as 'internal controls' but this reviewer finds that label inappropriate.

      Response: We have dropped ‘internal controls’ and used ‘escapers’ instead.

      Comment 3: Although some cells that retain ARID1A won't have undergone CRE-mediated excision, others may have excised but possibly have delayed kinetics of deletion or ARID1A RNA/protein turnover and loss. Such cells likely have partial ARID1A depletion to different extents and, therefore, in some cases, are no longer wild-type. In subsequent figures in which co-staining for ARID1A is done, it would be appropriate for the authors to specify if they are quantifying all cells from CKO testes, or only those that lack ARID1A staining.

      Response: We were unable to detect any diplotene spermatocytes lacking ARID1A protein. The data suggest that the haploid spermatids originated from spermatocytes that failed to undergo efficient Cre recombination (Fig. S3). Thus, we conclude that the absence of ARID1A results in a pachynema arrest and that the escapers produce haploid spermatids. In figures displaying quantification data, we indicate whether the quantification was performed on spermatocytes lacking or containing ARID1A from cKO testes. By IF, we see that ~70% of the spermatocytes have deleted ARID1A.

      Comment 4: The authors don't see defects in a few DDR markers in ARID1A CKO cells and conclude that the role of ARID1A in silencing is 'mutually exclusive to DDR pathways' (p 12) and 'occurs independently of DDR signaling' (p30). The data suggest that ARID1A may not be required for DDR signaling, but do not rule out the possibility that ARID1A is downstream of DDR signaling (and the authors even hypothesize this on p30). The data provided do not justify the conclusion that ARID1A acts independently of DDR signaling.

      associated DDR factors such as: H2Ax; ATR; and MDC1. We observed an abnormal persistence of elongating RNA polymerase II on the mutant XY body in response to the loss of ARID1A, emphasizing its role in the transcriptional repression of the XY during pachynema. The loss of ARID1A results in a failure to silence sex-linked genes and does so in the presence of DDR signaling factors in the XY body. As the reviewer notes, we highlighted the possibility that DDR pathways might influence ARID1A recruitment to the XY, evidenced by the hyperaccumulation of ARID1A on the sex body late in diplonema. Therefore, whether ARID1A is dependent on DDR signaling remains an open question.

      Comment 5: After observing no changes in levels or localization of H3.3 chaperones, the authors conclude that 'ARID1A impacts H3.3 accumulation on the sex chromosomes without affecting its expression or incorporation during pachynema.' It's not clear to this reviewer what the authors mean by this. Aside from the issue of not having tested DAXX or HIRA activity, are they suggesting that some other process besides altered incorporation leads to H3.3 accumulation, and if so, what process would that be?

      Response: The loss of ARID1A might result in an abnormal redistribution of DAXX or HIRA on the XY, potentially contributing to the defects in H3.3 accumulation and canonical H3.1/3.2 eviction on the XY. While speculative at this point, it is also possible that the persistence of elongating RNAPII in response to the loss of ARID1A might prevent the sex chromosome-wide coating of H3.3. Addressing the mechanism underlying ARID1A-governed H3.3 accumulation on the XY body remains a topic for future investigation.

      Comment 6: The authors find an interesting connection between certain regions that gained chromatin accessibility after ARID1A loss (clusters G1 and G3) and the presence of the PRDM9 sequence motif. The G1 and G3 clusters also show DMC1 occupancy and H3K4me3 enrichment. However, an additional cluster with gained accessibility (G4) also shows DMC1 occupancy and H3K4me3 enrichment but has modest H3.3 accumulation. The paper would benefit for additional discussion about the G4 cluster (which encompasses 960 peak calls). Is there any enrichment of PRDM9 sites in G4? If H3.3 exclusion governs meiotic DSBs, how does cluster G4 fit into the model?

      Response: We agree that, compared to G1+G3, cluster G4 shows an insignificant increase in H3.3 occupancy in the absence of ARID1A (Figure 6B). The plot profile associated with the heatmap confirms this result (Figure 6B). Therefore, cluster G4 is very distinct in its chromatin composition from G1+G3 upon the loss of ARID1A and, as such, is not inconsistent with our model of H3.3 antagonism with DSB sites. Additionally, we did not observe an enrichment of PRDM9 sites in G4. Since G4 does not display similar dynamics in H3.3 occupancy to G1+G3, DMC1 association might not be perturbed at G4 in response to the loss of ARID1A. Future studies will be required to determine the genomic associations of DMC1 and H3K4me3 in response to the loss of ARID1A.

      Comment 7: The impacts of ARID1A loss on DMC1 focus formation (reduced sex chromosome association) are very interesting and also raise additional questions. Are DMC1 foci on autosomes also affected during pachynema? The corresponding lack of apparent effect on RAD51 implies that breaks are still made and resected, enabling RAD51 filament formation. A more thorough quantitative assessment of RAD51 focus formation will be interesting in the long run, enabling determination of the number of break sites and the kinetics of repair, which the authors suggest is perturbed by ARID1A loss but doesn't directly test. It isn't clear how a nucleosomal factor (H3.3) would influence loading of recombinases onto ssDNA, especially if the alteration is not at the level of resection and ssDNA formation. Additional discussion of this point is warranted. Lastly, there currently are various notions for the interplay between RAD51 and DMC1 in filament formation and break repair, and brief discussion of this area and the implications of the new findings from the ARID1A CKO would strengthen the paper further.

      Response: The impact of H3.3 on the loading of recombinases might be an indirect consequence of ARID1A-governed sex-linked transcriptional repression. In a recent study, Alexander et al. (Nat. Commun, 2023, PMID: 36990976) showed that transcriptional activity and meiotic recombination are spatially compartmentalized during meiosis. Therefore, the persistence of elongating RNA polymerase II on a sex body depleted for H3.3 in the absence of ARID1A might contribute to the defect in DMC1 association. RAD51 and DMC1 are known to bind ssDNA at PRDM9/SPO11 designated DSB hotspots. However, these recombinases occupy unique domains. DMC1 localizes nearest the DSB breakpoint, promoting strand exchange, whereas RAD51 is further away (Hinch et al., PMID32610038). We show that loss of Arid1a decreases DMC1 foci on the XY chromosomes without affecting RAD51. These findings indicate that BAF-A plays a role in the loading and/or retention of DMC1 to the XY chromosomes. This information has been added to the discussion.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment

      This work presents valuable information about the specificity and promiscuity of toxic effector and immunity protein pairs. The evidence supporting the claims of the authors is currently incomplete, as there is concern about the methodology used to analyze protein interactions, which did not take potential differences in expression levels, protein folding, and/or transient interaction into account. Other methods to measure the strength of interactions and structural predictions would improve the study. The work will be of interest to microbiologists and biochemists working with toxin-antitoxin and effector-immunity proteins.

      We thank the reviewers for considering this manuscript. We agree that this manuscript provides a valuable and cross-discipline introduction to new EI pair protein families where we focus on the EI pair’s flexibility and impacts on community structure. As such, we believe we have provided a solid foundation for future studies to examine non-cognate interactions and their possible effects on microbial communities. This, by definition, leaves some areas “incomplete” and, therefore, open for further investigations. While the methods we show do consider potential differences in binding assays, we have more explicitly addressed how “expression, protein folding, and/or transient binding” may play into this expanded EI pair model. We have also tempered the discussion of the proposed model, while also clearly highlighting other published evidence of non-cognate binding interactions between effector and immunity proteins. We have responded to the reviewers’ public comments (italicized below). 

      In this revised manuscript, we have updated the main text, particularly the Discussion section, to include more careful language, explain past research better, and add new references to works showing non-cognate immunity proteins protecting against effectors in other systems. We have also updated the supplemental files with more analyses; the relevant procedures are in the Materials and Methods.

      Public Reviews:

      Note: Reviewer 1, who appeared to focus on a subset of the manuscript rather than the whole, based their comments on several inaccuracies, which we discuss below. We found the tone in this reviewer's comments to be, at times, inappropriate, e.g., using "harsh" and "simply too drastic" to imply that common structure-function analyses were outside of the field-standard methods. We also note that the reviewer took a somewhat atypical step in reviewing this manuscript by running and analyzing the potential protein-complex data in AlphaFold2 but did not discuss areas of low confidence within that model that may contradict their conclusions. We are concerned their approach muddled valid scientific criticisms with problematic conclusions.

      Reviewer #1 (Public Review):

      In this manuscript, Knecht, Sirias et al describe toxin-immunity pair from Proteus mirabilis. Their observations suggest that the immunity protein could protect against non-cognate effectors from the same family. They analyze these proteins by dissecting them into domains and constructing chimeras which leads them to the conclusion that the immunity can be promiscuous and that the binding of immunity is insufficient for protective activity.

      Strengths:<br />  The manuscript is well written and the data are very well presented and could be potentially interesting. The phylogenetic analysis is well done, and provides some general insights.

      Weaknesses:<br /> (1) Conclusions are mostly supported by harsh deletions and double hybrid assays. The later assays might show binding, but this method is not resolutive enough to report the binding strength. Proteins could still bind, but the binding might be weaker, transient, and out-competed by the target binding.

      The phrasing of structure-function analyses as “harsh” is a bit unusual, as other research groups regularly use deletions and hybrid studies. Given the known caveats to deletion and domain substitutions, we included point-mutation analyses for both the effector and immunity proteins, as found on lines 105 - 113 and 255 - 261 in the current manuscript. These caveats are also why we coupled the in vitro binding analyses with in vivo protection experiments in two distinct experimental systems (E. coli and P. mirabilis). Based on this manuscript’s introductory analysis (where we define and characterize the genes, proteins, interactions, phylogenetics, and incidences in human microbiomes), the next apparent questions are beyond the scope of this study. Future approaches would include analyzing purified proteins from the effector (E) and immunity (I) protein families using biochemical assays, such as X-ray crystallography, circular dichroism spectroscopy, among others. 

      Interestingly, most papers in the EI field do not measure EI protein affinity (Jana et al., 2019, Yadav et al., 2021). Notable exceptions are earlier colicin research (Wallis et al., 1995) and a new T6SS EI paper (Bosch et al., 2023) published as we first submitted this manuscript.

      (2) While the authors have modeled the structure of toxin and immunity, the toxin-immunity complex model is missing. Such a model allows alternative, more realistic interpretation of the presented data. Firstly, the immunity protein is predicted to bind contributing to the surface all over the sequence, except the last two alpha helices (very high confidence model, iPTM>0.8). The N terminus described by the authors contributes one of the toxin-binding surfaces, but this is not the sole binding site. Most importantly, other parts of the immunity protein are predicted to interact closer to the active site (D-E-K residues). Thus, based on the AlphaFold model, the predicted mechanism of immunization remains physically blocking the active site. However, removing the N terminal part, which contributes large interaction surface will directly impact the binding strength. Hence, the toxin-immunity co-folding model suggests that proper binding of immunity, contributed by different parts of the protein, is required to stabilize the toxin-immunity complex and to achieve complete neutralization. Alternative mechanisms of neutralization might not be necessary in this case and are difficult to imagine for a DNase.

      In response to the reviewer’s comment, we again reviewed the RdnE-RdnI AlphaFold2 complex predictions with the most updated version of ColabFold (1.5.2-patch with PDB100 and MMseq2) and have included them at the end of these responses [1].

      However, the literature reports that computational predictions of E-I complexes often do not match experimental structural results (Hespanhol et al., 2022, Bosch et al., 2023). As such, we chose not to include the predicted cognate and non-cognate RdnE-I complexes from ColabFold (which uses AlphaFold2) and have not included this data in the revised manuscript. (It is notable that reviewer 1 found the proposed expanded model and research so interesting as to directly input and examine the AI-predicted RdnE-RdnI protein interactions in AlphaFold2.)

      Discussion of the prevailing toxin-immunity complex model is in the introduction (lines 45-48) and Figure 5E. Further, there are various known mechanisms for neutralizing nucleases and other T6SS effectors, which we briefly state in the discussion (lines 359 - 361). More in-depth, these molecular mechanisms include active-site blocking (Benz et al., 2012), allosteric-site binding (Kleanthous et al., 1999 and Lu et al., 2014), enzymatic neutralization of the target (Ting et al., 2021), and structural disruption of both the active and binding sites (Bosch et al., 2023). Given this diversity of mechanisms, we did not presume to speculate on the as-of-yet unknown mechanism of RdnI protection. We have expanded discussion of these items in the revised manuscript.

      (3) Dissection of a toxin into two domains is also not justified from a structural point of view, it is probably based on initial sequence analyses. The N terminus (actually previously reported as Pone domain in ref 21) is actually not a separate domain, but an integral part of the protein that is encased from both sides by the C terminal part. These parts might indeed evolve faster since they are located further from the active site and the central core of the protein. I am happy to see that the chimeric toxins are active, but regarding the conservation and neutralization, I am not surprised, that the central core of the protein fold is highly conserved. However, "deletion 2" is quite irrelevant - it deletes the central core of the protein, which is simply too drastic to draw any conclusions from such a construct - it will not fold into anything similar to an original protein, if it will fold properly at all.

      The reviewer’s comment highlights why we turned to the chimera proteins to dissect the regions of RdnE (formerly IdrD-CT), as the deletions could result in misfolded proteins. (We initially examined RdnE in the years before the launch of AlphaFold2.) However, the reviewer is incorrect regarding the N-terminus of RdnE. The PoNe domain, while also a subfamily of the PD-(D/E)XK superfamily, forms a distinct clade of effectors from the PD-(D/E)XK domain in RdnE (formally IdrD-CT) as seen in Hespanhol et al., 2022; this is true for other DNase effectors as well. Many studies analyzing effectors within the PD-(D/E)XK superfamily only focus on the PD-(D/E)XK domain, removing just this domain from the context of the whole protein (Hespanhol et al., 2022; Jana et al., 2019). Of note, in RdnE, this region alone (containing the DNA-binding domain) is insufficient for DNase activity (unlike in PoNe). We have clarified this distinction in the results section of the current manuscript, visible in figure 2 .

      (4) Regarding the "promiscuity" there is always a limit to how similar proteins are, hence when cross-neutralization is claimed authors should always provide sequence similarities. This similarity could also be further compared in terms of the predicted interaction surface between toxin and immunity.

      Reviewer 1 points out a fundamental property of protein-protein interactions that has been isolated away from the impacts of such interactions on bacterial community structure. We have provided the whole protein alignments in figure 3 supplemental figure 3, the summary images in Figure 3D, and the protein phylogenetic trees in Figure 3C. We encourage others to consider the protein alignments as percent amino acid sequence similarity is not necessarily a good gauge for protein function and interactions. These data are publicly available on the OSF website associated with this manuscript https://osf.io/scb7z/, and we hope the community explores the data there.

      In consideration of the enthusiasm to deeply dive into the primary research data, we have included the pairwise sequence identities across the entire proteins here: Proteus RdnI vs. Rothia RdnI: 23.6%; Proteus RdnI vs. Prevotella RdnI: 16.3%, Proteus RdnI vs. Pseudomonas RdnI: 14.6%; Rothia RdnI vs. Prevotella RdnI: 22.4%, Rothia RdnI vs. Pseudomonas RdnI: 17.6%; Prevotella RdnI vs. Pseudomonas RdnI: 19.5%. (As stated in response to reviewer 1 comment 2, we did not find it appropriate to make inferences based on AlphaFold2-predicted protein complexes.)

      Overall, it looks more like a regular toxin-immunity couple, where some cross-reactions with homologues are possible, depending on how far the sequences have deviated. Nevertheless, taking all of the above into account, these results do not challenge toxin-immunity specificity dogma.

      In this manuscript, we did not intend to dismiss the E-I specificity model but rather point out its limitations and propose an important expansion of that model that accounts for cross-protection and survival against attacks from other genera. We agree that it is commonly considered that deviations in amino acid sequence over time could result in cross-binding and protection (see lines 364-368). However, the impacts of such cross-binding on community structure, bacterial survival, and strain evolution were rarely addressed in prior literature, with exceptions such as in Zhang et al., 2013 and Bosch et al., 2023 among others. One key insight we propose and show in this manuscript is that cross-binding can be a fitness benefit in mixed communities; therefore, it could be selected for evolutionarily (lines 378-380), even potentially in host microbiomes.

      Reviewer #2 (Public Review):

      Summary:

      The manuscript by Knecht et al entitled "Non-cognate immunity proteins provide broader defenses against interbacterial effectors in microbial communities" aims at characterizing a new type VI secretion system (T6SS) effector immunity pair using genetic and biochemical studies primarily focused on Proteus mirabilis and metagenomic analysis of human-derived data focused on Rothia and Prevotella sequences. The authors provide evidence that RdnE and RdnI of Proteus constitute an E-I pair and that the effector likely degrades nucleic acids. Further, they provide evidence that expression of non-cognate immunity derived from diverse species can provide protection against RdnE intoxication. Overall, this general line of investigation is underdeveloped in the T6SS field and conceptually appropriate for a broad audience journal. The paper is well-written and, aside from a few cases, well-cited. As detailed below however, there are several aspects of this paper where the evidence provided is somewhat insufficient to support the claims. Further, there are now at least two examples in the literature of non-cognate immunity providing protection against intoxication, one of which is not cited here (Bosch et al PMID 37345922 - the other being Ting et al 2018). In general therefore I think that the motivating concept here in this paper of overturning the predominant model of interbacterial effector-immunity cognate interactions is oversold and should be dialed back.

      We agree that analyses focusing on flexible non-cognate interactions and protection are underdeveloped within the T6SS field and are not fully explored within a community structure. These ideas are rapidly growing in the field, as evidenced by the references provided by the reviewer. As stated earlier, we did not intend to overturn the prevailing model but rather have proposed an expanded model that accounts for protection against attacks from foreign genera.

      Strengths:

      One of the major strengths of this paper is the combination of diverse techniques including competition assays, biochemistry, and metagenomics surveys. The metagenomic analysis in particular has great potential for understanding T6SS biology in natural communities. Finally, it is clear that much new biology remains to be discovered in the realm of T6SS effectors and immunity.

      Weaknesses:

      The authors have not formally shown that RdnE is delivered by the T6SS. Is it the case that there are not available genetics tools for gene deletion for the BB2000 strain? If there are genetic tools available, standard assays to demonstrate T6SS-dependency would be to interrogate function via inactivation of the T6SS (e.g. by deleting tssC).

      Our research group showed that the T6SS secretes RdnE (previously IdrD) in Wenren et al., 2013 (cited in lines 71-73). We later confirmed T6SS-dependent secretion by LC-MS/MS (Saak et al., 2017).  

      For swarm cross-phyla competition assays (Figure 4), at what level compared to cognate immunity are the non-cognate immunity proteins being expressed? This is unclear from the methods and Figure 4 legend and should be elaborated upon. Presumably these non-cognate immunity proteins are being overexpressed. Expression level and effector-to-immunity protein stoichiometry likely matters for interpretation of function, both in vitro as well as in relevant settings in nature. It is important to assess if native expression levels of non-cognate cross-phyla immunity (e.g. Rothia and Prevotella) protect similarly as the endogenously produced cognate immunity. This experiment could be performed in several ways, for example by deleting the RdnE-I pair and complementing back the Rothia or Prevotella RdnI at the same chromosomal locus, then performing the swarm assay. Alternatively, if there are inducible expression systems available for Proteus, examination of protection under varying levels of immunity induction could be an alternate way to address this question. Western blot analysis comparing cognate to non-cognate immunity protein levels expressed in Proteus could also be important. If the authors were interested in deriving physical binding constants between E and various cognate and non-cognate I (e.g. through isothermal titration calorimetry) that would be a strong set of data to support the claims made. The co-IP data presented in supplemental Figure 6 are nice but are from E. coli cells overexpressing each protein and do not fully address the question of in vivo (in Proteus) native expression.

      P. mirabilis strain ATCC29906 does not encode the rdnE and rdnI genes on the chromosome (NCBI BioSample: SAMN00001486) (line 151). Production of the RdnI proteins, including the cognate Proteus RdnI, comes from equivalent transgenic expression vectors. Specifically, the rdnI genes were expressed under the flaA promoter in P. mirabilis strain ATCC29906 (Table 1) for the swarm competition assays found in Figure 2C and Figure 4. This promoter results in constitutive expression in swarming cells (Belas et al., 1991; Jansen et al., 2003). In the revised manuscript, figure 4 Supplement Figure 2 shows the relative RdnI protein levels in these strains; we also clarified the expression constructs in the text (see reviewer 3, comment 1).

      Lines 321-324, the authors infer differences between E and I in terms of read recruitment (greater abundance of I) to indicate the presence of orphan immunity genes in metagenomic samples (Figure 5A-D). It seems equally or perhaps more likely that there is substantial sequence divergence in E compared to the reference sequence. In fact, metagenomes analyzed were required only to have "half of the bases on reference E-I sequence receiving coverage". Variation in coverage again could reflect divergent sequence dipping below 90% identity cutoff. I recommend performing metagenomic assemblies on these samples to assess and curate the E-I sequences present in each sample and then recalculating coverage based on the exact inferred sequences from each sample.

      This comment raises the challenges with metagenomic analyses. It was difficult to balance specificity to a particular species’ DNA sequence with the prevalence of any homologous sequence in the sample. Given the distinction in binding interactions among the examined four species, we opted to prioritize specificity, accepting that we were losing access to some rdnE and rdnI sequences in that decision. We chose a 90% identity cutoff, which, through several in silica controls, ensured that each sequence we identified was the rdnE or rdnI gene from that specific species. For the Version of Record, we have included analysis with a 70% cutoff in the supplemental information to try to account for sequence divergence by lowering the identity cutoffs as suggested. The data from the 70% identity cutoff was consistent with the original data from the 90% identity cutoff.

      A description of gene-level read recruitment in the methods section relating to metagenomic analysis is lacking and should be provided.

      Noted. We included the raw code and sequences on the OSF website associated with this manuscript https://osf.io/scb7z/.

      Reviewer #3 (Public Review):

      Summary:<br /> The authors discovered that the RdnE effector possesses DNase activity, and in competition, P. mirabilis having RdnE outcompetes the null strain. Additionally, they presented evidence that the RdnI immunity protein binds to RdnE, suppressing its toxicity. Interestingly, the authors demonstrated that the RdnI homolog from a different phylum (i.e., Actinomycetota) provides cross-species protection against RdnE injected from P. mirabilis, despite the limited identity between the immunity sequences. Finally, using metagenomic data from human-associated microbiomes, the authors provided bioinformatic evidence that the rdnE/rdnI gene pair is widespread and present in individual microbiomes. Overall, the discovery of broad protection by non-cognate immunity is intriguing, although not necessarily surprising in retrospect, considering the prolonged period during which Earth was a microbial battlefield/paradise.

      Strengths:<br /> The authors presented a strong rationale in the manuscript and characterized the molecular mechanism of the RdnE effector both in vitro and in the heterologous expression model. The utilization of the bacterial two-hybrid system, along with the competition assays, to study the protective action of RdnI immunity is informative. Furthermore, the authors conducted bioinformatic analyses throughout the manuscript, examining the primary sequence, predicted structural, and metagenomic levels, which significantly underscore the significance and importance of the EI pair. 

      Weaknesses:<br /> (1) The interaction between RdnI and RdnE appears to be complex and requires further investigation. The manuscript's data does not conclusively explain how RdnI provides a "promiscuous" immunity function, particularly concerning the RdnI mutant/chimera derivatives. The lack of protection observed in these cases might be attributed to other factors, such as a decrease in protein expression levels or misfolding of the proteins. Additionally, the transient nature of the binding interaction could be insufficient to offer effective defenses.

      Yes, we agree with the reviewer and hope that grant reviewers’ share this colleague’s enthusiasm for understanding the detailed molecular mechanisms of RdnE-RdnI binding across genera. In the revised manuscript, we have continued to emphasize such caveats as the next frontier is clearly understanding the molecular mechanisms for RdnI cognate or non-cognate protection. In the revised manuscript, figure 4 Supplement Figure 2 shows the RdnI protein levels; we also clarified the expression constructs in the text (see reviewer 2, comment 2).

      (2) The results from the mixed population competition lack quantitative analysis. The swarm competition assays only yield binary outcomes (Yes or No), limiting the ability to obtain more detailed insights from the data.

      The mixed swam assay is needed when studying T6SS effectors that are primarily secreted during Proteus’ swarming activity (Saak et al. 2017, Zepeda-Rivera et al. 2018). This limitation is one reason we utilize in vitro, in vivo, and bioinformatic analyses. Though the swarm competition assay yields a binary outcome, we are confident that the observed RdnI protection is due to interaction with a trans-cell RdnE via an active T6SS. By contrast, many manuscripts report co-expression of the EI pair (Yadev et al., 2021, Hespanhol et al., 2022) rather than secreted effectors, as we have achieved in this manuscript.

      (3) The discovery of cross-species protection is solely evident in the heterologous expression-competition model. It remains uncertain whether this is an isolated occurrence or a common characteristic of RdnI immunity proteins across various scenarios. Further investigations are necessary to determine the generality of this behavior.

      We agree, which is why we submitted this paper as a launching point for further investigations into the generality of non-cognate interactions and their potential impact on community structure.

      Comments from Reviewing Editor:<br />  - In addition to the references provided by reviewer#2, the first manuscript to show non-cognate binding of immunity proteins was Russell et al 2012 (PMID: 22607806).<br />  - IdrD was shown to form a subfamily of effectors in this manuscript by Hespanhol et al 2022 PMID: 36226828 that analyzed several T6SS effectors belonging to PDDExK, and it should be cited.

      We appreciate that the reviewer and eLife staff pointed out missed citations. We have incorporated these studies and cited them in the revised manuscript.

      [1] The Proteus RdnE in complex with either the Prevotella or Pseudomonas RdnI showed low confidence at the interface (pIDDT ~50-70%); this AI-predicted complex might support the lack of binding seen in the bacterial two-hybrid assay. On the other hand, the Proteus and Rothia RdnI N-terminal regions show higher confidence at the interface with RdnE. Despite this, the C-terminus of the Proteus RdnI shows especially low confidence (pIDDT ~50%) where it might interact near RdnE’s active site (as suggested by reviewer 1). Given this low confidence and the already stated inaccuracies of AI-generated complexes, we would rather wait for crystallization data to inform potential protection mechanisms of RdnI.

      Author response image 1.

    1. Author response:

      The following is the authors’ response to the original reviews.

      We thank the reviewers for their constructive comments and suggestions. We have prepared a revised manuscript with updated quantification of theta cycle skipping, new statistical comparisons of the difference between the two behavioral tasks, and general improvements to the text and figures.

      Reviewer #1 (Public Review):

      Summary

      The authors provide very compelling evidence that the lateral septum (LS) engages in theta cycle skipping.

      Strengths

      The data and analysis are highly compelling regarding the existence of cycle skipping.

      Weaknesses

      The manuscript falls short on in describing the behavioral or physiological importance of the witnessed theta cycle skipping, and there is a lack of attention to detail with some of the findings and figures:

      More/any description is needed in the article text to explain the switching task and the behavioral paradigm generally. This should be moved from only being in methods as it is essential for understanding the study.

      Following this suggestion, we have expanded the description of the behavioral tasks in the Results section.

      An explanation is needed as to how a cell can be theta skipping if it is not theta rhythmic.

      A cell that is purely theta skipping (i.e., always fires on alternating theta cycles and never on adjacent theta cycles) will only have enhanced power at half theta frequency and not at theta frequency. Such a cell will therefore not be considered theta rhythmic in our analysis. Note, however, that there is a large overlap between theta rhythmic and theta skipping cell populations in our data (Figure 3 - figure supplement 2), indicating that most cells are not purely theta skipping.

      The most interesting result, in my opinion, is the last paragraph of the entire results section, where there is more switching in the alternation task, but the reader is kind of left hanging as to how this relates to other findings. How does this relate to differences in decoding of relative arms (the correct or incorrect arm) during those theta cycles or to the animal's actual choice? Similarly, how does it relate to the animal's actual choice? Is this phenomenon actually behaviorally or physiologically meaningful at all? Does it contribute at all to any sort of planning or decision-making?

      We agree that the difference between the two behavioral tasks is very interesting. It may provide clues about the mechanisms that control the cycle-by-cycle expression of possible future paths and the potential impact of goal-directed planning and (recent) experience. In the revised manuscript, we have expanded the analysis of the differences in theta-cycle dynamics between the two behavioral tasks. First, we confirm the difference through a new quantification and statistical comparison. Second, we performed additional analyses to explore the idea that the alternation of non-local representations reflects the number of relevant paths available to the animal (Figure 11 – figure supplements 2 and 3), but this did not appear to be the case. However, these results provide a starting point for future studies to clarify the task dependence of the theta- cycle dynamics of spatial representations and to address the important question of behavioral/physiological relevance.

      The authors state that there is more cycle skipping in the alternation task than in the switching task, and that this switching occurs in the lead-up to the choice point. Then they say there is a higher peak at ~125 in the alternation task, which is consistent. However, in the final sentence, the authors note that "This result indicates that the representations of the goal arms alternate more strongly ahead of the choice point when animals performed a task in which either goal arm potentially leads to reward." Doesn't either arm potentially lead to a reward (but different amounts) in the switching task, not the alternation task? Yet switching is stronger in the alternation task, which is not constant and contradicts this last sentence.

      The reviewer is correct that both choices lead to (different amounts of) reward in the switching task. As written, the sentence that the reviewer refers to is indeed not accurate and we have rephrased it to: “This result indicates that the representations of the goal arms alternate more strongly ahead of the choice point when animals performed a task in which either goal arm potentially leads to a desirable high-value reward.”.

      Additionally, regarding the same sentence - "representations of the goal arms alternate more strongly ahead of the choice point when the animals performed a task in which either goal arm potentially leads to reward." - is this actually what is going on? Is there any reason at all to think this has anything to do with reward versus just a navigational choice?

      We appreciate the reviewer’s feedback and acknowledge that our statement needs clarification. At the choice point in the Y-maze there are two physical future paths available to the animal (disregarding the path that the animal took to reach the choice point) – we assume this is what the reviewer refers to as “a navigational choice”. One hypothesis could be that alternation of goal arm representations is present whenever there are multiple future paths available, irrespective of the animal’s (learned) preference to visit one or the other goal arm. However, the reduced alternation of goal arm representations in the switching task that we report, suggests that the animal’s recent history of goal arm visits and reward expectations likely do influence the theta-cycle representations ahead of the choice point. We have expanded our analysis to test if theta cycle dynamics differ for trials before and after a switch in reward contingency in the switching task, but there was no statistical difference in our data. We have rewritten and expanded this part of the results to make our point more clearly.

      Similarly, the authors mention several times that the LS links the HPC to 'reward' regions in the brain, and it has been found that the LS represents rewarded locations comparatively more than the hippocampus. How does this relate to their finding?

      Indeed, Wirtshafter and Wilson (2020) reported that lateral septum cells are more likely to have a place field close to a reward site than elsewhere in their double-sided T-maze. It is possible that this indicates a shift towards reward or value representations in the lateral septum. In our study we did not look at reward-biased cells and whether they are more or less likely to engage in theta cycle skipping. This could be a topic for future analyses. It should be noted that the study by Wirtshafter and Wilson (2020) reports that a reward bias was predominantly present for place fields in the direction of travel away from the reward site. These reward-proximate LS cells may thus contribute to theta-cycle skipping in the inbound direction, but it is not clear if these cells would be active during theta sweeps when approaching the choice point in the outbound direction.

      Reviewer #2 (Public Review)

      Summary

      Recent evidence indicates that cells of the navigation system representing different directions and whole spatial routes fire in a rhythmic alternation during 5-10 Hz (theta) network oscillation (Brandon et al., 2013, Kay et al., 2020). This phenomenon of theta cycle skipping was also reported in broader circuitry connecting the navigation system with the cognitive control regions (Jankowski et al., 2014, Tang et al., 2021). Yet nothing was known about the translation of these temporally separate representations to midbrain regions involved in reward processing as well as the hypothalamic regions, which integrate metabolic, visceral, and sensory signals with the descending signals from the forebrain to ensure adaptive control of innate behaviors (Carus-Cadavieco et al., 2017). The present work aimed to investigate theta cycle skipping and alternating representations of trajectories in the lateral septum, neurons of which receive inputs from a large number of CA1 and nearly all CA3 pyramidal cells (Risold and Swanson, 1995). While spatial firing has been reported in the lateral septum before (Leutgeb and Mizumori, 2002, Wirtshafter and Wilson, 2019), its dynamic aspects have remained elusive. The present study replicates the previous findings of theta-rhythmic neuronal activity in the lateral septum and reports a temporal alternation of spatial representations in this region, thus filling an important knowledge gap and significantly extending the understanding of the processing of spatial information in the brain. The lateral septum thus propagates the representations of alternative spatial behaviors to its efferent regions. The results can instruct further research of neural mechanisms supporting learning during goal-oriented navigation and decision-making in the behaviourally crucial circuits entailing the lateral septum.

      Strengths

      To this end, cutting-edge approaches for high-density monitoring of neuronal activity in freely behaving rodents and neural decoding were applied. Strengths of this work include comparisons of different anatomically and probably functionally distinct compartments of the lateral septum, innervated by different hippocampal domains and projecting to different parts of the hypothalamus; large neuronal datasets including many sessions with simultaneously recorded neurons; consequently, the rhythmic aspects of the spatial code could be directly revealed from the analysis of multiple spike trains, which were also used for decoding of spatial trajectories; and comparisons of the spatial coding between the two differently reinforced tasks.

      Weaknesses

      Possible in principle, with the present data across sessions, longitudinal analysis of the spatial coding during learning the task was not performed. Without using perturbation techniques, the present approach could not identify the aspects of the spatial code actually influencing the generation of behaviors by downstream regions.

      Reviewer #3 (Public Review)

      Summary

      Bzymek and Kloosterman carried out a complex experiment to determine the temporal spike dynamics of cells in the dorsal and intermediate lateral septum during the performance of a Y-maze spatial task. In this descriptive study, the authors aim to determine if inputting spatial and temporal dynamics of hippocampal cells carry over to the lateral septum, thereby presenting the possibility that this information could then be conveyed to other interconnected subcortical circuits. The authors are successful in these aims, demonstrating that the phenomenon of theta cycle skipping is present in cells of the lateral septum. This finding is a significant contribution to the field as it indicates the phenomenon is present in neocortex, hippocampus, and the subcortical hub of the lateral septal circuit. In effect, this discovery closes the circuit loop on theta cycle skipping between the interconnected regions of the entorhinal cortex, hippocampus, and lateral septum. Moreover, the authors make 2 additional findings: 1) There are differences in the degree of theta modulation and theta cycle skipping as a function of depth, between the dorsal and intermediate lateral septum; and 2) The significant proportion of lateral septum cells that exhibit theta cycle skipping, predominantly do so during 'non-local' spatial processing.

      Strengths

      The major strength of the study lies in its design, with 2 behavioral tasks within the Y-maze and a battery of established analyses drawn from prior studies that have established spatial and temporal firing patterns of entorhinal and hippocampal cells during these tasks. Primary among these analyses, is the ability to decode the animal's position relative to locations of increased spatial cognitive demand, such as the choice point before the goal arms. The presence of theta cycle skipping cells in the lateral septum is robust and has significant implications for the ability to dissect the generation and transfer of spatial routes to goals within and between the neocortex and subcortical neural circuits.

      Weaknesses

      There are no major discernable weaknesses in the study, yet the scope and mechanism of the theta cycle phenomenon remain to be placed in the context of other phenomena indicative of spatial processing independent of the animal's current position. An example of this would be the ensemble-level 'scan ahead' activity of hippocampal place cells (Gupta et al., 2012; Johnson & Redish, 2007). Given the extensive analytical demands of the study, it is understandable that the authors chose to limit the analyses to the spatial and burst firing dynamics of the septal cells rather than the phasic firing of septal action potentials relative to local theta oscillations or CA1 theta oscillations. Yet, one would ideally be able to link, rather than parse the phenomena of temporal dynamics. For example, Tingley et al recently showed that there was significant phase coding of action potentials in lateral septum cells relative to spatial location (Tingley & Buzsaki, 2018). This begs the question as to whether the non-uniform distribution of septal cell activity within the Y-maze may have a phasic firing component, as well as a theta cycle skipping component. If so, these phenomena could represent another means of information transfer within the spatial circuit during cognitive demands. Alternatively, these phenomena could be part of the same process, ultimately representing the coherent input of information from one region to another. Future experiments will therefore have to sort out whether theta cycle skipping, is a feature of either rate or phase coding, or perhaps both, depending on circuit and cognitive demands.

      The authors have achieved their aims of describing the temporal dynamics of the lateral septum, at both the dorsal extreme and the intermediate region. All conclusions are warranted.

      Reviewer #1 (Recommendations For The Authors)

      The text states: "We found that 39.7% of cells in the LSD and 32.4% of cells in LSI had significantly higher CSI values than expected by chance on at least one of the trajectories." The text in the supplemental figure indicates a p-value of 0.05 was used to determine significance. However, four trajectory categories are being examined so a Bonferroni correction should be used (significance at p<0.0125).

      Indeed, a p-value correction for multiple tests should be performed when determining theta cycle skipping behavior for each of the four trajectories. We thank the reviewer for pointing out this oversight. We have implemented a Holm-Sidak p-value correction for the number of tested trajectories per cell (excluding trajectories with insufficient spikes). As a consequence, the number of cells with significant cycle-skipping activity decreased, but overall the results have not changed.

      Figure 4 is very confusing as raster plots are displayed for multiple animals but it is unclear which animal the LFP refers to? The bottom of the plot is also referenced twice in the figure caption.

      We apologize for the confusion. We have removed this figure in the revised manuscript, as it was not necessary to make the point about the spatial distribution of theta cycle skipping. Instead, we show examples of spatially-resolved cycle skipping in Figure 4 (formerly Figure 5 - supplementary figures 1 and 2) and we have added a plot with the spatially-resolved cycle skipping index for all analyzed cells in Figure 5A.

      Figure 6 has, I think, an incorrect caption or figure. Only A and B are marked in the figure but A-G are mentioned in the caption but do not appear to correspond to anything in the figure.

      Indeed, the caption was outdated. This has now been corrected.

      Figure 8 is also confusing for several reasons: how is the probability scale on the right related to multiple semi-separate (top and middle) figures? In the top and bottom figures, it is not clear what the right and left sides refer to. It is also unclear why a probability of 0.25 is used for position (seems potentially low). The caption also mentions Figure A but there are no lettered "sub" figures in Figure 8.

      The color bar on the right applies to both the top plot (directional decoding) and the middle plot (positional decoding). However, the maximum probability that is represented by black differs between the top and middle plots. We acknowledge that a shared color bar may lead to confusion and we have given each of the plots a separate color bar.

      As for the maximum probability of 0.25 for position: this was a typo in the legend. The correct maximum value is 0.5. In general, the posterior probability will be distributed over multiple (often neighboring) spatial bins, and the distribution of maximum probabilities will depend on the number of spatial bins, the level of spatial smoothing in the decoding algorithm, and the amount of decodable information in the data. It would be more appropriate to consider the integrated probability over a small section of the maze, rather than the peak probability that is assigned to a single 5 cm bin. Also, note that a posterior probability of 0.5 is many times higher than the probability associated with a uniform distribution, which is in our case.

      The left and right sides of the plots represent two different journeys that the animal ran. On the left an outbound journey is shown, and on the right an inbound journey. We have improved the figure and the description in the legend to make this clearer.

      The reviewer is correct that there are no panels in Figure 8 and we have corrected the legend.

      Some minor concerns

      The introduction states that "a few studies have reported place cell-like activity in the lateral septum (Tingley and Buzsaki, 2018; Wirtshafter and Wilson, 2020, 2019)." However, notably and controversially, the Tingley study is one of the few studies to find NO place cell activity in the lateral septum. This is sort of mentioned later but the citation in this location should be removed.

      The reviewer is correct, Tingley and Buzsaki reported a spatial phase code but no spatial rate code. We have removed the citation.

      Stronger position/direction coding in the dLS consistent with prior studies and they should be cited in text (not a novel finding).

      Thank you for pointing out this omission. Indeed, a stronger spatial coding in the dorsal lateral septum has been reported before, for example by Van der Veldt et al. (2021). We now cite this paper when discussing these findings.

      Why is the alternation task administered for 30m but the switching task for 45m?

      The reason is that rats received a larger reward in the switching task (in the high-reward goal arm) and took longer to complete trials on average. To obtain a more-or-less similar number of trials per session in both tasks, we extended the duration of switching task sessions to 45 minutes. We have added this explanation to the text.

      Regarding the percentage of spatially modulated cells in the discussion, it is also worth pointing out that bits/sec information is consistent with previous studies.

      Thank you for the suggestion. We now point out that the spatial information in our data is consistent with previous studies.

      Reviewer #2 (Recommendations For The Authors)

      While the results of the study are robust and timely, further details of behavioural training, additional quantitative comparisons, and improvements in the data presentation would make the study more comprehensible and complete.

      Major comments

      (1) I could not fully comprehend the behavioural protocols. They require a clearer explanation of both the specific rationale of the two tasks as well as a more detailed presentation of the protocols. Specifically:

      (1.1) In the alternation task, were the arms baited in a random succession? How many trials were applied per session? Fig 1D: how could animals reach high choice accuracy if the baiting was random?

      We used a continuous version of the alternation task, in which the animals were rewarded for left→home→right and right→home→left visit sequences. In addition, animals were always rewarded on inbound journeys. There was no random baiting of goal arms. Perhaps the confusion stems from our use of the word “trial” to refer to a completed lap (i.e., a pair of outbound/inbound journeys). On average, animals performed 54 of such trials per 30-minute session in the alternation task. We have expanded the description of the behavioral tasks in the Results and further clarified these points in the Methods section.

      (1.2) Were they rewarded for correct inbound trials? If there was no reward, why were they considered correct?

      Yes, rats received a reward at the home platform for correct inbound trials. We have now explicitly stated this in the text.

      (1.3) In the switch alternation protocol, for how many trials was one arm kept more rewarding than the other, and how many trials followed after the rewarding value switch?

      A switch was triggered when rats (of their own volition) visited the high-reward goal arm eight times in a row. Following a switch, the animals could complete as many trials as necessary until they visited the new high- reward goal arm in eight consecutive trials, which triggered another switch. As can be seen in Figure 1D, at the population level, animals needed ~13 trials to fully commit to the high-reward goal arm following a switch. We have further clarified the switching task protocol in the Results and Methods sections.

      (1.4) What does the phrase "the opposite arm (as 8 consecutive visits)" exactly mean? Sounds like 8 consecutive visits signalled that the arm was rewarded (as if were not predefined in the protocol).

      The task is self-paced and the animals initially visit both goal arms, before developing a bias for the high- reward goal arm. A switch of reward size was triggered as soon as the animal visited the high-reward goal arm for eight consecutive trials. We have rewritten the description of the switching task protocol, including this sentence, which hopefully clarifies the procedure.

      (1.5) P. 15, 1st paragraph, Theta cycle skipping and alternation of spatial representations is more prominent in the alternation task. Why in the switching task, did rats visit the left and right arms approximately equally often if one was more rewarding than the other? How many switches were applied per recording session, and how many trials were there in total?

      Both the left and right goal arms were sampled more or less equally by the animals because both goal arms at various times were associated with a large reward following switches in reward values during sessions. The number of switches per session varied from 1 to 3. Sampling of both goal arms was also evident at the beginning of each session and following each reward value switch, before animals switched their behavior to the (new) highly rewarded goal arm. In Table 1, we have now listed the number of trials and the number of reward-value switches for all sessions.

      (1.6) Is the goal arm in figures the rewarded/highly rewarded arm only or are non-baited arms also considered here?

      Both left and right arms are considered goal arms and were included in the analyses, irrespective of the reward that was received (or not received).

      (2) The spatial navigation-centred behavioural study design and the interpretation of results highlight the importance of the dorsal hippocampal input to the LS. Yet, the recorded LSI cells are innervated by intermediate and ventral aspects of the hippocampus, and LS receives inputs from the amygdala and the prefrontal cortex, which together may together bring about - crucial for the adaptive behaviours regulated by the LS - reward, and reward-prediction-related aspects in the firing of LS cells during spatial navigation. Does success or failure to acquire reward in a trial modify spatial coding and cycle skipping of LSD vs. LSI cells in ensuing inbound and outbound trials?

      This is an excellent question and given the length of the current manuscript, we think that exploration of this question is best left for a future extension of our study.

      A related question: in Figure 10, it is interesting that cycle skipping is prominent in the goal arm for outbound switching trials and inbound trials of both tasks. Could it be analytically explained by task contingencies and behaviour (e.g. correct/incorrect trial, learning dynamics, running speed, or acceleration)?

      Our observation of cycle skipping at the single-cell level in the goal arms is somewhat surprising and, we agree with the reviewer, potentially interesting. However, it was not accompanied by alternation of representations at the population level. Given the current focus and length of the manuscript, we think further investigation of cycle skipping in the goal arm is better left for future analyses.

      (3) Regarding possible cellular and circuit mechanisms of cycle skipping and their relation to the alternating representations in the LS. Recent history of spiking influences the discharge probability; e.g. complex spike bursts in the hippocampus are associated with a post-burst delay of spiking. In LS, cycle skipping was characteristic for LS cells with high firing rates and was not uniformly present in all trajectories and arms. The authors propose that cycle skipping can be more pronounced in epochs of reduced firing, yet the opposite seems also possible - this phenomenon can be due to an intermittently increased drive onto some LS cells. Was there a systematic relationship between cycle skipping in a given cell and the concurrent firing rate or a recent discharge with short interspike intervals?

      In our discussion, we tried to explain the presence of theta cycle skipping in the goal arms at the single-cell level without corresponding alternation dynamics at the population level. We mentioned the possibility of a decrease in excitatory drive. As the reviewer suggests, an increase in excitatory drive combined with post- burst suppression or delay of spiking is an alternative explanation. We analyzed the spatial tuning of cells with theta cycle skipping and found that, on average, these cells have a higher firing rate in the goal arm than the stem of the maze in both outbound and inbound run directions (Figure 5 – figure supplement 1). In contrast, cells that do not display theta cycle skipping do not show increased firing in the goal arm. These results are more consistent with the reviewer’s suggested mechanism and we have updated the discussion accordingly.

      (4) Were the differences between the theta modulation (cycle skipping) of local vs. non-local representations (P.14, line 10-12, "In contrast...", Figure 9A) and between alternation vs. switching tasks (Figure 10 C,D) significantly different?

      We have added quantification and statistical comparisons for the auto- and cross-correlations of the local/non-local representations. The results indeed show significantly stronger theta cycle skipping of the non-local representations as compared to the local representations (Figure 10 - figure supplement 1A), a stronger alternation of non-local representations in the outbound direction (Figure 10 - figure supplement 1B), and significant differences between the two tasks (Figure 11E,F).

      (5) Regarding the possibility of prospective coding in LS, is the accurate coding of run direction not consistent with prospective coding? Can the direction be decoded from the neural activity in the start arm? Are the cycling representations of the upcoming arms near the choice point equally likely or preferential for the then- selected arm?

      The coding of run direction (outbound or inbound) is distinct from the prospective/retrospective coding of the goal arm. As implemented, the directional decoding model does not differentiate between the two goal arms and accurate decoding of direction with this model can not inform us whether or not there is prospective (or retrospective) coding. To address the reviewer’s comments, we performed two additional analyses. First, we analyzed the directional (outbound/inbound) decoding performance as a function of location in the maze (Figure 6 - figure supplement 3E). The results show that directional decoding performance is high in both stem and goal arms. Second, we analyzed how well we can predict the trajectory type (i.e., to/from the left or right goal arm) as a function of location in the maze, and separately for outbound and inbound trajectories (Figure 6 - figure supplement 3C,D). The results show that on outbound journeys, decoding the future goal arm is close to chance when the animals are running along the stem. The decoding performance goes up around the choice point and reaches the highest level when animals are in the goal arm.

      (6) Figure 10 seems to show the same or similar data as Figures 5 (A,B) and 9 (C,D).

      Figure 10 (figure 11 in revised manuscript) re-analyzes the same data as presented in Figures 5 and 9, but separates the experimental sessions according to the behavioral task. We now explicitly state this.

      Minor comments

      (1) If cycle skipping in the periodicity of non-local representations was more prominent in alternation than in the switching task, one might expect them to be also prominent in early trials of the switching task, when the preference of a more rewarding arm is not yet established. Was this the case?

      The reviewer makes an interesting suggestion. Indeed, if theta cycle skipping and the alternation of non-local representations reflect that there are multiple paths that the animal is considering, one may predict that the theta skipping dynamics are similar between the two tasks in early trials (as the reviewer suggests). Similarly, one may predict that in the switching task, the alternation of non-local representations is weaker immediately before a reward contingency switch (when the animal has developed a bias towards the goal arm with a large reward) as compared to after the switch.

      We have now quantified the theta cycle dynamics of spatial representations in the early trials in each session of both tasks (Figure 11 - figure supplement 2) and in the trials before and after each switch in the switching task (Figure 11 - figure supplement 3).

      The results of the early trial analysis indicate stronger alternation of non-local representations in the alternation task than in the switching task (consistent with the whole session analysis), which is contrary to the prediction.

      The pre-/post-switch analysis did not reveal a significant difference between the trials before and after a reward contingency switch. If anything, there was a trend towards stronger theta cycle skipping/alternation in the trials before a switch, which would be opposite to the prediction.

      These results do not appear to support the idea that the alternation of non-local representations reflects the number of relevant paths available to the animal. We have updated the text to incorporate these new data and discuss the implications.

      (2) Summary: sounds like the encoding of spatial information and its readout in the efferent regions are equally well established.

      Thank you for pointing this out.

      (3) Summary: "motivation and reward processing centers such as the ventral tegmental area." How about also mentioning here the hypothalamus, which is a more prominent output of the lateral septum than the VTA?

      We have now also mentioned the hypothalamus.

      (4) "lateral septum may contribute to the hippocampal theta" - readers not familiar with details of the medial vs. lateral septum research may misinterpret the modest role of LS in theta compared to MS.

      We have added “in addition to the strong theta drive originating from the medial septum” to make clear that the lateral septum has a modest role in hippocampal theta generation.

      (5) "(Tingley and Buzsáki, 2018) found a lack of spatial rate coding in the lateral septum and instead reported a place coding by specific phases of the hippocampal theta rhythm (Rizzi-Wise and Wang, 2021) " needs rephrasing.

      Thank you, we have rephrased the sentence.

      (6) Figure 4 is a bit hard to generalize. The authors may additionally consider a sorted raster presentation of the dataset in this main figure.

      We have removed this figure in the revised manuscript, as it was not necessary to make the point about the location of theta cycle skipping. Instead, we show examples of spatially-resolved cycle skipping in Figure 4 (formerly Figure 5 - supplementary figures 1 and 2), and, following the reviewer’s suggestion, we have added a plot with the spatially-resolved cycle skipping index for all analyzed cells (Figure 5A).

      (7) It would help if legends of Figure 5 (and related supplementary figures) state in which of the two tasks the data was acquired, as it is done for Figure 10.

      Thank you for the suggestion. The legends of Figure 4A,B (formerly Figure 5 – supplemental figures 1 and 2) and Figure 5 now include in which behavioral task the data was acquired.

      (8) Page 10, "Spatial coding...", 1st Citing the initial report by Leugeb and Mizumori would be appropriate here too.

      The reviewer is correct. We have added the citation.

      (9) The legend in Figure 6 (panels A-G) does not match the figure (only panels A,B). What is shown in Fig. 6B, the legend does not seem to fully match.

      Indeed, the legend was outdated. This has now been corrected.

      (10) 7 suppl., if extended to enable comparisons, could be a main figure. Presently, Figure 7C does not account for the confounding effect of population size and is therefore difficult to interpret without complex comparisons with the Supplementary Figure which is revealing per se.

      We thank the reviewer for their suggestion. We have changed Figure 7 such that it only shows the analysis of decoding performed with all LSD and LSI cells. Figure 7 – supplemental figure 1 has been transformed into main Figure 8, with the addition of a panel to show a statistical comparison between decoding performance in LSD and LSI with a fixed number of cells.

      (11) 14, line 10 there is no Figure 8A

      This has been corrected.

      (12) 15 paragraph 1, is the discussed here model the one from Kay et al?

      From Kay et al. (2020) and also Wang et al. (2020). We have added the citations.

      (13) Figure 5 - Figure Supplement 1 presents a nice analysis that, in my view, can merit a main figure. I could not find the description of the colour code in CSI panels, does grey/red refer to non/significant points?

      Indeed, grey/red refers to non-significant points and significant points respectively. We have clarified the color code in the figure legend. Following the reviewer’s suggestion, we have made Figure 5 Supplement 1 and 2 a main figure (Figure 4).

      (14) Figure 5 -Figure Supplement 2. Half of the cells (255 and 549) seems not to be representative of the typically high SCI in the goal arm in left and right inbound trials combined (Figure 5 A). Were the changes in CSI in the right and left inbound trials similar enough to be combined in Fig 5A? Otherwise, considering left and right inbound runs separately and trying to explain where the differences come from would seem to make sense.

      Figure 5 – figure supplement 2 is now part of the new main Figure 4. Originally, the examples were from a single session and the same cells as shown in the old Figure 4. However, since the old Figure 4 has been removed, we have selected examples from different sessions and both left/right trajectories that are more representative of the overall distribution. We have further added a plot with the spatially-resolved cycle skipping for all analyzed cells in Figure 5A.

      (15) In the second paragraph of the Discussion, dorso-ventral topography of hippocampal projections to the LS (Risold and Swanson, Science, 90s) could be more explicitly stated here.

      Thank you for the suggestion. We have now explicitly mentioned the dorsal-ventral topography of hippocampal-lateral septum projections and cite Risold & Swanson (1997).

      (16) Discussion point: why do the differences in spatial information of cells in the ventral/intermediate vs. dorsal hippocampus not translate into similarly prominent differences in LSI vs. LSD?

      In our data, we do observe clear differences in spatial coding between LSD and LSI. Specifically, cell activity in the LSD is more directional, has higher goal arm selectivity, and higher spatial information (we have now added statistical comparisons to Figure 6 – figure supplement 1). As a result, spatial decoding performance is much better for LSD cell populations than LSI cell populations (see updated Figure 8, with statistical comparison of decoding performance). Spatial coding in the LS is not as strong as in the hippocampus, likely because of the convergence of hippocampal inputs, which may give the impression of a less prominent difference between the two subregions.

      (17) Discussion, last paragraph: citation of the few original anatomical and neurophysiological studies would be fitting here, in addition to the recent review article.

      Thank you for the suggestion. We have added selected citations of the original literature.

      (18) Methods, what was the reference electrode?

      We used an external reference electrode that was soldered to a skull screw, which was positioned above the cerebellum. We have added this to the Methods section.

      (19) Methods, Theta cycle skipping: bandwidth = gaussian kerner parameter?

      The bandwidth is indeed a parameter of the Gaussian smoothing kernel and is equal to the standard deviation.

      Reviewer #3 (Recommendations For The Authors)

      Below I offer a short list of minor comments and suggestions that may benefit the manuscript.

      (A) I was not able to access the Open Science Framework Repository. Can this be rectified?

      Thank you for checking the OSF repository. The data and analysis code are now publicly available.

      (B) In the discussion the authors should attempt to flesh out whether they can place theta cycle skipping into context with left/right sweeps or scan ahead phenomena, as shown in the Redish lab.

      Thank you for the excellent suggestion. We have now added a discussion of the possible link between theta cycle skipping and the previously reported scan-ahead theta sweeps.

      (C) What is the mechanism of cycle skipping? This could be relevant to intrinsic vs network oscillator models. Reference should also be made to the Deshmukh model of interference between theta and delta (Deshmukh, Yoganarasimha, Voicu, & Knierim, 2010).

      We had discussed a potential mechanism in the discussion (2nd to last paragraph in the revised manuscript), which now includes a citation of a recent computational study (Chu et al., 2023). We have now also added a reference to the interference model in Deshmukh et al, 2010.

      (D) Little background was given for the motivation and expectation for potential differences between the comparison of the dorsal and intermediate lateral septum. I don't believe that this is the same as the dorsal/ventral axis of the hippocampus, but if there's a physiological justification, the authors need to make it.

      We have added a paragraph to the introduction to explain the anatomical and physiological differences across the lateral septum subregions that provide our rationale for comparing dorsal and intermediate lateral septum (we excluded the ventral lateral septum because the number of cells recorded in this region was too low).

      (E) It would help to label "outbound" and "inbound" on several of the figures. All axes need to be labeled, with appropriate units indicated.

      We have carefully checked the figures and added inbound/outbound labels and axes labels where appropriate.

      (F) In Figure 6, the legend doesn't match the figure.

      Indeed, the legend was outdated. This has now been corrected.

      (G) The firing rate was non-uniform across the Y-maze. Does this mean that the cells tended to fire more in specific positions of the maze? If so, how would this affect the result? Would increased theta cycle skipping at the choice point translate to a lower firing rate at the choice point? Perhaps less overdispersion of the firing rate (Fenton et al., 2010)?

      Individual cells indeed show a non-uniform firing rate across the maze. To address the reviewer’s comment and test if theta cycle skipping cells were active preferentially near the choice point or other locations, we computed the mean-corrected spatial tuning curves for cell-trajectory pairs with and without significant theta cycle skipping. This additional analysis indicates that, on average, the population of theta cycle skipping cells showed a higher firing rate in the goal arms than in the stem of the maze as compared to non-skipping cells for outbound and inbound directions (shown in Figure 5 - figure supplement 1).

      (H) As mentioned above, it could be helpful to look at phase preference. Was there an increased phase preference at the choice point? Would half-cycle firing correlate with an increased or decreased phase preference? Based on prior work, one would expect increased phase preference, at least in CA1, at the choice point (Schomburg et al., 2014). In contrast, other work might predict phasic preference according to spatial location (Tingley & Buzsaki, 2018). Including phase analyses is a suggestion, of course. The manuscript is already sufficiently novel and informative. Yet, the authors should state why phase was not analyzed and that these questions remain for follow-up analyses. If the authors did analyze this and found negative results, it should be included in this manuscript.

      We thank the reviewer for their suggestion. We have not yet analyzed the theta phase preference of lateral septum cells or other relations to the theta phase. We agree that this would be a valuable extension of our work, but prefer to leave it for future analyses.

      (I) One of the most important aspects of the manuscript, is that there is now evidence of theta cycle skipping in the circuit loop between the EC, CA1, and LS. This now creates a foundation for circuit-based studies that could dissect the origin of route planning. Perhaps the authors should state this? In the same line of thinking, how would one determine whether theta cycle skipping is necessary for route planning as opposed to a byproduct of route planning? While this question is extremely complex, other studies have shown that spatial navigation and memory are still possible during the optogenetic manipulation of septal oscillations (Mouchati, Kloc, Holmes, White, & Barry, 2020; Quirk et al., 2021). However, pharmacological perturbation or lesioning of septal activity can have a more profound effect on spatial navigation (Bolding, Ferbinteanu, Fox, & Muller, 2019; Winson, 1978). As a descriptive study, I think it would be helpful to remind the readers of these basic concepts.

      We thank the reviewer for their comment and for pointing out possible future directions for linking theta cycle skipping to route planning. Experimental manipulations to directly test this link would be very challenging, but worthwhile to pursue. We now mention how circuit-based studies may help to test if theta cycle skipping in the broader subcortical-cortical network is necessary for route planning. Given that the discussion is already quite long, we decided to omit a more detailed discussion of the possible role of the medial septum (which is the focus of the papers cited by the reviewer).

      Very minor points

      (A) In the introduction, "one study" begins the sentence but there is a second reference.

      Thank you, we have rephrased the sentence.

      (B) Also in the introduction, it could be helpful to have an operational definition of theta cycle skipping (i.e., 'enhanced rhythmicity at half theta frequency').

      We followed the reviewer’s suggestion.

      (C) The others should be more explicit in the introduction about their main question. Theta cycle skipping exists in CA1, and then import some of the explanations mentioned in the discussion to the introduction (i.e., attractors states of multiple routes). The main question is then whether this phenomenon, and others from CA1, translate to the output in LS.

      We have edited the introduction to more clearly state the main question of our study, following the suggestion from the reviewer.

      (D) There are a few instances of extra closing parentheses.

      We checked the text but did not find instances of erroneous extra closing parentheses. There are instances of nested parentheses, which may have given the impression that closing parentheses were duplicated.

      (E) The first paragraph of the Discussion lacks sufficient references.

      We have now added references to the first paragraph of the discussion.

      (F) At the end of the 2nd paragraph in the Discussion, the comparison is missing. More than what? It's not until the next reference that one can assume that the authors are referring to a dorsal/ventral axis. However, the physiological motivation for this comparison is lacking. Why would one expect a dorsal/intermediate continuum for theta modulation as there is along the dorsal/ventral axis of the hippocampus?

      Thank you for spotting this omission. We have rewritten the paragraph to more clearly make the parallel between dorsal-ventral gradients in the lateral septum and hippocampus and how this relates to the topographical connections between the two structures.

    1. Author response:

      The following is the authors’ response to the original reviews

      Reviewer 1 (Public Review):

      Summary

      The manuscript uses state-of-the-art analysis technology to document the spatio-temporal dynamics of brain activity during the processing of threats. The authors offer convincing evidence that complex spatio-temporal aspects of brain dynamics are essential to describe brain operations during threat processing.

      Strengths

      Rigorous complex analyses well suited to the data.

      Weaknesses

      Lack of a simple take-home message about discovery of a new brain operation.

      We have addressed the concern under response to item 1 in Recommendations for the authors of Reviewer 2 below.

      Reviewer 1 (Recommendations for the authors):

      The paper presents sophisticated analyses of how the spatiotemporal activity of the brain processes threats. While the study is elegant and relevant to the threat processing literature, it could be improved by better clarification of novelty, scope, assumptions and implications. Suggestions are reported below.

      (1) Introduction: It is difficult to understand what is unsatisfactory in the present literature and why we need this study. For example, lines 57-64 report what works well in the work of Anderson and Fincham but do not really describe what this approach lacks, either in failing to explain real data in conceptual terms.

      We have edited the corresponding lines to better describe what such approaches generally lack:

      Introduction; Lines 63-66: However, the mapping between brain signals and putative mental states (e.g., “encoding”) remained speculative. More generally, state-based modeling of fMRI data would benefit from evaluation in contexts where the experimental paradigm affords a clearer mapping between discovered states and experimental manipulation.

      (2) Also, based on the introduction it is unclear if the focus is on understanding the processing of threat or in the methodological development of experimental design and analysis paradigms for more ecologically valid situations.

      In our present work, we tried to focus on understanding dynamics of threat processing while also contributing to methodological development of analysis of dynamic/ecologically inspired experiments. To that end, we have added a new paragraph at the end of Introduction to clarify the principal focus of our work:

      Introduction; Lines 111-118: Is the present contribution focused on threat processing or methodological developments for the analysis of more continuous/ecologically valid paradigms? Our answer is “both”. One goal was to contribute to the development of a framework that considers brain processing to be inherently dynamic and multivariate. In particular, our goal was to provide the formal basis for conceptualizing threat processing as a dynamic process (see (Fanselow and Lester, 1987)) subject to endogenous and exogenous contributions. At the same time, our study revealed how regions studied individually in the past (e.g., anterior insula, cingulate cortex) contribute to brain states with multi-region dynamics.

      (3) The repeated statement, based on the Fiete paper, that most analyses or models of brain activity do not include an exogenous drive seems an overstatement. There is plenty of literature that not only includes exogenous drives but also studies and documents them in detail. There are many examples, but a prominent one is the study of auditory processing. Essentially all human brain areas related to hearing (not only the activity of individual areas but also their communication) are entrained by the exogenous drive of speech (e.g. J. Gross et al, PLoS Biology 11 e1001752, 2013).

      We have altered the original phrasing, which now reads as:

      Introduction; Lines 93-95: Importantly, we estimated both endogenous and exogenous components of the dynamics, whereas some past work has not modeled both contributions (see discussion in (Khona and Fiete, 2022)).

      Discussion; Lines 454-455: Work on dynamics of neural circuits in systems neuroscience at times assumes that the target circuit is driven only by endogenous processes (Khona and Fiete, 2022).

      (4) Attractor dynamics is used as a prominent descriptor of fMRI activity, yet the discussion of how this may emerge from the interaction between areas is limited. Is it related to the way attractors emerge from physical systems or neural networks (e.g. Hopfield?).

      This is an important question that we believe will benefit from computational and mathematical modeling, but we consider it beyond the scope of the present paper.

      (5) Fig 4 shows activity of 4 regions, not 2 s stated in lines 201-202. Correct?

      Fig. 4 shows activity of two regions and also the average activity of regions belonging to two resting-state networks engaged during threat processing (discussed shortly after lines 201-202). To clarify the above concern, we have changed the following line:

      Results; Lines 228-230: In Fig. 4, we probed the average signals from two resting-state networks engaged during threat-related processing, the salience network which is particularly engaged during higher threat, and the default network which is engaged during conditions of relative safety.

      (6) It would be useful to state more clearly how Fig 7B, C differs from Fig 2A, B (my understanding it is that in the former they are isolating the stimulus-driven processes)

      We have clarified this by adding the following line in the Results:

      Results; Lines 290-292: Note that in Fig. 7B/C we evaluated exogenous contributions only for stimuli associated with each state/state transition reported in Fig. 2A/B (see also Methods).

      Reviewer 2 (Public Review):

      Summary

      This paper by Misra and Pessoa uses switching linear dynamical systems (SLDS) to investigate the neural network dynamics underlying threat processing at varying levels of proximity. Using an existing dataset from a threat-of-shock paradigm in which threat proximity is manipulated in a continuous fashion, the authors first show that they can identify states that each has their own linear dynamical system and are consistently associated with distinct phases of the threat-of-shock task (e.g., “peri-shock”, “not near”, etc). They then show how activity maps associated with these states are in agreement with existing literature on neural mechanisms of threat processing, and how activity in underlying brain regions alters around state transitions. The central novelty of the paper lies in its analyses of how intrinsic and extrinsic factors contribute to within-state trajectories and betweenstate transitions. A final set of analyses shows how the findings generalize to another (related) threat paradigm.

      Strengths

      The analyses for this study are conducted at a very high level of mathematical and theoretical sophistication. The paper is very well written and effectively communicates complex concepts from dynamical systems. I am enthusiastic about this paper, but I think the authors have not yet exploited the full potential of their analyses in making this work meaningful toward increasing our neuroscientific understanding of threat processing, as explained below.

      Weaknesses

      (1) I appreciate the sophistication of the analyses applied and/or developed by the authors. These methods have many potential use cases for investigating the network dynamics underlying various cognitive and affective processes. However, I am somewhat disappointed by the level of inferences made by the authors based on these analyses at the level of systems neuroscience. As an illustration consider the following citations from the abstract: “The results revealed that threat processing benefits from being viewed in terms of dynamic multivariate patterns whose trajectories are a combination of intrinsic and extrinsic factors that jointly determine how the brain temporally evolves during dynamic threat” and “We propose that viewing threat processing through the lens of dynamical systems offers important avenues to uncover properties of the dynamics of threat that are not unveiled with standard experimental designs and analyses”. I can agree to the claim that we may be able to better describe the intrinsic and extrinsic dynamics of threat processing using this method, but what is now the contribution that this makes toward understanding these processes?

      We have addressed the concern under response to item 1 in Recommendations for the authors below.

      (2) How sure can we be that it is possible to separate extrinsically and intrinsically driven dynamics?

      We have addressed the concern under response to item 2 in Recommendations for the authors below.

      Reviewer 2 (Recommendations for the authors):

      (1) To address the first point under weaknesses above: I would challenge the authors to make their results more biologically/neuroscientifically meaningful, in particular in the sections (in results and/or discussion) on how intrinsic and extrinsic factors contribute to within-state trajectories and between-state transitions, and make those explicit in both the abstract and the discussion (what exactly are the properties of the dynamics of threat that are uncovered?). The authors may also argue that the current approach lies the groundwork for such efforts, but does not currently provide such insights. If they would take this position, that should be made explicit throughout (which would make it more of a methodological paper).

      The SLDS approach provides, we believe, a powerful framework to describe system-level dynamics (of threat processing in the the present case). A complementary type of information can be obtained by studying the contribution of individual components (brain regions) within the larger system (brain), an approach that helps connect our approach to studies that typically focus on the contributions of individual regions, and contributes to providing more neurobiological interpretability to the results. Accordingly, we developed a new measure of region importance that captured the extent to which individual brain regions contributed to driving system dynamics during a given state.

      Abstract; Lines 22-25: Furthermore, we developed a measure of region importance that quantifies the contributions of an individual brain region to system dynamics, which complements the system-level characterization that is obtained with the state-space SLDS formalism.

      Introduction; Lines 95-99: A considerable challenge in state-based modeling, including SLDS, is linking estimated states and dynamics to interpretable processes. Here, we developed a measure of region importance that provides a biologically meaningful way to bridge this gap, as it quantifies how individual brain regions contribute to steering state trajectories.

      Results; Lines 302-321: Region importance and steering of dynamics: Based on time series data and input information, the SLDS approach identifies a set of states and their dynamics. While these states are determined in the latent space, they can be readily mapped back to the brain, allowing for the characterization of spatiotemporal properties across the entire brain. Since not all regions contribute equally to state properties, we propose that a region’s impact on state dynamics serves as a measure of its importance.

      We illustrate the concept for STATE 5 (“near miss”) in Fig. 8 (see Fig. S17 for all states). Fig. 8A shows importance in the top row and activity below as a function of time from state entry.The dynamics of importance and activity can be further visualized (Fig. 8B), where some regions of particularly high importance are illustrated together with the ventromedial PFC, a region that is typically not engaged during high-threat conditions. Notably, the importance of the dorsal anterior insula increased quickly in the first time points, and later decreased. In contrast, the importance of the periaqueductal gray was relatively high from the beginning of the state and decreased moderately later.

      Fig. 8C depicts the correlation between these measures as a function of time. For all but STATE 1, the correlation increased over time. Interestingly, for STATES 4-5, the correlation was low at the first and second time points of the state (and for STATE 2 at the first time point), and for STATE 3 the measures were actually anticorrelated; both cases indicate a dissociation between activity and importance. In summary, our results illustrate that univariate region activity can differ from multivariate importance, providing a fruitful path to understand how individual brain regions contribute to collective dynamic properties.

      Discussion; Lines 466-487: In the Introduction, we motivated our study in terms of determining multivariate and distributed patterns of activity with shared dynamics. At one end of the spectrum, it is possible to conceptualize the whole brain as dynamically evolving during a state; at the other end, we could focus on just a few “key” regions, or possibly a single one (at which point the description would be univariate). Here, we addressed this gap by studying the importance of regions to state dynamics: To what extent does a region steer the trajectory of the system? From a mathematical standpoint, our proposed measure is not merely a function of activity of a region but also of the coefficients of the dynamics matrix capturing its effect on across-region dynamics (Eichler, 2005; Smith et al., 2010).

      How distributed should the dynamics of threat be considered? One answer to this question is to consider the distribution of importance values for all states. For STATE 1 (“post shock”), a few regions displayed the highest importance values for a few time points. However, for the other states the distribution of importance values tended to be more uniform at each time point. Thus, based on our proposed importance measure, we conclude that threat-related processing is profitably viewed as substantially distributed. Furthermore, we found that while activity and importance were relatively correlated, they could also diverge substantially. Together, we believe that the proposed importance measure provides a valuable tool for understanding the rich dynamics of threat processing. For example, we discovered that the dorsal anterior insula is important not only during high-anxiety states (such as STATE 5; “near miss”) but also, surprisingly, for a state that followed the aversive shock event (STATE 1; “post shock”). Additionally, we noted that posterior cingulate cortex, widely known to play a central role in the default mode network, to have the highest importance among all other regions in driving dynamics of low-anxiety states (such as STATE 3 and STATE 4; “not near”).

      Methods; Lines 840-866: Region importance We performed a “lesion study”, where we quantified how brain regions contribute to state dynamics by eliminating (zeroing) model parameters corresponding to a given region, and observing the resulting changes in system dynamics. According to our approach, the most important regions are those that cause the greatest change in system dynamics when eliminated.

      The SLDS model represents dynamics in a low dimensional latent space and model parameters are not readily available at the level of individual regions. Thus, the first step was to project the dynamics equation onto the brain data prior to computing importance values. Thus, the linear dynamics equation in the latent space (Eq. 2) was mapped to the original data space of N = 85 ROIs using the emissions model (Eq. 1):

      where C<sup>†</sup> represents the Moore-Penrose pseudoinverse of C, and and denote the corresponding dynamics matrix, input matrix, and bias terms in the original data space.

      Based on the above, we defined the importance of the i<sup>th</sup> ROI at time t based on quantifying the impact of “lesioning” the i<sup>th</sup> ROI, i.e., by setting the i<sup>th</sup> column of , the i<sup>th</sup> row of ,   and the i<sup>th</sup> element of to 0, denoted , , and respectively. Formally, the importance of the i<sup>th</sup> ROI was defined as:

      where ‘∗’ indicates element-wise multiplication of a scalar with a vector, is the activity of i<sup>th</sup> ROI at time corresponds to the i<sup>th</sup> column of is the inner product between i<sup>th</sup> row of and input corresponds to the i<sup>th</sup> element of and represents an indicator vector corresponding to the i<sup>th</sup> ROI. Note that the term is a function of both the i<sup>th</sup> ROI’s activity as well as the coefficients of the dynamics matrix capturing the effect of region i on the one-step dynamics of the entire system (Eichler, 2005; Smith et al., 2010); the remaining terms capture the effect of the external inputs and the bias term on the one-step dynamics of the i<sup>th</sup> ROI.

      After computing for a given run, the resultant importance time series was normalized to zero mean and unit variance.

      (2) To address the second point under the weaknesses above: Given that the distinction between intrinsic and extrinsic dynamics appears central to the novelty of the paper, I would suggest the authors explicitly address this issue in the introduction and/or discussion sections.

      The distinction between intrinsic and extrinsic dynamics is a modeling assumption of SLDS. We used such an assumption because in experimental designs with experimenter manipulated inputs one can profitably investigate both types of contribution to dynamics. While we should not reify the model’s assumption, we can gain confidence in our separation of extrinsically and intrinsically driven dynamics through controlled experiments where we can manipulate external inputs, or by demonstrating time-scale separation of intrinsic and extrinsic dynamics and that they operate at different frequencies. This is an important question that requires additional computational/mathematical modeling, but we consider it beyond the scope of the current paper. We have added the following lines in the discussion section:

      Discussion; Lines 521-528: A further issue that we wish to discuss is related to the distinction between intrinsic and extrinsic dynamics, which is explicitly modeled in our SLDS approach (see Methods, equation 2). We believe this is a powerful approach because in experimental designs with experimenter manipulated inputs, one can profitably investigate both types of contribution to dynamics. However, complete separation between intrinsic and extrinsic dynamics is challenging to ascertain. More generally, one can gain confidence in their separation through controlled experiments where external inputs are manipulated, or by demonstrating timescale separation of intrinsic and extrinsic dynamics.

      (3) In the abstract, the statement “.. studies in systems neuroscience that frequently assume that systems are decoupled from external inputs” sounds paradoxical after first introducing how threat processing is almost exclusively studied using blocked and event-related task designs (which obviously rely on external inputs only). Please clarify this.

      In this work, we wished to state that the SLDS framework characterizes both endogenous and exogenous contributions to dynamics, whereas some past work has not modeled both contributions. To clarify, we have changed the corresponding line:

      Abstract; Lines 19-20: Importantly, we characterized both endogenous and exogenous contributions to dynamics.

      (4) In the abstract, the first mention of circles comes out of the blue; the paradigm needs to be introduced first to make this understandable.

      We have rephrased the corresponding text:

      Abstract; Lines 14-17: First, we demonstrated that the SLDS model learned the regularities of the experimental paradigm, such that states and state transitions estimated from fMRI time series data from 85 regions of interest reflected threat proximity and threat approach vs. retreat.

      (5 In Figure 3, the legend shows z-scores representing BOLD changes associated with states. However, the z-scores are extremely low (ranging between -.4 and .4). Can this be correct, given that maps are thresholded at p < ._001 (i.e., _z > 3_._09)? A similar small range of z-scores is shown in the legend of Fig 5. Please check the z-score ranges.

      The p-value threshold used in Fig. 3 is based on the voxelwise t-test conducted between the participantbased bootstrapped maps and null maps (see Methods : State spatial maps : “To identify statistically significant voxels, we performed a paired t-test between the participant-based boostrapped maps and the null maps.”). Thus, the p-value threshold in the figure does not correspond to the z-scores of the groupaveraged state-activation maps. Similarly in Fig. 5, we only visualized the state-wise attractors on a brain surface map without any thresholding. The purpose of using a z-score color bar was to provide a scale comparable to that of BOLD activity.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Thank you very much for the careful and positive reviews of our manuscript. We have addressed each comment in the attached revised manuscript. We describe the modifications below. To avoid confusion, we've changed supplementary figure and table captions to start with "Supplement Figure" and "Supplementary Table," instead of "Figure" and "Table."

      We have modified/added:

      ● Supplementary Table S1: AUC scores for the top 10 frequent epitope types (pathogens) in the testing set of epitope split.

      ● Supplementary Table S5: AUCs of TCR-epitope binding affinity prediction models with BLOSUM62 to embed epitope sequences.

      ● Supplementary Table S6: AUCs of TCR-epitope binding affinity prediction models trained on catELMo TCR embeddings and random-initialized epitope embeddings.

      ● Supplementary Table S7: AUCs of TCR-epitope binding affinity prediction models trained on catELMo and BLOSUM62 embeddings.

      ● Supplementary Figure 4: TCR clustering performance for the top 34 abundant epitopes representing 70.55% of TCRs in our collected databases.

      ● Section Discussion.

      ● Section 4.1 Data: TCR-epitope pairs for binding affinity prediction.

      ● Section 4.4.2 Epitope-specific TCR clustering.

      Public Reviews:

      Reviewer #1 (Public Review):

      In this manuscript, the authors described a computational method catELMo for embedding TCR CDR3 sequences into numeric vectors using a deep-learning-based approach, ELMo. The authors applied catELMo to two applications: supervised TCR-epitope binding affinity prediction and unsupervised epitope-specific TCR clustering. In both applications, the authors showed that catELMo generated significantly better binding prediction and clustering performance than other established TCR embedding methods. However, there are a few major concerns that need to be addressed.

      (1) There are other TCR CDR3 embedding methods in addition to TCRBert. The authors may consider incorporating a few more methods in the evaluation, such as TESSA (PMCID: PMC7799492), DeepTCR (PMCID: PMC7952906) and the embedding method in ATM-TCR (reference 10 in the manuscript). TESSA is also the embedding method in pMTnet, which is another TCR-epitope binding prediction method and is the reference 12 mentioned in this manuscript.

      TESSA is designed for characterizing TCR repertoires, so we initially excluded it from the comparison. Our focus was on models developed specifically for amino acid embedding rather than TCR repertoire characterization. However, to address the reviewer's inquiry, we conducted further evaluations. Since both TESSA and DeepTCR used autoencoder-based models to embed TCR sequences, we selected one used in TESSA for evaluation in our downstream prediction task, conducting ten trials in total. It achieved an average AUC of 75.69 in TCR split and 73.3 in epitope split. Notably, catELMo significantly outperformed such performance with an AUC of 96.04 in TCR split and 94.10 in epitope split.

      Regarding the embedding method in ATM-TCR, it simply uses BLOSUM as an embedding matrix which we have already compared in Section 2.1. Furthermore, we have provided the comparison results between our prediction model trained on catELMo embeddings with the state-of-the-art prediction models such as netTCR and ATM-TCR in Table 6 of the Discussion section.

      (2) The TCR training data for catELMo is obtained from ImmunoSEQ platform, including SARS-CoV2, EBV, CMV, and other disease samples. Meanwhile, antigens related to these diseases and their associated TCRs are extensively annotated in databases VDJdb, IEDB and McPAS-TCR. The authors then utilized the curated TCR-epitope pairs from these databases to conduct the evaluations for eptitope binding prediction and TCR clustering. Therefore, the training data for TCR embedding may already be implicitly tuned for better representations of the TCRs used in the evaluations. This seems to be true based on Table 4, as BERT-Base-TCR outperformed TCRBert. Could catELMo be trained on PIRD as TCRBert to demonstrate catELMo's embedding for TCRs targeting unseen diseases/epitopes?

      We would like to note that catELMo was trained exclusively on TCR sequences in an unsupervised manner, which means it has never been exposed to antigen information. We also ensured that the TCRs used in catELMo's training did not overlap with our downstream prediction data. Please refer to the section 4.1 Data where we explicitly stated, “We note that it includes no identical TCR sequences with the TCRs used for training the embedding models.”. Moreover, the performance gap (~1%) between BERT-Base-TCR and TCRBert, as observed in Table 4, is relatively small, especially when compared to the performance difference (>16%) between catELMo and TCRBert.

      To further address this concern, we conducted experiments using the same number of TCRs, 4,173,895 in total, sourced exclusively from healthy ImmunoSeq repertoires. This alternative catELMo model demonstrated a similar prediction performance (based on 10 trials) to the one reported in our paper, with an average AUC of 96.35% in TCR split and an average AUC of 94.03% in epitope split.

      We opted not to train catELMo on the PIRD dataset for several reasons. First, approximately 7.8% of the sequences in PIRD also appear in our downstream prediction data, which could be a potential source of bias. Furthermore, PIRD encompasses sequences related to diseases such as Tuberculosis, HIV, CMV, among others, which the reviewer is concerned about.

      (3) In the application of TCR-epitope binding prediction, the authors mentioned that the model for embedding epitope sequences was catElMo, but how about for other methods, such as TCRBert? Do the other methods also use catELMo-embedded epitope sequences as part of the binding prediction model, or use their own model to embed the epitope sequences? Since the manuscript focuses on TCR embedding, it would be nice for other methods to be evaluated on the same epitope embedding (maybe adjusted to the same embedded vector length).

      Furthermore, the authors found that catELMo requires less training data to achieve better performance. So one would think the other methods could not learn a reasonable epitope embedding with limited epitope data, and catELMo's better performance in binding prediction is mainly due to better epitope representation.

      Review 1 and 3 have raised similar concerns regarding the epitope embedding approach employed in our binding affinity prediction models. We address both comments together on page 6 where we discuss the epitope embedding strategies in detail.

      (4) In the epitope binding prediction evaluation, the authors generated the test data using TCR-epitope pairs from VDJdb, IEDB, McPAS, which may be dominated by epitopes from CMV. Could the authors show accuracy categorized by epitope types, i.e. the accuracy for TCR-CMV pair and accuracy for TCR-SARs-CoV2 separately?

      The categorized AUC scores have been added in Supplementary Table 7. We observed significant performance boosts from catELMo compared with other embedding models.

      (5) In the unsupervised TCR clustering evaluation, since GIANA and TCRdist direct outputs the clustering result, so they should not be affected by hierarchical clusters. Why did the curves of GIANA and TCRdist change in Figure 4 when relaxing the hierarchical clustering threshold?

      For fair comparisons, we performed GIANA and TCRdist with hierarchical clustering instead of the nearest neighbor search. We have clarified it in the revised manuscript as follows.

      “Both methods are developed on the BLOSUM62 matrix and apply nearest neighbor search to cluster TCR sequences. GIANA used the CDR3 of TCRβ chain and V gene, while TCRdist predominantly experimented with CDR1, CDR2, and CDR3 from both TCRα and TCRβ chains. For fair comparisons, we perform GIANA and TCRdist only on CDR3 β chains and with hierarchical clustering instead of the nearest neighbor search.”

      (6 & 7) In the unsupervised TCR clustering evaluation, the authors examined the TCR related to the top eight epitopes. However, there are much more epitopes curated in VDJdb, IEDB and McPAS-TCR. In real application, the potential epitopes is also more complex than just eight epitopes. Could the authors evaluate the clustering result using all the TCR data from the databases? In addition to NMI, it is important to know how specific each TCR cluster is. Could the authors add the fraction of pure clusters in the results? Pure cluster means all the TCRs in the cluster are binding to the same epitope, and is a metric used in the method GIANA.

      We would like to note that there is a significant disparity in TCR binding frequencies across different epitopes in current databases. For instance, the most abundant epitope (KLGGALQAK) has approximately 13k TCRs binding to it, while 836 out of 982 epitopes are associated with fewer than 100 TCRs in our dataset. Furthermore, there are 9347 TCRs having the ability to bind multiple epitopes. In order to robustly evaluate the clustering performance, we originally selected the top eight frequent epitopes from McPAS and removed TCRs binding multiple epitopes to create a more balanced dataset.

      We acknowledge that the real-world scenario is more complex than just eight epitopes. Therefore, we conducted clustering experiments using the top most abundant epitopes whose combined cognate TCRs make up at least 70% of TCRs across three databases (34 epitopes). This is illustrated in Supplementary Figure 5. Furthermore, we extended our analysis by clustering all TCRs after filtering out those that bind to multiple epitopes, resulting in 782 unique epitopes. We found that catELMo achieved the 3rd and 2nd best performance in NMI and Purity, respectively (see Table below). These are aligned with our previous observations of the eight epitopes.

      Author response table 1.

      Reviewer #2 (Public Review):

      In the manuscript, the authors highlighted the importance of T-cell receptor (TCR) analysis and the lack of amino acid embedding methods specific to this domain. The authors proposed a novel bi-directional context-aware amino acid embedding method, catELMo, adapted from ELMo (Embeddings from Language Models), specifically designed for TCR analysis. The model is trained on TCR sequences from seven projects in the ImmunoSEQ database, instead of the generic protein sequences. They assessed the effectiveness of the proposed method in both TCR-epitope binding affinity prediction, a supervised task, and the unsupervised TCR clustering task. The results demonstrate significant performance improvements compared to existing embedding models. The authors also aimed to provide and discuss their observations on embedding model design for TCR analysis: 1) Models specifically trained on TCR sequences have better performance than models trained on general protein sequences for the TCR-related tasks; and 2) The proposed ELMo-based method outperforms TCR embedding models with BERT-based architecture. The authors also provided a comprehensive introduction and investigation of existing amino acid embedding methods. Overall, the paper is well-written and well-organized.

      The work has originality and has potential prospects for immune response analysis and immunotherapy exploration. TCR-epitope pair binding plays a significant role in T cell regulation. Accurate prediction and analysis of TCR sequences are crucial for comprehending the biological foundations of binding mechanisms and advancing immunotherapy approaches. The proposed embedding method presents an efficient context-aware mathematical representation for TCR sequences, enabling the capture and analysis of their structural and functional characteristics. This method serves as a valuable tool for various downstream analyses and is essential for a wide range of applications. Thank you.

      Reviewer #3 (Public Review):

      Here, the authors trained catElMo, a new context-aware embedding model for TCRβ CDR3 amino acid sequences for TCR-epitope specificity and clustering tasks. This method benchmarked existing work in protein and TCR language models and investigated the role that model architecture plays in the prediction performance. The major strength of this paper is comprehensively evaluating common model architectures used, which is useful for practitioners in the field. However, some key details were missing to assess whether the benchmarking study is a fair comparison between different architectures. Major comments are as follows:

      • It is not clear why epitope sequences were also embedded using catELMo for the binding prediction task. Because catELMO is trained on TCRβ CDR3 sequences, it's not clear what benefit would come from this embedding. Were the other embedding models under comparison also applied to both the TCR and epitope sequences? It may be a fairer comparison if a single method is used to encode epitope sequence for all models under comparison, so that the performance reflects the quality of the TCR embedding only.

      In our study, we indeed used the same embedding model for both TCRs and epitopes in each prediction model, ensuring a consistent approach throughout.

      Recognizing the importance of evaluating the impact of epitope embeddings, we conducted experiments in which we used BLOSUM62 matrix to embed epitope sequences for all models. The results (Supplementary Table 5) are well aligned with the performance reported in our paper. This suggests that epitope embedding may not play as critical a role as TCR embedding in the prediction tasks. To further validate this point, we conducted two additional experiments.

      Firstly, we used catELMo to embed TCRs while employing randomly initialized embedding matrices with trainable parameters for epitope sequences. It yielded similar prediction performance as when catELMo was used for both TCR and epitope embedding (Supplementary Table 6). Secondly, we utilized BLOSUM62 to embed TCRs but employed catELMo for epitope sequence embedding, resulting in performance comparable to using BLOSUM62 for both TCRs and epitopes (Supplementary Table 4). These experiment results confirmed the limited impact of epitope embedding on downstream performance.

      We conjecture that these results may be attributed to the significant disparity in data scale between TCRs (~290k) and epitopes (less than 1k). Moreover, TCRs tend to exhibit high similarity, whereas epitopes display greater distinctiveness from one another. These features of TCRs require robust embeddings to facilitate effective separation and improve downstream performance, while epitope embedding primarily serves as a categorical encoding.

      We have included a detailed discussion of these findings in the revised manuscript to provide a comprehensive understanding of the role of epitope embeddings in TCR binding prediction.

      • The tSNE visualization in Figure 3 is helpful. It makes sense that the last hidden layer features separate well by binding labels for the better performing models. However, it would be useful to know if positive and negative TCRs for each epitope group also separate well in the original TCR embedding space. In other words, how much separation between these groups is due to the neural network vs just the embedding?

      It is important to note that we used the same downstream prediction model, a simple three-linear-layer network, for all the discussed embedding methods. We believe that the separation observed in the t-SNE visualization effectively reflects the ability of our embedding model. Also, we would like to mention that it can be hard to see a clear distinction between positive and negative TCRs in the original embedding space because embedding models were not trained on positive/negative labels. Please refer to the t-SNE of the original TCR embeddings below.

      Author response image 1.

      • To generate negative samples, the author randomly paired TCRs from healthy subjects to different epitopes. This could produce issues with false negatives if the epitopes used are common. Is there an estimate for how frequently there might be false negatives for those commonly occurring epitopes that most populations might also have been exposed to? Could there be a potential batch effect for the negative sampled TCR that confounds with the performance evaluation?

      Thank you for bringing this valid and interesting point up. Generating negative samples is non-trivial since only a limited number of non-binding TCR-pairs are publicly available and experimentally validating non-binding pairs is costly [1]. Standard practices for generating negative pairs are (1) paring epitopes with healthy TCRs [2, 3], and (2) randomly shuffling existing TCR-epitope pairs [4,5]. We used both approaches (the former included in the main results, and the latter in the discussion). In both scenarios, catELMo embeddings consistently demonstrated superior performance.

      We acknowledge the possibility of false negatives due to the finite-sized TCR database from which we randomly selected TCRs, however, we believe that the likelihood of such occurrences is low. Given the vast diversity of human TCR clonotypes, which can exceed 10^15[6], the chance of randomly selecting a TCR that specifically recognizes a target epitope is relatively small.

      In order to investigate the batch effect, we generated new negative pairs using different seeds and observed consistent prediction performance across these variations. However, we agree that there could still be a potential batch effect for the negative samples due to potential data bias.

      We have discussed the limitation of generative negative samples in the revised manuscript.

      • Most of the models being compared were trained on general proteins rather than TCR sequences. This makes their comparison to catELMO questionable since it's not clear if the improvement is due to the training data or architecture. The authors partially addressed this with BERT-based models in section 2.4. This concern would be more fully addressed if the authors also trained the Doc2vec model (Yang et al, Figure 2) on TCR sequences as baseline models instead of using the original models trained on general protein sequences. This would make clear the strength of context-aware embeddings if the performance is worse than catElmo and BERT.

      We agree it is important to distinguish between the effects of training data and architecture on model performance.

      In Section 2.4, as the reviewer mentioned, we compared catELMo with BERT-based models trained on the same TCR repertoire data, demonstrating that architecture plays a significant role in improving performance. Furthermore, in Section 2.5, we compared catELMo-shallow with SeqVec, which share the same architecture but were trained on different data, highlighting the importance of data on the model performance.

      To further address the reviewer's concern, we trained a Doc2Vec model on the TCR sequences that have been used for catELMo training. We observed significantly lower prediction performance compared to catELMo, with an average AUC of 50.24% in TCR split and an average AUC of 51.02% in epitope split, making the strength of context-aware embeddings clear.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) It is known that TRB CDR3, the CDR1, CDR2 on TRBV gene and the TCR alpha chain also contribute to epitope recognition, but were not modeled in catELMo. It would be nice for the authors to add this as a current limitation for catELMo in the Discussion section.

      We have discussed the limitation in the revised manuscript.

      “Our study focuses on modeling the TCRβ chain CDR3 region, which is known as the primary determinant of epitope binding. Other regions, such as CDR1 and CDR2 on the TRB V gene, along with the TCRα chain, may also contribute to specificity in antigen recognition. However, a limited number of available samples for those additional features can be a challenge for training embedding models. Future work may explore strategies to incorporate these regions while mitigating the challenges of working with limited samples.”

      (2) I tried to follow the instructions to train a binding affinity prediction model for TCR-epitope pairs, however, the cachetools=5.3.0 seems could not be found when running "pip install -r requirements.txt" in the conda environment bap. Is this cachetools version supported after Python 3.7 so the Python 3.6.13 suggested on the GitHub repo might not work?

      This has been fixed. We have updated the README.md on our github page.

      Reviewer #2 (Recommendations For The Authors):

      The article is well-constructed and well-written, and the analysis is comprehensive.

      The comments for minor issues that I have are as follows:

      (1) In the Methods section, it will be clearer if the authors interpret more on how the standard deviation is calculated in all tables. How to define the '10 trials'? Are they based on different random training and test set splits?

      ‘10 trials' refers to the process of splitting the dataset into training, validation, and testing sets using different seeds for each trial. Different trials have different training, validation, and testing sets. For each trial, we trained a prediction model on its training set and measured performance on its testing set. The standard deviation was calculated from the 10 measurements, estimating model performance variation across different random splits of the data.

      (2) The format of AUCs and the improvement of AUCs need to be consistent, i.e., with the percent sign.

      We have updated the format of AUCs.

      Reviewer #3 (Recommendations For The Authors):

      In addition to the recommendations in the public review, we had the following more minor questions and recommendations:

      • Could you provide some more background on the data, such as overlaps between the databases, and how the training and validation split was performed between the three databases? Also summary statistics on the length of TCR and epitope sequence data would be helpful.

      We have provided more details about data in our revision.

      • Could you comment on the runtime to train and embed using the catELMo and BERT models?

      Our training data is TCR sequences with relatively short lengths (averaging less than 20 amino acid residues). Such characteristic significantly reduces the computational resources required compared to training large-scale language models on extensive text corpora. Leveraging standard machines equipped with two GeForce RTX 2080 GPUs, we were able to complete the training tasks within a matter of days. After training, embedding one sequence can be accomplished in a matter of seconds.

      • Typos and wording:

      • Table 1 first row of "source": "immunoSEQ" instead of "immuneSEQ"

      This has been corrected.

      • L23 of abstract "negates the need of complex deep neural network architecture" is a little confusing because ELMo itself is a deep neural network architecture. Perhaps be more specific and add that the need is for downstream tasks.

      We have made it more specific in our abstract.

      “...negates the need for complex deep neural network architecture in downstream tasks.”

      References

      (1) Montemurro, Alessandro, et al. "NetTCR-2.0 enables accurate prediction of TCR-peptide binding by using paired TCRα and β sequence data." Communications biology 4.1 (2021): 1060.

      (2) Jurtz, Vanessa Isabell, et al. "NetTCR: sequence-based prediction of TCR binding to peptide-MHC complexes using convolutional neural networks." BioRxiv (2018): 433706.

      (3) Gielis, Sofie, et al. "Detection of enriched T cell epitope specificity in full T cell receptor sequence repertoires." Frontiers in immunology 10 (2019): 2820.

      (4) Cai, Michael, et al. "ATM-TCR: TCR-epitope binding affinity prediction using a multi-head self-attention model." Frontiers in Immunology 13 (2022): 893247.

      (5) Weber, Anna, et al. "TITAN: T-cell receptor specificity prediction with bimodal attention networks." Bioinformatics 37 (2021): i237-i244.

      (6) Lythe, Grant, et al. "How many TCR clonotypes does a body maintain?." Journal of theoretical biology 389 (2016): 214-224.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      The authors seek to establish what aspects of nervous system structure and function may explain behavioral differences across individual fruit flies. The behavior in question is a preference for one odor or another in a choice assay. The variables related to neural function are odor responses in olfactory receptor neurons or in the second-order projection neurons, measured via calcium imaging. A different variable related to neural structure is the density of a presynaptic protein BRP. The authors measure these variables in the same fly along with the behavioral bias in the odor assays. Then they look for correlations across flies between the structure-function data and the behavior.

      Strengths:

      Where behavioral biases originate is a question of fundamental interest in the field. In an earlier paper (Honegger 2019) this group showed that flies do vary with regard to odor preference, and that there exists neural variation in olfactory circuits, but did not connect the two in the same animal. Here they do, which is a categorical advance, and opens the door to establishing a correlation. The authors inspect many such possible correlations. The underlying experiments reflect a great deal of work, and appear to be done carefully. The reporting is clear and transparent: All the data underlying the conclusions are shown, and associated code is available online.

      We are glad to hear the reviewer is supportive of the general question and approach.

      Weaknesses:

      The results are overstated. The correlations reported here are uniformly small, and don't inspire confidence that there is any causal connection. The main problems are

      Our revision overhauls the interpretation of the results to prioritize the results we have high confidence in (specifically, PC 2 of our Ca++ data as a predictor of OCT-MCH preference) versus results that are suggestive but not definitive (such as PC 1 of Ca++ data as a predictor of Air-OCT preference).

      It’s true that the correlations are small, with R2 values typically in the 0.1-0.2 range. That said, we would call it a victory if we could explain 10 to 20% of the variance of a behavior measure, captured in a 3 minute experiment, with a circuit correlate. This is particularly true because, as the reviewer notes, the behavioral measurement is noisy.

      (1) The target effect to be explained is itself very weak. Odor preference of a given fly varies considerably across time. The systematic bias distinguishing one fly from another is small compared to the variability. Because the neural measurements are by necessity separated in time from the behavior, this noise places serious limits on any correlation between the two.

      This is broadly correct, though to quibble, it’s our measurement of odor preference which varies considerably over time. We are reasonably confident that more variance in our measurements can be attributed to sampling error than changes to true preference over time. As evidence, the correlation in sequential measures of individual odor preference, with delays of 3 hours or 24 hours, are not obviously different. We are separately working on methodological improvements to get more precise estimates of persistent individual odor preference, using averages of multiple, spaced measurements. This is promising, but beyond the scope of this study.

      (2) The correlations reported here are uniformly weak and not robust. In several of the key figures, the elimination of one or two outlier flies completely abolishes the relationship. The confidence bounds on the claimed correlations are very broad. These uncertainties propagate to undermine the eventual claims for a correspondence between neural and behavioral measures.

      We are broadly receptive to this criticism. The lack of robustness of some results comes from the fundamental challenge of this work: measuring behavior is noisy at the individual level. Measuring Ca++ is also somewhat noisy. Correlating the two will be underpowered unless the sample size is huge (which is impractical, as each data point requires a dissection and live imaging session) or the effect size is large (which is generally not the case in biology). In the current version we tried in some sense to avoid discussing these challenges head-on, instead trying to focus on what we thought were the conclusions justified by our experiments with sample sizes ranging from 20 to 60. Our revision is more candid about these challenges.

      That said, we believe the result we view as the most exciting — that PC2 of Ca++ responses predicts OCT-MCH preference — is robust. 1) It is based on a training set with 47 individuals and a test set composed of 22 individuals. The p-value is sufficiently low in each of these sets (0.0063 and 0.0069, respectively) to pass an overly stringent Bonferroni correction for the 5 tests (each PC) in this analysis. 2) The BRP immunohistochemistry provides independent evidence that is consistent with this result — PC2 that predicts behavior (p = 0.03 from only one test) and has loadings that contrast DC2 and DM2. Taken together, these results are well above the field-standard bar of statistical robustness.

      In our revision, we are explicit that this is the (one) result we have high confidence in. We believe this result convincingly links Ca++ and behavior, and warrants spotlighting. We have less confidence in other results, and say so, and we hope this addresses concerns about overstating our results.

      (3) Some aspects of the statistical treatment are unusual. Typically a model is proposed for the relationship between neuronal signals and behavior, and the model predictions are correlated with the actual behavioral data. The normal practice is to train the model on part of the data and test it on another part. But here the training set at times includes the testing set, which tends to give high correlations from overfitting. Other times the testing set gives much higher correlations than the training set, and then the results from the testing set are reported. Where the authors explored many possible relationships, it is unclear whether the significance tests account for the many tested hypotheses. The main text quotes the key results without confidence limits.

      Our primary analyses are exactly what the reviewer describes, scatter plots and correlations of actual behavioral measures against predicted measures. We produced test data in separate experiments, conducted weeks to months after models were fit on training data. This is more rigorous than splitting into training and test sets data collected in a single session, as batch/environmental effects reduce the independence of data collected within a single session.

      We only collected a test set when our training set produced a promising correlation between predicted and actual behavioral measures. We never used data from test sets to train models. In our main figures, we showed scatter plots that combined test and training data, as the training and test partitions had similar correlations.

      We are unsure what the reviewer means by instances where we explored many possible relationships. The greatest number of comparisons that could lead to the rejection of a null hypothesis was 5 (corresponding to the top 5 PCs of Ca++ response variation or Brp signal). We were explicit that the p-values reported were nominal. As mentioned above, applying a Bonferroni correction for n=5 comparisons to either the training or test correlations from the Ca++ to OCT-MCH preference model remains significant at alpha=0.05.

      Our revision includes confidence intervals around ⍴signal for the PN PC2 OCT-MCH model, and for the ORN Brp-Short PC2 OCT-MCH model (lines 170-172, 238)

      Reviewer #2 (Public Review):

      Summary:

      The authors aimed to identify the neural sources of behavioral variation in a decision between odor and air, or between two odors.

      Strengths:

      -The question is of fundamental importance.

      -The behavioral studies are automated, and high-throughput.

      -The data analyses are sophisticated and appropriate.

      -The paper is clear and well-written aside from some strong wording.

      -The figures beautifully illustrate their results.

      -The modeling efforts mechanistically ground observed data correlations.

      We are glad to read that the reviewer sees these strengths in the study. We hope the current revision addresses the strong wording.

      Weaknesses:

      -The correlations between behavioral variations and neural activity/synapse morphology are (i) relatively weak, (ii) framed using the inappropriate words "predict", "link", and "explain", and (iii) sometimes non-intuitive (e.g., PC 1 of neural activity).

      Taking each of these points in turn:

      i) It would indeed be nicer if our empirical correlations are higher. One quibble: we primarily report relatively weak correlations between measurements of behavior and Ca++/Brp. This could be the case even when the correlation between true behavior and Ca++/Brp is higher. Our analysis of the potential correlation between latent behavioral and Ca++ signals was an attempt to tease these relationships apart. The analysis suggests that there could, in fact, be a high underlying correlation between behavior and these circuit features (though the error bars on these inferences are wide).

      ii) We worked to ensure such words are used appropriately. “Predict” can often be appropriate in this context, as a model predicts true data values. Explain can also be appropriate, as X “explaining” a portion of the variance of Y is synonymous with X and Y being correlated. We cannot think of formal uses of “link,” and have revised the manuscript to resolve any inappropriate word choice.

      iii) If the underlying biology is rooted in non-intuitive relationships, there’s unfortunately not much we can do about it. We chose to use PCs of our Ca++/Brp data as predictors to deal with the challenge of having many potential predictors (odor-glomerular responses) and relatively few output variables (behavioral bias). Thus, using PCs is a conservative approach to deal with multiple comparisons. Because PCs are just linear transformations of the original data, interpreting them is relatively easy, and in interpreting PC1 and PC2, we were able to identify simple interpretations (total activity and the difference between DC2 and DM2 activation, respectively). All in all, we remain satisfied with this approach as a means to both 1) limit multiple comparisons and 2) interpret simple meanings from predictive PCs.

      No attempts were made to perturb the relevant circuits to establish a causal relationship between behavioral variations and functional/morphological variations.

      We did conduct such experiments, but we did not report them because they had negative results that we could not definitively interpret. We used constitutive and inducible effectors to alter the physiology of ORNs projecting to DC2 and DM2. We also used UAS-LRP4 and UAS-LRP4-RNAi to attempt to increase and decrease the extent of Brp puncta in ORNs projecting to DC2 and DM2. None of these manipulations had a significant effect on mean odor preference in the OCT-MCH choice, which was the behavioral focus of these experiments. We were unable to determine if the effectors had the intended effects in the targeted Gal4 lines, particularly in the LRP experiments, so we could not rule out that our negative finding reflected a technical failure.

      Author response image 1.

      We believe that even if these negative results are not technical failures, they are not necessarily inconsistent with the analyses correlating features of DC2 and DM2 to behavior. Specifically, we suspect that there are correlated fluctuations in glomerular Ca++ responses and Brp across individuals, due to fluctuations in the developmental spatial patterning of the antennal lobe. Thus, the DC2-DM2 predictor may represent a slice/subset of predictors distributed across the antennal lobe. This would also explain how we “got lucky” to find two glomeruli as predictors of behavior, when we were only able to image a small portion of the glomeruli.

      Reviewer #3 (Public Review):

      Churgin et. al. seeks to understand the neural substrates of individual odor preference in the Drosophila antennal lobe, using paired behavioral testing and calcium imaging from ORNs and PNs in the same flies, and testing whether ORN and PN odor responses can predict behavioral preference. The manuscript's main claims are that ORN activity in response to a panel of odors is predictive of the individual's preference for 3-octanol (3-OCT) relative to clean air, and that activity in the projection neurons is predictive of both 3-OCT vs. air preference and 3-OCT vs. 4-methylcyclohexanol (MCH). They find that the difference in density of fluorescently-tagged brp (a presynaptic marker) in two glomeruli (DC2 and DM2) trends towards predicting behavioral preference between 3-oct vs. MCH. Implementing a model of the antennal lobe based on the available connectome data, they find that glomerulus-level variation in response reminiscent of the variation that they observe can be generated by resampling variables associated with the glomeruli, such as ORN identity and glomerular synapse density.

      Strengths:

      The authors investigate a highly significant and impactful problem of interest to all experimental biologists, nearly all of whom must often conduct their measurements in many different individuals and so have a vested interest in understanding this problem. The manuscript represents a lot of work, with challenging paired behavioral and neural measurements.

      Weaknesses:

      The overall impression is that the authors are attempting to explain complex, highly variable behavioral output with a comparatively limited set of neural measurements.

      We would say that we are attempting to explain a simple, highly variable behavioral measure with a comparatively limited set of neural measurements, i.e. we make no claims to explain the complex behavioral components of odor choice, like locomotion, reversals at the odor boundary, etc.

      Given the degree of behavioral variability they observe within an individual (Figure 1- supp 1) which implies temporal/state/measurement variation in behavior, it's unclear that their degree of sampling can resolve true individual variability (what they call "idiosyncrasy") in neural responses, given the additional temporal/state/measurement variation in neural responses.

      We are confident that different Ca++ recordings are statistically different. This is borne out in the analysis of repeated Ca++ recordings in this study, which finds that the significant PCs of Ca++ variation contain 77% of the variation in that data. That this variation is persistent over time and across hemispheres was assessed in Honegger & Smith, et al., 2019. We are thus confident that there is true individuality in neural responses (Note, we prefer not to call it “individual variability” as this could refer to variability within individuals, not variability across individuals.) It is a separate question of whether individual differences in neural responses bear some relation to individual differences in behavioral biases. That was the focus of this study, and our finding of a robust correlation between PC 2 of Ca++ responses and OCT-MCH preference indicates a relation. Because behavior and Ca++ were collected with an hours-to-day long gap, this implies that there are latent versions of both behavioral bias and Ca++ response that are stable on timescales at least that long.

      The statistical analyses in the manuscript are underdeveloped, and it's unclear the degree to which the correlations reported have explanatory (causative) power in accounting for organismal behavior.

      With respect, we do not think our statistical analyses are underdeveloped, though we acknowledge that the detailed reviewer suggestions included the helpful suggestion to include uncertainty in the estimation of confidence intervals around the point estimate of the strength of correlation between latent behavioral and Ca++ response states – we have added these for the PN PC2 linear model (lines 170-172).

      It is indeed a separate question whether the correlations we observed represent causal links from Ca++ to behavior (though our yoked experiment suggests there is not a behavior-to-Ca++ causal relationship — at least one where odor experience through behavior is an upstream cause). We attempted to be precise in indicating that our observations are correlations. That is why we used that word in the title, as an example. In the revision, we worked to ensure this is appropriately reflected in all word choice across the paper.

      Recommendations for the Authors:

      Reviewer #1 (Recommendations for the Authors):

      Detailed comments: Many of the problems can be identified starting from Figure 4, which summarizes the main claims. I will focus on that figure and its tributaries.

      Acknowledging that the strength of several of our inferences are weak compared to what we consider the main result (the relationship between PC2 of Ca++ and OCT-MCH preference),we have removed Figure 4. This makes the focus of the paper much clearer and appropriately puts focus on the results that have strong statistical support.

      (1) The process of "inferring" correlation among the unobserved latent states for neural sensitivity and behavioral bias is unconventional and risky. The larger the assumed noise linking the latent to the observed variables (i.e. the smaller r_b and r_c) the bigger the inferred correlation rho from a given observed correlation R^2_cb. In this situation, the value of the inferred rho becomes highly dependent on what model one assumes that links latent to observed states. But the specific model drawn in Fig 4 suppl 1 is just one of many possible guesses. For example, models with nonlinear interactions could produce different inference.

      We agree with the reviewer’s notes of caution. To be clear, we do not intend for this analysis to be the main takeaway of the paper and have revised it to make this clear. The signal we are most confident in is the simple correlation between measured Ca++ PC2 and measured behavior. We have added more careful language saying that the attempt to infer the correlation between latent signals is one attempt at describing the data generation process (lines 166-172), and one possible estimate of an “underlying” correlation.

      (2) If one still wanted to go through with this inference process and set confidence bounds on rho, one needs to include all the uncertainties. Here the authors only include uncertainty in the value of R^2_c,b and they peg that at +/-20% (Line 1367). In addition there is plenty of uncertainty associated also with R^2_c,c and R^2_b,b. This will propagate into a wider confidence interval on rho.

      We have replaced the arbitrary +/- 20% window with bootstrapping the pairs of (predicted preference by PN PC2, measured preference) points and getting a bootstrap distribution of R2c,b, which is, not surprisingly, considerably wider. Still, we think there is some value in this analysis as the 90% CI of 𝜌signal under this model is 0.24-0.95. That is, including uncertainty about the R2b,b and R2c,c in the model still implies a significant relationship between latent calcium and behavior signals.

      (2.1) The uncertainty in R^2_cb is much greater than +/-20%. Take for example the highest correlation quoted in Fig 4: R^2=0.23 in the top row of panel A. This relationship refers to Fig 1L. Based on bootstrapping from this data set, I find a 90% confidence interval of CI=[0.002, 0.527]. That's an uncertainty of -100/+140%, not +/-20%. Moreover, this correlation is due entirely to the lone outlier on the bottom left. Removing that single fly abolishes any correlation in the data (R^2=0.04, p>0.3). With that the correlation of rho=0.64, the second-largest effect in Fig 4, disappears.

      We acknowledge that removal of the outlier in Fig 1L abolishes the correlation between predicted and measured OCT-AIR preference. We have thus moved that subfigure to the supplement (now Figure 1 – figure supplement 10B), note that we do not have robust statistical support of ORN PC1 predicting OCT-AIR preference in the results (lines 177-178), and place our emphasis on PN PC2’s capacity to predict OCT-MCH preference throughout the text.

      (2.2) Similarly with the bottom line of Fig 4A, which relies on Fig 1M. With the data as plotted, the confidence interval on R^2 is CI=[0.007, 0.201], again an uncertainty of -100/+140%. There are two clear outlier points, and if one removes those, the correlation disappears entirely (R^2=0.06, p=0.09).

      We acknowledge that removal of the two outliers in Fig 1M between predicted and measured OCT-AIR preference abolishes the correlation. We have also moved that subfigure to the supplement (now Figure 1 – figure supplement 10F) and do not claim to have robust statistical support of PN PC1 predicting OCT-AIR preference.

      (2.3) Similarly, the correlation R^2_bb of behavior with itself is weak and comes with great uncertainty (Fig 1 Suppl 1, panels B-E). For example, panel D figures prominently in computing the large inferred correlation of 0.75 between PN responses and OCT-MCH choice (Line 171ff). That correlation is weak and has a very wide confidence interval CI=[0.018, 0.329]. This uncertainty about R^2_bb should be taken into account when computing the likelihood of rho.

      We now include bootstrapping of the 3 hour OCT-MCH persistence data in our inference of 𝜌signal.

      (2.4) The correlation R^2_cc for the empirical repeatability of Ca signals seems to be obtained by a different method. Fig 4 suppl 1 focuses on the repeatability of calcium recording at two different time points. But Line 625ff suggests the correlation R^2_cc=0.77 all derives from one time point. It is unclear how these are related.

      Because our calcium model predictors utilize principal components of the glomerulus-odor responses (the mean Δf/f in the odor presentation window), we compute R2c,c through adding variance explained along the PCs, up to the point in which the component-wise variance explained does not exceed that of shuffled data (lines 609-620 in Materials and Methods). In this revision we now bootstrap the calcium data on the level of individual flies to get a bootstrap distribution of R2c,c, and propagate the uncertainty forward in the inference of 𝜌signal.

      (2.5) To summarize, two of the key relationships in Fig 1 are due entirely to one or two outlier points. These should not even be used for further analysis, yet they underlie two of the claims in Fig 4. The other correlations are weak, and come with great uncertainty, as confirmed by resampling. Those uncertainties should be propagated through the inference procedure described in Fig 4. It seems possible that the result will be entirely uninformative, leaving rho with a confidence interval that spans the entire available range [0,1]. Until that analysis is done, the claims of neuron-to-behavior correlation in this manuscript are not convincing.

      It is important to note that we never thought our analysis of the relationship between latent behavior and calcium signals should be interpreted as the main finding. Instead, the observed correlation between measured behavior and calcium is the take-away result. Importantly, it is also conservative compared to the inferred latent relationship, which in our minds was always a “bonus” analysis. Our revisions are now focused on highlighting the correlations between measured signals that have strong statistical support.

      As a response to these specific concerns, we have propagated uncertainty in all R2’s (calcium-calcium, behavior-behavior, calcium-behavior) in our new inference for 𝜌signal, yielding a new median estimate for PN PC 2 underlying OCT-MCH preference of 0.68, with a 90% CI of 0.24-0.95. (Lines 171-172 in results, Inference of correlation between latent calcium and behavior states section in Materials and Methods).

      (3) Other statistical methods:

      (3.1) The caption of Fig 4 refers to "model applied to train+test data". Does that mean the training data were included in the correlation measurement? Depending on the number of degrees of freedom in the model, this could have led to overfitting.

      We have removed Figure 4 and emphasize the key results in Figure 1 and 2 that we see statistically robust signal of PN PC 2 explaining OCT-MCH preference variation in both a training set and a testing set of flies (Fig 2 – figure supplement 1C-D).

      (3.2) Line 180 describes a model that performed twice as well on test data (31% EV) as it did on training data (15%). What would explain such an outcome? And how does that affect one's confidence in the 31% number?

      The test set recordings were conducted several weeks after the training set recordings, which were used to establish PN PC 2 as a correlate of OCT-MCH preference. The fact that the test data had a higher R2 likely reflects sampling error (these two correlation coefficients are not significantly different). Ultimately this gives us more confidence in our model, as the predictive capacity is maintained in a totally separate set of flies.

      (3.340 Multiple models get compared in performance before settling on one. For example, sometimes the first PC is used, sometimes the second. Different weighting schemes appear in Fig 2. Do the quoted p-values for the correlation plots reflect a correction for multiple hypothesis testing?

      For all calcium-behavior models, we restricted our analysis to 5 PCs, as the proportion of calcium variance explained by each of these PCs was higher than that explained by the respective PC of shuffled data — i.e., there were at most five significant PCs in that data. We thus performed at most 5 hypothesis tests for a given model. PN PC 2 explained 15% of OCT-MCH preference variation, with a p-value of 0.0063 – this p-value is robust to a conservative Bonferroni correction to the 5 hypotheses considered at alpha=0.05.

      The weight schemes in Figure 2 and Figure 1 – figure supplement 10 reflect our interpretations of the salient features of the PCs and are follow-up analysis of the single principal component hypothesis tests. Thus they do not constitute additional tests that should be corrected. We now state in the methods explicitly that all reported p-values are nominal (line 563).

      (3.4) Line 165 ff: Quoting rho without giving the confidence interval is misleading. For example, the rho for the presynaptic density model is quoted as 0.51, which would be a sizeable correlation. But in fact, the posterior on rho is almost flat, see caption of Fig 4 suppl 1, which lists the CI as [0.11, 0.85]. That means the experiments place virtually no constraint on rho. If the authors had taken no data at all, the posterior on rho would be uniform, and give a median of 0.5.

      We now provide a confidence interval around 𝜌signal for the PN PC 2 model (lines 170-172). But per above, and consistent with the new focus of this revision, we view the 𝜌signal inference as secondary to the simple, significant correlation between PN PC 2 and OCT-MCH preference.

      (4) As it stands now, this paper illustrates how difficult it is to come to a strong conclusion in this domain. This may be worth some discussion. This group is probably in a better position than any to identify what are the limiting factors for this kind of research.

      We thank the reviewer for this suggestion and have added discussion of the difficulties in detecting signals for this kind of problem. That said, we are confident in stating that there is a meaningful correlation between PC 2 of PN Ca++ responses and OCT-MCH behavior given our model’s performance in predicting preference in a test set of flies, and in the consistent signal in ORN Bruchpilot.

      Reviewer #3 (Recommendations for the Authors):

      Two major concerns, one experimental/technical and one conceptual:

      (1) I appreciate the difficulty of the experimental design and problem. However, the correlations reported throughout are based on neural measurements in only 5 glomeruli (~10% of the olfactory system) at early stages of olfactory processing.

      We acknowledge that only imaging 5 glomeruli is regrettable. We worked hard to develop image analysis pipelines that could reliably segment as many glomeruli as possible from almost all individual flies. In the end, we concluded that it was better to focus our analysis on a (small) core set of glomeruli for which we had high confidence in the segmentation. Increasing the number of analyzed glomeruli is high on the list of improvements for subsequent studies. Happily, we are confident that we are capturing a significant, biologically meaningful correlation between PC 2 of PN calcium (dominated by the responses in DC2 and DM2) and OCT-MCH preference.

      3-OCT and MCH activate many glomeruli in addition to the five studied, especially at the concentrations used. There is also limited odor-specificity in their response matrix: notably responses are more correlated in all glomeruli within an individual, compared to responses across individuals (they note this in lines 194-198, though I don't quite understand the specific point they make here). This is a sign of high experimental variability (typically the dynamic range of odor response within an individual is similar to the range across individuals) and makes it even more difficult to resolve underlying individual variation.

      We respectfully disagree with the reviewer’s interpretation here. There is substantial odor-specificity in our response matrix. This is evident in both the ORN and PN response matrices (and especially the PN matrix) as variation in the brightness across rows. Columns, which correspond to individuals, are more similar than rows, which correspond to odor-glomerulus pairs. The dynamic range within an individual (within a column, across rows) is indeed greater than the variation among individuals (within a row, across columns).

      As an (important) aside, the odor stimuli are very unusual in this study. Odors are delivered at extremely high concentrations (variably 10-25% sv, line 464, not exactly sure what "variably' means- is the stimulus intensity not constant?) as compared to even the highest concentrations used in >95% of other studies (usually <~0.1% sv delivered).

      We used these concentrations for a variety of reasons. First, following the protocol of Honegger and Smith (2020), we found that dilutions in this range produce a linear input-output relationship, i.e. doubling or halving one odorant yields proportionate changes in odor-choice behavior metrics. Second, such fold dilutions are standard for tunnel assays of the kind we used. Claridge-Chang et al. (2009) used 14% and 11% for MCH and OCT respectively, for instance. Finally, the specific dilution factor (i.e., within the range of 10-25%) was adjusted on a week-by-week basis to ensure that in an OCT-MCH choice, the mean preference was approximately 50%. This yields the greatest signal of individual odor preference. We have added this last point to the methods section where the range of dilutions is described (lines 442-445).

      A parsimonious interpretation of their results is that the strongest correlation they see (ORN PC1 predicts OCT v. air preference) arises because intensity/strength of ORN responses across all odors (e.g. overall excitability of ORNs) partially predicts behavioral avoidance of 3-OCT. However, the degree to which variation in odor-specific glomerular activation patterns can explain behavioral preference (3-OCT v. MCH) seems much less clear, and correspondingly the correlations are weaker and p-values larger for the 3-OCT v. MCH result.

      With respect, we disagree with this analysis. The correlation between ORN PC 1 and OCT v. air preference (R2 \= 0.23) is quite similar to that of PN PC 2 and OCT vs MCH preference (R2 \= 0.20). However, the former is dependent on a single outlying point, whereas the latter is not. The latter relationship is also backed up by the BRP imaging and modeling. Therefore in the revision we have de-emphasized the OCT v. air preference model and emphasized the OCT v. MCH preference models.

      (2) There is a broader conceptual concern about the degree of logical consistency in the authors' interpretation of how neural variability maps to behavioral variability. For instance, the two odors they focus on, 3-OCT and MCH, barely activate ORNs in 4 of the 5 glomeruli they study. Most of the correlation of ORN PC1 vs. behavioral choice for 3-OCT vs. air, then, must be driven by overall glomerular activation by other odors (but remains predictive since responses across odors appear correlated within an individual). This gives pause to the interpretation that 3-OCT-evoked ORN activity in these five glomeruli is the neural substrate for variability in the behavioral response to 3-OCT.

      Our interpretation of the ORN PC1 linear model is not that 3-OCT-evoked ORN activity is the neural substrate for variability – instead, it is the general responsiveness of an individual’s AL across multiple odors (this is our interpretation of the the uniformly positive loadings in ORN PC1). It is true that OCT and MCH do not activate ORNs as strongly as other odorants – our analysis rests on the loadings of the PCs that capture all odor/glomerulus combinations available in our data. All that said, since a single outlier in Figure 1L dominates the relationship, therefore we have de-emphasized these particular results in our revision.

      This leads to the most significant concern, which is that the paper does not provide strong evidence that odor-specific patterns of glomerular activation in ORNs and PNs underlie individual behavioral preference between different odors (that each drive significant levels of activity, e.g. 3-OCT v. MCH), or that the ORN-PN synapse is a major driver of individual behavioral variability. Lines 26-31 of the abstract are not well supported, and the language should be softened.

      We have modified the abstract to emphasize our confidence in PN calcium correlating with odor-vs-odor preference (removing the ORN & odor-vs-air language).

      Their conclusions come primarily from having correlated many parameters reduced from the ORN and PN response matrices against the behavioral data. Several claims are made that a given PC is predictive of an odor preference while others are not, however it does not appear that the statistical tests to support this are shown in the figures or text.

      For each linear model of calcium dynamics predicting preference, we restricted our analysis to the first 5 principal components. Thus, we do not feel that we correlated many parameters against the behavioral data. As mentioned below, the correlations identified by this approach comfortably survive a conservative Bonferroni correction. In this revision, a linear model with a single predictor – the projection onto PC 2 of PN calcium – is the result we emphasize in the text, and we report R2 between measured and predicted preference for both a training set of flies and for a test set of flies (Figure 1M and Figure 2 – figure supplement 1).

      That is, it appears that the correlation of models based on each component is calculated, then the component with the highest correlation is selected, and a correlation and p-value computed based on that component alone, without a statistical comparison between the predictive values of each component, or to account for effectively performing multiple comparisons. (Figure 1, k l m n o p, Figure 3, d f, and associated analyses).

      To reiterate, this was our process: 1) Collect a training data set of paired Ca++ recordings and behavioral preference scores. 2) Compute the first five PCs of the Ca++ data, and measure the correlation of each to behavior. 3) Identify the PC with the best correlation. 4) Collect a test data set with new experimental recordings. 5) Apply the model identified in step 3. For some downstream analyses, we combined test and training data, but only after confirming the separate significance of the training and test correlations.

      The p-values associated with the PN PC 2 model predicting OCT-MCH preference are sufficiently low in each of the training and testing sets (0.0063 and 0.0069, respectively) to pass a conservative Bonferroni multiple hypothesis correction (one hypothesis for each of the 5 PCs) at an alpha of 0.05.

      Additionally, the statistical model presented in Figure 4 needs significantly more explanation or should be removed- it's unclear how they "infer" the correlation, and the conclusions appears inconsistent with Figure 3 - Figure Supplement 2.

      We have removed Figure 4 and have improved upon our approach of inferring the strength of the correlation between latent calcium and behavior in the Methods, incorporating bootstrapping of all sources of data used for the inference (lines 622-628). At the same time, we now emphasize that this analysis is a bonus of sorts, and that the simple correlation between Ca++ and behavior is the main result.

      Suggestions:

      (1) If the authors want to make the claim that individual variation in ORN or PN odor representations (e.g. glomerular activation patterns) underlie differences in odor preference (MCH v. OCT), they should generalize the weak correlation between ORN/PN activity and behavior to additional glomeruli and pair of odors, where both odors drive significant activity. Otherwise, the claims in the abstract should be tempered.

      We have modified the abstract to focus on the effect we have the highest confidence in: contrasting PN calcium activation of DM2 and DC2 predicting OCT-MCH preference.

      (2) One of the most valuable contributions a study like this could provide is to carefully quantify the amount of measurement variation (across trials, across hemispheres) in neural responses relative to the amount of individual variation (across individuals). Beyond the degree of variation in the amplitude of odor responses, the rank ordering of odor response strength between repeated measurements (to try to establish conditions that account for adaptation, etc.), between hemispheres, and between individuals is important. Establishing this information is foundational to this entire field of study. The authors take a good first step towards this in Figure 1J and Figure 1, supplement 5C, but the plots do not directly show variance, and the comparison is flawed because more comparisons go into the individual-individual crunch (as evidenced by the consistently smaller range of quartiles). The proper way to do this is by resampling.

      We do not know what the reviewer means by “individual-individual crunch,” unfortunately. Thus, it is difficult to determine why they think the analysis is flawed. We are also uncertain about the role of resampling in this analysis. The medians, interquartile ranges and whiskers in the panels referenced by the reviewer are not confidence intervals as might be determined by bootstrap resampling. Rather, these are direct statistics on the coding distances as measured – the raw values associated with these plots are visualized in Figure 1H.

      In our revision we updated the heatmaps in Figure 1 – figure supplement 3 to include recordings across the lobes and trials of each individual fly, and we have added a new supplementary figure, Figure 1 – figure supplement 4, to show the correspondence between recordings across lobes or trials, with associated rank-order correlation coefficients. Since the focus of this study was whether measured individual differences predict individual behavioral preference, a full characterization of the statistics of variation in calcium responses was not the focus, though it was the focus of a previous study (Honegger & Smith et al., 2019).

      To help the reader understand the data, we would encourage displaying data prior to dimensionality reduction - why not show direct plots of the mean and variance of the neural responses in each glomerulus across repeats, hemispheres, individuals?

      We added a new supplementary figure, Figure 1 – figure supplement 4, to show the correspondence between recordings across lobes or trials.

      A careful analysis of this point would allow the authors to support their currently unfounded assertion that odor responses become more "idiosyncratic" farther from the periphery (line 135-36); presumably they mean beyond just noise introduced by synaptic transmission, e.g. "idiosyncrasy" is reproducible within an individual. This is a strong statement that is not well-supported at present - it requires showing the degree of similarity in the representation between hemispheres is more similar within a fly than between flies in PNs compared to ORNs (see Hige... Turner, 2015).

      Here are the lines in question: “PN responses were more variable within flies, as measured across the left and right hemisphere ALs, compared to ORN responses (Figure 1 – figure supplement 5C), consistent with the hypothesis that odor representations become more idiosyncratic farther from the sensory periphery.”

      That responses are more idiosyncratic farther from the periphery is therefore not an “unfounded assertion.” It is clearly laid out as a hypothesis for which we can assess consistency in the data. We stand by our original interpretation: that several observations are consistent with this finding, including greater distance in coding space in PNs compared to ORNs, particularly across lobes and across flies. In addition, higher accuracy in decoding individual identity from PN responses compared to ORN responses (now appearing as Figure 1 – figure supplement 6A) is also consistent with this hypothesis.

      Still, to make confusion at this sentence less likely, we have reworded it as “suggesting that odor representations become more divergent farther from the sensory periphery.” (lines 139-140)

      (3) Figure 3 is difficult to interpret. Again, the variability of the measurement itself within and across individuals is not established up front. Expression of exogenous tagged brp in ORNs is also not guaranteed to reflect endogenous brp levels, so there is an additional assumption at that level.

      Figure 3 – figure supplement 1 Panels A-C display the variability of measurements (Brp volume, total fluorescence and fluorescence density) both within (left/right lobes) and across individuals (the different data points). We agree that exogenous tagged Brp levels will not be identical to endogenous levels. The relationship appears significant despite this caveat.

      Again there are statistical concerns with the correlations. For instance, the claim that "Higher Brp in DM2 predicted stronger MCH preference... " on line 389 is not statistically supported with p<0.05 in the ms (see Figure 3 G as the closest test, but even that is a test of the difference of DM2 and DC2, not DM2 alone).

      We have changed the language to focus on the pattern of the loadings in PC 2 of Brp-Short density and replaced “predict.” (lines 366-369).

      Can the authors also discuss what additional information is gained from the expansion microscopy in the figure supplement, and how it compares to brp density in DC2 using conventional methods?

      The expansion microscopy analysis was an attempt to determine what specific aspect of Brp expression was predictive of behavior, on the level of individual Brp puncta, as a finer look compared to the glomerulus-wide fluorescence signal in the conventional microscopy approach. Since this method did not yield a large sample size, at best we can say it provided evidence consistent with the observation from confocal imaging that Brp fluorescent density was the best measure in terms of predicting behavior.

      I would prefer to see the calcium and behavioral datasets strengthened to better establish the relationship between ORN/PN responses and behavior, and to set aside the anatomical dataset for a future work that investigates mechanisms.

      We are satisfied that our revisions put appropriate emphasis on a robust result relating calcium and behavior measurements: the relationship between OCT-MCH preference and idiosyncratic PN calcium responses. Finding that idiosyncratic Brp density has similar PC 2 loadings that also significantly predict behavior is an important finding that increases confidence in the calcium-behavior finding. We agree with the reviewer that these anatomical findings are secondary to the calcium-behavior analyses, but think they warrant a place in the main findings of the study. As the reviewer suggests, we are conducting follow-on studies that focus on the relationship between neuroanatomical measures and odor preference.

      (4) The mean imputation of missing data may have an effect on the conclusions that it is possible to draw from this dataset. In particular, as shown in Figure 1, supplemental figure 3, there is a relatively large amount of missing data, which is unevenly distributed across glomeruli and between the cell types recorded from. Strikingly, DC2 is missing in a large fraction of ORN recordings, while it is present in nearly all the PN recordings. Because DC2 is one of the glomeruli implicated in predicting MCH-OCT preference, this lack of data may be particularly likely to effect the evaluation of whether this preference can be predicted from the ORN data. Overall, mean imputation of glomerulus activity prior to PCA will artificially reduce the amount of variance contributed by the glomerulus. It would be useful to see an evaluation of which results of this paper are robust to different treatments of this missing data.

      We confirmed that the linear model of predicted OCT-MCH using PN PC2 calcium was minimally altered when we performed imputation via alternating least squares using the pca function with option ‘als’ to infill missing values on the calcium matrix 1000 times and taking the mean infilled matrix (see MATLAB documentation and Figure 1 – figure supplement 5 of Werkhoven et al., 2021). Fitted slope value for model using mean-infilled data presented in article: -0.0806 (SE = 0.028, model R2 \= 0.15), fitted slope value using ALS-imputed model: -0.0806 (SE 0.026, model R2 \= 0.17).

      Additional comments:

      (1) On line 255 there is an unnecessary condition: "non-negative positive".

      Thank you – non-negative has been removed.

      (2) In Figure 4 and the associated analysis, selection of +/- 20% interval around the observed $R^2$ appears arbitrary. This could be based on the actual confidence interval, or established by bootstrapping.

      We have replaced the +/- 20% rule by bootstrapping the calculation of behavior-behavior R2, calcium-calcium R2, and calcium-behavior R2 and propagating the uncertainties forward (Inference of correlation between latent calcium and behavior states section in Materials and Methods).

      (3) On line 409 the claim is made "These sources of variation specifically implicate the ORN-PN synapse..." While the model recapitulates the glomerulus specific variation of activity under PN synapse density variation, it also occurs under ORN identity variation, which calls into question whether the synapse distribution itself is specifically implicated, or if any variation that is expected to be glomerulus specific would be equally implicated.

      We agree with this observation. We found that varying either the ORNs or the PNs that project to each glomeruli can produce patterns of PN response variation similar to what is measured experimentally. This is consistent with the idea that the ORN-PN synapse is a key site of behaviorally-relevant variation.

      (4) Line 214 "... we conclude that the relative responses of DM2 vs DC2 in PNs largely explains an individual's preference." is too strong of a claim, based on the fact that using the PC2 explains much more of the variance, while using the stated hypothesis noticeable decreases the predictive power ($R^2$ = 0.2 vs $R^2$ = 0.12 )

      We have changed the wording here to “we conclude that the relative responses of DM2 vs DC2 in PNs compactly predict an individual’s preference.” (lines 192-193)

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      This study investigated the mechanism by which PGE2 inhibits the release of insulin from pancreatic beta cells in response to glucose. The researchers used a combination of cell line experiments and studies in mice with genetic ablation of the Kv2.2 channel. Their findings suggest a novel pathway where PGE2 acts through EP2/EP4 receptors to activate PKA, which directly phosphorylates a specific site (S448) on the Kv2.2 channel, inhibiting its activity and reducing GSIS.

      Strengths:

      - The study elegantly demonstrates a potential pathway connecting PGE2, EP2/EP4 receptors, PKA, and Kv2.2 channel activity, using embryonic cell line.

      - Additional experiments in INS1 and primary mouse beta cells with altered Kv2.2 function partially support the inhibitory role of PGE2 on GSIS through Kv2.2 inhibition.

      Weaknesses:

      - A critical limitation is the use of HEK293T cells, which are not pancreatic beta cells. Functional aspects can differ significantly between these cell types.

      - The study needs to address the apparent contradiction of PKA activating insulin secretion in beta cells, while also inhibiting GSIS through the proposed mechanism.

      - A more thorough explanation is needed for the discrepancies observed between the effects of PGE2 versus Kv2.2 knockdown/mutation on the electrical activity of beta cells and GSIS.

      Thank you for your positive evaluation and constructive feedback on our study. We appreciate the concern regarding the use of HEK293T cells, which are not pancreatic beta cells and may exhibit functional differences. In response, we have repeated our key experiments using INS1 cells and primary mouse beta cells, which are more representative of the native beta cell environment. These additional experiments confirm our hypothesis and further support the role of Kv2.2 in PGE2-induced inhibition of GSIS. In beta cells, glucose-induced PKA activation is highly localized. As a result, while some PKA pathways promote insulin secretion, others may inhibit it. To directly demonstrate that PGE2-induced PKA phosphorylation of Kv2.2 is involved in the inhibitory effect on GSIS, we overexpressed the S448A mutant Kv2.2 channel in INS-1(832/13) cells. Our results show that Kv2.2-S448A channels significantly attenuate the inhibitory effect of PGE2 on GSIS, further supporting the critical role of Kv2.2 phosphorylation at S448. These data have been added to the revised Figure 7C.

      Reviewer #2 (Public Review):

      The authors identified new target elements for prostaglandin E2 (PGE2) through which insulin release can be regulated in pancreatic beta cells under physiological conditions. In vitro extracellular exposure to PGE2 could directly and dose-dependently inhibit the potassium channel Kv2.2. In vitro pharmacology revealed that this inhibition occurs through the EP2/4 receptors, which activate protein kinase A (PKA). By screening specific sites of the Kv2.2 channel, the target phosphorylation site (S448) for PKA regulation was found. The physiological relevance of the described signaling cascade was investigated and confirmed in vivo, using a Kv2.2 knockdown mouse model.

      The strength of this manuscript is the novelty of the (EP2/4-PKA-Kv2.2 channel) molecular pathway described and the comprehensive methodological toolkit the authors have relied upon.

      The introduction is detailed and contains all the information necessary to place the claims in context. Although the dataset is comprehensive and a logical lead is consistently built, there is one important point to consider: to clarify that the described signaling pathway is characteristic of normal physiological conditions and thus differs from pathological changes. It would be useful to carry out basic experiments in a diabetes model (regardless of whether this is in mice or rats).

      Thank you for your positive evaluation and insightful comment. We have clarified in the Discussion section that our findings pertain specifically to physiological conditions. We acknowledge the importance of investigating the signaling pathway in a pathological context and plan to conduct experiments using a diabetes model in future studies to explore how this pathway may differ under such conditions.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) Figure 3A-C: PKA activation regulates different functional aspects in beta cells and HEK293T cells. It is well known that PKA activation enhances insulin secretion in beta cells, therefore the mechanisms that allow the same pathway at the same time to inhibit GSIS are not clear and should be addressed by experiments in beta cells.

      Thank you for your insightful comment. Specificity and versatility in cAMP-PKA signaling are governed by the spatial localization and temporal dynamics of the signal. In beta cells, glucose-induced PKA activation is highly localized (Tengholm and Gylfe, 2017). As a result, while some PKA pathways promote insulin secretion, others may inhibit it. For example, a global increase in cAMP, such as through treatment with Db-cAMP, can simultaneously activate both stimulatory and inhibitory PKA pathways, reflecting a more integrated, complex response. In previous studies, 1 mM Db-cAMP was shown to enhance GSIS in INS-1 cells (Dezaki et al., 2011). We observed that 1 mM Db-cAMP increased GSIS, but lower concentrations (10 mM) decreased GSIS (as shown in Author response image 1). These findings suggest that not all PKA signaling events increase GSIS. To further investigate the role of PGE2-induced PKA phosphorylation of Kv2.2 in the inhibition of GSIS, we overexpressed the S448A mutant of Kv2.2 in INS-1 (832/13) cells. Our results showed that the Kv2.2-S448A mutant significantly attenuated the inhibitory effect of PGE2 on GSIS. These new data have been incorporated into the revised Figure 7C.

      Author response image 1.

      Effect of Db-cAMP on GSIS in INS-1 cells. Statistics for the effect of different concentrations of Db-cAMP on GSIS in INS-1(832/13) cells. One-way ANOVA with Bonferroni post hoc test. *p < 0.05; ***p < 0.001; ****p < 0.0001; n.s., not significant.

      (2) Figure 3G: One would expect that the phospho-mimetic mutation, S448D, will have an opposite effect to S448A and a similar effect as PGE2 or PKA activator in Figure 3B. There is no explanation by the authors for having the same effect in S448A and S448D.

      Thank you for your thoughtful comment. Indeed, the S448D mutation exhibited a similar effect to PGE2 on Kv2.2 channels, as we observed significantly smaller currents compared to wild-type Kv2.2 (Figure 3F). The S448D mutation mimics the phosphorylated state of S448, and since PGE2 regulates Kv2.2 channels by phosphorylating this residue, it has no further effect on the S448D mutant (Figure 3G). In contrast, the S448A mutation prevents phosphorylation at this site, which explains why PGE2 has no effect on the currents of S448A mutant Kv2.2 channels (Figure 3H). These results confirm that PGE2 modulates Kv2.2 channels specifically through phosphorylation of S448, as evidenced by the lack of effect on both the S448A and S448D mutants.

      (3) Figure 4E: Since both PGE2 and Kv2.2 KD inhibit the activity of the channel, it doesn't definitively prove whether PGE2 acts through Kv2.2 in INS-1 cells. A complementary experiment should be done in which overactivation of Kv2.2 rescues the effect of PGE2. For example, with the S448A form of the channel.

      We appreciate your comment and valuable suggestion. Knockdown of Kv2.2 abrogated the inhibitory effect of PGE2 on I<sub>K</sub> currents in INS-1 cells (Figure 4E and F), which strongly indicates that PGE2 acts through Kv2.2. While we agree that the suggested complementary experiment with Kv2.2 overactivation (e.g., using the S448A mutant) could provide additional insights, we believe the current data sufficiently support our conclusion, as the knockdown of Kv2.2 eliminates the observed PGE2 effect, providing direct evidence of the channel's involvement.

      (4) Figure 5C: This result requires further explanation. If PGE2 downregulates Kv2.2 activity and has an inhibitory effect on GSIS, why does Kv2.2 KD have the opposite effect?

      The knockdown of Kv2.2 (Fig. 5C) reduced action potential (AP) firing rates compared to the scramble control (Fig. 5B), which is expected because Kv2.2 is critical for maintaining AP firing. When Kv2.2 is knocked down, the reduced AP firing diminishes the system’s responsiveness to further modulation by PGE2. This is because PGE2 exerts its effects primarily through Kv2.2 channels. Therefore, in the Kv2.2 knockdown condition, PGE2 does not exert an additional inhibitory effect on AP firing rates, as the channels critical for its action are already impaired.

      (5) Figure 5D - The EP1-EP4 receptor antibodies should be validated at least in INS-1(832/13) cells using knockdowns.

      Thank you for your suggestion. We have validated the EP1-EP4 receptor antibodies in INS-1(832/13) cells using knockdown experiments. The validation results, including confirmation of specificity and knockdown efficiency, are provided in Supplemental Figure S2.

      (6) Figure 7B - These experiments don't necessarily prove that PGE2 acts directly through Kv2.2 inhibition. Using the S448A mutation in these experiments could prove this point.

      Thank you for this valuable suggestion. We have now overexpressed the S448A mutant Kv2.2 channels in INS-1(832/13) cells, and the results demonstrate that Kv2.2-S448A channels significantly reduce the inhibitory effect of PGE2 on GSIS. These new data have been incorporated into the revised Figure 7C.

      Reviewer #2 (Recommendations For The Authors):

      (1) Deficiencies and inaccuracies in the description of the methods (animal numbers, name of vendors, abbreviations) and the typos in the figures (axis label) require correction.

      Thank you for pointing this out. We have carefully reviewed the manuscript and the figures, making the necessary corrections to address the deficiencies in the methods section and the typos in the figure axis labels.

      (2) Reducing the number of figures (Figures 7/C-E: knockout mouse line test and Figure1/HEK cell experiments could be part of supplementary) and paragraphs would make the manuscript more compact and powerful. It would also ease its reading for non-experts.

      Thank you for your suggestion. We have moved Figures 7C-E to the supplementary data (Supplemental Figure S1) to streamline the main manuscript.

      (3) Multiple immunostainings for EP receptors in insulinoma cells or pancreatic islets would be representative.

      Due to the rabbit-derived nature of the antibodies (EP1, EP2, EP4), performing multiple immunostainings on the same samples is not feasible due to potential cross-reactivity. However, the immunohistochemistry images demonstrate that each antibody labels more than 90% of the cells, indicating that β-cell express different subtypes of EP receptors simultaneously.

      (4) The antagonists chosen (AH6809, AH23848) are non-specific. Experiments should be re-run (at least some) under more stringent conditions.

      Thank you for your suggestion. AH6809 and AH23848 are well-documented, widely used antagonists in the literature. To further strengthen our findings, we have included additional, widely-used antagonists: the EP2-specific antagonist TG4155 and the EP4-specific antagonist GW627368. The results obtained with these new antagonists were consistent with those observed using AH6809 and AH23848. These updated data are now included in the revised Figure 4I and 4J.

      (5) It would be very helpful to indeed emphasise that this work is for physiological conditions and that it is (or is not) modified in diabetes. Maybe even irrelevant for diabetes (?). This needs to be clarified and supported by data even if one could assume the authors intend to have a follow-up entirely dedicated to pathological changes, perhaps.

      Thank you for this insightful comment. We have clarified in the Discussion that our findings are specific to physiological conditions. To address this point, we have added the following statement:

      "Importantly, our findings pertain to physiological conditions. While we demonstrate the inhibitory effects of PGE2 on Kv2.2 channels in normal b-cells, the role of this pathway under diabetic conditions remains to be investigated and will be the focus of future studies."

      Dezaki K, Damdindorj B, Sone H, Dyachok O, Tengholm A, Gylfe E, Kurashina T, Yoshida M, Kakei M, Yada T (2011) Ghrelin attenuates cAMP-PKA signaling to evoke insulinostatic cascade in islet beta-cells. Diabetes 60:2315-2324.

      Tengholm A, Gylfe E (2017) cAMP signalling in insulin and glucagon secretion. Diabetes Obes Metab 19 Suppl 1:42-53.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife Assessment

      This study attempts to resolve an apparent paradox of rapid evolutionary rates of multi-copy gene systems by using a theoretical model that integrates two classic population models. While the conceptual framework is intuitive and thus useful, the specific model is perplexing and difficult to penetrate for non-specialists. The data analysis of rRNA genes provides inadequate support for the conclusions due to a lack of consideration of technical challenges, mutation rate variation, and the relationship between molecular processes and model parameters.

      Overall Responses:

      Since the eLife assessment succinctly captures the key points of the reviews, the reply here can be seen as the overall responses to the summed criticisms. We believe that the overview should be sufficient to address the main concerns, but further details can be found in the point-by-point responses below. The overview covers the same grounds as the provisional responses (see the end of this rebuttal) but is organized more systematically in response to the reviews. The criticisms together fall into four broad areas. 

      First, the lack of engagement with the literature, particularly concerning Cannings models and non-diffusive limits. This is the main rebuttal of the companion paper (eLife-RP-RA-2024-99990). The literature in question is all in the WF framework and with modifications, in particular, with the introduction of V(K). Nevertheless, all WF models are based on population sampling. The Haldane model is an entirely different model of genetic drift, based on gene transmission. Most importantly, the WF models and the Haldane model differ in the ability to handle the four paradoxes presented in the two papers. These paradoxes are all incompatible with the WF models.

      Second, the poor presentation of the model that makes the analyses and results difficult to interpret. In retrospect, we fully agree and thank all the reviewers for pointing them out. Indeed, we have unnecessarily complicated the model. Even the key concept that defines the paradox, which is the effective copy number of rRNA genes, is difficult to comprehend. We have streamlined the presentation now. Briefly, the complexity arose from the general formulation permitting V(K) ≠ E(K) even for single copy genes. (It would serve the same purpose if we simply let V(K) = E(K) for single copy genes.) The sentences below, copied from the new abstract, should clarify the issue. The full text in the Results section has all the details.

      “On average, rDNAs have C ~ 150 - 300 copies per haploid in humans. While a neutral mutation of a single-copy gene would take 4N generations (N being the population size of an ideal population) to become fixed, the time should be 4NC* generations for rRNA genes (C* being the effective copy number). Note that C* >> 1, but C* < (or >) C would depend on the drift strength. Surprisingly, the observed fixation time in mouse and human is < 4N, implying the paradox of C* < 1.”

      Third, the confusion about which rRNA gene is being compared with which homology, as there are hundreds of them. We should note that the effective copy number C* indicates that the rRNA gene arrays do not correspond with the “gene locus” concept. This is at the heart of the confusion we failed to remove clearly. We now use the term “pseudo-population” to clarify the nature of rDNA variation and evolution. The relevant passage is reproduced from the main text shown below.

      “The pseudo-population of ribosomal DNA copies within each individual

      While a human haploid with 200 rRNA genes may appear to have 200 loci, the concept of "gene loci" cannot be applied to the rRNA gene clusters. This is because DNA sequences can spread from one copy to others on the same chromosome via replication slippage. They can also spread among copies on different chromosomes via gene conversion and unequal crossovers (Nagylaki 1983; Ohta and Dover 1983; Stults, et al. 2008; Smirnov, et al. 2021). Replication slippage and unequal crossovers would also alter the copy number of rRNA genes. These mechanisms will be referred to collectively as the homogenization process. Copies of the cluster on the same chromosome are known to be nearly identical in sequences (Hori, et al. 2021; Nurk, et al. 2022). Previous research has also provided extensive evidence for genetic exchanges between chromosomes (Krystal, et al. 1981; Arnheim, et al. 1982; van Sluis, et al. 2019).

      In short, rRNA gene copies in an individual can be treated as a pseudo-population of gene copies. Such a pseudo-population is not Mendelian but its genetic drift can be analyzed using the branching process (see below). The pseudo-population corresponds to the "chromosome community" proposed recently (Guarracino, et al. 2023). As seen in Fig. 1C, the five short arms harbor a shared pool of rRNA genes that can be exchanged among them. Fig. 1D presents the possible molecular mechanisms of genetic drift within individuals whereby mutations may spread, segregate or disappear among copies. Hence, rRNA gene diversity or polymorphism refers to the variation across all rRNA copies, as these genes exist as paralogs rather than orthologs. This diversity can be assessed at both individual and population levels according to the multi-copy nature of rRNA genes.”

      Fourth, the lack of consideration of many technical challenges. We have responded to the criticisms point-by-point below. One of the main criticisms is about mutation rate differences between single-copy and rRNA genes. We did in fact alluded to the parity in mutation rate between them in the original text but should have presented this property more prominently as is done now. Below is copied from the revised text:

      “We now consider the evolution of rRNA genes between species by analyzing the rate of fixation (or near fixation) of mutations. Polymorphic variants are filtered out in the calculation. Note that Eq. (3) shows that the mutation rate, m, determines the long-term evolutionary rate, l. Since we will compare the l values between rRNA and single-copy genes, we have to compare their mutation rates first by analyzing their long-term evolution. As shown in Table S1, l falls in the range of 50-60 (differences per Kb) for single copy genes and 40 – 70 for the non-functional parts of rRNA genes. The data thus suggest that rRNA and single-copy genes are comparable in mutation rate. Differences between their l values will have to be explained by other means.”

      While the overview should address the key issues, we now present the point-by-point response below. 

      Public Reviews:

      Reviewer #1 (Public Review):

      The manuscript by Wang et al is, like its companion paper, very unusual in the opinion of this reviewer. It builds off of the companion theory paper's exploration of the "Wright-Fisher Haldane" model but applies it to the specific problem of diversity in ribosomal RNA arrays.

      The authors argue that polymorphism and divergence among rRNA arrays are inconsistent with neutral evolution, primarily stating that the amount of polymorphism suggests a high effective size and thus a slow fixation rate, while we, in fact, observe relatively fast fixation between species, even in putatively non-functional regions.

      They frame this as a paradox in need of solving, and invoke the WFH model.

      The same critiques apply to this paper as to the presentation of the WFH model and the lack of engagement with the literature, particularly concerning Cannings models and non-diffusive limits. However, I have additional concerns about this manuscript, which I found particularly difficult to follow.

      Response 1: We would like to emphasize that, despite the many modified WF models, there has not been a model for quantifying genetic drift in multi-copy gene systems, due to the complexity of two levels of genetic drift – within individuals as well as between individuals of the population. We will address this question in the revised manuscript (Ruan, et al. 2024) and have included a mention of it in the text as follows:

      “In the WF model, gene frequency is governed by 1/N (or 1/2_N_ in diploids) because K would follow the Poisson distribution whereby V(K) = E(K). As E(K) is generally ~1, V(K) would also be ~ 1. In this backdrop, many "modified WF" models have been developed(Der, et al. 2011), most of them permitting V(K) ≠ E(K) (Karlin and McGregor 1964; Chia and Watterson 1969; Cannings 1974). Nevertheless, paradoxes encountered by the standard WF model apply to these modified WF models as well because all WF models share the key feature of gene sampling (see below and (Ruan, et al. 2024)). ”

      My first, and most major, concern is that I can never tell when the authors are referring to diversity in a single copy of an rRNA gene compared to when they are discussing diversity across the entire array of rRNA genes. I admit that I am not at all an expert in studies of rRNA diversity, so perhaps this is a standard understanding in the field, but in order for this manuscript to be read and understood by a larger number of people, these issues must be clarified.

      Response 2: We appreciate the reviewer’s feedback and acknowledge that the distinction between the diversity of individual rRNA gene copies and the diversity across the entire array of rRNA genes may not have been clearly defined in the original manuscript. The diversity in our manuscript is referring to the genetic diversity of the population of rRNA genes in the cell. To address this concern, we have revised the relevant paragraph in the text:

      “Hence, rRNA gene diversity or polymorphism refer to the variation across all rRNA copies, as these genes exist as paralogs rather than orthologs. This diversity can be assessed at both individual and population levels according to the multi-copy nature of rRNA genes.”

      Additionally, we have updated the Methods section to include a detailed description of how diversity is measured as follows:

      “All mapping and analysis are performed among individual copies of rRNA genes.

      Each individual was considered as a psedo-population of rRNA genes and the diversity of rRNA genes was calculated using this psedo-population of rRNA genes.”

      The authors frame the number of rRNA genes as roughly equivalent to expanding the population size, but this seems to be wrong: the way that a mutation can spread among rRNA gene copies is fundamentally different than how mutations spread within a single copy gene. In particular, a mutation in a single copy gene can spread through vertical transmission, but a mutation spreading from one copy to another is fundamentally horizontal: it has to occur because some molecular mechanism, such as slippage, gene conversion, or recombination resulted in its spread to another copy. Moreover, by collapsing diversity across genes in an rRNA array, the authors are massively increasing the mutational target size.   

      For example, it's difficult for me to tell if the discussion of heterozygosity at rRNA genes in mice starting on line 277 is collapsed or not. The authors point out that Hs per kb is ~5x larger in rRNA than the rest of the genome, but I can't tell based on the authors' description if this is diversity per single copy locus or after collapsing loci together. If it's the first one, I have concerns about diversity estimation in highly repetitive regions that would need to be addressed, and if it's the second one, an elevated rate of polymorphism is not surprising, because the mutational target size is in fact significantly larger.

      Response 3: As addressed in previous Response2, the measurement of diversity or heterozygosity of rRNA genes is consistently done by combining copies, as there is no concept of single gene locus for rDNAs. We agree that by combining the diversity across multiple rRNA gene copies into one measurement, the mutational target size is effectively increased, leading to higher observed levels of diversity than one gene. This is in line with our text:

      “If we use the polymorphism data, it is as if rDNA array has a population size 5.2 times larger than single-copy genes. Although the actual copy number on each haploid is ~ 110, these copies do not segregate like single-copy genes and we should not expect N* to be 100 times larger than N. The HS results confirm the prediction that rRNA genes should be more polymorphic than single-copy genes.”

      Under this consensus, the reviewer points out that the having a large number of rRNA genes is not equivalent to having a larger population size, because the spreading of mutations among rDNA copies within a species involves two stages: within individual (horizontal transmission) and between individuals (vertical transmission). Let’s examine how the mutation spreading mechanisms influence the population size of rRNA genes.

      First, an increase in the copy number of rRNA genes dose increase the actual population size (CN) of rRNA genes. If reviewer is referring to the effective population size of rRNA genes in the context of diversity (N* = CN/V*(K)), then an increase in C would also increase N*. In addition, the linkage among copies would reduce the drift effect, leading to increase diversity. Conversely, homogenization mechanism, like gene conversion and unequal crossing-over would reduce genetic variations between copies and increase V*(K), leading to lower diversity. Therefore, the C* =C/V*(K) in mice is about 5 times larger for rRNA genes than the rest of the genome (which mainly single-copy genes), even though the actual copy number is about 110, indicating a high homogenization rate.

      Even if these issues were sorted out, I'm not sure that the authors framing, in terms of variance in reproductive success is a useful way to understand what is going on in rRNA arrays. The authors explicitly highlight homogenizing forces such as gene conversion and replication slippage but then seem to just want to incorporate those as accounting for variance in reproductive success. However, don't we usually want to dissect these things in terms of their underlying mechanism? Why build a model based on variance in reproductive success when you could instead explicitly model these homogenizing processes? That seems more informative about the mechanism, and it would also serve significantly better as a null model, since the parameters would be able to be related to in vitro or in vivo measurements of the rates of slippage, gene conversion, etc.

      In the end, I find the paper in its current state somewhat difficult to review in more detail, because I have a hard time understanding some of the more technical aspects of the manuscript while so confused about high-level features of the manuscript. I think that a revision would need to be substantially clarified in the ways I highlighted above.

      Response 4: We appreciate your perspective on modeling the homogenizing processes of rRNA gene arrays.

      We employ the WFH model to track the drift effect of the multi-copy gene system. In the context of the Haldane model, the term K is often referred to as reproductive success, but it might be more accurate to interpret it as “transmission rate” in this study. As stated in the caption of Figure 1D, two new mutations can have very large differences in individual output (K) when transmitted to the next generation through homogenization process.

      Regarding why we did not explicitly model different mechanisms of homogenization, previous elegant models of multigene families have involved mechanisms like unequal crossing over(Smith 1974a; Ohta 1976; Smith 1976) or gene conversion (Nagylaki 1983; Ohta 1985) for concerted evolution, or using conversion to approximate the joint effect of conversion and crossing over (Ohta and Dover 1984). However, even when simplifying the gene conversion mechanism, modeling remains challenging due to controversial assumptions, such as uniform homogenization rate across all gene members (Dover 1982; Ohta and Dover 1984). No models can fully capture the extreme complexity of factors, while these unbiased mechanisms are all genetic drift forces that contribute to changes in mutant transmission. Therefore, we opted for a more simplified and collective approach using V*(K) to see the overall strength of genetic drift.

      We have discussed the reason for using V*(K) to collectively represent the homogenization effect in Discussion. As stated in our manuscript:

      “There have been many rigorous analyses that confront the homogenizing mechanisms directly. These studies (Smith 1974b; Ohta 1976; Dover 1982; Nagylaki 1983; Ohta and Dover 1983) modeled gene conversion and unequal cross-over head on. Unfortunately, on top of the complexities of such models, the key parameter values are rarely obtainable. In the branching process, all these complexities are wrapped into V*(K) for formulating the evolutionary rate. In such a formulation, the collective strength of these various forces may indeed be measurable, as shown in this study.”

      Reviewer #2 (Public Review):

      Summary:

      Multi-copy gene systems are expected to evolve slower than single-copy gene systems because it takes longer for genetic variants to fix in the large number of gene copies in the entire population. Paradoxically, their evolution is often observed to be surprisingly fast. To explain this paradox, the authors hypothesize that the rapid evolution of multi-copy gene systems arises from stronger genetic drift driven by homogenizing forces within individuals, such as gene conversion, unequal crossover, and replication slippage. They formulate this idea by combining the advantages of two classic population genetic models -- adding the V(k) term (which is the variance in reproductive success) in the Haldane model to the Wright-Fisher model. Using this model, the authors derived the strength of genetic drift (i.e., reciprocal of the effective population size, Ne) for the multi-copy gene system and compared it to that of the single-copy system. The theory was then applied to empirical genetic polymorphism and divergence data in rodents and great apes, relying on comparison between rRNA genes and genome-wide patterns (which mostly are single-copy genes). Based on this analysis, the authors concluded that neutral genetic drift could explain the rRNA diversity and evolution patterns in mice but not in humans and chimpanzees, pointing to a positive selection of rRNA variants in great apes.

      Strengths:

      Overall, the new WFH model is an interesting idea. It is intuitive, efficient, and versatile in various scenarios, including the multi-copy gene system and other cases discussed in the companion paper by Ruan et al.

      Weaknesses:

      Despite being intuitive at a high level, the model is a little unclear, as several terms in the main text were not clearly defined and connections between model parameters and biological mechanisms are missing. Most importantly, the data analysis of rRNA genes is extremely over-simplified and does not adequately consider biological and technical factors that are not discussed in the model. Even if these factors are ignored, the authors' interpretation of several observations is unconvincing, as alternative scenarios can lead to similar patterns. Consequently, the conclusions regarding rRNA genes are poorly supported. Overall, I think this paper shines more in the model than the data analysis, and the modeling part would be better presented as a section of the companion theory paper rather than a stand-alone paper. My specific concerns are outlined below.

      Response 5: We appreciate the reviewer’s feedback and recognize the need for clearer definitions of key terms. We have made revisions to ensure that each term is properly defined upon its first use.

      Regarding the model’s simplicity, as in the Response4, our intention was to create a framework that captures the essence of how mutant copies spread by chance within a population, relying on the variance in transmission rates for each copy (V(K)). By doing so, we aimed to incorporate the various homogenization mechanisms that do not affect single-copy genes, highlighting the substantially stronger genetic drift observed in multi-copy systems compared to single-copy genes. We believe that simplifying the model was necessary to make it more accessible and practical for real-world data analysis and provides a useful approximation that can be applied broadly. It is clearly an underestimate the actual rate as some forces with canceling effects might not have been accounted for.

      (1) Unclear definition of terms

      Many of the terms in the model or the main text were not clearly defined the first time they occurred, which hindered understanding of the model and observations reported. To name a few:

      (i) In Eq(1), although C* is defined as the "effective copy number", it is unclear what it means in an empirical sense. For example, Ne could be interpreted as "an ideal WF population with this size would have the same level of genetic diversity as the population of interest" or "the reciprocal of strength of allele frequency change in a unit of time". A few factors were provided that could affect C*, but specifically, how do these factors impact C*? For example, does increased replication slippage increase or decrease C*? How about gene conversion or unequal cross-over? If we don't even have a qualitative understanding of how these processes influence C*, it is very hard to make interpretations based on inferred C*. How to interpret the claim on lines 240-241 (If the homogenization is powerful enough, rRNA genes would have C*<1)? Please also clarify what C* would be, in a single-copy gene system in diploid species.

      Response 6: We apology for the confusion caused by the lack of clear definitions in the initial manuscript. We recognize that this has led to misunderstandings regarding the concept we presented. Our aim was to demonstrate the concerted evolution in multi-copy gene systems, involving two levels of “effective copy number” relative to single-copy genes: first, homogenization within populations then divergence between species. We used C* and Ne* to try to designated the two levels driven by the same homogenization force, which complicated the evolutionary pattern.

      To address these issues, we have simplified the model and revised the abstract to prevent any misunderstandings:

      “On average, rDNAs have C ~ 150 - 300 copies per haploid in humans. While a neutral mutation of a single-copy gene would take 4_N_ (N being the population size) generations to become fixed, the time should be 4_NC* generations for rRNA genes where 1<< C* (C* being the effective copy number; C* < C or C* > C would depend on the drift strength). However, the observed fixation time in mouse and human is < 4_N, implying the paradox of C* < 1. Genetic drift that encompasses all random neutral evolutionary forces appears as much as 100 times stronger for rRNA genes as for single-copy genes, thus reducing C* to < 1.”

      Thus, it should be clear that the fixation time as well as the level of polymorphism represent the empirical measures of C*.We have also revised the relevant paragraph in the text to define C* and V*(K) and removed Eq. 2 for clarity:

      “Below, we compare the strength of genetic drift in rRNA genes vs. that of single-copy genes using the Haldane model (Ruan, et al. 2024). We shall use * to designate the equivalent symbols for rRNA genes; for example, E(K) vs. E*(K). Both are set to 1, such that the total number of copies in the long run remains constant.

      For simplicity, we let V(K) = 1 for single-copy genes. (If we permit V(K) ≠ 1, the analyses will involve the ratio of V*(K) and V(K) to reach the same conclusion but with unnecessary complexities.) For rRNA genes,  V*(K) ≥ 1 may generally be true because K for rDNA mutations are affected by a host of homogenization factors including replication slippage, unequal cross-over, gene conversion and other related mechanisms not operating on single copy genes. Hence,

      where C is the average number of rRNA genes in an individual and V*(K) reflects the homogenization process on rRNA genes (Fig. 1D). Thus,

      C* = C/V*(K)

      represents the effective copy number of rRNA genes in the population, determining the level of genetic diversity relative to single-copy genes. Since C is in the hundreds and V*(K) is expected to be > 1, the relationship of 1 << C* ≤ C is hypothesized. Fig. 1D is a simple illustration that the homogenizing process may enhance V*(K) substantially over the WF model.

      In short, genetic drift of rRNA genes would be equivalent to single copy genes in a population of size NC* (or N*). Since C* >> 1 is hypothesized, genetic drift for rRNA genes is expected to be slower than for single copy genes.”

      (ii) In Eq(1), what exactly is V*(K)? Variance in reproductive success across all gene copies in the population? What factors affect V*(K)? For the same population, what is the possible range of V*(K)/V(K)? Is it somewhat bounded because of biological constraints? Are V*(K) and C*(K) independent parameters, or does one affect the other, or are both affected by an overlapping set of factors?

      Response 7: - In Eq(1), what exactly is V*(K)?  In Eq(1), V*(K) refers to the variance in the number of progeny to whom the gene copy of interest is transmitted (K) over a specific time interval. When considering evolutionary divergence between species, V*(K) may correspond to the divergence time.

      - What factors affect V*(K)? For the same population, what is the possible range of V*(K)/V(K)? Is it somewhat bounded because of biological constraints?  “V*(K) for rRNA genes is likely to be much larger than V(K) for single-copy genes, because K for rRNA mutations may be affected by a host of homogenization factors including replication slippage, unequal cross-over, gene conversion and other related mechanisms not operating on single-copy genes. For simplicity, we let V(K) = 1 (as in a WF population) and V*(K) ≥ 1.” Thus, the V*(K)/V(K) = V*(K) can potentially reach values in the hundreds, and may even exceed C, resulting in C*(= C/V*(K)) values less than 1. Biological constraints that could limit this variance include the minimum copy number within individuals, sequence constraints in functional regions, and the susceptibility of chromosomes with large arrays to intrachromosomal crossover (which may lead to a reduction in copy number)(Eickbush and Eickbush 2007), potentially reducing the variability of K.

      - Are V*(K) and C*(K) independent parameters, or does one affect the other, or are both affected by an overlapping set of factors?  There is no C*(K), the C* is defined as follows in the text:

      “C* = C/V*(K) represents the effective copy number of rRNA genes, reflecting the level of genetic diversity relative to single-copy genes. Since C is in the hundreds and V*(K) is expected to be > 1, the relationship of 1 << C* ≤ C is hypothesized.” The factors influencing V*(K) directly affect C* due to this relationship.

      (iii) In the multi-copy gene system, how is fixation defined? A variant found at the same position in all copies of the rRNA genes in the entire population?

      Response 8: We appreciate the reviewer's suggestion and have now provided a clear definition of fixation in the context of multi-copy genes within the manuscript.

      “For rDNA mutations, fixation must occur in two stages – fixation within individuals and among individuals in the population. (Note that a new mutation can be fixed via homogenization, thus making rRNA gene copies in an individual a pseudo-population.)”

      The evolutionary dynamics of multi-copy genes differ from those of single-copy (Mendelian) genes, which mutate, segregate and evolve independently in the population. Fixation in multi-copy genes, such as rRNA genes, is influenced by their ability to transfer genetic information among their copies through nonreciprocal exchange mechanisms, like gene conversion and unequal crossover (Ohta and Dover 1984). These processes can cause fluctuations in the number of mutant copies within an individual's lifetime and facilitate the spread of a mutant allele across all copies even in non-homologous chromosomes. Over time, this can result in the mutant allele replacing all preexisting alleles throughout the population, leading to fixation (Ohta 1976) meaning that the same variant will eventually be present at the corresponding position in all copies of the rRNA genes across the entire population. Without such homogenization processes, fixation would be unlikely to be obtained in multi-copy genes.

      (iv) Lines 199-201, HI, Hs, and HT are not defined in the context of a multi-copy gene system. What are the empirical estimators?

      Response 9: We appreciate the reviewer's comment and would like to clarify the definitions and empirical estimators for within the context of a multi-copy gene system in the text:

      “A standard measure of genetic drift is the level of heterozygosity (H). At the mutation-selection equilibrium

      where μ is the mutation rate of the entire gene and Ne is the effective population size. In this study, Ne = N for single-copy gene and Ne = C*N for rRNA genes. The empirical measure of nucleotide diversity H is given by

      where L is the gene length (for each copy of rRNA gene, L ~ 43kb) and pi is the variant frequency at the i-th site.

      We calculate H of rRNA genes at three levels – within-individual, within-species and then, within total samples (HI, HS and HT, respectively). HS and HT are standard population genetic measures (Hartl, et al. 1997; Crow and Kimura 2009). In calculating HS, all sequences in the species are used, regardless of the source individuals. A similar procedure is applied to HT. The HI statistic is adopted for multi-copy gene systems for measuring within-individual polymorphism. Note that copies within each individual are treated as a pseudo-population (see Fig. 1 and text above). With multiple individuals, HI is averaged over them.”

      (v) Line 392-393, f and g are not clearly defined. What does "the proportion of AT-to-GC conversion" mean? What are the numerator and denominator of the fraction, respectively?

      Response 10: We appreciate the reviewer's comment and have revised the relevant text for clarity as well as improved the specific calculation methods for f and g in the Methods section.

      “We first designate the proportion of AT-to-GC conversion as f and the reciprocal, GC-to-AT, as g. Specifically, f represents the proportion of fixed mutations where an A or T nucleotide has been converted to a G or C nucleotide (see Methods). Given f ≠ g, this bias is true at the site level.”

      Methods:

      “Specifically, f represents the proportion of fixed mutations where an A or T nucleotide has been converted to a G or C nucleotide. The numerator for f is the number of fixed mutations from A-to-G, T-to-C, T-to-G, or A-to-C. The denominator is the total number of A or T sites in the rDNA sequence of the specie lineage.

      Similarly, g is defined as the proportion of fixed mutations where a G or C nucleotide has been converted to an A or T nucleotide. The numerator for g is the number of fixed mutations from G-to-A, C-to-T, C-to-A, or G-to-T. The denominator is the total number of G or C sites in the rDNA sequence of the specie lineage.

      The consensus rDNA sequences for the species lineage were generated by Samtools consensus (Danecek, et al. 2021) from the bam file after alignment. The following command was used:

      ‘samtools consensus -@ 20 -a -d 10 --show-ins no --show-del yes input_sorted.bam output.fa’.”

      (2) Technical concerns with rRNA gene data quality

      Given the highly repetitive nature and rapid evolution of rRNA genes, myriads of things could go wrong with read alignment and variant calling, raising great concerns regarding the data quality. The data source and methods used for calling variants were insufficiently described at places, further exacerbating the concern.

      (i) What are the accession numbers or sample IDs of the high-coverage WGS data of humans, chimpanzees, and gorillas from NCBI? How many individuals are in each species? These details are necessary to ensure reproducibility and correct interpretation of the results.

      Response 11: We apologize for not including the specific details of the sample information in the main text. All accession numbers and sample IDs for the WGS data used in this study, including mice, humans, chimpanzee, and gorilla, are already listed in Supplementary Tables S4-S5. We have revised the table captions and referenced them at the appropriate points in the Methods to ensure clarity.

      “The genome sequences of human (n = 8), chimpanzee (n = 1) and gorilla (n = 1) were sourced from National Center for Biotechnology Information (NCBI) (Supplementary Table 4). … Genomic sequences of mice (n = 13) were sourced from the Wellcome Sanger Institute’s Mouse Genome Project (MGP) (Keane, et al. 2011).

      The concern regarding the number of individuals needed to support the results will be addressed in Response 13.

      (ii) Sequencing reads from great apes and mice were mapped against the human and mouse rDNA reference sequences, respectively (lines 485-486). Given the rapid evolution of rRNA genes, even individuals within the same species differ in copy number and sequences of these genes. Alignment to a single reference genome would likely lead to incorrect and even failed alignment for some reads, resulting in genotyping errors. Differences in rDNA sequence, copy number, and structure are even greater between species, potentially leading to higher error rates in the called variants. Yet the authors provided no justification for the practice of aligning reads from multiple species to a single reference genome nor evidence that misalignment and incorrect variant calling are not major concerns for the downstream analysis.

      Response 12: While the copy number of rDNA varies in each individuals, the sequence identity among copies is typically very high (median identity of 98.7% (Nurk, et al. 2022)). Therefore, all rRNA genes were aligned against to the species-specific reference sequences, where the consensus nucleotide nearly accounts for >90% of the gene copies in the population. In minimize genotyping errors, our analysis focused exclusively on single nucleotide variants (SNVs) with only two alleles, discarding other mutation types.

      Regarding sequence divergence between species, which may have greater sequence variations, we excluded unmapped regions with high-quality reads coverage below 10. In calculation of substitution rate, we accounted for the mapping length (L), as shown in the column 3 in Table 3-5.

      We appreciate the reviewer’s comments and have provide details in the Methods.

      (vi) It is unclear how variant frequency within an individual was defined conceptually or computed from data (lines 499-501). The population-level variant frequency was calculated by averaging across individuals, but why was the averaging not weighted by the copy number of rRNA genes each individual carries? How many individuals are sampled for each species? Are the sample sizes sufficient to provide an accurate estimate of population frequencies?

      Response 13: Each individual was considered as a psedo-population of rRNA genes, varaint frequency within an individual was the proportions of mutant allele in this psedo-population. The calculation of varaint frequency is based on the number of supported reads of each individual.

      The reason for calculating population-level variant frequency by averaging across individuals is relevant in the calculation of FIS and FST. In calculating FST, the standard practice is to weigh each population equally. So, when we show FST in humans, we do not consider whether there are more Africans, Caucasians or Asians. There is a reason for not weighing them even though the population sizes could be orders of magnitude different, say, in the comparison between an ethnic minority and the main population. In the case of FIS, the issue is moot. Although copy number may range from 150 to 400 per haploid, most people have 300 – 500 copies with two haploids.

      As for the concern regarding the number the individuals needed to support of the results:

      Considering the nature of multi-copy genes, where gene members undergo continuous exchanges at a much slower rate compared to the rapid rate of random distribution of chromosomes at each generation of sexual reproduction, even a few variant copies that arise during an individual's lifetime would disperse into the gene pool in the next generation (Ohta and Dover 1984). Thus, there is minimal difference between individuals. Our analysis is also aligns with this theory, particularly in human population (FIS = 0.059), where each individual carries the majority of the population's genetic diversity. Therefore, even a single chimpanzee or gorilla individual caries sufficient diversity with its hundreds of gene copies to calculate divergence with humans.

      (vii) Fixed variants are operationally defined as those with a frequency>0.8 in one species. What is the justification for this choice of threshold? Without knowing the exact sample size of the various species, it's difficult to assess whether this threshold is appropriate.

      Response 14: First, the mutation frequency distribution is strongly bimodal (see Figure below) with a peak at zero and the other at 1. This high frequency peak starts to rise slowly at 0.8, similar to FST distribution in Figure 4C. That is why we use it as the cutoff although we would get similar results at the cutoff of 0.90 (see Table below). Second, the sample size for the calculation of mutant frequency is based on the number of reads which is usually in the tens of thousands. Third, it does not matter if the mutation frequency calculation is based on one individuals or multiple individuals because 95% of the genetic diversity of the population is captured by the gene pool within each individual.

      Author response image 1.

      Author response table 1.

      The A/T to G/C and G/C to A/T changes in apes and mouse.

      New mutants with a frequency >0.9 within an individual are considered as (nearly) fixed, except for humans, where the frequency was averaged over 8 individuals in the Table 2.

      The X-squared values for each species are as follows: 58.303 for human, 7.9292 for chimpanzee, and 0.85385 for M. m. domesticus.

      (viii) It is not explained exactly how FIS, FST, and divergence levels of rRNA genes were calculated from variant frequency at individual and species levels. Formulae need to be provided to explain the computation.

      Response 15: After we clearly defined the HI, HS, and HT in Response9, understanding FIS and F_ST_ becomes straightforward.

      “Given the three levels of heterozygosity, there are two levels of differentiation. First, FIS is the differentiation among individuals within the species, defined by

      FIS = [HS - HI]/HS  

      FIS is hence the proportion of genetic diversity in the species that is found only between individuals. We will later show FIS ~ 0.05 in human rDNA (Table 2), meaning 95% of rDNA diversity is found within individuals.

      Second, FST is the differentiation between species within the total species complex, defined as

      FST = [HT – HS]/HT 

      FST is the proportion of genetic diversity in the total data that is found only between species.”

      (3) Complete ignorance of the difference in mutation rate difference between rRNA genes and genome-wide average

      Nearly all data analysis in this paper relied on comparison between rRNA genes with the rest (presumably single-copy part) of the genome. However, mutation rate, a key parameter determining the diversity and divergence levels, was completely ignored in the comparison. It is well known that mutation rate differs tremendously along the genome, with both fine and large-scale variation. If the mutation rate of rRNA genes differs substantially from the genome average, it would invalidate almost all of the analysis results. Yet no discussion or justification was provided.

      Response 16: We appreciate the reviewer's observation regarding the potential impact of varying mutation rates across the genome. To address this concern, we compared the long-term substitution rates on rDNA and single-copy genes between human and rhesus macaque, which diverged approximately 25 million years ago. Our analysis (see Table S1 below) indicates that the substitution rate in rDNA is actually slower than the genome-wide average. This finding suggests that rRNA genes do not experience a higher mutation rate compared to single-copy genes, as stated in the text:

      “Note that Eq. (3) shows that the mutation rate, m, determines the long-term evolutionary rate, l. Since we will compare the l values between rRNA and single-copy genes, we have to compare their mutation rates first by analyzing their long-term evolution. As shown in Table S1, l falls in the range of 50-60 (differences per Kb) for single copy genes and 40 – 70 for the non-functional parts of rRNA genes. The data thus suggest that rRNA and single-copy genes are comparable in mutation rate. Differences between their l values will have to be explained by other means.”

      However, given the divergence time (Td) being equal to or smaller than Tf, even if the mutation rate per nucleotide is substantially higher in rRNA genes, these variants would not become fixed after the divergence of humans and chimpanzees without the help of strong homogenization forces. Thus, the presence of divergence sites (Table 5) still supports the conclusion that rRNA genes undergo much stronger genetic drift compared to single-copy genes.

      Related to mutation rate: given the hypermutability of CpG sites, it is surprising that the evolution/fixation rate of rRNA estimated with or without CpG sites is so close (2.24% vs 2.27%). Given the 10 - 20-fold higher mutation rate at CpG sites in the human genome, and 2% CpG density (which is probably an under-estimate for rDNA), we expect the former to be at least 20% higher than the latter.

      Response 17: While it is true that CpG sites exhibit a 10-20-fold higher mutation rate, the close evolution/fixation rates of rDNA with and without CpG sites (2.24% vs 2.27%) may be attributed to the fact that fixation rates during short-term evolutionary processes are less influenced by mutation rates alone. As observed in the Human-Macaque comparison in the table above, the substitution rate of rDNA in non-functional regions with CpG sites is 4.18%, while it is 3.35% without CpG sites, aligning with your expectation of 25% higher rates where CpG sites are involved.

      This discrepancy between the expected and observed fixation rates may be due to strong homogenization forces, which can rapidly fix or eliminate variants, thereby reducing the overall impact of higher mutation rates at CpG sites on the observed fixation rate. This suggests that the homogenization mechanisms play a more dominant role in the fixation process over short evolutionary timescales, mitigating the expected increase in fixation rates due to CpG hypermutability.

      Among the weaknesses above, concern (1) can be addressed with clarification, but concerns (2) and (3) invalidate almost all findings from the data analysis and cannot be easily alleviated with a complete revamp work.

      Recommendations for the authors:

      Reviewing Editor Comments:

      Both reviewers found the manuscript confusing and raised serious concerns. They pointed out a lack of engagement with previous literature on modeling and the presence of ill-defined terms within the model, which obscure understanding. They also noted a significant disconnection between the modeling approach and the biological processes involved. Additionally, the data analysis was deemed problematic due to the failure to consider essential biological and technical factors. One reviewer suggested that the modeling component would be more suitable as a section of the companion theory paper rather than a standalone paper. Please see their individual reviews for their overall assessment.

      Reviewer #2 (Recommendations For The Authors):

      Beyond my major concerns, I have numerous questions about the interpretation of various findings:

      Lines 62-63: Please explain under what circumstance Ne=N/V(K) is biologically nonsensical and why.

      Response 18: “Biologically non-sensical” is the term used in (Chen, et al. 2017). We now used the term “biologically untenable” but the message is the same. How does one get V(K) ≠ E(K) in the WF sampling? It is untenable under the WF structure. Kimura may be the first one to introduce V(K) ≠ E(K) into the WF model and subsequent papers use the same sort of modifications that are mathematically valid but biologically dubious. As explained extensively in the companion paper, the modifications add complexities but do not give the WF models powers to explain the paradoxes.

      Lines 231-234: The claim about a lower molecular evolution rate (lambda) is inaccurate - under neutrality, the molecular evolution rate is always the same as the mutation rate. It is true that when the species divergence Td is not much greater than fixation time Tf, the observed number of fixed differences would be substantially smaller than 2*mu*Td, but the lower divergence level does not mean that the molecular evolution is slower. In other words, in calculating the divergence level, it is the time term that needs to be adjusted rather than the molecular evolution rate.

      Response 19: Thanks, we agree that the original wording was not accurate. It is indeed the substitution rate rather than the molecular evolution rate that is affected when species divergence time Td is not much greater than the fixation time Tf. We have revised the relevant text in the manuscript to correct this and ensure clarity.

      Lines 277-279: Hs for rRNA is 5.2x fold than the genome average. This could be roughly translated as Ne*/Ne=5.2. According to Eq 2: (1/Ne*)/(1/Ne)= Vh/C*, it can be drived that mean Ne*/Ne=C*/Vh. Then why do the authors conclude "C*=N*/N~5.2" in line 278? Wouldn't it mean that C*/Vh is roughly 5.2?

      Response 20: We apologize for the confusion. To prevent misunderstandings, we have revised Equation 1 and deleted Equation 2 from the manuscript. Please refer to the Response6 for further details.

      Lines 291-292: What does "a major role of stage I evolution" mean? How does it lead to lower FIS?

      Response 21: We apologize for the lack of clarity in our original description, and we have revised the relevant content to make them more directly.

      “In this study, we focus on multi-copy gene systems, where the evolution takes place in two stages: both within (stage I) and between individuals (stage II).”

      FIS for rDNA among 8 human individuals is 0.059 (Table 2), much smaller than 0.142 in M. m. domesticus mice, indicating minimal genetic differences across human individuals and high level of genetic identity in rDNAs between homologous chromosomes among human population. … Correlation of polymorphic sites in IGS region is shown in Supplementary Fig. 1. The results suggest that the genetic drift due to the sampling of chromosomes during sexual reproduction (e.g., segregation and assortment) is augmented substantially by the effects of homogenization process within individual. Like those in mice, the pattern indicates that intra-species polymorphism is mainly preserved within individuals.”

      Line 297-300: why does the concentration at very allele frequency indicate rapid homogenization across copies? Suppose there is no inter-copy homogenization, and each copy evolves independently, wouldn't we still expect the SFS to be strongly skewed towards rare variants? It is completely unclear how homogenization processes are expected to affect the SFS.

      Response 22: We appreciate the reviewer’s insightful comments and apologize for any confusion in our original explanation. To clarify:

      If there is no inter-copy homogenization and each copy evolves independently, it would effectively result in an equivalent population size that is C times larger than that of single-copy genes. However, given the copies are distributed on five chromosomes, if the copies within a chromosome were fully linked, there would be no fixation at any sites. Considering the data presented in Table 4, where the substitution rate in rDNA is higher than in single-copy genes, this suggests that additional forces must be acting to homogenize the copies, even across non-homologous chromosomes.

      Regarding the specific data presented in the Figure 3, the allele frequency spectrum is based on human polymorphism sites and is a folded spectrum, as the ancestral state of the alleles was not determined. High levels of homogenization would typically push variant mutations toward the extremes of the SFS, leading to fewer intermediate-frequency alleles and reduced heterozygosity. The statement that "allele frequency spectrum is highly concentrated at very low frequency within individuals" was intended to emphasize the localized distribution of variants and the high identity at each site. However, we recognize that it does not accurately reflect the role of homogenization and this conclusion cannot be directly inferred from the figure as presented. Therefore, we have removed the sentence in the text.

      The evidence of gBGC in rRNA genes in great apes does not help explain the observed accelerated evolution of rDNA relative to the rest of the genome. Evidence of gBGC has been clearly demonstrated in a variety of species, including mice. It affects not only rRNA genes but also most parts of the genome, particularly regions with high recombination rates. In addition, gBGC increases the fixation probability of W>S mutations but suppresses the fixation of S>W mutations, so it is not obvious how gBGC will increase or decrease the molecular evolution rate overall.

      Response 23: We have thoroughly rewritten the last section of Results. The earlier writing has misplaced the emphasis, raising many questions (as stated above). To answer them, we would have to present a new set of equations thus adding unnecessary complexities to the paper. Here is the streamlined and more logical flow of the new section.

      First, Tables 4 and 5 have shown the accelerated evolution of the rRNA genes. We have now shown that rRNA genes do not have higher mutation rates. Below is copied from the revised text:

      “We now consider the evolution of rRNA genes between species by analyzing the rate of fixation (or near fixation) of mutations. Polymorphic variants are filtered out in the calculation. Note that Eq. (3) shows that the mutation rate, m, determines the long-term evolutionary rate, l. Since we will compare the l values between rRNA and single-copy genes, we have to compare their mutation rates first by analyzing their long-term evolution. As shown in Table S1 l falls in the range of 50-60 (differences per Kb) for single copy genes and 40 – 70 for the non-functional parts of rRNA genes. The data thus suggest that rRNA and single-copy genes are comparable in mutation rate. Differences between their l values will have to be explained by other means.”

      Second, we have shown that the accelerated evolution in mice is likely due to genetic drift, resulting in faster fixation of neutral variants. We also show that this is unlikely to be true in humans and chimpanzees; hence selection is the only possible explanation. The section below is copied from the revised text. It shows the different patterns of gene conversions between mice and apes, in agreement with the results of Tables 4 and 5. In essence, it shows that the GC ratio in apes is shifting to a new equilibrium, which is equivalent to a new adaptive peak. Selection is driving the rDNA genes to move to the new adaptive peak.

      Revision - “Thus, the much accelerated evolution of rRNA genes between humans and chimpanzees cannot be entirely attributed to genetic drift. In the next and last section, we will test if selection is operating on rRNA genes by examining the pattern of gene conversion. 

      3) Positive selection for rRNA mutations in apes, but not in mice – Evidence from gene conversion patterns

      For gene conversion, we examine the patterns of AT-to-GC vs. GC-to-AT changes. While it has been reported that gene conversion would favor AT-to-GC over GC-to-AT conversion (Jeffreys and Neumann 2002; Meunier and Duret 2004) at the site level, we are interested at the gene level by summing up all conversions across sites. We designate the proportion of AT-to-GC conversion as f and the reciprocal, GC-to-AT, as g. Both f and g represent the proportion of fixed mutations between species (see Methods). So defined, f and g are influenced by the molecular mechanisms as well as natural selection. The latter may favor a higher or lower GC ratio at the genic level between species. As the selective pressure is distributed over the length of the gene, each site may experience rather weak pressure.

      Let p be the proportion of AT sites and q be the proportion of GC sites in the gene. The flux of AT-to-GC would be pf and the flux in reverse, GC-to-AT, would be qg. At equilibrium, pf = qg. Given f and g, the ratio of p and q would eventually reach p/q \= g/f. We now determine if the fluxes are in equilibrium (pf =qg). If they are not, the genic GC ratio is likely under selection and is moving to a different equilibrium.

      In these genic analyses, we first analyze the human lineage (Brown and Jiricny 1989; Galtier and Duret 2007). Using chimpanzees and gorillas as the outgroups, we identified the derived variants that became nearly fixed in humans with frequency > 0.8 (Table 6). The chi-square test shows that the GC variants had a significantly higher fixation probability compared to AT. In addition, this pattern is also found in chimpanzees (p < 0.001). In M. m. domesticus (Table 6), the chi-square test reveals no difference in the fixation probability between GC and AT (p = 0.957). Further details can be found in Supplementary Figure 2. Overall, a higher fixation probability of the GC variants is found in human and chimpanzee, whereas this bias is not observed in mice.

      Tables 6-7 here

      Based on Table 6, we could calculate the value of p, q, f and g (see Table 7). Shown in the last row of Table 7, the (pf)/(qg) ratio is much larger than 1 in both the human and chimpanzee lineages. Notably, the ratio in mouse is not significantly different from 1. Combining Tables 4 and 7, we conclude that the slight acceleration of fixation in mice can be accounted for by genetic drift, due to gene conversion among rRNA gene copies. In contrast, the different fluxes corroborate the interpretations of Table 5 that selection is operating in both humans and chimpanzees.”

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    1. Author Response

      The following is the authors’ response to the current reviews.

      Responses to the reviewers

      We thank the editor and reviewers for their insightful feedback and valuable suggestions on our revised manuscript. In this reply, we provided further clarifications and made changes accordingly. Reviewers’ comments are in bold, and our responses are immediately below. Changes in the main text are presented in italics, accompanied by the specific line numbers in the revised manuscript where these changes can be found. Below, we respond to each reviewer’s comments in turn.

      Reviewer #1 (Public Review):

      Ps observed 24 objects and were asked which afforded particular actions (14 action types). Affordances for each object were represented by a 14-item vector, values reflecting the percentage of Ps who agreed on a particular action being afforded by the object. An affordance similarity matrix was generated which reflected similarity in affordances between pairs of objects. Two clusters emerged, reflecting correlations between affordance ratings in objects smaller than body size and larger than body size. These clusters did not correlate themselves. There was a trough in similarity ratings between objects ~105 cm and ~130 cm, arguably reflecting the body size boundary. The authors subsequently provide some evidence that this clear demarcation is not simply an incidental reflection of body size, but likely causally related. This evidence comes in the flavour of requiring Ps to imagine themselves as small as a cat or as large as an elephant and showing a predicted shift in the affordance boundary. The manuscript further demonstrates that ChatGPT (theoretically interesting because it's trained on language alone without sensorimotor information; trained now on words rather than images) showed a similar boundary.

      The authors also conducted a small MRI study task where Ps decide whether a probe action was affordable (graspable?) and created a congruency factor according to the answer (yes/no). There was an effect of congruency in posterior fusiform and superior parietal lobule for objects within body size range, but not outside. No effects in LOC or M1.

      The major strength of this manuscript in my opinion is the methodological novelty. I felt the correlation matrices were a clever method for demonstrating these demarcations, the imagination manipulation was also exciting, and the ChatGPT analysis provided excellent food for thought. These findings are important for our understanding of the interactions between action and perception, and hence for researchers from a range of domains of cognitive neuroscience.

      The major element that limits conclusions is that an MRI study with 12 P in this context can really only provide pilot data. Certainly the effects are not strong enough for 12 P to generate much confidence. The others of my concerns have been addressed in the revision.

      Reviewer #1 (Recommendations For The Authors):

      I think that the authors need to mention in the abstract that the MRI study constitutes a small pilot.

      Response: We appreciate the reviewer’s positive evaluation and constructive suggestions. In response to the concern about the limited number of participants in the fMRI study, we fully acknowledge the implications this has on the generalizability and robustness of our findings related to the congruency effect. To clarity, we have explicitly stated its preliminary nature of the MRI study in the abstract [line 22]: “A subsequent fMRI experiment offered preliminary evidence of affordance processing exclusively for objects within the body size range, but not for those beyond.”

      Reviewer #2 (Public Review):

      Summary

      In this work, the authors seek to test a version of an old idea, which is that our perception of the world and our understanding of the objects in it are deeply influenced by the nature of our bodies and the kinds of behaviours and actions that those objects afford. The studies presented here muster three kinds of evidence for a discontinuity in the encoding of objects, with a mental "border" between objects roughly of human body scale or smaller, which tend to relate to similar kinds of actions that are yet distinct from the kinds of actions implied by human-or-larger scale objects. This is demonstrated through observers' judgments of the kinds of actions different objects afford; through similar questioning of AI large-language models (LLMs); and through a neuroimaging study examining how brain regions implicated in object understanding make distinctions between kinds of objects at human and larger-than-human scales.

      Strengths 

      The authors address questions of longstanding interest in the cognitive neurosciences -- namely how we encode and interact with the many diverse kinds of objects we see and use in daily life. A key strength of the work lies in the application of multiple approaches. Examining the correlations among kinds of objects, with respect to their suitability for different action kinds, is novel, as are the complementary tests of judgments made by LLMs. The authors include a clever manipulation in which participants are asked to judge action-object pairs, having first adopted the imagined size of either a cat or an elephant, showing that the discontinuity in similarity judgments effectively moved to a new boundary closer to the imagined scale than the veridical human scale. The dynamic nature of the discontinuity hints that action affordances may be computed dynamically, "on the fly", during actual action behaviours with objects in the real world.

      Weaknesses 

      A limitation of the tests of LLMs may be that it is not always known what kinds of training material was used to build these models, leading to a possible "black box" problem. Further, presuming that those models are largely trained on previous human-written material, it may not necessarily be theoretically telling that the "judgments" of these models about action-object pairs shows human-like discontinuities. Indeed, verbal descriptions of actions are very likely to mainly refer to typical human behaviour, and so the finding that these models demonstrate an affordance discontinuity may simply reflect those statistics, rather than providing independent evidence for affordance boundaries.

      The relatively small sample size of the brain imaging experiment, and some design features (such as the task participants performed, and the relatively narrow range of objects tested) provide some limits on the extent to which it can be taken as support for the authors' claims.

      Response: We thank the reviewer for the positive evaluation and the constructive comments. We agree that how LLMs work is a “black box”, and thus it is speculative to assume them to possess any human-like ability, because, as the reviewer pointed out, “these models demonstrate an affordance discontinuity may simply reflect those statistics.” Indeed, our manuscript has expressed a similar idea [line 338]: “We speculated that ChatGPT models may have formed the affordance boundary through a human prism ingrained within its linguistic training corpus.” That is, our intention was not to suggest that such information could replace sensorimotor-based interaction or achieve human-level capability, but rather to highlight that embodied interaction is necessary. Additionally, the scope of the present study does not extend to elucidating the mechanisms behind LLMs’ resemblance of affordance boundary, whether through statistical learning or actual comprehension. To clarify this point, in the revised manuscript, we have clarified that the mechanisms underlying the observed affordance boundary in LLMs may be different from human cognitive processes, and advocated future studies to explore this possibility [line 415]: “Nevertheless, caution should be taken when interpreting the capability of LLMs like ChatGPT, which are often considered “black boxes.” That is, our observation indicates that certain sensorimotor information is embedded within human language materials presumably through linguistic statistics, but it is not sufficient to assert that LLMs have developed a human-like ability to represent affordances. Furthermore, such information alone may be insufficient for LLMs to mimic the characteristics of the affordance perception in biological intelligence. Future studies are needed to elucidate such limitation.”

      Regarding the concern about the models’ results not “providing independent evidence for affordance boundaries”, our objective in employing LLMs was to explore if an affordance boundary could emerge from conceptual knowledge without direct sensorimotor experience, rather than to validate the existence of the affordance boundary per se.

      As for the concern about the limitations imposed by the small sample size and certain design features of our brain imaging experiment, please see our reply to Reviewer #1.

      Reviewer #3 (Public Review):

      Summary:

      Feng et al. test the hypothesis that human body size constrains the perception of object affordances, whereby only objects that are smaller than the body size will be perceived as useful and manipulable parts of the environment, whereas larger objects will be perceived as "less interesting components."

      To test this idea, the study employs a multi-method approach consisting of three parts:

      In the first part, human observers classify a set of 24 objects that vary systematically in size (e.g., ball, piano, airplane) based on 14 different affordances (e.g., sit, throw, grasp). Based on the average agreement of ratings across participants, the authors compute the similarity of affordance profiles between all object pairs. They report evidence for two homogenous object clusters that are separated based on their size with the boundary between clusters roughly coinciding with the average human body size. In follow-up experiments, the authors show that this boundary is larger/smaller in separate groups of participants who are instructed to imagine themselves as an elephant/cat.

      In the second part, the authors ask different large language models (LLMs) to provide ratings for the same set of objects and affordances and conduct equivalent analyses on the obtained data. Some, but not all, of the models produce patterns of ratings that appear to show similar boundary effects, though less pronounced and at a different boundary size than in humans.

      In the third part, the authors conduct an fMRI experiment. Human observers are presented with four different objects of different sizes and asked if these objects afford a small set of specific actions. Affordances are either congruent or incongruent with objects. Contrasting brain activity on incongruent trials against brain activity on congruent trials yields significant effects in regions within the ventral and dorsal visual stream, but only for small objects and not for large objects.

      The authors interpret their findings as support for their hypothesis that human body size constrains object perception. They further conclude that this effect is cognitively penetrable, and only partly relies on sensorimotor interaction with the environment (and partly on linguistic abilities).

      Strengths:

      The authors examine an interesting and relevant question and articulate a plausible (though somewhat underspecified) hypothesis that certainly seems worth testing. Providing more detailed insights into how object affordances shape perception would be highly desirable. Their method of analyzing similarity ratings between sets of objects seems useful and the multi-method approach is original and interesting.

      Weaknesses:

      The study presents several shortcomings that clearly weaken the link between the obtained evidence and the drawn conclusions. Below I outline my concerns in no particular order:

      (1) It is not entirely clear to me what the authors are proposing and to what extent the conducted work actually speaks to this. For example, in the introduction, the authors write that they seek to test if body size serves not merely as a reference for object manipulation but also "plays a pivotal role in shaping the representation of objects." This motivation seems rather vague motivation and it is not clear to me how it could be falsified.

      Overall, the lack of theoretical precision makes it difficult to judge the appropriateness of the approaches and the persuasiveness of the obtained results. I would strongly suggest clarifying the theoretical rationale and explaining in more detail how the chosen experiments allow them to test falsifiable predictions.

      (2) The authors used only a very small set of objects and affordances in their study and they do not describe in sufficient detail how these stimuli were selected. This renders the results rather exploratory and clearly limits their potential to discover general principles of human perception. Much larger sets of objects and affordances and explicit data-driven approaches for their selection would provide a more convincing approach and allow the authors to rule out that their results are just a consequence of the selected set of objects and actions.

      (3) Relatedly, the authors could be more thorough in ruling out potential alternative explanations. Object size likely correlates with other variables that could shape human similarity judgments and the estimated boundary is quite broad (depending on the method, either between 80 and 150 cm or between 105 to 130 cm). More precise estimates of the boundary and more rigorous tests of alternative explanations would add a lot to strengthen the authors' interpretation.

      (4) While I appreciate the manipulation of imagined body size, as a clever way to solidify the link between body size and affordance perception, I find it unfortunate that it is implemented in a between-subjects design, as this clearly leaves open the possibility of pre-existing differences between groups. I certainly disagree with the authors' statement that their findings suggest "a causal link between body size and affordance perception."

      (5) The use of LLMs in the current study is not clearly motivated and I find it hard to understand what exactly the authors are trying to test through their inclusion. As it currently stands, I find it hard to discern how the presence of perceptual boundaries in LLMs could constitute evidence for affordance-based perception.

      (6) Along the same lines, the fMRI study also provides little evidence to support the authors' claims. The use of congruency effects as a way of probing affordance perception is not well motivated. Importantly (and related to comment 2 above), the very small set of objects and affordances in this experiment heavily complicates any conclusions about object size being the crucial variable determining the occurrence of congruency effects.

      Overall, I consider the main conclusions of the paper to be far beyond the reported data. Articulating a clearer theoretical framework with more specific hypotheses as well as conducting more principled analyses on more comprehensive data sets could help the authors obtain stronger tests of their ideas.

      Response: We appreciate the insightful inquiries regarding our manuscript. Below, we explained the theoretical motivation and rationale of each part of our experiments.

      In response to the reviewer’s insights, we have modified the expression “plays a pivotal role in shaping the representation of objects” in the revised manuscript and have restated the general question of our study in the introduction. Our motivation is on the long-lasting debate over the representation versus direct perception of affordance, specifically examining the “representationalization” of affordance. That is, we tested whether object affordance simply covaried directly with continuous constraints such as object size, a perspective aligned with the representation-free (direct perception) view, or whether affordance became representationalized, adhering to the representation-based view, constrained by body size. Such representationalization would generate a categorization between objects that are affordable and the environment that exceeds affordance.

      To test these hypotheses, we first delineated the affordance of various objects. We agree with the reviewer that in this step a broader selection of objects and actions could mitigate the risk of our results being influenced by the specific selection of objects and actions. However, our results are unlikely to be biased, because our selection was guided by two key criteria, rather than being arbitrary. First, the objects were selected from the dataset in Konkle and Oliva's study (2011), which systematically investigated object size’ impact on object recognition, thus providing a well-calibrated range of sizes (i.e., from 14 cm to 7,618 cm) reflective of real-world objects. Second, the selected actions covered a wide range of daily humans-objects/environments interactions, from single-point movements (e.g., hand, foot) to whole-body movements (e.g., lying, standing) based on the kinetics human action video dataset (Kay et al., 2017). Thus, this set of objects and actions is a representative sampling of typical human experiences.

      Upon demonstrating a trough in perceived affordance similarity, we recognized the location of the affordance boundary coincidentally fell within the range of human body size. We agree with the reviewer that this observation of the coincidence between body size and the location of boundary alone is not sufficient for a mechanistic explanation, because variables co-varying with object sizes might also generate this coincidence. The identification of a more precise location for the boundary unlikely rules out alternative explanations of this kind. To establish a causal link between body size and the affordance boundary, we opted for a direct manipulation of body sizes through imagination, while keeping all other variables constant across conditions. This approach allowed us to examine whether and how the affordance boundary shifts in response to body size changes.

      Regarding the between-subjects design of the imagination experiment, we wish to clarify that this design aimed to prevent carryover effects. Although a within-subjects design indeed is more sensitive in detecting manipulation effects by accounting for subject variability, it risks contamination across conditions. Specifically, transitioning immediately between different imagined body sizes poses a challenge, and sequential participation could induce undesirable response strategies, such as deliberately altering responses to the same objects in different conditions. The between-subjects design, which susceptible to participant variability (e.g., “pre-existing differences between groups” suggested by the reviewer), avoids such contamination. In addition, we employed random assignment of participants to different conditions (cat-size versus elephant-size).

      The body imagination experiment provided causal evidence of an embodied discontinuity, suggesting the boundary is tied to the agent’s motor capacity, rather than amodal sources. The LLMs experiment then sought to test a prediction from the embodied theories of cognition: the supramodality of object perception. Especially, we asked whether the embodied discontinuity is supramodally accessible, using LLMs to assess whether affordance perception discretization is supramodally accessible beyond the sensorimotor domain through linguistic understanding. From this perspective, our LLM experiment was employed not to affirm affordance-based perception but to examine and support a prediction by the embodied theories of cognition.

      Finally, our preliminary fMRI study aimed to conceptually replicate the perceptual discontinuity and explore it neural correlates using a subset of objects and actions from the behaviour experiments. This approach was chosen to achieve stable neural responses and enhance study power, employing the congruent effect (congruent - incongruent) as a metric for affordance processing (e.g., Kourtis et al., 2018), which reflects facilitated responses when congruent with objects’ affordances (e.g., Ellis & Tucker, 2000). Nevertheless, we recognize the limitation of a relatively small sample sizes, for details please see our reply to the reviewer #1.

      In summary, our findings contribute to the discourse on computationalism’s representation concept and influence of these representations, post-discretization, on processes beyond the sensorimotor domain. We hope that these additional explanations and revisions effectively address the concerns raised and demonstrate our commitment to enhancing the quality of our work in light of your valuable feedback. By acknowledging these limitations and directions for future research, we hope to further the discourse on affordance perception and embodied cognition.

      References

      Ellis, R., & Tucker, M. (2000). Micro‐affordance: The potentiation of components of action by seen objects. British Journal of Psychology, 91(4), 451-471.

      Kay, W., Carreira, J., Simonyan, K., Zhang, B., Hillier, C., Vijayanarasimhan, S., ... & Zisserman, A. (2017). The kinetics human action video dataset. arXiv preprint arXiv:1705.06950.

      Konkle, T., & Oliva, A. (2011). Canonical visual size for real-world objects. Journal of Experimental Psychology: human perception and performance, 37(1), 23.

      Kourtis, D., Vandemaele, P., & Vingerhoets, G. (2018). Concurrent cortical representations of function-and size-related object affordances: an fMRI study. Cognitive, Affective, & Behavioral Neuroscience, 18, 1221-1232.


      The following is the authors’ response to the original reviews.

      Responses to the reviewers

      We deeply appreciate the reviewers’ comments. In response to the concerns raised, we have revised the manuscript accordingly. Below we address each of the reviewers’ comments in turn. Reviewers’ comments are in bold, and our responses are immediately below. Changes in the main text are presented in italics, followed by corresponding page and line numbers in the revised manuscript. We also highlighted tracks of change in the revised manuscript.

      Reviewer #1 (Public Review):

      (1) The main behavioural work appears well-powered (>500 Ps). This sample reduces to 100 for the imagination study, after removing Ps whose imagined heights fell within the human range (100-200 cm). Why 100-200 cm? 100 cm is pretty short for an adult. Removing 80% of data feels like conclusions from the imagination study should be made with caution.

      R1: Sorry for the confusion. We did not remove 80% of the participants; instead, a separate sample of participants was recruited in the imagination experiment. The size of this sample (100 participants) was indeed smaller than the first experiment (528 participants), because the first experiment was set for exploratory purposes and was designed to be over-powered. Besides, inspection of the data of the first sample showed that the affordance pattern became stable after the first 50 participants. We explained this consideration in the revised manuscript:

      (p 21, ln 490) “…, another one hundred and thirty-nine participants from the same population were recruited from the same platform. We chose a smaller sample size for the imagination experiment compared to that for the object-action relation judgement task, because inspection of the data of the first sample showed that the affordance pattern became stable after the first 50 participants.”

      The average adult human height ranges from 140-170 cm for women and 150180 cm for men (NCD-RisC, 2016). Accordingly, the criterion of 100-200 cm covered this range and was set to ensure that participants unambiguously imagined a body schema different from that of human, as the tallest domestic cat below 100 cm according to the Guinness World Records and an elephant above 200 cm according to Crawley et al. (2017). We clarified these considerations in the revised manuscript:

      (p 21, ln 494) “To maximize the validity of the manipulation, data from participants whose imagined height fell within the average human size range (100cm - 200cm) were excluded from further analysis. Consequently, 100 participants (49 males, aged from 17 to 39 years, mean age = 23.2 years) remained in the analysis. This exclusion criterion was broader than the standard adult human height range of 140cm to 180cm (NCD-RisC, 2016). This approach ensured that our analysis focused on participants who unambiguously imagined a body schema different from humans, yet within the known height range of cats and elephants.”

      In addition, we also reanalysed the data with a more conservative criterion of 140cm to 180cm, and the results remained.

      (2) There are only 12 Ps in the MRI study, which I think should mean the null effects are not interpreted. I would not interpret these data as demonstrating a difference between SPL and LOC/M1, but rather that some analyses happened to fall over the significance threshold and others did not.

      R2: We would like to clarify that the null hypothesis of this fMRI study is the lack of two-way interaction between object size and object-action congruency, which was rejected by the observed significant interaction. That is, the interpretation of the present study did not rely on accepting any null effect.

      Having said this, we admit that the fMRI experiment is exploratory and the sample size is small (12 participants), which might lead to low power in estimating the affordance effect. In the revision, we acknowledge this issue explicitly:

      (p 16, ln 354) “…, supporting the idea that affordance is typically represented only for objects within the body size range. While it is acknowledged that the sample size of the fMRI study was small (12 participants), necessitating cautious interpretation of its results, the observed neural-level affordance discontinuity is notable. That is, qualitative differences in neural activity between objects within the affordance boundary and those beyond replicated our behavioral findings. This convergent evidence reinforced our claim that objects were discretized into two broad categories along the continuous size axis, with affordance only being manifested for objects within the boundary.”

      (3) I found the MRI ROI selection and definition a little arbitrary and not really justified, which rendered me even more cautious of the results. Why these particular sensory and motor regions? Why M1 and not PMC or SMA? Why SPL and not other parietal regions? Relatedly, ROIs were defined by thresholding pF and LOC at "around 70%" and SPL and M1 "around 80%", and it is unclear how and why these (different) thresholds were determined.

      R3: Our selection of these specific sensory and motor regions was based on prior literature reporting their distinct contribution to affordance perception (e.g., Borghi, 2005; Sakreida et al., 2016). The pFs was chosen as a representative region of the ventral visual stream, involved in object identification and classification, and the SPL was chosen as a representative region of the dorsal visual stream, involved in object perception and manipulation. The primary motor cortex (M1) has also been reported involved in affordance processing (e.g., McDannald et al., 2018), and we chose this region to probe the affordance congruency effect in the motor execution stage of the sense-think-act pathway. We did not choose the premotor cortex (PMC) and the supplementary motor area (SMA) because they were proposedly also involved in processes beyond motor execution (e.g., Hertrich et al., 2016; Kantak et al., 2012), and if any effect was observed, one cannot exclusively attribute the effect to motor execution. As for the parietal regions, our choice of the SPL not IPL/IPS is based on the meta-analysis of affordance processing areas where only the SPL shows consistent activation for both stable and variable affordances (Sakreida et al., 2016). We chose the SPL to capture effects on either type of affordances. In revision, we explained these considerations in the revised manuscript:

      (p 14, ln 280) “In addition to the pFs and SPL, we also examined the congruency effect in the lateral occipital cortex (LO), which is involved in object representation (e.g., Grill-Spector et al., 2000; Konkle & Caramazza, 2013) and provides inputs to both the pFs and SPL (Hebart et al., 2018). Meanwhile, the primary motor cortex (M1), which receives inputs from the dorsal stream (Vainio & Ellis, 2020), is involved in affordance processing (e.g., McDannald et al., 2018) and action executions (Binkofski et al., 2002).”

      (p 29, ln 684) “We chose the pFs, LO, SPL, and M1 as ROIs based on existing literature highlighting their distinct contributions to affordance perception (Borghi, 2005; Sakreida et al., 2016).”

      Regarding ROI thresholding, we apologize for the lack of clarity in reporting the thresholds in the original manuscript. The thresholds were different between ventral regions (from Zhen et al., 2015) and dorsal regions (from Fan et al., 2016) because they are from two different atlases. The former was constructed by probability maps of task-state fMRI activity during localizer contrast with stationary images and the latter by a parcellation of the brain's functional connectivity; therefore, the numerical values in these two atlases are not comparable. To extract ROIs with comparable sizes, we selected a threshold of 55% for the pFs, 90% for the LO, 78% for the SPL, and 94% for the M1 in the original manuscript.

      To rule out the possibility that the results were distorted by the specific choice of thresholds, we re-ran the analysis with a threshold 80% for all ROIs (resulting in 456 voxels in the lpFs, 427 voxels in the rpFs, 1667 voxels in the lLO, 999 voxels in the rLO, 661 voxels in the lSPL, 310 voxels in the rSPL, 231 voxels in the lM1, and 327 voxels in the rM1) with the 2-by-2 repeated-measures ANOVA. Our results remained the same qualitatively. A significant interaction between object type and congruency was observed in the pFs (F(1,11) = 24.87, p <.001, 𝜂2=.69) and SPL (F(1,11) = 14.62, p =.003, 𝜂2=.57). The simple effect analysis revealed the congruency effect solely for objects within body size range (pFs: p =.003; SPL: p <.001), not for objects beyond (ps >.30). For the M1 and LO, neither significant main effects (ps >.11) nor interactions were found (ps >.20).

      We clarified our choice of thresholds in the methods section in the revised manuscript:

      (p 29, ln 686) “Eight ROIs depicted in Fig. 3b were constructed based on the overlap between the whole-brain map activated by both objects within and beyond and corresponding functional atlases (the pFs and LO from Zhen et al., 2015; the SPL and M1 from Fan et al., 2016). To achieve ROIs of similar sizes, we applied varying thresholds to each cortical area: for the pFs and LO, the atlases were thresholded at 55% and 90%, resulting in 266 voxels in the lpFs, 427 in the rpFs, 254 in the lLO and 347 in the rLO; for the SPL and M1, the atlases were thresholded at 78% and 94%, resulting in 661 voxels in the lSPL, 455 in the rSPL, 378 in the lM1, and 449 in the rM1. In the subsequent analysis, homologous areas spanning both cortical hemispheres were merged.”

      (4) Discussion and theoretical implications. The authors discuss that the MRI results are consistent with the idea we only represent affordances within body size range. But the interpretation of the behavioural correlation matrices was that there was this similarity also for objects larger than body size, but forming a distinct cluster. I therefore found the interpretation of the MRI data inconsistent with the behavioural findings.

      R4: We speculated that the similarity in action perception among objects beyond the body size range may be due to these objects being similarly conceptualized as ‘environment’, in contrast to the objects within the body size range, which are categorized differently, namely as the ‘objects for the animal.’ Accordingly, in cortical regions involved in object processing, objects conceptualized as ‘environment’ unlikely showed the congruency effect, distinct from objects within the body size range. We have explained this point in the revised manuscript:

      (p 17, ln 370) “…which resonates the embodied influence on the formation of abstract concepts (e.g., Barsalou, 1999; Lakoff & Johnson, 1980) of objects and environment. Consistently, our fMRI data did not show the congruency effect for objects beyond the body size range, distinct from objects within this range, suggesting a categorization influenced by objects’ relative size to the human body.”

      (5) In the discussion, the authors outline how this work is consistent with the idea that conceptual and linguistic knowledge is grounded in sensorimotor systems. But then reference Barsalou. My understanding of Barsalou is the proposition of a connectionist architecture for conceptual representation. I did not think sensorimotor representation was privileged, but rather that all information communicates with all other to constitute a concept.

      R5: We are sorry for the confusion. We do not intend to argue that the sensorimotor representation is privileged. Instead, we would like to simply emphasize their engagement in concept. According to our understanding, Barsalou’s Perceptual Symbol Theory proposes that grounded concepts include sensorimotor information, and conceptual knowledge is grounded in the same neural system that supports action (Barsalou, 1999). This is consistent with our proposal that the affordance boundary locked to an animal’s sensorimotor capacity might give rise to a conceptual-ish representation of object-ness specific to the very animal. We have clarified this point in the introduction and discussion on the conceptual knowledge and sensorimotor information:

      In the introduction (p 2, ln 59) “…, and the body may serve as a metric that facilitates meaningful engagement with the environment by differentiating objects that are accessible for interactions from those not. Further, grounded cognition theory (see Barsalou, 2008 for a review) suggests that the outputs of such differentiation might transcend sensorimotor processes and integrate into supramodal concepts and language. From this perspective, we proposed two hypotheses...”

      In the discussion (p 18, ln 392) “Indeed, it has been proposed that conceptual knowledge is grounded in the same neural system that supports action (Barsalou, 1999; Glenberg et al., 2013; Wilson & Golonka, 2013), thereby suggesting that sensorimotor information, along with other modal inputs, may be embedded in language (e.g., Casasanto, 2011; Glenberg & Gallese, 2012; Stanfield & Zwaan, 2001), as the grounded theory proposed (see Barsalou, 2008 for a review).”

      (6) More generally, I believe that the impact and implications of this study would be clearer for the reader if the authors could properly entertain an alternative concerning how objects may be represented. Of course, the authors were going to demonstrate that objects more similar in size afforded more similar actions. It was impossible that Ps would ever have responded that aeroplanes afford grasping and balls afford sitting, for instance. What do the authors now believe about object representation that they did not believe before they conducted the study? Which accounts of object representation are now less likely?

      R6: We thank the reviewer for this suggestion. The theoretical motivation of the present study is to explore whether, for continuous action-related physical features (such as object size relative to the agents), affordance perception introduces discontinuity and qualitative dissociation, i.e., to allow the sensorimotor input to be assigned into discrete states/kinds, as representations envisioned by the computationalists; alternatively, whether the activity may directly mirror the input, free from discretization/categorization/abstraction, as proposed by the Replacement proposal of some embodied theories on cognition.

      By addressing this debate, we hoped to shed light on the nature of representation in, and resulted from, the vision-for-action processing. Our finding of affordance discontinuity suggests that sensorimotor input undergoes discretization implied in the computationalism idea of representation. Further, not contradictory to the claims of the embodied theories, these representations do shape processes out of the sensorimotor domain, but after discretization.

      We have now explained our hypotheses and alternatives explicitly in the revised introduction and discussion:

      In the introduction (p 2, ln 45) “However, the question of how object perception is influenced by the relative size of objects in relation to the human body remains open. Specifically, it is unclear whether this relative size simply acts as a continuous variable for locomotion reference, or if it affects differentiating and organizing object representation based on their ensued affordances.”

      In the discussion (p 14, ln 295) “One long-lasting debate on affordance centers on the distinction between representational and direct perception of affordance. An outstanding theme shared by many embodied theories of cognition is the replacement hypothesis (e.g., Van Gelder, 1998), which challenges the necessity of representation as posited by computationalism’s cognitive theories (e.g., Fodor, 1975). This hypothesis suggests that input is discretized/categorized and subjected to abstraction or symbolization, creating discrete stand-ins for the input (e.g., representations/states). Such representationalization would lead to a categorization between the affordable (the objects) and those beyond affordance (the environment), in contrast to the perspective offered by embodied theories. The present study probed this ‘representationalization’ of affordance by examining whether affordance perception introduces discontinuity and qualitative dissociation in response to continuous action-related physical features (such as object size relative to the agents), which allows sensorimotor input to be assigned into discrete states/kinds, in line with the representation-based view under the constraints of body size. Alternatively, it assessed whether activity directly mirrors the input, free from discretization/categorization/abstraction, in line with the representation-free view.

      First, our study found evidence demonstrating discretization in affordance perception. Then, through the body imagination experiment, we provided causal evidence suggesting that this discretization originates from sensorimotor interactions with objects rather than amodal sources, such as abstract object concepts independent of agent motor capability. Finally, we demonstrated the supramodality of this embodied discontinuity by leveraging the recent advances in AI. We showed that the discretization in affordance perception is supramodally accessible to disembodied agents such as large language models (LLMs), which lack sensorimotor input but can access linguistic materials built upon discretized representations. These results collectively suggest that sensorimotor input undergoes discretization, as implied in the computationalism’s idea of representation. Note that, these results are not contradictory to the claim of the embodied theories, as these representations do shape processes beyond the sensorimotor domain but after discretization.

      This observed boundary in affordance perception extends the understanding of the discontinuity in perception in response to the continuity of physical inputs (Harnad, 1987; Young et al., 1997).”

      Reviewer #1 (Recommendations For The Authors):

      a) I would recommend providing further justification for why 100-200 cm were used as the cut-offs reflecting acceptable imagined body size. Were these decisions preregistered anywhere? If so, please state.

      Ra: Please see R1.

      b) I would encourage the authors to call the MRI a small pilot study throughout, including in the abstract.

      Rb: We completely agree and have indicated the preliminary nature of this study in the revised version:

      (p 11, ln 236) “To test this speculation, we ran an fMRI experiment with a small number of participants to preliminarily investigate the neural basis of the affordance boundary in the brain by measuring neural activity in the dorsal and ventral visual streams when participants were instructed to evaluate whether an action was affordable by an object (Fig. 3a).”

      c) Please provide much further justification of ROI selection, why these thresholds were chosen, and therefore why they are different across regions.

      Rc: Please see R3.

      d) Further elucidation in the discussion would help the reader interpret the MRI data, which should always be interpreted also in light of the behavioural findings.

      Rd: Please see R4.

      e) The authors may wish to outline precisely what they claim concerning the nature of conceptual/linguistic representation. Is sensorimotor information privileged or just part of the distributed representation of concepts?

      Re: This is a great point. For details of corresponding revision, please see R5.

      f) There are some nods to alternative manners in which we plausibly represent objects (e.g. about what the imagination study tells us) but I think this theoretical progression should be more prominent.

      Rf: We thank the reviewer for this suggestion. For details of corresponding revision, please see R6.

      Reviewer #2 (Public Review):

      (1) A limitation of the tests of LLMs may be that it is not always known what kinds of training material was used to build these models, leading to a possible "black box" problem. Further, presuming that those models are largely trained on previous human-written material, it may not necessarily be theoretically telling that the "judgments" of these models about action-object pairs show human-like discontinuities. Indeed, verbal descriptions of actions are very likely to mainly refer to typical human behaviour, and so the finding that these models demonstrate an affordance discontinuity may simply reflect those statistics, rather than evidence that affordance boundaries can arise independently even without "organism-environment interactions" as the authors claim here.

      R1: We agree that how LLMs work is a “black box”, and thus it is speculative to assume them to possess any human-like ability, because, as the reviewer pointed out, “these models demonstrate an affordance discontinuity may simply reflect those statistics.” Indeed, our manuscript has expressed a similar idea: “We speculated that ChatGPT models may have formed the affordance boundary through a human prism ingrained within its linguistic training corpus. (p 16 ln 338)”. That is, we did not intend to claim that such information is sufficient to replace sensorimotor-based interaction, or to restore human-level capability, for which we indeed speculated that embodied interaction is necessary. In the revised manuscript, we have clarified our stand that the mechanism generating the observed affordance boundary in LLMs might be different from that in human cognition, and urged future studies to explore this possibility:

      (p 18, ln 413) “…, as well as alignment methods used in fine-tuning the model (Ouyang et al., 2022). Nevertheless, caution should be taken when interpreting the capabilities of LLMs like ChatGPT, which are often considered “black boxes.” That is, our observation indicates that some degree of sensorimotor information is embedded within human language materials presumably through linguistic statistics, but it is not sufficient to assert that LLMs have developed a human-like ability to represent affordances. Furthermore, such information alone may be insufficient for LLMs to mimic the characteristics of the affordance perception in biological intelligence. Future studies are needed to elucidate such limitation.”

      Indeed, because of this potential dissociation, our LLM study might bear novel implications for the development of AI agents. We elaborated on them in the revised discussion on LLMs:

      (p 19, ln 427) “…, represents a crucial human cognitive achievement that remains elusive for AI systems. Traditional AI (i.e., task-specific AI) has been confined with narrowly defined tasks, with substantial limitations in adaptability and autonomy. Accordingly, these systems have served primarily as tools for humans to achieve specific outcomes, rather than as autonomous agents capable of independently formulating goals and translating them into actionable plans. In recent years, significant efforts have been directed towards evolving traditional AI into more agent-like entities, especially in domains like navigation, object manipulation, and other interactions with the physical world. Despite these advancements, the capabilities of AI still fall behind human-level intelligence. On the other hand, embodied cognition theories suggest that sensorimotor interactions with the environment are foundational for various cognitive domains. From this point of view, endowing AI with human-level abilities in physical agent-environment interactions might provide an unreplaceable missing piece for achieving Artificial General Intelligence (AGI). This development would significantly facilitate AI’s role in robotics, particularly in actions essential for survival and goal accomplishment, a promising direction for the next breakthrough in AI (Gupta et al., 2021; Smith & Gasser, 2005).

      However, equipping a disembodied AI with the ability for embodied interaction planning within a specific environment remains a complex challenge. By testing the potential representationalization of action possibilities (affordances) in both humans and LLMs, the present study suggests a new approach to enhancing AI’s interaction ability with the environment. For instance, our finding of supramodal affordance representation may indicate a possible pathway for disembodied LLMs to engage in embodied physical interactions with their surroundings. From an optimistic view, these results suggest that LLM-based agents, if appropriately designed, may leverage affordance representations embedded in language to interact with the physical world. Indeed, by clarifying and aligning such representations with the physical constitutes of LLM-based agents, and even by explicitly constructing an agent-specific object space, we may foster the sensorimotor interaction abilities of LLM-based agents. This progression could lead to achieving animal-level interaction abilities with the world, potentially sparking new developments in the field of embodied cognition theories.”

      (2) The authors include a clever manipulation in which participants are asked to judge action-object pairs, having first adopted the imagined size of either a cat or an elephant, showing that the discontinuity in similarity judgments effectively moved to a new boundary closer to the imagined scale than the veridical human scale. The dynamic nature of the discontinuity suggests a different interpretation of the authors' main findings. It may be that action affordance is not a dimension that stably characterises the long-term representation of object kinds, as suggested by the authors' interpretation of their brain findings, for example. Rather these may be computed more dynamically, "on the fly" in response to direct questions (as here) or perhaps during actual action behaviours with objects in the real world.

      R2: We thank the reviewer for pointing out the dynamic nature of affordance perception in our study. This feature indeed reinforced our attribution of the boundary into an affordance-based process instead of a conceptual or semantic process, the latter of which would predict the action possibilities being a fixed belief about the objects, instead of being dynamically determined according to the feature of the agent-object dyads. In addition, this dynamic does not contradict with our interpretation of the observed boundary in affordance perception. With this observation, we speculated that continuous input was abstracted or representationalized into discontinued categories, and the boundary between these categories was drawn according to the motor capacity of the agent. The finding of the boundary adapting to manipulation on body schema suggests that the abstraction/representationalization dynamically updates according to the current belief of motor capacity and body schema of the animal. In addition, we agree that future studies are needed to examine the dynamics of the abstraction/representationalization of affordance, probably by investigating the evolvement of affordance representation during ongoing actual interactions with novel objects or manipulated motor capability. These points are now addressed in the revision:

      (p 17, ln 380) “Therefore, this finding suggests that the affordance boundary is cognitively penetrable, arguing against the directness of affordance perception (e.g., Gibson, 1979; Greeno, 1994; Prindle et al., 1980) or the exclusive sensorimotor origin of affordances (e.g., Gallagher, 2017; Thompson, 2010; Hutto & Myin, 2012; Chemero, 2013). Further, this finding that the boundary adapted to manipulation on body schema suggests that the abstraction/representationalization may be dynamically updated in response to the current motor capacity and body schema of the agent, suggesting that the affordance-based process is probably determined dynamically by the nature of the agent-object dyads, rather than being a fixed belief about objects. Future studies could explore the dynamics of affordance representationalization, probably by investigating how affordance representations evolve during active interactions with novel objects or under conditions of altered motor capabilities. Finally, our findings also suggest that disembodied conceptual knowledge pertinent to action likely modulates affordance perception.”

      Reviewer #2 (Recommendations For The Authors):

      a) As described, I think the authors could improve their discussion of the LLM work and consider more deeply possible different interpretations of their findings with those models. Are they really providing an independent data point about how objects may be represented, or instead is this a different, indirect way of asking humans the same questions (given the way in which these models are trained)?

      Ra: Please see R1.

      b) Some of the decisions behind the design of the fMRI experiment, and some of the logic of its interpretation, could be made clearer. Why those four objects per se? What kinds of confounds, such as familiarity, or the range of possible relevant actions per object, might need to be considered? Is there the possibility that relative performance on the in-scanner behavioural task may be in part responsible for the findings? Why were those specific regions of interest chosen and not others? The authors find that the dorsal and ventral regions make a univariate distinction between congruent and incongruent trials, but only for human-scale objects, but it was not clear from the framework that the authors adopted why that distinction should go in that direction (e.g. congruent > incongruent) nor why there shouldn't also be a distinction for the "beyond" objects? Finally, might some of these brain questions better be approached with an RSA or similar approach, as that would seem to better map onto the behavioural studies?

      Rb: We thank the reviewer for the detailed suggestions.

      Regarding the fMRI study, we have provided further justification on its rationale in the revised manuscript:

      (p 11, ln 231) “The distinct categories of reported affordances demarcated by the boundary imply that the objects on either side of the boundary may be represented differently in the brain. We thus speculated that the observed behavioral discontinuity is likely underpinned by distinct neural activities, which give rise to these discrete ‘representations’ separated by the boundary.”

      The objects used in the fMRI study were selected by taking into account the objective of the fMRI study, which was to provide the neural basis for the affordance discontinuity found in behaviour experiments. In other words, the fMRI study is not an exploratory experiment, but a validation experiment. To this end, we deliberately selected a small range of common objects to ensure that participants were sufficiently familiar with them, as confirmed through their oral reports. Furthermore, to ensure a fair comparison between the two categories of objects in terms of action possibility range, we predetermined an equal number of congruent and incongruent actions for each category. This arrangement was intended to eliminate any bias that might arise from different amount of action choices associated with each category. Therefore, the present object and action sets in the fMRI study, which were based on the behavior experiments, are sufficient for its purpose.

      Regarding the possibility that the performance of the in-scanner behavioural task may be in part responsible for the findings, we analysed participants’ performance. Not surprisingly, participants demonstrated high consistency and accuracy in their responses:

      𝑀𝑒𝑎𝑛𝐶𝑜𝑛𝑔𝑟𝑢𝑒𝑛𝑡_𝑂𝑏𝑗𝑒𝑐𝑡𝑊𝑖𝑡ℎ𝑖𝑛 = 0.991, SD = 0.018;

      𝑀𝑒𝑎𝑛𝐼𝑛𝑐𝑜𝑛𝑔𝑟𝑢𝑒𝑛𝑡_𝑂𝑏𝑗𝑒𝑐𝑡𝑊𝑖𝑡ℎ𝑖𝑛 = 0.996, SD = 0.007;

      𝑀𝑒𝑎𝑛𝐶𝑜𝑛𝑔𝑟𝑢𝑒𝑛𝑡_𝑂𝑏𝑗𝑒𝑐𝑡𝐵𝑒𝑦𝑜𝑛𝑑 = 0.996, SD = 0.004;

      𝑀𝑒𝑎𝑛𝐼𝑛𝑐𝑜𝑛𝑔𝑟𝑢𝑒𝑛𝑡𝑂𝑏𝑗𝑒𝑐𝑡𝐵𝑒𝑦𝑜𝑛𝑑 = 0.998, SD = 0.002

      in all conditions, suggesting constant active engagement with the task. Thus, the inscanner behaviour unlikely resulted in the lack of congruency effect for the ‘beyond’ objects observed in the brain.

      Regarding the selection of ROIs, our decision to focus on these specific sensory and motor regions was based on existing literature highlighting their distinct contribution to affordance perception (Borghi, 2005; Sakreida et al., 2016). The pFs was chosen for its role in object identification and classification, while the SPL was chosen for its involvement in object manipulation. Additionally, the primary motor cortex (M1) is known to be engaged in affordance processing (e.g., McDannald et al., 2018), which was included to investigate the affordance congruency effect during the motor execution stage of the sense-think-act pathway. These considerations are detailed in the revised manuscript:

      (p 14, ln 280) “In addition to the pFs and SPL, we also examined the congruency effect in the lateral occipital cortex (LO), which is involved in object representation (e.g., Grill-Spector et al., 2000; Konkle & Caramazza, 2013) and provides inputs to both the pFs and SPL (Hebart et al., 2018). Meanwhile, the primary motor cortex (M1), which receives inputs from the dorsal stream (Vainio & Ellis, 2020), is involved in affordance processing (e.g., McDannald et al., 2018) and action executions (Binkofski et al., 2002).”

      (p 29, ln 684) “We chose the pFs, LO, SPL, and M1 as ROIs based on existing literature highlighting their distinct contributions to affordance perception (Borghi, 2005; Sakreida et al., 2016).”

      Regarding the congruency effect, in our study, we followed the established fMRI research paradigm of employing the congruent effect as a measure of affordance processing (e.g., Kourtis et al., 2018), and the rationale behind the directionality of the distinction in our framework (congruent > incongruent) is grounded in the concept of affordance, in which the mere perception of a graspable object facilitates motor responses that are congruent with certain qualities of the object (e.g., Ellis & Tucker, 2000). From the interaction of congruency by object type, we observed only congruency effect for objects within rather than objects beyond. We speculate that the objects beyond the affordance boundary is generally beyond the motor capacities of the very animal, being too large for the animal to manipulate, thus no congruency effect was found. We have added these clarifications in the revised manuscript:

      (p 11, ln 244) “The congruency effect, derived from the contrast of Congruent versus Incongruent conditions, is a well-established measure of affordance processing (e.g., Kourtis et al., 2018).”

      (p 16, ln 340) “In contrast, objects larger than that range typically surpass the animal’s motor capabilities, rendering them too cumbersome for effective manipulation. Consequently, these larger objects are less likely to be considered as typical targets for manipulation by the animal, as opposed to the smaller objects. That is, they are perceived not as the “objects” in the animal’s eye, but as part of the background environment, due to their impracticality for direct interactions.”

      Regarding the RSA analysis, we agree with the reviewer that RSA may offer a more direct comparison with similarities among objects. However, our primary objective in this fMRI study was to explore the neural basis of the affordance boundary observed in the behavioural study, rather than explaining the similarities in neural responses between different objects. For this reason, we did not conduct RSA analysis.

      c) Page 4 Re statistical evaluation of the discontinuity in judgments, the authors might consider a Bayesian approach, which would be stronger than using "all ps > 0.05" to argue that within-boundary similarities are consistent and high.

      Rc: We thank the reviewer for the suggestion on the Bayesian approach for significance tests, which has been now added in the revised manuscript:

      In the results (p 4, ln 105) “This trough suggested an affordance boundary between size rank 4 and 5, while affordance similarities between neighboring ranks remained high (rs > 0.45) and did not significantly differ from each other (ps > 0.05, all 𝐵𝐹10 < 10) on either side of the boundary (Fig. 1d, left panel, green lines).”

      In the methods (p 25, ln 597) “Pearson and Filon’s (1898) Z, implemented in R package “cocor” (Diedenhofen & Musch, 2015) was used to evaluate the significance of these similarities (alpha level = .05, one-tail test). For significance tests, Bayesian statistical analyses were conducted using the web version of the “bayesplay” R package (Colling, 2021). Specifically, the data (likelihood) model was specified as a normal distribution, where the correlation coefficients were transformed to Fisher’s z. The null hypothesis was specified as a standard normal distribution centred at zero. Conversely, the alternative hypothesis was specified as a normal distribution centred at 2. Bayes factors (BF10) were calculated and interpreted using the classification scheme suggested by Wagenmakers et al. (2011), wherein a Bayes factor greater than 10 is considered strong evidence for accepting H1 over H0.”

      d) Page 4 One question I had about the big objects is whether their internal similarity and dissimilarity to smaller objects, might largely arise if most of the answers about actions for those larger objects are just "no"? This depends on the set of possible actions that were considered: the authors chose 14 from a previous study but did not describe these further or consider possible strengths/limitations of this selection. This is a very important point that needs addressing - to what extent are these findings "fragile" in that they relate only to that specific selection of 14 action kinds?

      Rd: The action judgements for objects beyond body size were not mostly “no”; in fact, there was no significant difference between average action possibilities related to objects beyond (25%) and within (26%). Rather, the dissimilarity between objects within and those beyond likely arose from the difference in most-plausible action set they related. For example, the top three actions related to objects within are “grasp”, “hold” and “throw”, while those related to objects beyond are “sit”, “lift” and “stand”, as stated in our original manuscript: “A further analysis on the affordances separated by the boundary revealed that objects within human body size range were primarily subjected to hand-related actions such as grasping, holding and throwing. These affordances typically involve object manipulation with humans’ effectors. In contrast, objects beyond the size range of human body predominantly afforded actions such as sitting and standing, which typically require locomotion or posture change of the whole body around or within the objects (p 11 ln 229)”.

      Regarding the validity of action selection, the selection of the objects and affordances in this study was guided by two key criteria. First, the objects were selected from the dataset published in Konkle and Oliva's study (2011), which systematically investigates the effect of object size on object recognition. Therefore, the range of object sizes, from 14 cm to 7,618 cm, is well-calibrated and represents a typical array of object sizes found in the real world. Second, the actions were selected to cover a wide range of daily humans-objects/environments interactions, from singlepoint movements (e.g., hand, foot) to whole-body movements (e.g., lying, standing), based on the kinetics human action video dataset (Kay et al., 2017). Thus, this set of objects and actions is a sufficiently representative of typic human experiences. In revision, we have clarified these two criteria in the methods section:

      (p 22, ln 517) “The full list of objects, their diagonal size, and size rankings were provided in Supplementary Table S6. The objects were selected from the dataset in Konkle and Oliva’s study (2011) to cover typic object sizes in the world (ranging from 14 cm to 7,618 cm), and actions related to these objects were selected to span a spectrum of daily humans-objects/environments interactions, from single-point movements (e.g., hand, foot) to whole-body movements (e.g., lying, standing), based on the Kinetics Human Action Video Dataset (Kay et al., 2017).”

      Having said this, we agree with reviewer that a larger set of objects and actions will facilitate finer localization of the representational discontinuity, which can be addressed in future studies

      (p 16, ln 344): “…, due to their impracticality for direct interactions. Future studies should incorporate a broader range of objects and a more comprehensive set of affordances for finer delineation of the representational discontinuity between objects and the environment.”

      e) Page 12 "no region showed the congruency effect for objects beyond the body size" in a whole brain analysis. What about a similar analysis for the humanscale objects? We must also keep in mind that with N=12 there may be relatively little power to detect such effects at the random-effects level, so this null finding may not be very informative.

      Re: We thank the reviewer for this advice. The whole brain analysis on the congruency effect for human-scale objects (objects within) has now been included in the supplementary materials (please see Author response figure 1d (New Supplementary Fig. S4d) and Author response table 1 (New Supplementary Table S5) below).

      Author response image 1.

      Significant brain activations of different contrasts in the whole-brain level analysis. a, the effect of object type, positive values (warm color) indicated higher activation for objects within than objects beyond and negative values (cold color) indicated the opposite. b, the effect of congruency, positive values indicated higher activation in congruent than incongruent condition. c, the effect of interaction between object type and congruency, positive values indicated the larger congruency effect for objects within than beyond. d, the congruency effect for objects within. All contrasts were corrected with cluster-level correction at p < .05. The detailed cluster-level results for each contrast map can be found in Supplementary Table S2 to S5.

      Author response table 1.

      Cortical regions showing significant congruency effect (congruent versus incongruent) for objects within, whole-brain analysis (R = right hemisphere, L = left hemisphere; Z > 2.3, p = 0.05, cluster corrected)

      Regarding the power of the fMRI study, we would like to clarify that, the critical test of this fMRI study is the two-way interaction of congruency effect by object size instead of the (null) congruency effect for the object beyond. Having said this, we agree that the sample size is small which might lead to lack of power in the fMRI study. In the revision we have now acknowledged this issue explicitly:

      (p 16, ln 354) “…supporting the idea that affordance is typically represented only for objects within the body size range. While it is acknowledged that the sample size of the fMRI study was small (12 participants), necessitating cautious interpretation of its results, the observed neural-level affordance discontinuity is notable. That is, qualitative differences in neural activity between objects within the affordance boundary and those beyond replicated our behavior findings. This convergent evidence reinforced our claim that objects were discretized into two broad categories along the continuous size axis, with affordance only being manifested for objects within the boundary.”

      f) Page 14 [the fMRI findings] "suggest that affordance perception likely requires perceptual processing and is not necessarily reflected in motor execution". This seems a large leap to make from a relatively basic experiment that tests only a small set of (arbitrarily chosen) objects and actions. It's important to keep in mind too that none of the studies here actually asked participants to interact with objects; that objects were shown as 2D images; and that the differences between real-world sizes of objects were greatly condensed by the way they are scaled for presentation on a computer screen (and such scaling is probably greater for the larger-than-human objects).

      Rf: The action-congruency judgement task is widely used in the studies of affordance processing (e.g., Kourtis et al., 2018; Peelen & Caramazza, 2012), so does the practice of not including actual interaction with the objects and using 2D instead of 3D objects (e.g., Peelen & Caramazza, 2012; Matić et al., 2020). However, we are aware that alternative practice exists in the field and we agree that it would be interesting for future studies to test whether actual interactions and 3D objects presentation may bring any change on the affordance boundary observed in our study.

      Our inference “affordance perception likely requires perceptual processing and is not necessarily reflected in motor execution” was based on the fMRI finding that the congruency effect only in cortical regions proposedly engaged in perceptual processing, but not in the M1 which is associated with motor execution. This significant two-way interaction pointed to a possibility that affordance processing may not necessarily manifest in motor execution.

      We acknowledge the scaling issue inherent in all laboratory experiments, but we doubt that it significantly influenced our results. In fact, it is a common practice in studies on object size to present objects of different physical sizes as constantly sized images on a screen (e.g., Konkle & Oliva, 2012; Huang et al., 2022). Moreover, scaling does not change the smoothness of object sizes, whereas the affordance boundary represents a singularity point that disrupts this smoothness. Finally, regarding the limited variety of objects and actions, please see Rd.

      g) Page 15 Why are larger objects "less interesting"? They have important implications for navigation, for example?

      Rg: We are sorry for the confusion. Our intention was to express that objects beyond the affordance boundary are generally beyond motor capacities of the animal in question. As such, compared to smaller objects within the environment, these larger objects may not typically be considered as potential targets for manipulation. We have now corrected the wording in the revised text:

      (p 16, ln 340) “In contrast, objects larger than that range typically surpass the animal’s motor capabilities, rendering them too cumbersome for effective manipulation. Consequently, these larger objects are less likely to be considered as typical targets for manipulation by the animal, as opposed to smaller objects in the environment. That is, they are perceived not as the “objects” in the animal’s eye, but as part of the background environment, due to their impracticality for direct interactions.”

      h) Page 15 At several places I wondered whether the authors were arguing against a straw man. E.g. "existing psychological studies...define objects in a disembodied manner..." but no citations are given on this point, nor do the authors describe previous theoretical positions that would make a strong counter-claim to the one advocated here.

      Rh: We are sorry for not presenting our argument clearly. Previous studies often define the object space based on object features alone, such as absolute size or function, without reference to the knowledge and the abilities of the agent (e.g., de Beeck et al., 2008; Konkle & Oliva, 2011). This perspective overlooks the importance of the features of the animal-object pairs. Gibson (1979) highlighted that an object’s affordance, which includes all action possibilities it offers to an animal, is determined by the object’s size relative to the animal’s size, rather than its real-world size. Under this embodied view, we argue that the object space is better defined by the features of the agent-object system, and this is the primary assumption and motivation of the present study. We have now clarified this point and added the references in the revision:

      (p 2, ln 35) “A contemporary interpretation of this statement is the embodied theory of cognition (e.g., Chemero, 2013; Gallagher, 2017; Gibbs, 2005; Wilson, 2002; Varela et al., 2017), which, diverging from the belief that size and shape are inherent object features (e.g., de Beeck et al., 2008; Konkle & Oliva, 2011), posits that human body scale (e.g., size) constrains the perception of objects and the generation of motor responses.”

      (p 17, ln 365) “Existing psychological studies, especially in the field of vision, define objects in a disembodied manner, primarily relying on their physical properties such as shape (e.g., de Beeck et al., 2008) and absolute size (e.g., Konkle & Oliva, 2011).”

      Reviewer #3 (Public Review):

      (1) Even after several readings, it is not entirely clear to me what the authors are proposing and to what extent the conducted work actually speaks to this. In the introduction, the authors write that they seek to test if body size serves not merely as a reference for object manipulation but also "plays a pivotal role in shaping the representation of objects." This motivation seems rather vague motivation and it is not clear to me how it could be falsified.

      Similarly, in the discussion, the authors write that large objects do not receive "proper affordance representation," and are "not the range of objects with which the animal is intrinsically inclined to interact, but probably considered a less interesting component of the environment." This statement seems similarly vague and completely beyond the collected data, which did not assess object discriminability or motivational values.

      Overall, the lack of theoretical precision makes it difficult to judge the appropriateness of the approaches and the persuasiveness of the obtained results. This is partly due to the fact that the authors do not spell out all of their theoretical assumptions in the introduction but insert new "speculations" to motivate the corresponding parts of the results section. I would strongly suggest clarifying the theoretical rationale and explaining in more detail how the chosen experiments allow them to test falsifiable predictions.

      R1: We are sorry for the confusion about the theoretical motivation and rationale. Our motivation is on the long-lasting debate regarding the representation versus direct perception of affordance. That is, we tested whether object affordance would simply covary with its continuous constraints such as object size, in line with the representation-free view, or, whether affordance would be ‘representationalized’, in line with the representation-based view, under the constrain of body size. In revision, we have clarified the motivation and its relation to our approach:

      In the introduction (p 2, ln 45): “However, the question of how object perception is influenced by the relative size of objects in relation to the human body remains open. Specifically, it is unclear whether this relative size simply acts as a continuous variable for locomotion reference, or if it affects differentiating and organizing object representations based on their ensued affordances.”

      In the discussion (p 14, ln 295): “One long-lasting debate on affordance centers on the distinction between representational and direct perception of affordance. An outstanding theme shared by many embodied theories of cognition is the replacement hypothesis (e.g., Van Gelder, 1998), which challenges the necessity of representation as posited by computationalism’s cognitive theories (e.g., Fodor, 1975). This hypothesis suggests that input is discretized/categorized and subjected to abstraction or symbolization, creating discrete stand-ins for the input (e.g., representations/states). Such representationalization would lead to a categorization between the affordable (the objects) and those beyond affordance (the environment). Accordingly, computational theories propose the emergence of affordance perception, in contrast to the perspective offered by embodied theories. The present study probed this ‘representationalization’ of affordance by examining whether affordance perception introduces discontinuity and qualitative dissociation in response to continuous action-related physical features (such as object size relative to the agents), which allows sensorimotor input to be assigned into discrete states/kinds, in line with the representation-based view under the constraints of body size. Alternatively, it assessed whether activity directly mirrors the input, free from discretization/categorization/abstraction, in line with the representation-free view.

      First, our study found evidence demonstrating discretization in affordance perception. Then, through the body imagination experiment, we provided causal evidence suggesting that this discretization originates from sensorimotor interactions with objects rather than amodal sources, such as abstract object concepts independent of agent motor capability. Finally, we demonstrated the supramodality of this embodied discontinuity by leveraging the recent advances in AI. We showed that the discretization in affordance perception is supramodally accessible to disembodied agents such as large language models (LLMs), which lack sensorimotor input but can access linguistic materials built upon discretized representations. These results collectively suggest that sensorimotor input undergoes discretization, as implied in the computationalism’s idea of representation. Note that, these results are not contradictory to the claim of the embodied theories, as these representations do shape processes beyond the sensorimotor domain but after discretization.

      The observed boundary in affordance perception extends the understanding of the discontinuity in perception in response to the continuity of physical inputs (Harnad, 1987; Young et al., 1997).”

      We are also sorry for the confusion about the expression “proper affordance representation”. We intended to express that the neural responses to objects beyond the boundary in the whole brain failed to reflect affordance congruency, and therefore did not show evidence of affordance processing. We have clarified this expression in the revised manuscript:

      (p 12, ln 265) “Taken together, the affordance boundary not only separated the objects into two categories based on their relative size to human body, but also delineated the range of objects that evoked neural representations associated with affordance processing.”

      Finally, we agree with the reviewer that the expressions, such as “not…inclined to interact” and “probably considered a less interesting component of the environment”, may be misleading. Rather, we intended to express that the objects beyond the affordance boundary is generally beyond the motor capacities of the very animal, being too large for the very animal to manipulated, as comparing to the smaller objects in the environment, may not be a typical target object for manipulation for the animal. We have revised these expressions in the manuscript and clarified their speculative nature:

      (p 16, ln 340) “In contrast, objects larger than that range typically surpass the animal’s motor capabilities, rendering them too cumbersome for effective manipulation. Consequently, these larger objects are less likely to be considered as typical targets for manipulation by the animal, as opposed to the smaller objects. That is, they are perceived not as the “objects” in the animal’s eye, but as part of the background environment, due to their impracticality for direct interactions.”

      (2) The authors used only a very small set of objects and affordances in their study and they do not describe in sufficient detail how these stimuli were selected. This renders the results rather exploratory and clearly limits their potential to discover general principles of human perception. Much larger sets of objects and affordances and explicit data-driven approaches for their selection would provide a far more convincing approach and allow the authors to rule out that their results are just a consequence of the selected set of objects and actions.

      R2: The selection of the objects and affordances in this study was guided by two key criteria. First, the objects were selected from the dataset published in Konkle and Oliva's study (2011), which systematically investigates the effect of object size on object recognition. Therefore, the range of object sizes, from 14 cm to 7,618 cm, is well-calibrated and represents a typical array of object sizes found in the real world. Second, the actions were selected to cover a wide range of daily humans objects/environments interactions, from single-point movements (e.g., hand, foot) to whole-body movements (e.g., lying, standing), based on the kinetics human action video dataset (Kay et al., 2017). Thus, this set of objects and actions is a sufficiently representative of typic human experiences. In revision, we have clarified these two criteria in the methods section:

      (p 22, ln 517) “The full list of objects, their diagonal sizes, and size rankings were provided in Supplementary Table S6. The objects were selected from the dataset in Konkle and Oliva’s study (2011) to cover typic object sizes in the world (ranging from 14 cm to 7,618 cm), and actions related to these objects were selected to span a spectrum of daily humans-objects/environments interactions, from single-point movements (e.g., hand, foot) to whole-body movements (e.g., lying, standing), based on the Kinetics Human Action Video Dataset (Kay et al., 2017).”

      Having said this, we agree with reviewer that a larger set of objects and actions will facilitate finer localization of the representational discontinuity, which can be addressed in future studies

      (p 16, ln 344): “…, due to their impracticality for direct interactions. Future studies should incorporate a broader range of objects and a more comprehensive set of affordances for finer delineation of the representational discontinuity between objects and the environment.”

      (3) Relatedly, the authors could be more thorough in ruling out potential alternative explanations. Object size likely correlates with other variables that could shape human similarity judgments and the estimated boundary is quite broad (depending on the method, either between 80 and 150 cm or between 105 to 130 cm). More precise estimates of the boundary and more rigorous tests of alternative explanations would add a lot to strengthen the authors' interpretation.

      R3: We agree with the reviewer that correlation analyses alone cannot rule out alternative explanations, as any variable co-varying with object sizes might also affect affordance perception. Therefore, our study experimentally manipulated the imagined body sizes, while keeping other variable constant across conditions. This approach provided evidence of a causal connection between body size and affordance perception, effectively ruling out alternative explanations. In revision, the rationale of experimentally manipulation of imagined body sizes has been clarified

      (p 7, ln 152): “One may argue that the location of the affordance boundary coincidentally fell within the range of human body size, rather than being directly influenced by it. To rule out this possibility, we directly manipulated participants’ body schema, referring to an experiential and dynamic functioning of the living body within its environment (Merleau-Ponty & Smith, 1962). This allowed us to examine whether the affordance boundary would shift in response to changes in the imagined body size. This experimental approach was able to establish a causal link between body size and affordance boundary, as other potential factors remained constant. Specifically, we instructed a new group of participants to imagine themselves as small as a cat (typical diagonal size: 77cm, size rank 4, referred to as the “cat condition”), and another new group to envision themselves as large as an elephant (typical diagonal size: 577 cm, size rank 7, referred to as the “elephant condition”) throughout the task (Fig. 2a).”

      Meanwhile, with correlational analysis, precise location of the boundary cannot help ruling out alternative explanation. However, we agree that future studies are needed to incorporate a broader range of objects and a more comprehensive set of affordances. For details, please see R2.

      (4) Even though the division of the set of objects into two homogenous clusters appears defensible, based on visual inspection of the results, the authors should consider using more formal analysis to justify their interpretation of the data. A variety of metrics exist for cluster analysis (e.g., variation of information, silhouette values) and solutions are typically justified by convergent evidence across different metrics. I would recommend the authors consider using a more formal approach to their cluster definition using some of those metrics.

      R4: We thank the reviewer for the suggestion. We performed three analyses on this point, all of which consistently indicated the division of objects into two distinct groups along the object size axis.

      First, a hierarchical clustering analysis of the heatmaps revealed a two-maincluster structure, which is now detailed in the revised methods section (p 25, ln 589) “A hierarchical clustering analysis was performed, employing the seaborn clustermap method with Euclidean distance and Complete linkage (Waskom, 2021).”

      Second, the similarity in affordances between neighbouring size ranks revealed the same two-main-cluster structure. In this analysis, each object was assigned a realworld size rank, and then Pearson’s correlation was calculated as the affordance similarity index for each pair of neighbouring size ranks to assess how similar the perceived affordances were between these ranks. Our results showed a clear trough in affordance similarity, with the lowest point approaching zero, while affordance similarities between neighbouring ranks on either side of the boundary remained high, confirming the observation that objects formed two groups based on affordance similarity.

      Finally, we analysed silhouette values for this clustering analysis, where 𝑎𝑖 represents the mean intra-cluster distance, and 𝑏𝑖 represents the mean nearest-cluster distance for each data point i. The silhouette coefficient is calculated as (Rousseeuw, 1987):

      The silhouette analysis revealed that the maximum silhouette value coefficient corresponded to a cluster number of two, further confirming the two-cluster structure (please see Author response table 2 below).

      Author response table 2.

      The silhouette values of a k-means clustering when k (number of clusters) = 2 to 10

      (5) While I appreciate the manipulation of imagined body size, as a way to solidify the link between body size and affordance perception, I find it unfortunate that this is implemented in a between-subjects design, as this clearly leaves open the possibility of pre-existing differences between groups. I certainly disagree with the authors' statement that their findings suggest "a causal link between body size and affordance perception."

      R5: The between-subjects design in the imagination experiment was employed to prevent contamination between conditions. Specifically, after imagining oneself as a particular size, it can be challenging to immediately transition to envisioning a different body size. In addition, participating sequentially participate in two conditions that only differ in imagined body sizes may lead to undesirable response strategies, such as deliberately altering responses to the same objects in the different conditions. The reason of employing the between-subjects design is now clarified in the revised text (p 7, ln 161): “A between-subject design was adopted to minimize contamination between conditions. This manipulation was effective, as evidenced by the participants’ reported imagined heights in the cat condition being 42 cm (SD = 25.6) and 450 cm (SD = 426.8) in the elephant condition on average, respectively, when debriefed at the end of the task.”

      Further, to address the concern that “pre-existing differences between groups” would generate this very result, we adhered to standard protocols such as random assignment of participants to different conditions (cat-size versus elephant-size). Moreover, experimentally manipulating one variable (i.e., body schema) to observe its effect on another variable (i.e., affordance boundary) is the standard method for establishing causal relationships between variables. We could not think of other better ways for this objective.

      (6) The use of LLMs in the current study is not clearly motivated and I find it hard to understand what exactly the authors are trying to test through their inclusion. As noted above, I think that the authors should discuss the putative roles of conceptual knowledge, language, and sensorimotor experience already in the introduction to avoid ambiguity about the derived predictions and the chosen methodology. As it currently stands, I find it hard to discern how the presence of perceptual boundaries in LLMs could constitute evidence for affordance-based perception.

      R6: The motivation of LLMs is to test the supramodality of this embodied discontinuity found in behavioral experiments: whether this discontinuity is accessible beyond the sensorimotor domain. To do this, we leveraged the recent advance in AI and tested whether the discretization observed in affordance perception is supramodally accessible to disembodied agents which lack access to sensorimotor input but only have access to the linguistic materials built upon discretized representations, such as large language models (LLM). The theoretical motivation and rationale regarding the LLM study are now included in the introduction and discussion:

      In the introduction (p 2, ln 59) “…, and the body may serve as a metric that facilitates meaningful engagement with the environment by differentiating objects that are accessible for interactions from those not. Further, grounded cognition theory (see Barsalou, 2008 for a review) suggests that the outputs of such differentiation might transcend sensorimotor processes and integrate into supramodal concepts and language. From this perspective, we proposed two hypotheses...”

      In the introduction (p 3, ln 70) “Notably, the affordance boundary varied in response to the imagined body sizes and showed supramodality. It could also be attained solely through language, as evidenced by the large language model (LLM), ChatGPT (OpenAI, 2022).”

      For details in the discussion, please see R1.

      (7) Along the same lines, the fMRI study also provides very limited evidence to support the authors' claims. The use of congruency effects as a way of probing affordance perception is not well motivated. What exactly can we infer from the fact a region may be more active when an object is paired with an activity that the object doesn't afford? The claim that "only the affordances of objects within the range of body size were represented in the brain" certainly seems far beyond the data.

      R7: In our study, we followed the established fMRI research paradigm of employing the congruent effect as a measure of affordance processing (e.g., Kourtis et al., 2018). The choice of this paradigm has now been clarified in the revised manuscript (p 11, ln 244): “The congruency effect, derived from the contrast of Congruent versus Incongruent conditions, is a well-established measure of affordance processing (e.g., Kourtis et al., 2018).”

      The statement that “only the affordances of objects within the range of body size were represented in the brain” is based on the observed interaction of congruency by object size. In the revised text, we have weakened this statement to better align with the direct implications of the interaction effect (p 1 ln 22): “A subsequent fMRI experiment revealed evidence of affordance processing exclusively for objects within the body size range, but not for those beyond. This suggests that only objects capable of being manipulated are the objects capable of offering affordance in the eyes of an organism.”

      (8) Importantly (related to my comments under 2) above), the very small set of objects and affordances in this experiment heavily complicates any conclusions about object size being the crucial variable determining the occurrence of congruency effects.

      R8: The objective of the fMRI study was to provide the neural basis for the affordance discontinuity found in behaviour experiments. In other words, the fMRI study is not an exploratory experiment, and therefore, the present object and action sets, which are based on the behaviour experiments, are sufficient.

      (9) I would also suggest providing a more comprehensive illustration of the results (including the effects of CONGRUENCY, OBJECT SIZE, and their interaction at the whole-brain level).

      R9: We agree and in revision, we have now included these analyses in the supplementary material (p 30, ln 711): “For the whole-brain analyses on the congruency effect, the object size effect, and their interaction, see Supplementary Fig. S4 and Table S2 to S5.” Please see Author response image 2 (New Supplementary Fig. S4) and Author responses tables 3 to 5 (New Supplementary Table S2 to S4) below.

      Author response image 2.

      Significant brain activations of different contrasts in the whole-brain level analysis. a, the effect of object type, positive values (warm color) indicated higher activation for objects within than objects beyond and negative values (cold color) indicated the opposite. b, the effect of congruency, positive values indicated higher activation in congruent than incongruent condition. c, the effect of interaction between object type and congruency, positive values indicated the larger congruency effect for objects within than beyond. d, the congruency effect for objects within. All contrasts were corrected with cluster-level correction at p < .05. The detailed cluster-level results for each contrast map can be found in Supplementary Table S2 to S5.

      Author response table 3.

      Cortical regions reaching significance in the contrasts of (A) objects within versus object beyond and (B) objects beyond versus objects within, whole-brain analysis (R = right hemisphere, L = left hemisphere; Z > 2.3, p = 0.05, cluster corrected).

      Author response table 4.

      Cortical regions reaching significance in contrasts of (A) congruent versus incongruent and (B) incongruent versus congruent, whole-brain analysis (R = right hemisphere, L = left hemisphere; Z > 2.3, p = 0.05, cluster corrected).

      Author response table 5.

      Review Table 5 (New Supplementary Table S4). Cortical regions showing significant interaction between object type and congruency, whole-brain analysis (OW = Objects within, OB = Objects beyond; R = right hemisphere, L = left hemisphere; Z > 2.3, p = 0.05, cluster corrected)

      Reviewer #3 (Recommendations For The Authors):

      a. >a) Clarify all theoretical assumptions already within the introduction and specify how the predictions are tested (and how they could be falsified).

      Ra: Please see R1.

      b. >b) Explain how the chosen experimental approach relates to the theoretical questions under investigation (e.g., it is not clear to me how affordance similarity ratings can inform inference about which part of the environment is perceived as more or less manipulable).

      Rb: We thank the reviewer for the suggestion, and the theoretical motivation and rationale are now clarified. For details, please see R1.

      c. >c) Include a much larger set of objects and affordances in the behavioural experiments (that is more generalizable and also permits a more precise estimation of the boundary), and use a more rigorous methodology to justify a particular cluster solution.

      Rc: Please see R2 for the limited variance of objects and actions, and R4 for more analyses on the boundary.

      d. >d) Clearly motivate what the use of LLMs can contribute to the study of affordance perception.

      Rd: Please see R6.

      e) Clearly motivate why congruency effects are thought to index "affordance representation in the brain" Re: Please see R7.

      e) Include a much larger set of objects and affordances in the fMRI study.

      Re: Please see R7.

      f) Consider toning down the main conclusions based on the limitations outlined above.

      Rf: We have toned down the main conclusions accordingly.

      We are profoundly grateful for the insightful comments and suggestions provided by the three reviewers, which have greatly improved the quality of this manuscript.   References

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    1. Author Response

      The following is the authors’ response to the original reviews.

      We sincerely thank the reviewers for their in-depth consideration of our manuscript and their helpful reviews. Their efforts have made the paper much better. We have responded to each point. The previously provided public responses have been updated they are included after the private response for convenience.

      Reviewer #1 (Recommendations For The Authors):

      1. In general, the manuscript will benefit from copy editing and proof reading. Some obvious edits;

      2. Page 6 line 140. Do the authors mean Cholera toxin B?

      Response: We corrected this error and went through the entire paper carefully correcting for grammar and increased clarity.

      • Page 8 line 173. Methylbetacyclodextrin is misspelled.

      Response: Yes, corrected.

      • Figure 4c is missing representative traces for electrophysiology data.

      • Figure 4. Please check labeling ordering in figure legend as it does not match the panels in the figure.

      Thank you for the correction and we apologize for the confusion in figure 4. We uploaded an incomplete figure legend, and the old panel ‘e’ was not from an experiment that was still in the figure. It was removed and the figure legends are now corrected.

      • Please mention the statistical analysis used in all figure legends.

      Response: Thank you for pointing out this omission, statistics have been added.

      • Although the schematics in each figure helps guide readers, they are very inconsistent and sometimes confusing. For example, in Figure 5 the gating model is far-reaching without conclusive evidence, whereas in Figure 6 it is over simplified and unclear what the image is truly representing (granted that the downstream signaling mechanism and channel is not known).

      Response: Figure 5d is the summary figure for the entire paper. We have made this clearer in the figure legend and we deleted the title above the figure that gave the appearance that the panel relates to swell only. It is the proposed model based on what we show in the paper and what is known about the activation mechanism of TREK-1.

      Figure 6 is supposed to be simple. It is to help the reader understand that when PA is low mechanical sensitivity is high. Without the graphic, previous reviewers got confused about threshold going down and mechanosensitivity going up and how the levels of PA relate. Low PA= high sensitivity. We’ve added a downstream effector to the right side of the panel to avoid any biased to a putative downstream channel effector. The purpose of the experiment is to show PLD has a mechanosensitive phenotype in vivo.

      Reviewer #2 (Recommendations For The Authors):

      This manuscript outlines some really interesting findings demonstrating a mechanism by which mechanically driven alterations in molecular distributions can influence a) the activity of the PLD2 molecule and subsequently b) the activation of TREK-1 when mechanical inputs are applied to a cell or cell membrane.

      The results presented here suggest that this redistribution of molecules represents a modulatory mechanism that alters either the amplitude or the sensitivity of TREK-1 mediated currents evoked by membrane stretch. While the authors do present values for the pressure required to activate 50% of channels (P50), the data presented provides incomplete evidence to conclude a shift in threshold of the currents, given that many of the current traces provided in the supplemental material do not saturate within the stimulus range, thus limiting the application of a Boltzmann fit to determine the P50. I suggest adding additional context to enable readers to better assess the limitations of this use of the Boltzmann fit to generate a P50, or alternately repeating the experiments to apply stimuli up to lytic pressures to saturate the mechanically evoked currents, enabling use of the Boltzmann function to fit the data.

      Response: We thank the reviewer for pointing this out. We agree the currents did not reach saturation. Hence the term P50 could be misleading, so we have removed it from the paper. We now say “half maximal” current measured from non-saturating pressures of 0-60 mmHg. We also deleted the xPLD data in supplemental figure 3C since there is insufficient current to realistically estimate a half maximal response.

      In my opinion, the conclusions presented in this manuscript would be strengthened by an assessment of the amount of TREK-1 in the plasma membrane pre and post application of shear. While the authors do present imaging data in the supplementary materials, these data are insufficiently precise to comment on expression levels in the membrane. To strengthen this conclusion the authors could conduct cell surface biotinylation assays, as a more sensitive and quantitative measure of membrane localisation of the proteins of interest.

      1. Response: as mentioned previously, we do not have an antibody to the extracellular domain. Nonetheless to better address this concern we directly compared the levels of TREK-1, PIP2, and GM1; in xPLD2, mPLD2, enPLD2 with and without shear. The results are in supplemental figure 2. PLD2 is known to increase endocytosis1 and xPLD2 is known to block both agonist induced and constitutive endocytosis of µ-opioid receptor2. The receptor is trapped on the surface. This is true of many proteins including Rho3, ARF4, and ACE21 among others. In agreement with this mechanism, in Figure S2C,G we show that TREK increases with xPLD and the localization can clearly be seen at the plasma membrane just like in all of the other publications with xPLD overexpression. xPLD2 would be expected to inhibit the basal current but we presume the increased expression likely has compensated and there is sufficient PA and PG from other sources to allow for the basal current. It is in this state that we then conduct our ephys and monitor with a millisecond time resolution and see no activation. We are deriving conclusion from a very clear response—Figure 1b shows almost no current, even at 1-10 ms after applying pressure. There is little pressure current when we know the channel is present and capable of conducting ion (Figure 1d red bar). After shear there is a strong decrease in TREK-1 currents on the membrane in the presence of xPLD2. But it is not less than TREK-1 expression with mPLD2. And since mouse PLD2 has the highest basal current and pressure activation current. The amount of TREK-1 present is sufficient to conduct large current. To have almost no detective current would require at least a 10 fold reduction compared to mPLD2 levels before we would lack the sensitivity to see a channel open. Lasty endocytosis typically in on the order of seconds to minutes, no milliseconds.

      2. We have shown an addition 2 independent ways that TREK-1 is on the membrane during our stretch experiments. Figure 1d shows the current immediately prior to applying pressure for wt TREK-1. When catalytically dead PLD is present (xPLD2) there is almost normal basal current. The channel is clearly present. And then in figure 1a we show within a millisecond there is no pressure current. As a control we added a functionally dead TREK-1 truncation (xTREK). Compared to xPLD2 there is clearly normal basal current. If this is not strong evidence the channel was available on the surface for mechanical activation please help us understand why. And if you think within 2.1 ms 100% of the channel is gone by endocytosis please provide some evidence that this is possible so we can reconsider.

      3. We have TIRF super resolution imaging with ~20 nm x-y resolution and ~ 100nm z resolution and Figure 2b clearly shows the channel on the membrane. When we apply pressure in 1b, the channel is present.

      4. Lastly, In our previous studies we showed activation of PLD2 by anesthetics was responsible for all of TREK-1’s anesthetic sensitivity and this was through PLD2 binding to the C-terminus of TREK-15. We showed this was the case by transferring anesthetic sensitivity to an anesthetic insensitive homolog TRAAK. This established conclusively the basic premise of our mechanism. Here we show the same C-terminal region and PLD2 are responsible for the mechanical current observed by TREK-1. TRAAK is already mechanosensitive so the same chimera will not work for our purposes here. But anesthetic activation and mechanical activation are dramatically different stimuli, and the fact that the role of PLD is robustly observed in both should be considered.

      The authors discuss that the endogenous levels of TREK-1 and PLD2 are "well correlated: in C2C12 cells, that TREK-1 displayed little pair correlation with GM1 and that a "small amount of TREK-1 trafficked to PIP2". As such, these data suggest that the data outlined for HEK293T cells may be hampered by artefacts arising from overexpression. Can TREK-1 currents be activated by membrane stretch in these cells C2C12 cells and are they negatively impacted by the presence of xPLD2? Answering this question would provide more insight into the proposed mechanism of action of PLD2 outlined by the authors in this manuscript. If no differences are noted, the model would be called into question. It could be that there are additional cell-specific factors that further regulate this process.

      Response: The low pair correlation of TREK-1 and GM1 in C2C12 cells was due to insufficient levels of cholesterol in the cell membrane to allow for robust domain formation. In Figure 4b we loaded C2C12 cells with cholesterol using the endogenous cholesterol transport protein apoE and serum (an endogenous source of cholesterol). As can be seen in Fig. 4b, the pair correlation dramatically increased (purple line). This was also true in neuronal cells (N2a) (Fig 4d, purple bar). And shear (3 dynes/cm2) caused the TREK-1 that was in the GM1 domains to leave (red bar) reversing the effect of high cholesterol. This demonstrates our proposed mechanism is working as we expect with endogenously expressed proteins.

      There are many channels in C2C12 cells, it would be difficult to isolate TREK-1 currents, which is why we replicated the entire system (ephys and dSTORM) in HEK cells. Note, in figure 4c we also show that adding cholesterol inhibits TREK-1 whole cell currents in HEK293cells.

      As mentioned in the public review, the behavioural experiments in D. melanogaster can not solely be attributed to a change in threshold. While there may be a change in the threshold to drive a different behaviour, the writing is insufficiently precise to make clear that conclusions cannot be drawn from these experiments regarding the functional underpinnings of this outcome. Are there changes in resting membrane potential in the mutant flys? Alterations in Nav activity? Without controlling for these alternate explanations it is difficult to see what this last piece of data adds to the manuscript, particularly given the lack of TREK-1 in this organism. At the very least, some editing of the text to more clearly indicate that these data can only be used to draw conclusions on the change in threshold for driving the behaviour not the change in threshold of the actual mechanotransduction event (i.e. conversion of the mechanical stimulus into an electrochemical signal).

      Response: We agree; features other than PLDs direct mechanosensitivity are likely contributing. This was shown in figure 6g left side. We have an arrow going to ion channel and to other downstream effectors. We’ve added the putative alteration to downstream effectors to the right side of the panel. This should make it clear that we no more speculate the involvement of a channel than any of the other many potential downstream effectors. As mentioned above, the figure helps the reader coordinate low PA with increased mechanosensitivity. Without the graphic reviewers got confused that PA increased the threshold which corresponds to a decreased sensitivity to pain. Nonetheless we removed our conclusion about fly thresholds from the abstract and made clearer in the main text the lack of mechanism downstream of PLD in flies including endocytosis. Supplemental Figure S2H also helps emphasize this. .

      Nav channels are interesting, and since PLD contribute to endocytosis and Nav channels are also regulated by endocytosis there is likely a PLD specific effect using Nav channels. There are many ways PA likely regulates mechanosensitive thresholds, but we feel Nav is beyond the scope of our paper. Someone else will need to do those studies. We have amended a paragraph in the conclusion which clearly states we do not know the specific mechanism at work here with the suggestions for future research to discover the role of lipid and lipid-modifying enzymes in mechanosensitive neurons.

      There may be fundamental flaws in how the statistics have been conducted. The methods section indicates that all statistical testing was performed with a Student's t-test. A visual scan of many of the data sets in the figures suggests that they are not normally distributed, thus a parametric test such as a Student's t-test is not valid. The authors should assess if each data set is normally distributed, and if not, a non-parametric statistical test should be applied. I recommend assessing the robustness of the statistical analyses and adjusting as necessary.

      Response: We thank the reviewer for pointing this out, indeed there is some asymmetry in Figure 6C-d. The p values with Mann Whitney were slightly improved p=0.016 and p=0.0022 for 6c and 6d respectively. For reference, the students t-test had slightly worse statistics p=0.040 and p=0.0023. The score remained the same 1 and 2 stars respectively.

      The references provided for the statement regarding cascade activation of the TRPs are incredibly out of date. While it is clear that TRPV4 can be activated by a second messenger cascade downstream of osmotic swelling of cells, TRPV4 has also been shown to be activated by mechanical inputs at the cell-substrate interface, even when the second messenger cascade is inhibited. Recommend updating the references to reflect more current understanding of channel activation.

      Response: We thank the reviewer for pointing this out. We have updated the references and changed the comment to “can be” instead of “are”. The reference is more general to multiple ion channel types including KCNQ4. This should avoid any perceived conflict with the cellsubstrate interface mechanism which we very much agree is a correct mechanism for TRP channels.

      Minor comments re text editing etc:

      The central messages of the manuscript would benefit from extensive work to increase the precision of the writing of the manuscript and the presentation of data in the figures, such textual changes alone would help address a number of the concerns outlined in this review, by clarifying some ambiguities. There are numerous errors throughout, ranging from grammatical issues, ambiguities with definitions, lack of scale bars in images, lack of labels on graph axes, lack of clarity due to the mode of presentation of sample numbers (it would be far more precise to indicate specific numbers for each sample rather than a range, which is ambiguous and confusing), unnecessary and repeat information in the methods section. Below are some examples but this list is not exhaustive.

      Response: Thank you, reviewer # 1 also had many of these concerns. We have gone through the entire paper and improved the precision of the writing of the manuscript. We have also added the missing error bar to Figure 6. And axis labels have been added to the inset images. The redundancy in cell culture methods has been removed. Where a range is small and there are lots of values, the exact number of ‘n’ are graphically displayed in the dot plot for each condition.

      Text:

      I recommend considering how to discuss the various aspects of channel activation. A convention in the field is to use mechanical activation or mechanical gating to describe that process where the mechanical stimulus is directly coupled to the channel gating mechanism. This would be the case for the activation of TREK-1 by membrane stretch alone. The increase in activation by PLD2 activity then reflects a modulation of the mechanical activation of the channel, because the relevant gating stimulus is PA, rather than force/stretch. The sum of these events could be described as shear-evoked or mechanically-evoked, TREK-1 mediated currents (thus making it clear that the mechanical stimulus initiates the relevant cascade, but the gating stimulus may be other than direct mechanical input.) Given the interesting and compelling data offered in this manuscript regarding the sensitisation of TREK-1 dependent mechanicallyevoked currents by PLD2, an increase in the precision of the language would help convey the central message of this work.

      Response; We agree there needs to be convention. We have taken the suggestion of mechanically evoked and we suggest the following definitions:

      1. Mechanical activation of PLD2: direct force on the lipids releasing PLD2 from nonactivating lipids.

      2. Mechanical activation/gating of TREK1: direct force from lipids from either tension or hydrophobic mismatch that opens the channel.

      3. Mechanically evoked: a mechanical event that leads to a downstream effect. The effect is mechanically “evoked”.

      4. Spatial patterning/biochemistry: nanoscopic changes in the association of a protein with a nanoscopic lipid cluster or compartment.

      An example of where discussion of mechanical activation is ambiguous in the text is found at line 109: "channel could be mechanically activated by a movement from GM1 to PIP2 lipids." In this case, the sentence could be suggesting that the movement between lipids provides the mechanical input that activates the channel, which is not what the data suggest.

      Response: Were possible we have replaced “movement” with “spatial patterning” and “association” and “dissociation” from specific lipid compartment. This better reflects the data we have in this paper. However, we do think that a movement mechanically activates the channel, GM1 lipids are thick and PIP2 lipids are thin, so movement between the lipids could activate the channel through direct lipid interaction. We will address this aspect in a future paper.

      Inconsistencies with usage:

      • TREK1 versus TREK-1

      Response: corrected to TREK-1

      • mPLD2 versus PLD2

      Response: where PLD2 represents mouse this has been corrected.

      • K758R versus xPLD2

      Response: we replaced K758R in the methods with xPLD2.

      • HEK293T versus HEK293t Response: we have changed all instances to read HEK293T.

      • Drosophila melanogaster and D. melanogaster used inconsistently and in many places incorrectly

      Response: we have read all to read the common name Drosophila.

      Line 173: misspelled methylbetacyclodextrin

      Response corrected

      Line 174: degree symbol missing

      Response corrected

      Line 287: "the decrease in cholesterol likely evolved to further decrease the palmate order in the palmitate binding site"... no evidence, no support for this statement, falsely attributes intention to evolutionary processes .

      Response: we have removed the reference to evolution at the request of the reviewer, it is not necessary. But we do wish to note that to our knowledge, all biological function is scientifically attributed to evolution. The fact that cholesterol decreases in response to shear is evidence alone that the cell evolved to do it.

      Line 307: grammatical error

      Response: the redundant Lipid removed.

      Line 319: overinterpreted - how is the mechanosensitivy of GPCRs explained by this translocation?

      Response: all G-alpha subunits of the GPCR complex are palmitoylated. We showed PLD (which has the same lipidation) is mechanically activated. If the palmitate site is disrupted for PLD2, then it is likely disrupted for every G-alpha subunit as well.

      Line 582: what is the wild type referred to here?

      Response: human full length with a GFP tag.

      Methods:

      • Sincere apologies if I missed something but I do not recall seeing any experiments using purified TREK-1 or flux assays. These details should be removed from the methods section

      Response: Removed.

      • There is significant duplication of detail across the methods (three separate instances of electrophysiology details) these could definitely be consolidated.

      Response: Duplicates removed.

      Figures:

      • Figure 2- b box doesn't correspond to inset. Bottom panel should provide overview image for the cell that was assessed with shear. In bottom panel, circle outlines an empty space.

      Response: We have widened the box slightly to correspond so the non shear box corresponds to the middle panel. We have also added the picture for the whole cell to Fig S2g and outlined the zoom shown in the bottom panel of Fig 2b as requested. The figure is of the top of a cell. We also added the whole cell image of a second sheared cell.

      Author response image 1.

      • Figure 3 b+c: inset graph lacking axis labels

      Response; the inset y axis is the same as the main axis. We added “pair corr. (5nM)” and a description in the figure legend to make this clearer. The purpose of the inset is to show statistical significance at a single point. The contrast has been maximized but without zooming in points can be difficult to see.

      • Figure 5: replicate numbers missing and individual data points lacking in panels b + c, no labels of curve in b + c, insets, unclear what (5 nm) refers to in insets.

      Response: Thank you for pointing out these errors. The N values have been added. Similar to figure 3, the inset is a bar graph of the pair correlation data at 5 nm. A better explanation of the data has been added to the figure legend.

      • Figure 6: no scale bar, no clear membrane localization evident from images presented, panel g offers virtually nothing in terms of insight

      Response: We have added scale bars to figure 6b. Figure 6g is intentionally simplistic, we found that correlating decreased threshold with increased pain was confusing. A previous reviewer claimed our data was inconsistent. The graphic avoids this confusion. We also added negative effects of low PA on downstream effects to the right panel. This helps graphically show we don’t know the downstream effects.

      Reviewer #3 (Recommendations For The Authors):

      Minor suggestions:

      1. line 162, change 'heat' to 'temperature'.

      Response: changed.

      1. in figure 1, it would be helpful to keep the unit for current density consistent among different panels. 1e is a bit confusing: isn't the point of Figure 1 that most of TREK1 activation is not caused by direct force-sensing?

      Response: Yes, the point of figure 1 is to show that in a biological membrane over expressed TREK-1 is a downstream effector of PLD2 mechanosensation which is indirect. We agree the figure legend in the previous version of the paper is very confusing.

      There is almost no PLD2 independent current in our over expressed system, which is represented by no ions in the conduction pathway of the channel despite there being tension on the membrane.

      Purified TREK-1 is only mechanosensitive in a few select lipids, primarily crude Soy PC. It was always assumed that HEK293 and Cos cells had the correct lipids since over expressed TREK-1 responded to mechanical force in these lipids. But that does not appear to be correct, or at least only a small amount of TREK-1 is in the mechanosensitive lipids. Figure 1e graphically shows this. The arrows indicate tension, but the channel isn’t open with xPLD2 present. We added a few sentences to the discussion to further clarify.

      Panels c has different units because the area of the tip was measured whereas in d the resistance of the tip was measured. They are different ways for normalizing for small differences in tip size.

      1. line 178, ~45 of what?

      Response: Cells were fixed for ~30 sec.

      1. line 219 should be Figure 4f?

      Response: thank you, yes Figure 4f.

      Previous public reviews with minor updates.

      Reviewer #1 (Public Review):

      Force sensing and gating mechanisms of the mechanically activated ion channels is an area of broad interest in the field of mechanotransduction. These channels perform important biological functions by converting mechanical force into electrical signals. To understand their underlying physiological processes, it is important to determine gating mechanisms, especially those mediated by lipids. The authors in this manuscript describe a mechanism for mechanically induced activation of TREK-1 (TWIK-related K+ channel. They propose that force induced disruption of ganglioside (GM1) and cholesterol causes relocation of TREK-1 associated with phospholipase D2 (PLD2) to 4,5-bisphosphate (PIP2) clusters, where PLD2 catalytic activity produces phosphatidic acid that can activate the channel. To test their hypothesis, they use dSTORM to measure TREK-1 and PLD2 colocalization with either GM1 or PIP2. They find that shear stress decreases TREK-1/PLD2 colocalization with GM1 and relocates to cluster with PIP2. These movements are affected by TREK-1 C-terminal or PLD2 mutations suggesting that the interaction is important for channel re-location. The authors then draw a correlation to cholesterol suggesting that TREK-1 movement is cholesterol dependent. It is important to note that this is not the only method of channel activation and that one not involving PLD2 also exists. Overall, the authors conclude that force is sensed by ordered lipids and PLD2 associates with TREK-1 to selectively gate the channel. Although the proposed mechanism is solid, some concerns remain.

      1) Most conclusions in the paper heavily depend on the dSTORM data. But the images provided lack resolution. This makes it difficult for the readers to assess the representative images.

      Response: The images were provided are at 300 dpi. Perhaps the reviewer is referring to contrast in Figure 2? We are happy to increase the contrast or resolution.

      As a side note, we feel the main conclusion of the paper, mechanical activation of TREK-1 through PLD2, depended primarily on the electrophysiology in Figure 1b-c, not the dSTORM. But both complement each other.

      2) The experiments in Figure 6 are a bit puzzling. The entire premise of the paper is to establish gating mechanism of TREK-1 mediated by PLD2; however, the motivation behind using flies, which do not express TREK-1 is puzzling.

      Response: The fly experiment shows that PLD mechanosensitivity is more evolutionarily conserved than TREK-1 mechanosensitivity. We have added this observation to the paper.

      -Figure 6B, the image is too blown out and looks over saturated. Unclear whether the resolution in subcellular localization is obvious or not.

      Response: Figure 6B is a confocal image, it is not dSTORM. There is no dSTORM in Figure 6. We have added the error bars to make this more obvious. For reference, only a few cells would fit in the field of view with dSTORM.

      -Figure 6C-D, the differences in activity threshold is 1 or less than 1g. Is this physiologically relevant? How does this compare to other conditions in flies that can affect mechanosensitivity, for example?

      Response: Yes, 1g is physiologically relevant. It is almost the force needed to wake a fly from sleep (1.2-3.2g). See ref 33. Murphy Nature Pro. 2017.

      3) 70mOsm is a high degree of osmotic stress. How confident are the authors that a cell health is maintained under this condition and b. this does indeed induce membrane stretch? For example, does this stimulation activate TREK-1?

      Response: Yes, osmotic swell activates TREK1. This was shown in ref 19 (Patel et al 1998). We agree the 70 mOsm is a high degree of stress. This needs to be stated better in the paper.

      Reviewer #2 (Public Review):

      This manuscript by Petersen and colleagues investigates the mechanistic underpinnings of activation of the ion channel TREK-1 by mechanical inputs (fluid shear or membrane stretch) applied to cells. Using a combination of super-resolution microticopy, pair correlation analysis and electrophysiology, the authors show that the application of shear to a cell can lead to changes in the distribution of TREK-1 and the enzyme PhospholipaseD2 (PLD2), relative to lipid domains defined by either GM1 or PIP2. The activation of TREK-1 by mechanical stimuli was shown to be sensi>zed by the presence of PLD2, but not a catalytically dead xPLD2 mutant. In addition, the activity of PLD2 is increased when the molecule is more associated with PIP2, rather than GM1 defined lipid domains. The presented data do not exclude direct mechanical activation of TREK-1, rather suggest a modulation of TREK-1 activity, increasing sensitivity to mechanical inputs, through an inherent mechanosensitivity of PLD2 activity. The authors additionally claim that PLD2 can regulate transduction thresholds in vivo using Drosophila melanogaster behavioural assays. However, this section of the manuscript overstates the experimental findings, given that it is unclear how the disruption of PLD2 is leading to behavioural changes, given the lack of a TREK-1 homologue in this organism and the lack of supporting data on molecular function in the relevant cells.

      Response: We agree, the downstream effectors of PLD2 mechanosensitivity are not known in the fly. Other anionic lipids have been shown to mediate pain see ref 46 and 47. We do not wish to make any claim beyond PLD2 being an in vivo contributor to a fly’s response to mechanical force. We have removed the speculative conclusions about fly thresholds from the abstract.

      That said we do believe we have established a molecular function at the cellular level. We showed PLD is robustly mechanically activated in a cultured fly cell line (BG2-c2) Figure 6a of the manuscript. And our previous publication established mechanosensation of PLD (Petersen et. al. Nature Com 2016) through mechanical disruption of the lipids. At a minimum, the experiments show PLDs mechanosensitivity is evolutionarily better conserved across species than TREK1.

      This work will be of interest to the growing community of scientists investigating the myriad mechanisms that can tune mechanical sensitivity of cells, providing valuable insight into the role of functional PLD2 in sensi>zing TREK-1 activation in response to mechanical inputs, in some cellular systems.

      The authors convincingly demonstrate that, post application of shear, an alteration in the distribution of TREK-1 and mPLD2 (in HEK293T cells) from being correlated with GM1 defined domains (no shear) to increased correlation with PIP2 defined membrane domains (post shear). These data were generated using super-resolution microticopy to visualise, at sub diffraction resolution, the localisation of labelled protein, compared to labelled lipids. The use of super-resolution imaging enabled the authors to visualise changes in cluster association that would not have been achievable with diffraction limited microticopy. However, the conclusion that this change in association reflects TREK-1 leaving one cluster and moving to another overinterprets these data, as the data were generated from sta>c measurements of fixed cells, rather than dynamic measurements capturing molecular movements.

      When assessing molecular distribution of endogenous TREK-1 and PLD2, these molecules are described as "well correlated: in C2C12 cells" however it is challenging to assess what "well correlated" means, precisely in this context. This limitation is compounded by the conclusion that TREK-1 displayed little pair correlation with GM1 and the authors describe a "small amount of TREK-1 trafficked to PIP2". As such, these data may suggest that the findings outlined for HEK293T cells may be influenced by artefacts arising from overexpression.

      The changes in TREK-1 sensitivity to mechanical activation could also reflect changes in the amount of TREK-1 in the plasma membrane. The authors suggest that the presence of a leak currently accounts for the presence of TREK-1 in the plasma membrane, however they do not account for whether there are significant changes in the membrane localisation of the channel in the presence of mPLD2 versus xPLD2. The supplementary data provide some images of fluorescently labelled TREK-1 in cells, and the authors state that truncating the c-terminus has no effect on expression at the plasma membrane, however these data provide inadequate support for this conclusion. In addition, the data reporting the P50 should be noted with caution, given the lack of saturation of the current in response to the stimulus range.

      Response: We thank the reviewer for his/her concern about expression levels. We did test TREK-1 expression. mPLD decreases TREK-1 expression ~two-fold (see Author response image 2 below). We did not include the mPLD data since TREK-1 was mechanically activated with mPLD. For expression to account for the loss of TREK-1 stretch current (Figure 1b), xPLD would need to block surface expression of TREK-1 prior to stretch. The opposite was true, xPLD2 increased TREK-1 expression (see Figure S2c). Furthermore, we tested the leak current of TREK-1 at 0 mV and 0 mmHg of stretch. Basal leak current was no different with xPLD2 compared to endogenous PLD (Figure 1d; red vs grey bars respectively) suggesting TREK-1 is in the membrane and active when xPLD2 is present. If anything, the magnitude of the effect with xPLD would be larger if the expression levels were equal.

      Author response image 2.

      TREK expression at the plasma membrane. TREK-1 Fluorescence was measured by GFP at points along the plasma membrane. Over expression of mouse PLD2 (mPLD) decrease the amount of full-length TREK-1 (FL TREK) on the surface more than 2-fold compared to endogenously expressed PLD (enPLD) or truncated TREK (TREKtrunc) which is missing the PLD binding site in the C-terminus. Over expression of mPLD had no effect on TREKtrunc.

      Finally, by manipulating PLD2 in D. melanogaster, the authors show changes in behaviour when larvae are exposed to either mechanical or electrical inputs. The depletion of PLD2 is concluded to lead to a reduction in activation thresholds and to suggest an in vivo role for PA lipid signaling in setting thresholds for both mechanosensitivity and pain. However, while the data provided demonstrate convincing changes in behaviour and these changes could be explained by changes in transduction thresholds, these data only provide weak support for this specific conclusion. As the authors note, there is no TREK-1 in D. melanogaster, as such the reported findings could be accounted for by other explanations, not least including potential alterations in the activation threshold of Nav channels required for action potential generation. To conclude that the outcomes were in fact mediated by changes in mechanotransduction, the authors would need to demonstrate changes in receptor potential generation, rather than deriving conclusions from changes in behaviour that could arise from alterations in resting membrane potential, receptor potential generation or the activity of the voltage gated channels required for action potential generation.

      Response: We are willing to restrict the conclusion about the fly behavior as the reviewers see fit. We have shown PLD is mechanosensitivity in a fly cell line, and when we knock out PLD from a fly, the animal exhibits a mechanosensation phenotype. We tried to make it clear in the figure and in the text that we have no evidence of a particular mechanism downstream of PLD mechanosensation.

      This work provides further evidence of the astounding flexibility of mechanical sensing in cells. By outlining how mechanical activation of TREK-1 can be sensitised by mechanical regulation of PLD2 activity, the authors highlight a mechanism by which TREK-1 sensitivity could be regulated under distinct physiological conditions.

      Reviewer #3 (Public Review):

      The manuscript "Mechanical activation of TWIK-related potassium channel by nanoscopic movement and second messenger signaling" presents a new mechanism for the activation of TREK-1 channel. The mechanism suggests that TREK1 is activated by phosphatidic acids that are produced via a mechanosensitive motion of PLD2 to PIP2-enriched domains. Overall, I found the topic interesting, but several typos and unclarities reduced the readability of the manuscript. Additionally, I have several major concerns on the interpretation of the results. Therefore, the proposed mechanism is not fully supported by the presented data. Lastly, the mechanism is based on several previous studies from the Hansen lab, however, the novelty of the current manuscript is not clearly stated. For example, in the 2nd result section, the authors stated, "fluid shear causes PLD2 to move from cholesterol dependent GM1 clusters to PIP2 clusters and this activated the enzyme". However, this is also presented as a new finding in section 3 "Mechanism of PLD2 activation by shear."

      For PLD2 dependent TREK-1 activation. Overall, I found the results compelling. However, two key results are missing.

      1. Does HEK cells have endogenous PLD2? If so, it's hard to claim that the authors can measure PLD2-independent TREK1 activation.

      Response: yes, there is endogenous PLD (enPLD). We calculated the relative expression of xPLD2 vs enPLD. xPLD2 is >10x more abundant (Fig. S3d of Pavel et al PNAS 2020, ref 14 of the current manuscript). Hence, as with anesthetic sensitivity, we expect the xPLD to out compete the endogenous PLD, which is what we see. We added the following sentence and reference : “The xPLD2 expression is >10x the endogenous PLD2 (enPLD2) and out computes the TREK-1 binding site for PLD25.”

      1. Does the plasma membrane trafficking of TREK1 remain the same under different conditions (PLD2 overexpression, truncation)? From Figure S2, the truncated TREK1 seem to have very poor trafficking. The change of trafficking could significantly contribute to the interpretation of the data in Figure 1.

      Response: If the PLD2 binding site is removed (TREK-1trunc), yes, the trafficking to the plasma membrane is unaffected by the expression of xPLD and mPLD (Author response image 2 above). For full length TREK1 (FL-TREK-1), co-expression of mPLD decreases TREK expression (Author response image 2) and coexpression with xPLD increases TREK expression (Figure S2f). This is exactly opposite of what one would expect if surface expression accounted for the change in pressure currents. Hence, we conclude surface expression does not account for loss of TREK-1 mechanosensitivity with xPLD2. A few sentences was added to the discussion. We also performed dSTORM on the TREKtruncated using EGFP. TREK-truncated goes to PIP2 (see figure 2 of 6)

      Author response image 3.

      To better compare the levels of TREK-1 before and after shear, we added a supplemental figure S2f where the protein was compared simultaneously in all conditions. 15 min of shear significantly decreased TREK-1 except with mPLD2 where the levels before shear were already lowest of all the expression levels tested.

      For shear-induced movement of TREK1 between nanodomains. The section is convincing, however I'm not an expert on super-resolution imaging. Also, it would be helpful to clarify whether the shear stress was maintained during fixation. If not, what is the >me gap between reduced shear and the fixed state. lastly, it's unclear why shear flow changes the level of TREK1 and PIP2.

      Response: Shear was maintained during the fixing. xPLD2 blocks endocytosis, presumably endocytosis and or release of other lipid modifying enzymes affect the system. The change in TREK-1 levels appears to be directly through an interaction with PLD as TREK trunc is not affected by over expression of xPLD or mPLD.

      For the mechanism of PLD2 activation by shear. I found this section not convincing. Therefore, the question of how does PLD2 sense mechanical force on the membrane is not fully addressed. Par>cularly, it's hard to imagine an acute 25% decrease cholesterol level by shear - where did the cholesterol go? Details on the measurements of free cholesterol level is unclear and additional/alternative experiments are needed to prove the reduction in cholesterol by shear.

      Response: The question “how does PLD2 sense mechanical force on the membrane” we addressed and published in Nature Comm. In 2016. The title of that paper is “Kinetic disruption of lipid rafts is a mechanosensor for phospholipase D” see ref 13 Petersen et. al. PLD is a soluble protein associated to the membrane through palmitoylation. There is no transmembrane domain, which narrows the possible mechanism of its mechanosensation to disruption.

      The Nature Comm. reviewer identified as “an expert in PLD signaling” wrote the following of our data and the proposed mechanism:

      “This is a provocative report that identi0ies several unique properties of phospholipase D2 (PLD2). It explains in a novel way some long established observations including that the enzyme is largely regulated by substrate presentation which 0its nicely with the authors model of segregation of the two lipid raft domains (cholesterol ordered vs PIP2 containing). Although PLD has previously been reported to be involved in mechanosensory transduction processes (as cited by the authors) this is the 0irst such report associating the enzyme with this type of signaling... It presents a novel model that is internally consistent with previous literature as well as the data shown in this manuscript. It suggests a new role for PLD2 as a force transduction tied to the physical structure of lipid rafts and uses parallel methods of disrup0on to test the predic0ons of their model.”

      Regarding cholesterol. We use a fluorescent cholesterol oxidase assay which we described in the methods. This is an appropriate assay for determining cholesterol levels in a cell which we use routinely. We have published in multiple journals using this method, see references 28, 30, 31. Working out the metabolic fate of cholesterol after sheer is indeed interesting but well beyond the scope of this paper. Furthermore, we indirectly confirmed our finding using dSTORM cluster analysis (Figure 3d-e). The cluster analysis shows a decrease in GM1 cluster size consistent with our previous experiments where we chemically depleted cholesterol and saw a similar decrease in cluster size (see ref 13). All the data are internally consistent, and the cholesterol assay is properly done. We see no reason to reject the data.

      Importantly, there is no direct evidence for "shear thinning" of the membrane and the authors should avoid claiming shear thinning in the abstract and summary of the manuscript.

      Response: We previously established a kinetic model for PLD2 activation see ref 13 (Petersen et al Nature Comm 2016). In that publication we discussed both entropy and heat as mechanisms of disruption. Here we controlled for heat which narrowed that model to entropy (i.e., shear thinning) (see Figure 3c). We provide an overall justification below. But this is a small refinement of our previous paper, and we prefer not to complicate the current paper. We believe the proper rheological term is shear thinning. The following justification, which is largely adapted from ref 13, could be added to the supplement if the reviewer wishes.

      Justification: To establish shear thinning in a biological membrane, we initially used a soluble enzyme that has no transmembrane domain, phospholipase D2 (PLD2). PLD2 is a soluble enzyme and associated with the membrane by palmitate, a saturated 16 carbon lipid attached to the enzyme. In the absence of a transmembrane domain, mechanisms of mechanosensation involving hydrophobic mismatch, tension, midplane bending, and curvature can largely be excluded. Rather the mechanism appears to be a change in fluidity (i.e., kinetic in nature). GM1 domains are ordered, and the palmate forms van der Waals bonds with the GM1 lipids. The bonds must be broken for PLD to no longer associate with GM1 lipids. We established this in our 2016 paper, ref 13. In that paper we called it a kinetic effect, however we did not experimentally distinguish enthalpy (heat) vs. entropy (order). Heat is Newtonian and entropy (i.e., shear thinning) is non-Newtonian. In the current study we paid closer attention to the heat and ruled it out (see Figure 3c and methods). We could propose a mechanism based on kinetic disruption, but we know the disruption is not due to melting of the lipids (enthalpy), which leaves shear thinning (entropy) as the plausible mechanism.

      The authors should also be aware that hypotonic shock is a very dirty assay for stretching the cell membrane. Ouen, there is only a transient increase in membrane tension, accompanied by many biochemical changes in the cells (including acidification, changes of concentration etc). Therefore, I would not consider this as definitive proof that PLD2 can be activated by stretching membrane.

      Response: Comment noted. We trust the reviewer is correct. In 1998 osmotic shock was used to activate the channel. We only intended to show that the system is consistent with previous electrophysiologic experiments.

      References cited:

      1 Du G, Huang P, Liang BT, Frohman MA. Phospholipase D2 localizes to the plasma membrane and regulates angiotensin II receptor endocytosis. Mol Biol Cell 2004;15:1024–30. htps://doi.org/10.1091/mbc.E03-09-0673.

      2 Koch T, Wu DF, Yang LQ, Brandenburg LO, Höllt V. Role of phospholipase D2 in the agonist-induced and constistutive endocytosis of G-protein coupled receptors. J Neurochem 2006;97:365–72. htps://doi.org/10.1111/j.1471-4159.2006.03736.x.

      3 Wheeler DS, Underhill SM, Stolz DB, Murdoch GH, Thiels E, Romero G, et al. Amphetamine activates Rho GTPase signaling to mediate dopamine transporter internalization and acute behavioral effects of amphetamine. Proc Natl Acad Sci U S A 2015;112:E7138–47. htps://doi.org/10.1073/pnas.1511670112.

      4 Rankovic M, Jacob L, Rankovic V, Brandenburg L-OO, Schröder H, Höllt V, et al. ADP-ribosylation factor 6 regulates mu-opioid receptor trafficking and signaling via activation of phospholipase D2. Cell Signal 2009;21:1784–93. htps://doi.org/10.1016/j.cellsig.2009.07.014.

      5 Pavel MA, Petersen EN, Wang H, Lerner RA, Hansen SB. Studies on the mechanism of general anesthesia. Proc Natl Acad Sci U S A 2020;117:13757–66. htps://doi.org/10.1073/pnas.2004259117.

      6 Call IM, Bois JL, Hansen SB. Super-resolution imaging of potassium channels with genetically encoded EGFP. BioRxiv 2023. htps://doi.org/10.1101/2023.10.13.561998.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public reviews:

      Reviewer #1:

      This work by Leclercq and colleagues performed metabolomics on biospecimens collected from 96 patients diagnosed with several types of alcohol use disorders (AUD). The authors discovered strong alterations in circulating glycerophospholipids, bile acids, and some gut microbe-derived metabolites in AUD patients compared to controls. An exciting part of this work is that metabolomics was also performed in frontal cortex of post-mortem brains and cerebrospinal fluid of heavy alcohol users, and some of the same metabolites were seen to be altered in the central nervous system. This is an important study that will form the basis for hypothesis generation around diet-microbe-host interactions in alcohol use disorder. The work is done in a highly rigorous manner, and the rigorously collected human samples are a clear strength of this work. Overall, many new insights may be gained by this work, and it is poised to have a high impact on the field.

      Strengths:

      (1) The rigorously collected patient-derived samples.

      (2) There is high rigor in the metabolomics investigation.

      (3) Statistical analyses are well-described and strong.

      (4) An evident strength is the careful control of taking blood samples at the same time of the day to avoid alterations in meal- and circadian-related fluctuations in metabolites.

      Weaknesses:

      (1) Some validation in animal models of ethanol exposure compared to pair-fed controls would help strengthen causal relationships between metabolites and alterations in the CNS.

      (2) The classification of "heavy alcohol users" based on autopsy reports may not be that accurate.

      (3) The fact that most people with alcohol use disorder choose to drink over eating food, there needs to be some more discussion around how dietary intake (secondary to heavy drinking) most likely has a significant impact on the metabolome.<br />

      We thank this reviewer for his/her encouraging comments and for highlighting the fact that this study is important in the field to generate hypotheses around diet-microbe-host interactions in alcohol use disorder.

      Concerning weakness #1: Regarding the validation in animal models of ethanol exposure, we were very careful in our discussion to avoid pretending that the study allowed to test causality of the factors. This was certainly not the objective of the present study. The testing of causality would indeed probably necessitate animal models but these models could only test the effects of one single metabolite at a time and could not at the same time capture the complexity of the changes occurring in AUD patients. The testing of metabolites would be a totally different topic. Hence, we do not feel comfortable in conducting rodent experiments for several reasons. First, AUD is a very complex pathology with physiological and psychological/psychiatric alterations that are obviously difficult to reproduce in animal models. Secondly, as mentioned by the reviewer, AUD pathology spontaneously leads to nutritional deficits, including significant reductions in carbohydrates, lipids, proteins and fiber intakes. We have recently published a paper in which we carefully conducted detailed dietary anamneses and described the changes in food habits in AUD patients (Amadieu et al., 2021). As explained below, some blood metabolites that are significantly correlated with depression, anxiety and craving belong to the xanthine family and are namely theobromine, theophylline, and paraxanthine, which derived from metabolism of coffee, tea or chocolate (which are not part of the normal diet of mice or rats).Therefore, conducting an experiment in animal model of ethanol exposure compared to pair-fed controls will omit the important impact of nutrition in blood metabolomics and consequently won’t mimic the human AUD pathology. In addition, if we take into consideration the European Directive 2010/63/EU (on the protection of animals used for scientific purposes) which aims at Reducing (Refining, Replacing) the number of animals used in experiment, it is extremely difficult to justify, at the ethical point of view, the need to reproduce human results in an animal model that won’t be able to mimic the nutritional, physiological and psychological alterations of alcohol use disorder.

      Concerning weakness #2: The classification of subjects to the group who have a history of heavy alcohol use was not solely on autopsy record, but was also based on medical history i.e. diagnosis of alcohol-related diseases: ICD-10 codes F10.X, G31.2, G62.1, G72.1, I42.6, K70.0-K70.4, K70.9, and K86.0, or signs of heavy alcohol use in the clinical or laboratory findings, e.g., increased levels of gamma-glutamyl transferase, mean corpuscular volume, carbohydrate-deficient transferrin, as stated in the methods section of the manuscript. In Finland, the medical records from the whole life of the subjects are available. We consider that getting diagnosis of alcohol-related disease is clear sign of history of heavy alcohol use.

      Concerning weakness#3:  As explained above, we do agree with the reviewer that AUD is not only “drinking alcohol” but is also associated with reduction in food intake that obviously influenced the metabolomics data presented in this current study.  We have therefore added some data, which have not been published before, in the results section that refer to key nutrients modified by alcohol intake and we refer to those data and their link with metabolomics in the discussion section:

      Results section page 8, Line 153-155. This sentence has been added:

      “The changes in metabolites belonging to the xanthine family during alcohol withdrawal could be explained by the changes in dietary intake of coffee, tea and chocolate (see Fig S5).”

      Discussion section: Page 11, Line 235-240.

      “Interestingly, the caffeine metabolites belonging to the xanthine family such as paraxanthine, theophylline and theobromine that were decreased at baseline in AUD patients compared to controls, increased significantly during alcohol withdrawal to reach the levels of healthy controls. Changes in dietary intake of coffee, tea and chocolate during alcohol withdrawal could explain these results”.

      In the conclusion, Page 16, Line 354-356, we clearly stated that: “LC-MS metabolomics plasma analysis allowed for the identification of metabolites that were clearly linked to alcohol consumption, and reflected changes in metabolism, alterations of nutritional status, and gut microbial dysbiosis associated with alcohol intake”

      Reference:

      Amadieu C, Leclercq S, Coste V, Thijssen V, Neyrinck AM, Bindels LB, Cani PD, Piessevaux H, Stärkel P, Timary P de, Delzenne NM. 2021. Dietary fiber deficiency as a component of malnutrition associated with psychological alterations in alcohol use disorder. Clinical Nutrition 40:2673–2682. doi:10.1016/j.clnu.2021.03.029

      Leclercq S, Cani PD, Neyrinck AM, Stärkel P, Jamar F, Mikolajczak M, Delzenne NM, de Timary P. 2012. Role of intestinal permeability and inflammation in the biological and behavioral control of alcohol-dependent subjects. Brain Behav Immun 26:911–918. doi:10.1016/j.bbi.2012.04.001

      Leclercq S, De Saeger C, Delzenne N, de Timary P, Stärkel P. 2014a. Role of inflammatory pathways, blood mononuclear cells, and gut-derived bacterial products in alcohol dependence. Biol Psychiatry 76:725–733. doi:10.1016/j.biopsych.2014.02.003

      Leclercq S, Matamoros S, Cani PD, Neyrinck AM, Jamar F, Stärkel P, Windey K, Tremaroli V, Bäckhed F, Verbeke K, de Timary P, Delzenne NM. 2014b. Intestinal permeability, gut-bacterial dysbiosis, and behavioral markers of alcohol-dependence severity. Proc Natl Acad Sci U S A 111:E4485–E4493. doi:10.1073/pnas.1415174111

      Voutilainen T, Kärkkäinen O. 2019. Changes in the Human Metabolome Associated With Alcohol Use: A Review. Alcohol and Alcoholism 54:225–234. doi:10.1093/alcalc/agz030

      Public Reviewer #2:

      The authors carried out the current studies with the justification that the biochemical mechanisms that lead to alcohol addiction are incompletely understood. The topic and question addressed here are impactful and indeed deserve further research. To this end, a metabolomics approach toward investigating the metabolic effects of alcohol use disorder and the effect of alcohol withdrawal in AUD subjects is valuable. However, it is primarily descriptive in nature, and these data alone do not meet the stated goal of investigating biochemical mechanisms of alcohol addiction. The current work's most significant limitation is the cross-sectional study design, though inadequate description and citation of the underlying methodological approaches also hampers interest. Most of the data are cross-sectional in the study design, i.e., alcohol use disorder vs controls. However, it is well established that there is a high degree of interpersonal variation with metabolism, and further, there is somewhat high intra-personal variation in metabolism over time. This means that the relatively small cohort of subjects is unlikely to reflect the broader condition of interest (AUD/withdrawal). The authors report a comparison of a later time-point after alcohol withdrawal (T2) vs. the AUD condition. However, without replicative time points from the control subjects it is difficult to assess how much of these changes are due to withdrawal vs the intra-personal variation described above.

      We agree with the reviewer. Our goal was not to investigate the biochemical mechanisms of AUD but rather to investigate how metabolomics could contribute to the psychological alterations of AUD. The goals of the study are defined at the end of the introduction (Page 4 – Lines 80-91), as follows:

      “The aims of this study are multiple. First, we investigated the impact of severe AUD on the blood metabolome by non-targeted LC-MS metabolomics analysis. Second, we investigated the impact of a short-term alcohol abstinence on the blood metabolome followed by assessing the correlations between the blood metabolome and psychological symptoms developed in AUD patients. Last, we hypothesized that metabolites significantly correlated with depression, anxiety or alcohol craving could potentially have neuroactive properties, and therefore the presence of those neuroactive metabolites was confirmed in the central nervous system using post-mortem analysis of frontal cortex and cerebrospinal fluid of persons with a history of heavy alcohol use. Our data bring new insights on xenobiotics- or microbial-derived neuroactive metabolites, which can represent an interesting strategy to prevent or treat psychiatric disorders such as AUD”.

      Due to the fact that the method section describing the study design is located at the end of the manuscript, we have decided to clarify the methodological approach in the first paragraph of the result section in order to show that in fact, we have performed a longitudinal study (which includes the same group of AUD, tested at two time points – at the beginning and at the end of alcohol withdrawal). This is stated as follows:

      Results section, Page 6, Line 97-99: “All patients were hospitalized for a 3-week detoxification program, and tested at two timepoints: T1 which represents the first day of alcohol withdrawal, and T2 which represents the last day of the detoxification program”.

      We propose to add a figure with a schematic representation of the protocol. We let the editor deciding whether this figure can be added (as supplemental material).

      Author response image 1.

      Schematic representation of the protocol

      We agree with the reviewer that the correlational analysis (between blood metabolites and psychological symptoms) is conducted at one time point (T1) only, which has probably led to the confusion between cross-sectional and longitudinal study. In fact we had a strong motivation to provide correlations at T1, instead of T2. T1, which is at the admission time, is really the moment where we can take into account variability of the psychological scores. Indeed, after 3 weeks of abstinence (T2), the levels of depression, anxiety and alcohol craving decreased significantly ( as shown in other studies from our group (Leclercq et al., 2014b, 2014a, 2012)) and remained pretty low in AUD patients, with a much lower inter-individual variability which makes the correlations less consistent.

      We agree with the reviewer that there is a high intra and inter-personal variability in the metabolomics data, that could be due to the differences in previous meals intakes within and between subjects. While AUD subjects have been tested twice (at the beginning and at the end of a 3-week detoxification program), the control subjects have only been tested once. Consequently, we did not take into account the intra-personal variability in the control group. The metabolomics changes observed in AUD patients between T1 and T2 are therefore due to alcohol withdrawal but also to intra-personal variability. This is a limitation of the study that we have now added in the discussion section, Page 16, Lines 354-357  as follows:

      “The selection of the control group is always challenging in alcohol research. Here, the healthy subjects were matched for sex, age and BMI but not for smoking status or nutritional intake. Alcohol addiction is a major cause of malnutrition in developed countries and tobacco smoking is more prevalent in alcohol users compared to healthy subjects. These two main confounding factors, although being an integral part of the alcoholic pathology, are known to influence the blood metabolome. Furthermore, another limitation is that the control group was tested only once, while the AUD patients were tested twice (T1 and T2). This means that we do not take into consideration the intra-personal variability of the metabolomics data when interpreting the results of alcohol withdrawal effects”.

      The limitation concerning the small sample size is already mentioned in the discussion section, as follows:

      “Large studies are usually required in metabolomics to observe small and medium size changes. Here, we included only 96 AUD patients, but they were all well characterized and received standardized therapies (for instance, vitB supplementation) during alcohol withdrawal”.

      Overall, there is not enough experimental context to interpret these findings into a biological understanding. For example, while several metabolites are linked with AUD and associated with microbiome or host metabolism based on existing literature, it's unclear from the current study what function these changes have concerning AUD, if any. The authors also argue that alcohol withdrawal shifts the AUD plasma metabolic fingerprint towards healthy controls (line 153). However, this is hard to assess based on the plots provided since the change in the direction of the orange data subset is considers AUD T2 vs T1. In contrast, AUD T2 vs Control would represent the claimed shift. To support these claims, the authors would better support their argument by showing this comparison as well as showing all experimental groups (including control subjects) in their multi-dimensional model (e.g., PCA).

      We thank the reviewer for these comments. It is true in this type of discovery-based approach the causality cannot be interpreted nor do we claim so. The aim was to characterize the metabolic alterations in this population, response to withdrawal period and suggest potential candidate metabolites linked to psychological symptoms. Rigorous pre-clinical assays and validation trials in humans are required to prove the causality, if any, of the discussed metabolites.

      The original claim on line 153 was poorly constructed and the Figure 2c is meant to visualize the influence of withdrawal on selected metabolites and also show the effect of chronic alcohol intake on the selected metabolites at baseline. The description of the Figure 2c has been modified in result section from line 156 onwards: “Overall, Fig. 2c demonstrates that a number of identified metabolites altered in sAUD patients relative to control are affected by alcohol withdrawal. Apart from 4-pyridoxic acid, cotinine, and heme metabolites bilirubin and biliverdin, the shifts observed in the selected metabolites are generally in the opposite direction as compared to the baseline.”

      The authors attempt to extend the significance of their findings by assessing post-mortem brain tissues from AUD subjects; however, the finding that many of the metabolites changed in T2/T1 are also present in AUD brain tissues is interesting; however, not strongly supporting of the authors' claims that these metabolites are markers of AUD (line 173). Concerning the plasma cohort itself, it is unclear how the authors assessed for compliance with alcohol withdrawal or whether the subjects' blood-alcohol levels were independently verified.

      We did not claim that the metabolites significantly correlated with the psychological symptoms - and present in central nervous system (frontal cortex or CSF) -  are “markers of AUD”. Line 173 did not refer to this idea, and the terms “markers of AUD” do not appear in the whole manuscript.

      Regarding the compliance with alcohol cessation, we did not assess the ethanol blood level. The patients are hospitalized for a 3-week detoxification program, they are not allowed to drink alcohol and are under strict control of the nurses and medical staff of the unit. Consuming alcoholic beverage within the hospitalization unit is a reason for exclusion. However, we carefully monitored the liver function during alcohol withdrawal. For the reviewers’ information, we have added here below, the evolution of liver enzymes (ALT, AST, gGT) during the 3-week detoxification program as indirect markers of alcohol abstinence.

      Author response image 2.

      Data are described as median ± SEM. AST, Aspartate transaminase; ALT, Alanine transaminase; gGT: gamma glutamyltranspeptidase. ** p<0.01 vs T1, *** p<0.001 vs T1

       

      The second area of concern is the need for more description of the analytical methodology, the lack of metabolite identification validation evidence, and related statistical questions. The authors cite reference #59 regarding the general methodology. However, this reference from their group is a tutorial/review/protocol-focused resource paper, and it is needs to be clarified how specific critical steps were actually applied to the current plasma study samples given the range of descriptions provided in the citations. The authors report a variety of interesting metabolites, including their primary fragment intensities, which are appreciated (Supplementary Table 3), but no MS2 matching scores are provided for level 2 or 3 hits. Further, level 1 hits under their definition are validated by an in-house standard, but no supporting data are provided besides this categorization. Finally, a common risk in such descriptive studies is finding spurious associations, especially considering many factors described in the current work. These include AUD, depression, anxiety, craving, withdrawal, etc. The authors describe the use of BH correction for multiple-hypothesis testing. However, this approach only accounts for the many possible metabolite association tests within each comparison (such as metabolites vs depression). It does not account for the multi-variate comparisons to the many behavior/clinical factors described above. The authors should employ one of several common strategies, such as linear mixed effects models, for these types of multi-variate assessments.

      The methodological details related to the sample processing, data acquisition, data pre-processing and metabolite identification have been provided in the supplementary materials and described below. Supplementary table 3 has been amended with characteristic MS2 fragments for both positive and negative ionization modes if data was available. Additionally, all annotations against the in-house library additions have been rechecked, identification levels corrected and EICs for all level 1 identifications are provided in the supplementary material.

      As described in the statistical analysis methods, BH correction was employed in the group-wise comparisons to shortlist the altered features for identification. Manual curating was then applied for the significant features and annotated metabolites subjected to correlation analysis. In this discovery-based approach the aim was to discover potential candidates linked with psychological symptoms for subsequent work to evaluate causality. Hence, the application of multi-variate analysis assessing biomarker candidates is not in the scope of this study.

      “LC-MS analysis. Plasma sample preparation and LC-MS measurement followed the parameters previously detailed in Klåvus et al (57).  Samples were randomized and thawed on ice before processing. 100 µl of plasma was added to 400 µl of LC-MS grade acetonitrile, mixed by pipetting four time, followed by centrifugation in 700 g for 5 minutes at 4 °C. A quality control sample was prepared by pooling 10 µl of each sample together. Extraction blanks having only cold acetonitrile and devoid of sample were prepared following the same procedure as sample extracts. LC-MS grade acetonitrile, methanol, water, formic acid and ammonium formate (Riedel-de Haën™, Honeywell, Seelze, Germany) were used to prepare mobile phase eluents in reverse phase (Zorbax Eclipse XDBC18, 2.1 × 100 mm, 1.8 μm, Agilent Technologies, Palo Alto, CA, USA) and hydrophilic interaction (Acquity UPLC® BEH Amide 1.7 μm, 2.1 × 100 mm, Waters Corporation, Milford, MA, USA) liquid chromatography separation. In reverse phase separation, the samples were analyzed by Vanquish Flex UHPLC system (Thermo Scientific, Bremen, Germany) coupled to high-resolution mass spectrometry (Q Exactive Focus, Thermo Scientific, Bremen, Germany) in both positive and negative polarity mass range from 120 to 1200, target AGC 1e6 and resolution 70,000 in full scan mode. Data dependent MS/MS data was acquired for both modes with target AGC 8e3 and resolution 17,500, precursor isolation window was 1.5 amu, normalized collision energies were set at 20, 30 and 40 eV and dynamic exclusion at 10.0 seconds. In hydrophobic interaction separation, the samples were analyzed by a 1290 LC system coupled to a 6540 UHD accurate mass Q-ToF spectrometer (Agilent Technologies, Waldbronn, Karlsruhe, Germany) using electrospray ionization (ESI, Jet Stream) in both positive and negative polarity with mass range from 50 to 1600 and scan rate of 1.67 Hz in full scan mode. Source settings were as in the protocol. Data dependent MS/MS data was acquired separately using 10, 20 and 40 eV collision energy in subsequent runs. Scan rate was set at 3.31 Hz, precursor isolation width of 1.3 amu and target counts/spectrum of 20,000, maximum of 4 precursor pre-cycle, precursor exclusion after 2 spectra and release after 15.0 seconds. Detectors were calibrated prior sequence and continuous mass axis calibration was performed throughout runs by monitoring reference ions from infusion solution for operating at high accuracy of < 2 ppm. Quality control samples were injected in the beginning of the analysis to equilibrate the system and after every 12 samples for quality assurance and drift correction in all modes. All data were acquired in centroid mode by either MassHunter Acquisition B.05.01 (Agilent Technologies) or in profile mode by Xcalibur 4.1 (Thermo Fisher Scientific) softwares.

      Metabolomics analysis of TSDS frontal cortex and CSF samples using the same 1290 LC system coupled with a 6540 UHD accurate mass Q-ToF spectrometer has been previously accomplished by Karkkainen et al (10).

      Peak picking and data processing. Raw instrumental data (*raw and *.d files) were converted to ABF format using Reifycs Abf Converter (https://www.reifycs.com/AbfConverter). MS-DIAL (Version 4.70) was employed for automated peak picking and alignment with the parameters according to Klåvus et al., 2020 (57) separately for each analytical mode. For the 6540 Q-ToF mass data minimum peak height was set at 8,000 and for the Q Exactive Focus mass data minimum peak height was set at 850,000. Commonly, m/z values up to 1600 and all retention times were considered, for aligning the peaks across samples retention time tolerance was 0.2 min and MS1 tolerance 0.015 Da and the “gap filling by compulsion” was selected. Alignment results across all modes and sample types as peak areas were exported into Microsoft Excel sheets to be used for further data pre-processing.

      Pre-processing including drift correction and quality assessment was done using the notame package v.0.2.1 R software version 4.0.3 separately for each mode. Features present in less than 80% of the samples within all groups and with detection rate in less than 70% of the QC samples were flagged. All features were subjected to drift correction where the features were log-transformed and a regularized cubic spline regression line was fitted for each feature against the quality control samples. After drift correction, QC samples were removed and missing values in the non-flagged features were imputed using random forest imputation. Finally, the preprocessed data from each analytical mode was merged into a single data matrix.

      Molecular feature characteristics (exact mass, retention time and MS/MS spectra) were compared against in-house standard library, publicly available databases such as METLIN, HMDB and LIPIDMAPS and published literature. Annotation of metabolites and the level of identification was based on the recommendations given by the Chemical Analysis Working Group (CAWG) Metabolomics Standards Initiative (MSI) (59): 1 = identified based on a reference standard, 2 = putatively annotated based on physicochemical properties or similarity with public spectral libraries, 3 = putatively annotated to a chemical class and 4 = unknown.”

      Reference 59: Sumner LW, Amberg A, Barrett D, Beale MH, Beger R, Daykin CA, et al. Proposed minimum reporting standards for chemical analysis. Metabolomics. 2007;3:211–221.

      Recommendations for the authors:

      Reviewer #1:

      (1) There should be more discussion comparing and contrasting the differences between the 2 cohorts (ALCOHOLBIS versus GUT2BRAIN), instead of stressing the similarities.

      As indicated in the results section, we have verified that the ALCOHOLBIS cohort and GUT2BRAIN cohort are similar in term of age, gender, smoking habits, drinking habits and severity of psychological symptoms. Those similar features are important to allow the combination of the metabolomics data from the two cohorts, which subsequently allows to have a bigger sample size (n = 96) and more statistical power.

      (2) The identification of 97 heavy alcohol users based on hospital codes at autopsy may not be the most rigorous way to define those with AUD. More information is needed on how these 97 were classified as heavy alcohol users.

      The classification of subjects to the group who have a history of heavy alcohol use was not based solely on the autopsy records. The classification was also based on medical history, which in Finland is available from the whole life of the subjects, and including diagnoses and laboratory finding. The subjects needed to have a diagnosis of alcohol-related disease, as stated in the methods section of the manuscript. However, since some of the used diagnoses are related to organ damage related to heavy alcohol use, we do not claim that these subjects would all have alcohol dependence. But history of heavy use of alcohol is needed to get organ damage associated with alcohol use. Therefore, we consider that diagnosis of alcohol-related disease is a clear sign of a history of heavy alcohol use.

      (3) The fact that the control group mainly died of cardiovascular disease confounds the interpretations around alcohol impact metabolite levels. How much of the metabolomics differences are related to hyperlipidemia or other CVD risk factors in the controls?

      There are no healthy controls in post-mortem studies, since all subjects need to die from something to be included to the cohort. The challenge in studying AUD is that they die relatively young. The only other group of individuals who die outside of hospital at the relatively same age as subjects with AUD are those with CVD. Post-mortem autopsies are done in Finland to all who die outside of hospital, and these are the main source of samples for post-mortem sample cohorts. Therefore, there is no other control group to compare AUD subject to in these types of studies.

      As for the altered metabolites in the post-mortem sample, the phospholipids observed could be associated with CVD. However, alterations in phospholipids are also commonly associated with alcohol use and AUD (for a review see (Voutilainen and Kärkkäinen, 2019)) and this effect is also seen in the results from the clinical cohorts in this study (Figure 1). Therefore, it cannot be said that these phospholipids finding would be due to selection of the control group.

      (4) When examining metabolomics alterations, it is extremely important to understand what people are eating (i.e., providing a substrate). A major confounding issue here is that heavy alcohol users typically choose drinking over eating food. How much of the observed alterations in the plasma metabolome is due to the decreased food intake? Some validation in animal models of ethanol exposure compared to pair-fed controls would help strengthen causal relationships between metabolites and alterations in the circulation and CNS.

      Regarding the validation in animal models of ethanol exposure, we were very careful in our discussion to avoid pretending that the study allowed to test causality of the factors. This was certainly not the objective of the present study. The testing of causality would indeed probably necessitate animal models but these models could only test the effects of one single metabolite at a time and could not at the same time capture the complexity of the changes occurring in AUD patients. The testing of metabolites would be a totally different topic. Hence, we do not feel comfortable in conducting rodent experiments for several reasons. First, AUD is a very complex pathology with physiological and psychological/psychiatric alterations that are obviously difficult to reproduce in animal models. Secondly, as mentioned by the reviewer, AUD pathology spontaneously leads to nutritional deficits, including significant reductions in carbohydrates, lipids, proteins and fiber intakes. We have recently published a paper in which we carefully conducted detailed dietary anamneses and described the changes in food habits in AUD patients (Amadieu et al., 2021). As explained below, some blood metabolites that are significantly correlated with depression, anxiety and craving belong to the xanthine family and are namely theobromine, theophylline, and paraxanthine, which derived from metabolism of coffee, tea or chocolate (which are not part of the normal diet of mice or rats).Therefore, conducting an experiment in animal model of ethanol exposure compared to pair-fed controls will omit the important impact of nutrition in blood metabolomics and consequently won’t mimic the human AUD pathology. In addition, if we take into consideration the European Directive 2010/63/EU (on the protection of animals used for scientific purposes) which aims at Reducing (Refining, Replacing) the number of animals used in experiment, it is extremely difficult to justify, at the ethical point of view, the need to reproduce human results in an animal model that won’t be able to mimic the nutritional, physiological and psychological alterations of alcohol use disorder.

      As explained above, we do agree with the reviewer that AUD is not only “drinking alcohol” but is also associated with reduction in food intake that obviously influenced the metabolomics data presented in this current study.  We have therefore added some data, which have not been published in the previous version of the manuscript, in the results section that refer to key nutrients modified by alcohol intake and we refer to those data and their link with metabolomics in the discussion section:

      Results section page 8, Line 153-155. This sentence has been added:

      “The changes in metabolites belonging to the xanthine family during alcohol withdrawal could be explained by the changes in dietary intake of coffee, tea and chocolate (see Fig S5).”

      Discussion section: Page 11, Line 234-238.

      “Interestingly, the caffeine metabolites belonging to the xanthine family such as paraxanthine, theophylline and theobromine that were decreased at baseline in AUD patients compared to controls, increased significantly during alcohol withdrawal to reach the levels of healthy controls. Changes in dietary intake of coffee, tea and chocolate during alcohol withdrawal could explain these results”.

      In the conclusion, Page 16, Line 360-32, we clearly stated that: “LC-MS metabolomics plasma analysis allowed for the identification of metabolites that were clearly linked to alcohol consumption, and reflected changes in metabolism, alterations of nutritional status, and gut microbial dysbiosis associated with alcohol intake”

      Reference:

      Amadieu C, Leclercq S, Coste V, Thijssen V, Neyrinck AM, Bindels LB, Cani PD, Piessevaux H, Stärkel P, Timary P de, Delzenne NM. 2021. Dietary fiber deficiency as a component of malnutrition associated with psychological alterations in alcohol use disorder. Clinical Nutrition 40:2673–2682. doi:10.1016/j.clnu.2021.03.029

      Leclercq S, Cani PD, Neyrinck AM, Stärkel P, Jamar F, Mikolajczak M, Delzenne NM, de Timary P. 2012. Role of intestinal permeability and inflammation in the biological and behavioral control of alcohol-dependent subjects. Brain Behav Immun 26:911–918. doi:10.1016/j.bbi.2012.04.001

      Leclercq S, De Saeger C, Delzenne N, de Timary P, Stärkel P. 2014a. Role of inflammatory pathways, blood mononuclear cells, and gut-derived bacterial products in alcohol dependence. Biol Psychiatry 76:725–733. doi:10.1016/j.biopsych.2014.02.003

      Leclercq S, Matamoros S, Cani PD, Neyrinck AM, Jamar F, Stärkel P, Windey K, Tremaroli V, Bäckhed F, Verbeke K, de Timary P, Delzenne NM. 2014b. Intestinal permeability, gut-bacterial dysbiosis, and behavioral markers of alcohol-dependence severity. Proc Natl Acad Sci U S A 111:E4485–E4493. doi:10.1073/pnas.1415174111

      Voutilainen T, Kärkkäinen O. 2019. Changes in the Human Metabolome Associated With Alcohol Use: A Review. Alcohol and Alcoholism 54:225–234. doi:10.1093/alcalc/agz030

      Reviewer #2:

      (1) More methodological information about the laboratory processing of samples, instrumentation, and data analysis needs to be provided. Reference 59 needs to be more specific and include important methodological details for this project. Please provide an actual methods section for the mass-spectrometry-based metabolomics.

      The reviewer is correct that the methods should be described in detail but due to word limits, the description was moved to a supplementary file. Methodological details are provided in the answer to the final comment in the public reviews section and we kindly refer to that for the methodological details. Reference 57 (Klåvus et al) is a method paper and covers the whole untargeted metabolomics pipeline that is used in our work.

      (2) The VIP figures, e.g., Figure 1b and Figure 2b are not very informative and would be better represented in a supplementary table

      VIP scores for all annotated metabolites are provided in the supplementary table 3 along with peak data and other values derived from statistical tests. Furthermore, we have removed the VIP value in figures 1 and 2 and we have replaced them by an updated Volcano plot to represent also the VIP values in addition to the q and Cohen’s d values.

      (3) The findings on odd-chain lyso-lipids are interesting, and while these have been reported biologically, odd-chain lipids are uncommon and should be validated with authentic standards as available (please provide an XIC of the level 1 peak and standard if possible, e.g., LPC 17:0) or at least a supplementary figure on manual inspection of the negative mode MS2 spectrum showing the putative fatty acid chain fragment. The current assignments are based on positive mode lipid class fragments and accurate mass.

      We thank the reviewer for pointing this out and it is correct that the negative MS2 spectrum is essential for lipid identification. Although the current assignments show only positive fragments for many lipids, the fatty acid chain, if reported, has been confirmed from negative mode MS2 spectrum. The supplementary table 3 with peak information has been augmented with fragment information from both negative and positive ionizations if available. Also, reference and experimental MS2 spectra have been provided as separate supplemental file for level 1 identifications, including the odd-chain lyso-lipids LPC 15:0 and 17:0.

      (4) Please provide some supplementary information (MS1/MS2 if available) on the untargeted features of interest (up and down-regulated) from Figure 1C, especially the 5 encircled features. If any manual annotation of these features was attempted, please include a brief description in the results/discussion.

      All statistically significant features with MS2 data have been subjected to manual annotation and database searches using at least METLIN, HMDB and LipidMaps. Additionally, if the manual inspection failed to provide any identification, in silico fragmentation software MS-FINDER was used to calculate candidate molecular formula. The features were labeled as unknown if all efforts were unsuccessful. The peak characteristics of the key unknowns in Figure 1b have also been included in the supplemental table.

      A note of the manual inspection has been included in the result section line 129: “The top-ranked metabolites in Fig. 1b remained unknown regardless of manual curation.”

      Reviewer #3:

      I think this is an interesting paper with a very solid methodology and an abundance of results. I am not an expert on metabolomics, and I have some very interesting hours here, trying (but sometimes failing) to grasp this paper's content. This paper also needs to be closely read by a reviewer who knows the metabolomics field and can give feedback on the meaning of the results. I have focused purely on the AUD clinical side as this is where I may contribute. My main concern is conceptualizing the aims and what authors want to investigate. As far as I understand, this is a study of the relationship between alcohol use and the metabolome, and in this respect, I think there are some issues.

      Just take the abstract that talks about (in the first sentence) alcohol use disorder ("AUD") - a term that generally sometimes refers to harmful use of alcohol and alcohol addiction and sometimes to all F10-diagnosis (and thus an inaccurate term), then the following sentence talks about what leads to alcohol addiction (not dependence) - and this in a mechanistic direction and in the last part of the second sentence talks about metabolomics being able to decipher metabolic events related to AUD. So, even in the first two sentences, it is confusing - is this about correlates, mechanisms, prevention, or treatment? The inaccuracy of terms continues in sentence 4. We have "chronic alcohol abuse" (?) and "severe alcohol use disorder (AUD)" (abbreviated for the second time). Later, only "alcohol abuse" is used and the abstract ends with something about these findings being interesting in "the management of [...] AUD". All this illustrates that there is a large mixture of concepts - what aspect of alcohol use or abuse are you looking at? Moreover, of intention: is it to find correlates, explanations, or targets for interventions? Without clarity in this respect, one can get lost in what all these interesting measures mean - how we should interpret them. This comment is made only for the abstract. However, but it is equally valid and important for the introduction and discussion parts of the ms, where additional terms and formulations are introduced: "heavy alcohol use" (lines 86-7) and "prevent or treat psychiatric disorders such as AUD" (lines 90-1). This is then reflected in the discussion where the authors claim that what they have found is related to "chronic alcohol abuse" (line 188), "heavy alcohol drinkers" (line 191), and "AUD patients" (lines 199 and 202 and further on).  

      We thank the reviewer for this useful comment and we apologize for the confusion. We agree that it is important to use the correct terms and definitions. All patients included in this study were diagnosed as severe AUD (for more information on the diagnosis, see answer to the comments related to DSM-IV and DSM5). This manuscript is consequently related to severe AUD and other terms like “alcohol abuse, “alcohol addiction” are therefore not appropriate. In the revised version of the manuscript, we have used severe AUD or the abbreviation sAUD. The figure and legends have been changed accordingly.

      In the first paragraph of the results section, ALCOHOLBIS and GUT2BRAIN are compared. It says they are similar on many measures, including craving, but different on some measures, again including craving. It is difficult to grasp this even if the authors try to explain (lines 101-2). This sentence also introduces some discussion in the results section by saying something normative about their finding and relating this to other research (references 12, 13, and 14).

      We would like to apologize for the confusion related to first paragraph of the results section. We have indeed indicated that, while the ALCOHOLBIS cohort and the GUT2BRAIN cohort are highly similar in term of biological and psychological features, a significant difference does exist in the compulsive component of the craving score. Indeed, the mean score of compulsion is 11 ± 3 in the ALCOHOLBIS cohort and 14  ± 3 in the GUT2BRAIN cohort. In healthy controls, the mean score of compulsion is 1.5 ± 1.5. Despite the statistically significant difference in craving between both cohorts, we do not think that this difference is relevant in our context since both scores (11 and 14) are considered high compared to the control group. In order to simplify the message, we have revised the first paragraph as follows:

      “Both groups of patients were similar in terms of age, gender, smoking and drinking habits and presented with high scores of depression, anxiety and alcohol craving at T1 (Table 1). These biological and psychological similarities allow us to combine both cohorts (and consequently increase sample size) and compare them to a group of heathy controls for metabolomics analysis”.

      In line 104 the abbreviation PCA is introduced but needs to be explained. Such objections could be made for many of the abbreviations used (sPLS-DA VIP, LPC, CSF, CNS, LPE, etc.), but of course, they may be made more difficult by the unusual way of stacking the different sections.

      We thank the reviewer for pointing these out. Most abbreviations are written out in the figure legends or method section but indeed the organization of the different sections makes it less evident. The abbreviations pointed out have been opened in the results section when they are first used.

      Furthermore, they say that the severity of AUD was "evaluated by a psychiatrist using the Diagnostic and Statistical Manual of Mental Disorders (DSM) criteria, fourth edition (DSM-IV) (ALCOHOLBIS cohort) or fifth edition (DSM-5)" (GUT2BRAIN cohort): This makes sense for DSM-5 but needs to be explained more for DSM-IV. They also need to say what levels were included.

      We thank the reviewer for this very appropriate remark that deserves some explanations.

      While the patients of the GUT2BRAIN cohort were enrolled in 2018-2019 where the DSM5 was applicable, the patients from the ALCOHOLBIS cohort were recruited many years before. The protocol related to the ALCOHOLBIS cohort was written before 2013, and approved by ethical committee, where the DSM-IV was the last version of the DSM used at that moment. 

      We therefore totally agree with the reviewer that our sentence “the severity of AUD was "evaluated by a psychiatrist using the Diagnostic and Statistical Manual of Mental Disorders (DSM) criteria, fourth edition (DSM-IV) (ALCOHOLBIS cohort) or fifth edition (DSM-5)" (GUT2BRAIN cohort)” is not correct. Indeed, DSM-IV (before 2013) described two distinct disorders, alcohol abuse and alcohol dependence, while the DSM-5 integrates the two DSM-IV disorders into a single disorder called alcohol use disorder with mild (2 or 3 symptoms), moderate (4 or 5 symptoms) and severe (6 or more symptoms) sub-classifications.

      In this present study, we have enrolled patients that received the diagnosis of alcohol dependence (DSM-IV criteria) or severe alcohol use disorder (DSM5 criteria).

      We have changed the paragraph related to this issue into this new one:

      “The severity of AUD was evaluated by a psychiatrist using the Diagnostic and Statistical Manual of Mental Disorders (DSM) criteria, fourth edition (DSM-IV) (Alcoholbis cohort) or fifth edition (DSM-5) (GUT2BRAIN cohort). Patients evaluated with the DSM-IV received the diagnosis of “alcohol dependence”, while the patients evaluated with the DSM-5 received the diagnosis of “severe alcohol use disorder” (6 or more criteria). To simplify, we used the term “sAUD” (for severe alcohol use disorder) that includes both diagnosis (sAUD and alcohol dependence)”.

      I am unsure about the shared first co-authorship and the shared last co-authorship request, but I leave this up to the editors and the journal policies. Also, the order of the different parts may be correct (the M+M placed last) but is unusual for many journals. This is also up to the journal to decide.

      As mentioned in the guidelines to authors, the method section should be included at the end of the manuscript.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      These experiments are some of the first to assess the role of dopamine release and the activity of D1 and D2 MSNs in pair bond formation in Mandarin voles. This is a novel and comprehensive study that presents exciting data about how the dopamine system is involved in pair bonding. The authors provide very detailed methods and clearly presented results. Here they show dopamine release in the NAc shell is enhanced when male voles encounter their pair bonded partner 7 days after cohabitation. In addition, D2 MSN activity decreases whereas D1 MSN activity increases when sniffing the pair-bonded partner.

      The authors do not provide justification for why they only use males in the current study, without discussing sex as a biological variable these data can only inform readers about one sex (which in pair-bonded animals by definition have 2 sexes). In addition, the authors do not use an isosbestic control wavelength in photometry experiments, although they do use EGFP control mice which show no effects of these interventions, a within-subject control such as an isosbestic excitation wavelength could give more confidence in these data and rule out motion artefacts within subjects.

      We agree with your suggestion that mechanism underlying pair bonding in females should also be investigated. In general, natal philopatry among mammals is female biased in the wild(Greenwood, 1983; Brody and Armitage, 1985; Ims, 1990; Solomon and Jacquot, 2002); social mammals are rarely characterized by exclusively male natal philopatry (Solomon and Jacquot, 2002). Males often disperse from natal area to a new place. Thus, males rodents may play a dominant role in the formation and maintenance of mating relationships. This is a reason we investigate pair bonding in male firstly. Certainly, female mate selection, and sexual receptivity or refusal through olfactory cues from males, thereby affect the formation and maintenance of pair bonding (Hoglen and Manoli, 2022). This is also the reason why we should focus on the mechanisms underlying pair bonding formation in females in the future research. This has been added in the limitation in the discussion.

      In photometry experiments, rAAV-D1/D2-GCaMP6m, a D1/D2 genetically encoded fluorescent calcium sensor, was injected into the NAc shell. The changes in fluorescence signals during these social interactions were collected and digitalized. To assess the specific response to social stimulus in fluorescence signals, changes in fluorescence signals during non-social behavioral bouts (such as freezing, exploration of the environment, grooming, rearing, etc…) were also recorded and analyzed. The result showed that dopamine release or D1/D2 MSNs activity displayed no significant changes after cohabitation of 3 or 7 days upon occurring of no-social behavior such as freezing, exploring, grooming and rearing. In addition, GCaMP6m is a genetically encoded calcium indicator. Changes in its fluorescence signal reflect changes in intracellular calcium ion concentration. Using EGFP virus as a control, it can be determined whether the fluorescence signal observed in the experiment is generated by the specific response of GCaMP6m to calcium or if there are other non-specific factors leading to fluorescence changes. If there is no similar fluorescence change in the EGFP control group, it can more strongly prove that the signal detected by GCaMP6m is a calcium-related specific signal. In some research article, they also use EGFP control group in photometry experiments (Yamaguchi et al., 2020; Qu et al., 2024; Zhan et al., 2024). Therefore, changes in fluorescence signals observed in the present study reflect neuron activities upon specific social behaviors, but were not affected by motion artefacts.

      There is an existing literature (cited in this manuscript) from Aragona et al., (particularly Aragona et al., 2006) which has highlighted key differences in the roles of rostral versus caudal NAc shell dopamine in pair bond formation and maintenance. Specifically, they report that dopamine transmission promoting pair bonding only occurs in the rostral shell and not the caudal shell or core regions. Given that the authors have targeted more caudally a discussion of how these results fit with previous work and why there may be differences in these areas is warranted.

      Thanks for your professional consideration. The brain coordinates of Bilateral 26-gauge guide cannulae were NAc (1.6 mm rostral, ± 1 mm bilateral, 4.5 mm ventral (for shell), 3.5 mm ventral (for core) from bregma) in report from Aragona et al (2006). In the present study, the brain coordinates of virus injection were (AP: +1.5, ML: ±0.99, DV: −4.2 (for NAc shell)). Thus, the virus injection sites were close to rostral shell in our study. However, as the diffusive expression of the virus, part of neurons in the rostrocaudal border and caudal shell also be infected by the virus, so we did not distinguish different subregions of NAc shell. In the future, we will use AAV13, a viral strategy could target / manipulate precise local neural populations, to address this issue. NAc is a complex brain structure with distinct regions that have different functions. Previous study suggested that GABAergic substrates of positive and negative types of motivated behavior in the nucleus accumbens shell are segregated along a rostrocaudal gradient (Reynolds and Berridge, 2001). However, a study found that food intake is significantly enhanced by administering μ-selective opioid agonists into the NAc, especially its shell region (Znamensky et al., 2001). Also, μ-opioid stimulation increases the motivation to eat (“wanting”) both in the NAc shell and throughout the entire NAc, as well as in several limbic or striatal structures beyond. For DAMGO stimulation of eating, the “wanting” substrates anatomically extend additionally beyond the rostrodorsal shell and throughout the entire shell (the caudal shell). Furthermore, DAMGO stimulates eating at NAc shell and core, as well as the neostriatum, amygdala…(Gosnell et al., 1986; Gosnell and Majchrzak, 1989; Peciña and Berridge, 2000; Zhang and Kelley, 2000; Echo et al., 2002; Peciña and Berridge, 2005, 2013; Castro and Berridge, 2014). In pair bond formation and maintenance, the rostral shell is the specific subregion of the NAc important for DA regulation of partner preference (Aragona et al., 2006). In conclusion, it appears that the changes in real time dopamine release and activities and electrophysiological properties of D1R, D2R MSNs in the NAc shell after pair bond formation may have primarily targeted to the rostral shell in our study, which is consistent with the report from Aragona et al.

      The authors could discuss the differences between pair bond formation and pair bond maintenance more deeply.

      Thanks for your suggestion. I have discussed the differences between pair bond formation and pair bond maintenance more deeply.

      The dopamine and different types of dopamine receptors in the NAc may play different roles in regulation of pair bond formation and maintenance. The chemogenetic manipulation revealed that VP-projecting D2 MSNs are necessary and more important in pair bond formation compared to VPprojecting D1 MSNs. It is consistent with previous pharmacological experiments that blocking of D2R with its specific antagonist, while D1R was not blocked, can prevent the formation of a pair bond in prairie voles (Gingrich et al., 2000). This indicates that D2R is crucial for the initial formation of the pair bond. D2R is involved in the reward aspects related to mating. In female prairie voles, D2R in the NAc is important for partner preference formation. The activation of D2R may help to condition the brain to assign a positive valence to the partner's cues during mating, facilitating the development of a preference for a particular mate. In addition, the cohabitation caused the DA release, the high affinity Gi-coupled D2R was activated first, which inhibited D2 MSNs activity and promoted the pair bond formation. And then, after 7 days of cohabitation, the pair bonding was already established, the significantly increased release of dopamine significantly activated Gs-coupled D1R with the low affinity to dopamine, which increased D1 MSNs activity and maintained the formation of partner preference. While D1R is also present and involved in the overall process, its role in the initial formation of the pair bond is not as dominant as D2R (Aragona et al., 2006). However, it still participates in the neurobiological processes related to pair bond formation. For example, in male mandarin voles, after 7 days of cohabitation with females, D1R activity in the NAc shell was affected during pair bond formation. The extracellular DA concentration was higher when sniffing their partner compared to a stranger, and this increase in DA release led to an increase in D1R activity in the NAc shell. In prairie voles, dopamine D1 receptors seem to be essential for pair bond maintenance. Neonatal treatment with D1 agonists can impair partner preference formation later in life, suggesting an organizational role for D1 in maintaining the bond (Aragona et al., 2006). In pair-bonded male prairie voles, D1R is involved in inducing aggressive behavior toward strangers, which helps to maintain the pair bond by protecting it from potential rivals. In the NAc shell, D1 agonist decreases the latency to attack same-sex conspecifics, while D1 antagonism increases it (Aragona et al., 2006). In summary, D2R is more crucial for pair bond formation, being involved in reward association and necessary for the initial development of the pair bond. D1R, on the other hand, is more important for pair bond maintenance, being involved in aggression and mate guarding behaviors and having an organizational role in maintaining the pair bond over time. We therefore suggest that D2 MSNs are more predominantly involved in the formation of a pair bond compared with D1 MSNs.

      The authors have successfully characterised the involvement of dopamine release, changes in D1 and D2 MSNs, and projections to the VP in pair bonding voles. Their conclusions are supported by their data and they make a number of very reasonable discussion points acknowledging various limitations

      Reviewer #2 (Public review):

      Summary:

      Using in vivo fiber-photometry the authors first establish that DA release when contacting their partner mouse increases with days of cohabitation while this increase is not observed when contacting a stranger mouse. Similar effects are found in D1-MSNs and D2-MSNs with the D1MSN responses increasing and D2-MSN responses decreasing with days of cohabitation. They then use slice physiology to identify underlying plasticity/adaptation mechanisms that could contribute to the changes in D1/D2-MSN responses. Last, to address causality the authors use chemogenetic tools to selectively inhibit or activate NAc shell D1 or D2 neurons that project to the ventral pallidum. They found that D2 inhibition facilitates bond formation while D2 excitation inhibits bond formation. In contrast, both D1-MSN activation and inhibition inhibit bond formation.

      Strengths:

      The strength of the manuscript lies in combining in vivo physiology to demonstrate circuit engagement and chemogenetic manipulation studies to address circuit involvement in pair bond formation in a monogamous vole.

      Weaknesses:

      Comment: Weaknesses include that a large set of experiments within the manuscript are dependent on using short promoters for D1 and D2 receptors in viral vectors. As the authors acknowledge this approach can lead to ectopic expression and the presented immunohistochemistry supports this notion. It seems to me that the presented quantification underestimates the degree of ectopic expression that is observed by eye when looking at the presented immunohistochemistry. However, given that Cre transgenic animals are not available for Microtus mandarinus and given the distinct physiological and behavioral outcomes when imaging and manipulating both viral-targeted populations this concern is minor.

      Thanks for your professional comment. The virus used in the present study were purchased from brainVTA company. D1/D2 receptor promoter genes were predicted and amplified for validation by the company. The promoter gene was constructed and packaged by aav virus vector (taking rAAV-D2-mCherry-WPRE-bGH_polyA virus as an example, Author response image 1A). The D1/D2 promoter sequence is shown in the Author response image 1B-C. In addition, the D1 receptor gene promoter and D2 receptor gene promoter viruses used in this paper have been used in several published papers with high specificity (Zhao et al., 2019; Ying et al., 2022). In our paper, a high proportion of virus and mRNA co-localization was found through FISH verification and also showed high specificity of virus (Figure S15, S16).

      Author response image 1.

      (A)   Gene carrier of rAAV-D2-mCherry-WPRE-bGH_polyA. (B-C) Gene sequence of D1 promoter and D2 promoter.

      The slice physiology experiments provide some interesting outcomes but it is unclear how they can be linked to the in vivo physiological outcomes and some of the outcomes don't match intuitively (e.g. cohabitation enhances excitatory/inhibitory balance in D2-MSNs but the degree of contact-induced inhibition is enhanced in D2-MSN).

      Thanks for your comment. The present study found that the frequencies of sEPSC and sIPSC were significantly enhanced after the formation of a pair bond in NAc shell D2 MSNs. The excitatory/inhibitory balance of D2 MSNs was enhanced after cohabitation.These results are not consistent with the findings from fiber photometry of calcium signals. One study showed that NAc D2 MSNs was linked to both ‘liking’ (food consumption) and ‘wanting’ (food approach) but with opposing actions; high D2 MSNs activity signaled ‘wanting’, and low D2 MSNs activity enhanced ‘liking’. D2 MSNs are faced with a tradeoff between increasing ‘wanting’ by being more active or allowing ‘liking’ by remaining silent (Guillaumin et al., 2023). Therefore, the increase in frequencies of sEPSC and sIPSC in D2 MSNs may reflect two processes, liking and wanting, respectively. We thought that hedonia and motivation might influence D2 MSNs activity differently during cohabitation and contribute to the processing of pair bond formation in a more dynamic and complex way than previously expected.

      Moreover, the frequencies of sEPSC and sIPSC were significantly reduced in the NAc shell D1 MSNs after pair bonding, whereas the intrinsic excitability increased after cohabitation with females.

      The bidirectional modifications (reduced synaptic inputs vs. increased excitability) observed in D1 MSNs might result from homeostatic regulation. The overall synaptic transmission may produce no net changes, given that reductions in both excitatory and inhibitory synaptic transmission of D1 MSNs were observed. Also, increases in the intrinsic excitability of D1 MSNs would result in an overall excitation gain on D1 MSNs.

      One interesting finding is that the relationship between D2-MSN and pair bond formation is quite clear (inhibition facilitates while excitation inhibits pair bond formation). In contrast, the role of D1-MSNs is more complicated since both excitation and inhibition disrupt pair bond formation. This is not convincingly discussed.

      Considering the reviewer’s suggestion, the discussion has been added in the revised manuscript.

      In the present study, DREADDs approaches were used to inhibit or excite NAc MSNs to VP projection and it was found that D1 and D2 NAc MSNs projecting to VP play different roles in the formation of a pair bond. Chemogenetic inhibition of VP-projecting D2 MSNs promoted partner preference formation, while activation of VP-projecting D2 MSNs inhibited it (Figure 6). Chemogenetic activation of D2 MSNs produced the opposite effect of DA on the D2 MSNs on partner preference, while inhibition of these neurons produced the same effects of DA on D2 MSNs. DA binding with D2R is coupled with Gi and produces an inhibitory effect (Lobo and Nestler, 2011). It is generally assumed that activation of D2R produces aversive and negative reinforcement. These results were consistent with the reduced D2 MSNs activity upon sniffing their partner in the fiber photometry test and the increased frequency and amplitude of sIPSC in the present study. Our results also agree with other previous studies that chemogenetic inhibition of NAc D2 MSNs is sufficient to enhance reward-oriented motivation in a motivational task (Carvalho Poyraz et al., 2016; Gallo et al., 2018). Inhibition of D2 MSNs during self-administration enhanced response and motivation to obtain cocaine (Bock et al., 2013). This also suggests that the mechanism underlying attachment to a partner and drug addiction is similar.

      Besides, in the present study, the formation of partner preference was inhibited after activation or inhibition of VP-projecting D1 MSNs, which is not consistent with conventional understanding of prairie vole behavior. Alternatively, DA binding with D1R is coupled with Gs and produces an excitatory effect (Lobo and Nestler, 2011), while activation of D1R produces reward and positive reinforcement (Hikida et al., 2010; Tai et al., 2012; Kwak and Jung, 2019). For example, activation of D1 MSNs enhances the cocaine-induced conditioned place preference (Lobo et al., 2010). In addition, D1R activation by DA promotes D1 MSNs activation, which promotes reinforcement. However, a recent study found that NAc-ventral mesencephalon D1 MSNs promote reward and positive reinforcement learning; in contrast, NAc-VP D1 MSNs led to aversion and negative reinforcement learning (Liu et al., 2022). It is consistent with our results that activation of NAc-VP D1 MSNs pathway reduced time spent side-by-side and impaired partner preference after 7 days of cohabitation. In contrast to inhibition of D2 MSNs, we found that inhibition of the D1 MSNs did not elicit corresponding increases in partner preference. One possible explanation is that almost all D1 MSNs projecting to the VTA/ substantia nigra (SN) send collaterals to the VP (Pardo-Garcia et al., 2019). For example, optogenetically stimulating VP axons may inadvertently cause effects in the VTA/SN through the antidromic activation of axon collaterals (Yizhar et al., 2011). Therefore, chemogenetic inhibition of D1 MSNs may also inhibit DA neurons in VTA, subsequently inhibiting the formation of a pair bond.

      The dopamine and different types of dopamine receptors in the NAc may play different roles in regulation of pair bond formation and maintenance. The chemogenetic manipulation revealed that VP-projecting D2 MSNs are necessary and more important in pair bond formation compared to VPprojecting D1 MSNs. It is consistent with previous pharmacological experiments that blocking of D2R with its specific antagonist, while D1R was not blocked, can prevent the formation of a pair bond in prairie voles (Gingrich et al., 2000). This indicates that D2R is crucial for the initial formation of the pair bond. D2R is involved in the reward aspects related to mating. In female prairie voles, D2R in the NAc is important for partner preference formation. The activation of D2R may help to condition the brain to assign a positive valence to the partner's cues during mating, facilitating the development of a preference for a particular mate. In addition, the cohabitation caused the DA release, the high affinity Gi-coupled D2R was activated first, which inhibited D2 MSNs activity and promoted the pair bond formation. And then, after 7 days of cohabitation, the pair bonding was already established, the significantly increased release of dopamine significantly activated Gs-coupled D1R with the low affinity to dopamine, which increased D1 MSNs activity and maintained the formation of partner preference. While D1R is also present and involved in the overall process, its role in the initial formation of the pair bond is not as dominant as D2R (Aragona et al., 2006). However, it still participates in the neurobiological processes related to pair bond formation. For example, in male mandarin voles, after 7 days of cohabitation with females, D1R activity in the NAc shell was affected during pair bond formation. The extracellular DA concentration was higher when sniffing their partner compared to a stranger, and this increase in DA release led to an increase in D1R activity in the NAc shell. In prairie voles, dopamine D1 receptors seem to be essential for pair bond maintenance. Neonatal treatment with D1 agonists can impair partner preference formation later in life, suggesting an organizational role for D1 in maintaining the bond (Aragona et al., 2006). In pair-bonded male prairie voles, D1R is involved in inducing aggressive behavior toward strangers, which helps to maintain the pair bond by protecting it from potential rivals. In the NAc shell, D1 agonist decreases the latency to attack same-sex conspecifics, while D1 antagonism increases it (Aragona et al., 2006). In summary, D2R is more crucial for pair bond formation, being involved in reward association and necessary for the initial development of the bond. D1R, on the other hand, is more important for pair bond maintenance, being involved in aggression and mate guarding behaviors and having an organizational role in maintaining the bond over time. We therefore suggest that D2 MSNs are more predominantly involved in the formation of a pair bond compared with D1 MSNs.

      It seemed a missed opportunity that physiological readout is limited to males. I understand though that adding females may be beyond the scope of this manuscript.

      We gratefully appreciate for your valuable comment. The reviewer 1 also concerned this issue. We made a following response.

      In general, natal philopatry among mammals is female biased in the wild(Greenwood, 1983; Brody and Armitage, 1985; Ims, 1990; Solomon and Jacquot, 2002); social mammals are rarely characterized by exclusively male natal philopatry (Solomon and Jacquot, 2002). Males often disperse from natal area to a new place. Thus, male rodents may play a dominant role in the formation and maintenance of mating relationships. This is a reason we investigate pair bonding in male firstly. Certainly, female mate selection, and sexual receptivity or refusal through olfactory cues from males, thereby affect the formation and maintenance of pair bonding (Hoglen and Manoli, 2022). This is also the reason why we should focus on the mechanisms underlying pair bonding formation in females in the future research. This has been added in the limitation in the discussion.

      Reviewer #3 (Public review):

      Summary:

      The manuscript is evaluating changes in dopamine signaling in the nucleus accumbens following pair bonding and exposure to various stimuli in mandarin voles. In addition, the authors present chemogenetic data that demonstrate excitation and inhibition of D1 and D2 MSN affect pair bond formation.

      Strengths:

      The experimental designs are strong. The approaches are innovative and use cutting-edge methods.

      The manuscript is well written.

      Weaknesses:

      The statistical results are not presented, and not all statistical analyses are appropriate.

      Additionally, some details of methods are absent.

      As you suggested, we added the detailed information in the revised manuscript.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      (1) Remove references to 'extreme significance' - p is set as a threshold and the test is either significant or not.

      Thanks for your suggestion. We have removed 'extreme significance' in the revised manuscript.

      (2) The second half of the abstract is a little confusing the use of activation/inhibition makes it difficult to read and follow, this could be re-worded for clarity.

      Sorry for the confusing. We reorganized the sentence as following.

      In addition, chemogenetic inhibition of ventral pallidum-projecting D2 MSNs in the NAc shell enhanced pair bond formation, while chemogenetic activation of VP-projecting D2 MSNs in the NAc shell inhibited pair bond formation.

      Reviewer #2 (Recommendations for the authors):

      (1) In many instances repeated measures are presented from the same mice (e.g. Figures 1F, I; S1BC). Repeated measures for each mouse should be connected with a line in the figures. This will allow the reader to visually compare the repeated measures for each animal.

      Thanks for your careful consideration. As reviewer suggested, the figures have been changed.

      (2) It is unclear to me how the time point 0 for sniffing was determined. How is the time point 0 for side-by-side contact determined?

      Sniffing is a behavior for olfactory investigation and defined as animals uses nose to inspect any portion of the stimulus mouse’s body, including the tail. The time point 0 for sniffing was the beginning of sniffing behavior occurs. The side-by-side behavior is defined as significant physical contact with a social object and huddle in a quiescent state. The time point 0 for side-byside behavior was the beginning of side-by-side behavior occurs.

      (3) Figure 1-3: For the fiber photometry data 7 events (sniffs) are shown in the heat maps. Are these the first 7 sniffs? What went into the quantification? It seems that DA and D1/D2 responses are habituating. This could be analyzed and would need to be discussed.

      In the heat maps (Figure 1-3), we showed the mean fluorescence signal changes of every subject (n = 7 voles) upon sniffing partner, stranger or an object in the experiment, but not the fluorescence signal changes of sniffing events in one vole. The quantification of changes in mean fluorescence signal of all subjects was showed in Figure 1F, 1I, Figure 2F, 2I, Figure 3F and 3I.

      (4) Generally, it is very difficult to obtain cell type selectivity using short promoters in viruses (the authors acknowledge this). Which D1 and D2 promoter sequences were used for obtaining specificity? The degree of ectopic expression looks much higher than the quantification (e.g. in Fig. 3b, 6C, 7C, S14A, C). Is this due to thresholding?

      The virus used in the present study were purchased from brainVTA company. D1/D2 receptor promoter genes were predicted and amplified for validation. The promoter gene was constructed and packaged by aav virus vector (taking rAAV-D2-mCherry-WPRE-bGH_polyA virus as an example, Author response image 1A). The D1/D2 promoter sequence is shown in the Author response image 1B-C. In addition, the D1 receptor gene promoter and D2 receptor gene promoter viruses used in this paper have been used in several published papers with high specificity (Zhao et al., 2019; Ying et al., 2022). In the Figure 6C, the first image is the merged fluorescence images that were taken under different fluorescence channels with the 20X objective. The second and the third images were taken under 40X objective from field of white box in the first image. The second and the third images were merged into fourth one. Due to the different exposure time and intensity, the fluorescence photo taken at 40X are clearer compared to image taken at the 20X. For example, in the Figure 6C, the labeled-cells were presented as following (Author response image 2). In our paper,virus infection and mRNA through FISH verification were co-localized in a high proportion displaying high specificity of virus (Figure S15, S16).Certainly, the number of positive neurons may be dependent on visuality (thresholding). Only visible cells were counted. The cell counting results at Author response image 2B and 2C are similar to the quantification in the Figure 6C.

      Author response image 2.

      (A) Immunohistological image showing co-localization of hM3Dq- mCherry-anti expression (green), D2R-mRNA (red), and DAPI (blue) in the NAc shell. Scale bar: 100 μm. (B) The cell counts and the determination of colocalization of the 20× immunohistochemistry images. The marked neurons were counted with white dots. (C) The cell counts and the determination of colocalization of the 40× immunohistochemistry images. The marked neurons were counted with white dots.

      (5) Figure 6D/7D: the time scale seems to be off for both traces (40 seconds). For the hM3D Gq experiment, only one trace is shown. It would be more convincing to provide an input-output curve from several mice and to statistically compare the curves.

      Response: Thanks for your careful consideration. As reviewer suggested, the figure of resting membrane potentials before and after drug CNO exposure from several voles was added in the revised manuscript.

      (6) The presence of GIRK channels in MSNs has been a long debate and hM4D Gi activation may mostly act at the level of terminals by inhibiting neurotransmitter release. For demonstrating hyperpolarization of the soma showing the resting membrane potential before and after drug CNO exposure would be more convincing.

      Thanks for your careful consideration. As reviewer suggested, the figure of resting membrane potential before and after drug CNO exposure was added in the revised manuscript.

      (7) It is unclear to me how far the slice physiology informs the in vivo physiology (e.g. cohabitation enhances excitatory/inhibitory balance in D2-MSNs but the degree of contact-induced inhibition is enhanced in D2-MSN; D2-MSNs become less responsive to DA in the slice yet but at the time of enhanced DA release D2-MSN activity is also strongly reduced).

      The present study found that the frequencies of sEPSC and sIPSC were significantly enhanced after the formation of a pair bond in NAc shell D2 MSNs. The excitatory/inhibitory balance of D2 MSNs was enhanced after cohabitation. These results are not consistent with the findings from fiber photometry of calcium signals. One study showed that NAc D2 MSNs was linked to both ‘liking’ (food consumption) and ‘wanting’ (food approach) but with opposing actions; high D2 MSNs activity signaled ‘wanting’, and low D2 MSNs activity enhanced ‘liking’. D2 MSNs are faced with a tradeoff between increasing ‘wanting’ by being more active or allowing ‘liking’ by remaining silent (Guillaumin et al., 2023). Therefore, the increase in frequencies of sEPSC and sIPSC in D2 MSNs may reflect two processes, liking and wanting, respectively. We thought that hedonia and motivation might different influence D2 MSNs activity during cohabitation and contribute to the processing of pair bond formation in a more dynamic and complex way than previously expected.

      Moreover, the frequencies of sEPSC and sIPSC were significantly reduced in the NAc shell D1

      MSNs after pair bonding, whereas the intrinsic excitability increased after cohabitation with females.

      The bidirectional modifications (reduced synaptic inputs vs. increased excitability) observed in D1 MSNs might result from homeostatic regulation. The overall synaptic transmission may produce no net changes, given that reductions in both excitatory and inhibitory synaptic transmission of D1 MSNs were observed. Also, increases in the intrinsic excitability of D1 MSNs would result in an overall excitation gain on D1 MSNs.

      (8) One interesting finding is that the relationship between D2-MSN and pair bond formation is quite clear (inhibition facilitates while excitation inhibits pair bond formation). In contrast, the role of D1-MSNs is more complicated since both excitation and inhibition disrupt pair bond formation.

      The discussion of this would benefit from another attempt.

      As reviewer suggested, the discussion was added in the revised manuscript.

      In the present study, DREADDs approaches were used to inhibit or excite NAc MSNs to VP projection and it was found that D1 and D2 NAc MSNs projecting to VP play different roles in the formation of a pair bond. Chemogenetic inhibition of VP-projecting D2 MSNs promoted partner preference formation, while activation of VP-projecting D2 MSNs inhibited it (Figure 6). Chemogenetic activation of D2 MSNs produced the opposite effect of DA on the D2 MSNs on partner preference, while inhibition of these neurons produced the same effects of DA on D2 MSNs. DA binding with D2R is coupled with Gi and produces an inhibitory effect (Lobo and Nestler, 2011). It is generally assumed that activation of D2R produces aversive and negative reinforcement. These results were consistent with the reduced D2 MSNs activity upon sniffing their partner in the fiber photometry test and the increased frequency and amplitude of sIPSC in the present study. Our results also agree with other previous studies, which showed that chemogenetic inhibition of NAc D2 MSNs is sufficient to enhance reward-oriented motivation in a motivational task (Carvalho Poyraz et al., 2016; Gallo et al., 2018). Inhibition of D2 MSNs during self-administration enhanced response and motivation to obtain cocaine (Bock et al., 2013). This also suggests that the mechanism underlying attachment to a partner and drug addiction is similar.

      Besides, in the present study, the formation of partner preference was inhibited after activation or inhibition of VP-projecting D1 MSNs, which is not consistent with conventional understanding of prairie vole behavior. Alternatively, DA binding with D1R is coupled with Gs and produces an excitatory effect (Lobo and Nestler, 2011), while activation of D1R produces reward and positive reinforcement (Hikida et al., 2010; Tai et al., 2012; Kwak and Jung, 2019). For example, activation of D1 MSNs enhances the cocaine-induced conditioned place preference (Lobo et al., 2010). In addition, D1R activation by DA promotes D1 MSNs activation, which promotes reinforcement. However, a recent study found that NAc-ventral mesencephalon D1 MSNs promote reward and positive reinforcement learning; in contrast, NAc-VP D1 MSNs led to aversion and negative reinforcement learning (Liu et al., 2022). It is consistent with our results that activation of NAc-VP D1 MSNs pathway reduced time spent side-by-side and impaired partner preference after 7 days of cohabitation. In contrast to inhibition of D2 MSNs, we found that inhibition of the D1 MSNs did not elicit corresponding increases in partner preference. One possible explanation is that almost all D1 MSNs projecting to the VTA/ substantia nigra (SN) send collaterals to the VP (Pardo-Garcia et al., 2019). For example, optogenetically stimulating VP axons may inadvertently cause effects in the VTA/SN through the antidromic activation of axon collaterals (Yizhar et al., 2011). Therefore, chemogenetic inhibition of D1 MSNs may also inhibit DA neurons in VTA, subsequently inhibiting the formation of a pair bond.

      The dopamine and different types of dopamine receptors in the NAc may play different roles in regulation of pair bond formation and maintenance. The chemogenetic manipulation revealed that VP-projecting D2 MSNs are necessary and more important in pair bond formation compared to VPprojecting D1 MSNs. It is consistent with previous pharmacological experiments that blocking of D2R with its specific antagonist, while D1R was not blocked, can prevent the formation of a pair bond in prairie voles (Gingrich et al., 2000). This indicates that D2R is crucial for the initial formation of the pair bond. D2R is involved in the reward aspects related to mating. In female prairie voles, D2R in the NAc is important for partner preference formation. The activation of D2R may help to condition the brain to assign a positive valence to the partner's cues during mating, facilitating the development of a preference for a particular mate. In addition, the cohabitation caused the DA release, the high affinity Gi-coupled D2R was activated first, which inhibited D2 MSNs activity and promoted the pair bond formation. And then, after 7 days of cohabitation, the pair bonding was already established, the significantly increased release of dopamine significantly activated Gs-coupled D1R with the low affinity to dopamine, which increased D1 MSNs activity and maintained the formation of partner preference. While D1R is also present and involved in the overall process, its role in the initial formation of the pair bond is not as dominant as D2R (Aragona et al., 2006). However, it still participates in the neurobiological processes related to pair bond formation. For example, in male mandarin voles, after 7 days of cohabitation with females, D1R activity in the NAc shell was affected during pair bond formation. The extracellular DA concentration was higher when sniffing their partner compared to a stranger, and this increase in DA release led to an increase in D1R activity in the NAc shell. In prairie voles, dopamine D1 receptors seem to be essential for pair bond maintenance. Neonatal treatment with D1 agonists can impair partner preference formation later in life, suggesting an organizational role for D1 in maintaining the bond (Aragona et al., 2006). In pair-bonded male prairie voles, D1R is involved in inducing aggressive behavior toward strangers, which helps to maintain the pair bond by protecting it from potential rivals. In the NAc shell, D1 agonist decreases the latency to attack same-sex conspecifics, while D1 antagonism increases it (Aragona et al., 2006). In summary, D2R is more crucial for pair bond formation, being involved in reward association and necessary for the initial development of the bond. D1R, on the other hand, is more important for pair bond maintenance, being involved in aggression and mate guarding behaviors and having an organizational role in maintaining the bond over time. We therefore suggest that D2 MSNs are more predominantly involved in the formation of a pair bond compared with D1 MSNs.

      (9) For the chemogenetic inhibition/excitation experiment please specify the temporal relationship between CNO injection and the behavioral testing. Are the DREADDs activated during the preference testing or are we only looking at the consequences of DREADD activation during cohabitation? This would impact the interpretation of the results.

      Considering the reviewer’s suggestion, we have clarified the time of CNO injection and the behavioral testing. In chemogenetic experiments, male voles were injected with CNO (1 mg/kg, i.p. injection) or saline once per day during 7-days cohabitation period. On day 3 and day 7 of cohabitation, the partner preference tests (3 h) were conducted after 3h of injection. Anton Pekcec (Jendryka et al., 2019) found that, in mice, after 60 min of CNO injection (i.p.), free CNO levels had dropped surprisingly sharply in CSF and cortex tissue, CNO could not be detected after 60 min. However, associated biological effects are reported to endure 6 - 24 h after CNO treatment (Farzi et al., 2018; Desloovere et al., 2019; Paretkar and Dimitrov, 2019). For example, René He et al. (Anacker et al., 2018) showed that chemogenetic inhibition of adult-born neurons in the vDG promotes susceptibility to social defeat stress by using of DREADDs for 10 days, whereas increasing neurogenesis confers resilience to chronic stress. Moreover, Ming-Ming Zhang et al. (Zhang et al., 2022) revealed that the selective activation or inhibition of the IC-BLA projection pathway strengthens or weakens the intensity of observational pain while the CNO (1 mg/kg) was i.p. injected into the infected mice on days 1, 3, 5, and 7 after virus expression. Furthermore, in study of James P Herman et al. (Nawreen et al., 2020) chronic inhibition of IL PV INs reduces passive and increases active coping behavior in FST. Therefore, we believe that 7-day CNO injections can produce chronic effects on MSNs and alters the formation of partner preferences.

      (10) Discussion: "The observed increase in DA release resulted in suppression of D2 neurons in the NAc shell". "In contrast, the rise in DA release increases D1 activity selectively in response to their partner after extended cohabitation." These statements would need to be weakened as causality is not shown here.

      Thanks for your rigorous consideration. We have reorganized the discussion in the revised manuscript.

      “The observed increase in DA release resulted in alterations in activities of D2 and D1 neurons in the NAc shell selectively in response to their partner after extended cohabitation.”

      (11) It would help if the order of supplementary figures would match their order of figures appearance in the result section.

      Thanks for your suggestion. We reorganized the order of appearance in the revised manuscript.

      (12) This may be beyond the focus of the study but it would be very interesting to know whether the physiological responses to partner contact are similarly observed in females.

      Thanks for your concern. It is regretful that we did not observe physiological responses of female to partner contact. We predict the females may show the similar response patterns to their partner. In the future, we will supplement the research on the mechanism of partner preferences in female voles.

      Reviewer #3 (Recommendations for the authors):

      The manuscript is evaluating changes in dopamine signaling in the nucleus accumbens following pair bonding and exposure to various stimuli in mandarin voles. The manuscript is generally wellwritten. The experiment designs seem strong, although there are missing details to fully evaluate them. The statistics are not completed correctly, and the statistical values are not reported making them even harder to evaluate. There are a lot of potential strengths in this research. However, my review is limited because I am limited in how to evaluate data interpretation when statistical analyses are not clear. I provide details below.

      Major

      (1) Statistics should be provided in the Results section. It is not clear how to evaluate the authors' interpretations without presenting the statistical data. What stats are being reported about viral expression in cells on lines 192-194? What posthocs? There is only one condition, so I assume the statistic was a one-sample t-test. The authors should report the t-value, df, and p-value. No post-hoc is needed. There are many issues like this, which makes reviewing this manuscript very difficult. If the statistics were not conducted properly and reported clearly, I do not have confidence that I can evaluate the author's interpretation of the results.

      Thanks for your suggestion. We report the t-value, df, and p-value in the Results section.

      (2) Statistical tests should be labeled correctly. ANOVAs (found in figure caption) for Figure 1 data are not repeated measures. Rather, they are one-way ANOVA (with stimulus as a within-subject variable).

      We used one-way ANOVA to analyze the changes in fluorescence signals in figure1-3. In the experiment, the changes in fluorescence signals of every subject were collected upon sniffing the partner, an unknown female, and an object. So, we used One-Way Repeated Measures ANOVA to analyze the data.

      (3) The protocol for behavioral assessment and stimulus presentation during fiber photometry recording is not clear. For example, the authors mention on line 662 that voles ate carrots during some of the recording sessions, but nothing else is described about the recording session. What was the order of stimulus presentation? What was the object provided? Why is eating carrots analyzed separately from object, partner, and stranger exposure?

      Response: Sorry for the confusing. The detailed description has been added. After 3 and 7 days of cohabitation, males were exposed to their partner or an unfamiliar female (each exposure lasted for 30 min) in random order in a clean social interaction cage. The changes in fluorescence signals during these social interactions with their partner, an unfamiliar vole of the opposite sex, or an object (Rubik's Cube) were collected and digitalized by CamFiberPhotometry software (ThinkerTech). To rule out that the difference in fluorescence signals was caused by the difference in virus expression at different time points, we used the same experimental strategy in new male mandarin voles and measured the fluorescence signal changes upon eating carrot after 3 and 7 days of cohabitation (The male mandarin voles were fasted for four hours before the test.). Since sniffing (object, partner, and stranger) and eating carrot were not tested in the same males, we analyzed sniffing and eating carrot separately.

      (4) Supplement figures would be better as figures instead of tables. Many effects are hard to interpret.

      As you suggested, we added the information of Supplement table1 in results.

      (5) Citations should be included to note when pair bonding occurs in mandarin voles.

      As you suggested, we added the citation in the revised manuscript.

      Minor

      (1) Add a citation for the statement that married people live longer than unmarried people (Lines 51-52).

      As you suggested, we added the citation in the revised manuscript.

      (2) There is a table labeling viral vectors, but the table is not titled properly or referenced in the methods section.

      Thanks for our careful checking. We reorganized the table title and the table was also cited in the revised manuscript.

      (3) Sentences on lines 608-610 and 610-612 seem redundant.

      This sentence was corrected.

      (4) This is a rather subjective statement "Carrots are voles' favorite food."

      We reorganized the sentence in the revised manuscript.

      "Carrots are voles' daily food."

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    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      The drug Ivermectin is used to effectively treat a variety of worm parasites in the world, however resistance to Ivermectin poses a rising challenge for this treatment strategy. In this study, the authors found that loss of the E3 ubiquitin ligase UBR-1 in the worm C. elegans results in resistance to Ivermectin. In particular, the authors found that ubr-1 mutants are resistant to the effects of Ivermectin on worm viability, body size, pharyngeal pumping, and locomotion. The authors previously showed that loss of UBR-1 disrupts homeostasis of the amino acid and neurotransmitter glutamate resulting in increased levels of glutamate in C. elegans. Here, the authors found that the sensitivity of ubr-1 mutants to Ivermectin can be restored if glutamate levels are reduced using a variety of different methods. Conversely, treating worms with exogenous glutamate to increase glutamate levels also results in resistance to Ivermectin supporting the idea that increased glutamate promotes resistance to Ivermectin. The authors found that the primary known targets of Ivermectin, glutamate-gated chloride channels (GluCls), are downregulated in ubr-1 mutants providing a plausible mechanism for why ubr-1 mutants are resistant to Ivermectin. Although it is clear that loss of GluCls can lead to resistance to Ivermectin, this study suggests that one potential mechanism to decrease GluCl expression is via disruption of glutamate homeostasis that leads to increased glutamate. This study suggests that if parasitic worms become resistant to Ivermectin due to increased glutamate, their sensitivity to Ivermectin could be restored by reducing glutamate levels using drugs such as Ceftriaxone in a combination drug treatment strategy.

      Strengths:

      (1) The use of multiple independent assays (i.e., viability, body size, pharyngeal pumping, locomotion, and serotonin-stimulated pharyngeal muscle activity) to monitor the effects of Ivermectin

      (2) The use of multiple independent approaches (got-1, eat-4, ceftriaxone drug, exogenous glutamate treatment) to alter glutamate levels to support the conclusion that increased glutamate in ubr-1 mutants contributes to Ivermectin resistance.

      Weaknesses:

      (1) The primary target of Ivermectin is GluCls so it is not surprising that alteration of GluCl expression or function would lead to Ivermectin resistance.

      (2) It remains to be seen what percent of Ivermectin-resistant parasites in the wild have disrupted glutamate homeostasis as opposed to mutations that more directly decrease GluCl expression or function.

      Thank you for your thoughtful and constructive comments. We completely agree with your observation that alterations in GluCl expression or function can lead to Ivermectin resistance. However, we would like to emphasize that our study highlights an additional mechanism: disruptions in glutamate homeostasis can also lead to decreased GluCl expression, thereby contributing to Ivermectin resistance. This mechanism, which has not been fully explored previously, offers new insights into the complexity of drug resistance and could have important implications for understanding the development of Ivermectin resistance in parasitic nematodes.

      As you pointed out, the role of disrupted glutamate homeostasis in wild parasitic populations and the proportion of resistant parasites with this mechanism remain unknown. We believe this uncertainty underlines the significance of our findings, as they suggest a novel avenue for studying Ivermectin resistance and for developing potential strategies to counteract it.

      We have incorporated this discussion into the revised manuscript to further enrich the context of our findings.

      Reviewer #2 (Public review):

      Summary:

      The authors provide a very thorough investigation of the role of UBR-1 in anthelmintic resistance using the non-parasitic nematode, C. elegans. Anthelmintic resistance to macrocyclic lactones is a major problem in veterinary medicine and likely just a matter of time until resistance emerges in human parasites too. Therefore, this study providing novel insight into the mechanisms of ivermectin resistance is particularly important and significant.

      Strengths:

      The authors use very diverse technologies (behavior, genetics, pharmacology, genetically encoded reporters) to dissect the role of UBR-1 in ivermectin resistance. Deploying such a comprehensive suite of tools and approaches provides exceptional insight into the mechanism of how UBR-1 functions in terms of ivermectin resistance.

      Weaknesses:

      I do not see any major weaknesses in this study. My only concern is whether the observations made by the authors would translate to any of the important parasitic helminthes in which resistance has naturally emerged in the field. This is always a concern when leveraging a non-parasitic nematode to shed light on a potential mechanism of resistance of parasitic nematodes, and I understand that it is likely beyond the scope of this paper to test some of their results in parasitic nematodes.

      Thank you for your kind words and positive feedback on our work. We greatly appreciate your acknowledgment of the diverse technologies and comprehensive approaches we utilized to uncover the role of UBR-1 in ivermectin resistance.

      Your concern about whether our findings in C. elegans translate to parasitic helminthes in which ivermectin resistance has naturally emerged is both valid and critical. This is indeed a key question we expect to figure out in future studies. Collaborating with parasitologists to investigate whether naturally occurring mutations in ubr-1 exist in parasitic and non-parasitic nematodes is a priority for us. We hope that these efforts will lead to meaningful discoveries that have a significant impact on both livestock management and medicine.

      Reviewer #3 (Public review):

      Summary:

      Li et al propose to better understand the mechanisms of drug resistance in nematode parasites by studying mutants of the model roundworm C. elegans that are resistant to the deworming drug ivermectin. They provide compelling evidence that loss-of-function mutations in the E3 ubiquitin ligase encoded by the UBR-1 gene make worms resistant to the effects of ivermectin (and related compounds) on viability, body size, pharyngeal pumping rate, and locomotion and that these mutant phenotypes are rescued by a UBR-1 transgene. They propose that the mechanism is resistance is indirect, via the effects of UBR-1 on glutamate production. They show mutations (vesicular glutamate transporter eat-4, glutamate synthase got-1) and drugs (glutamate, glutamate uptake enhancer ceftriaxone) affecting glutamate metabolism/transport modulate sensitivity to ivermectin in wild-type and ubr-1 mutants. The data are generally consistent with greater glutamate tone equating to ivermectin resistance. Finally, they show that manipulations that are expected to increase glutamate tone appear to reduce expression of the targets of ivermectin, the glutamate-gated chloride channels, which is known to increase resistance.

      There is a need for genetic markers of ivermectin resistance in livestock parasites that can be used to better track resistance and to tailor drug treatment. The discovery of UBR-1 as a resistance gene in C. elegans will provide a candidate marker that can be followed up in parasites. The data suggest Ceftriaxone would be a candidate compound to reverse resistance.

      Strengths:

      The strength of the study is the thoroughness of the analysis and the quality of the data. There can be little doubt that ubr-1 mutations do indeed confer ivermectin resistance. The use of both rescue constructs and RNAi to validate mutant phenotypes is notable. Further, the variety of manipulations they use to affect glutamate metabolism/transport makes a compelling argument for some kind of role for glutamate in resistance.

      Weaknesses:

      The proposed mechanism of ubr-1 resistance i.e.: UBR-1 E3 ligase regulates glutamate tone which regulates ivermectin receptor expression, is broadly consistent with the data but somewhat difficult to reconcile with the specific functions of the genes regulating glutamatergic tone. Ceftriaxone and eat-4 mutants reduce extracellular/synaptic glutamate concentrations by sequestering available glutamate in neurons, suggesting that it is extracellular glutamate that is important. But then why does rescuing ubr-1 specifically in the pharyngeal muscle have such a strong effect on ivermectin sensitivity? Is glutamate leaking out of the pharyngeal muscle into the extracellular space/synapse? Is it possible that UBR-1 acts directly on the avr-15 subunit, both of which are expressed in the muscle, perhaps as part of a glutamate sensing/homeostasis mechanism?

      Thank you for your insightful feedback and thought-provoking questions. These are excellent points that have prompted us to critically reconsider our findings and the proposed mechanism.

      Several potential explanations could be considered, although we currently lack direct evidence to support this hypothesis: (1) The pharynx likely plays a dominant role in ivermectin resistance, as previously reported (Dent et al., 1997; Dent et al., 2000), and overexpression of UBR-1 in the pharyngeal muscle may exhibit a strong effect on ivermectin sensitivity. (2) It is also possible that pharyngeal muscle cells have the capacity to release glutamate into the extracellular space, which could contribute to the observed effect. (3) Alternatively, UBR-1 expression in the pharyngeal muscle may regulate other indirect pathways affecting extracellular or synaptic glutamate concentrations.

      We also appreciate your suggestion that UBR-1 may act directly on AVR-15 in the pharynx. While this is an interesting possibility, UBR-1 is an E3 ubiquitin ligase, and if AVR-15 were a direct target, we would expect UBR-1 to ubiquitinate AVR-15 and promote its degradation. In this case, loss of UBR-1 should inhibit AVR-15 ubiquitination, reduce its degradation, and lead to increased AVR-15 protein levels in the pharynx. However, our experimental data show a reduction, rather than an increase, in AVR-15::GFP levels in ubr-1 mutants (Figure 4A). This observation suggests that AVR-15 is less likely to be a direct target of UBR-1. To definitively address this hypothesis, a direct assessment of AVR-15 ubiquitination levels in wild-type and ubr-1 mutant backgrounds would be needed. We agree that this is an important avenue for future investigation.

      The use of single ivermectin dose assays can be misleading. A response change at a single dose shows that the dose-response curve has shifted, but the response is not linear with dose, so the degree of that shift may be difficult to discern and may result from a change in slope but not EC50. Similarly, in Figure 3C, the reader is meant to understand that eat-4 mutant is epistatic to ubr-1 because the double mutant has a wild-type response to ivermectin. But eat-4 alone is more sensitive, so (eyeballing it and interpolating) the shift in EC50 caused by the ubr-1 mutant in a wild type background appears to be the same as in an eat-4 background, so arguably you are seeing an additive effect, not epistasis. For the above reasons, it would be desirable to have results for rescuing constructs in a wild-type background, in addition to the mutant background.

      Thank you for your detailed feedback and observations.

      The potential additive effect you noted in Figure 3C appears to be specific to the body length analysis. In our other three ivermectin resistance assays (viability, pumping rate, and locomotion velocity), this additive effect was not observed. A possible explanation for this is that eat-4 and got-1 single mutants inherently exhibit reduced body length compared to wild-type worms (Mörck and Pilon 2006; Greer et al. 2008; Chitturi et al. 2018), which may give the appearance of an additive effect in this particular assay.

      Regarding the use of rescuing constructs, we performed these experiments in the ubr-1;got-1 and ubr-1;eat-4 double mutant backgrounds. This was designed to test whether the suppression of ubr-1-mediated ivermectin resistance by got-1 or eat-4 mutations is indeed due to the functional activity of GOT-1 and EAT-4, respectively. The choice of this setup was to ensure that the double mutant phenotype was fully addressed. In contrast, rescuing constructs of GOT-1 and/or EAT-4 in a wild-type background might not sufficiently reveal the relationship between GOT-1, EAT-4, and UBR-1. However, we are open to further testing your suggestion in the future.

      To aid in the interpretation and clarify the apparent effects, we have revised Figure 3 annotation to clearly represent the data and the comparisons being made. We hope this adjustment makes the results more straightforward and easier for readers to understand.

      The added value of the pumping data in Figure 5 (using calcium imaging) over the pump counts (from video) in Figure 1G, Figure 2E, F, K, & Figure 3D, H is not clearly explained. It may have to do with the use of "dissected" pharynxes, the nature/advantage of which is not sufficiently documented in the Methods/Results.

      Thank you for pointing this out. The behavioral pumping data in Figure 1G, Figure 2E, F, K, & Figure 3D and calcium imaging data in Figure 5 were obtained under different experimental conditions. Specifically, the behavioral assays (pumping rate) were conducted on standard culture plates with freely moving worms, whereas the calcium imaging experiments were performed in a liquid environment with immobilized worms. In the calcium imaging setup, the dissection refers to gently puncturing the epidermis behind head of the worm with a glass electrode to relieve internal pressure, which aids in stabilizing the calcium imaging process and ensures better visualization of pharyngeal muscle activity.

      We compared the pharyngeal muscle activity of worms that were not subjected to puncturing the epidermis and found no significant difference when activated by 20 mM serotonin. Therefore, we speculate that there is no direct interaction between the bath solution and the pharynx or head neurons. To avoid confusion, we have removed the term "dissected" from the manuscript and added additional experimental details in the Methods section.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      (1) The authors propose that ubr-1 mutants are resistant to ivermectin due to persistent elevation of glutamate that leads to a compensatory reduction in GluCl levels and thus resistance to Ivermectin. This model would be strengthened by experiments more directly connecting glutamate, GluCls and Ivermectin sensitivity. For example, does overexpression of a relevant GluCl such as AVR-15 restore Ivermectin sensitivity to ubr-1 mutants? Does Ceftriaxone treatment affect the Ivermectin resistance of worms lacking the relevant GluCls (i.e., avr-15, avr-14 and glc-1)? - The model suggests that Ceftriaxone treatment would have no effect in the latter case.

      Thank you for your valuable suggestion. Based on your recommendation, we have performed two additional experiments to strengthen our model. First, we conducted an overexpression experiment of AVR-15 and found that it significantly, though partially, restored ivermectin sensitivity in ubr-1 mutants (p < 0.01, Supplemental Figure S5D). Second, we tested the effect of Ceftriaxone treatment on the IVM resistance of avr-15; avr-14; glc-1 triple mutants, which encode the most critical glutamate receptors involved in IVM sensitivity. As expected, we found that Ceftriaxone treatment did not alter the IVM resistance in these triple mutants (Supplemental Figure S5E), supporting the idea that these specific GluCls are key to the observed resistance.

      These two experiments provide further support for our proposed model. We have integrated the results into the manuscript, updating the Results section and Supplemental Figure S5D, E, as well as the corresponding Figure Legends.

      (2) Line 211 - Ceftriaxone is known to upregulate EAAT2 expression in mammals. Do the authors know if the drug also increases EAAT expression in C. elegans?

      Thank you for raising this point. To our knowledge, this is the first study to demonstrate the antagonistic effect of ceftriaxone on ivermectin resistance in C. elegans, particularly in the context of ubr-1-mediated resistance. Ceftriaxone enhances glutamate uptake by increasing the expression of excitatory amino acid transporter-2 (EAAT2) in mammals (Rothstein et al., 2005, Lee et al., 2008). C. elegans has six glutamate transporters encoded by glt-1 and glt-3–7 (Mano et al. 2007).

      Compared to testing whether ceftriaxone increases the expression of these EAATs in C. elegans, identifying which specific glt gene targeted by ceftriaxone may better reveal its mechanism of action. To investigate this, we performed a genetic analysis. In the ubr-1 mutant, we individually deleted the six glt genes and found that ceftriaxone’s ability to restore ivermectin sensitivity was specifically suppressed in the ubr-1; glt-1 and ubr-1; glt-5 double mutants (Author response image 1A). This suggests that glt-1 and glt-5 may be the targets of ceftriaxone in C. elegans. In contrast,  ivermectin sensitivity was unaffected in the individual glt mutants (Author response image 1B), indicating that a single glt deletion may not be sufficient to alter glutamate level or induce GluRs downregulation. Further studies are needed to determine whether ceftriaxone directly increases GLT-1 and GLT-5 expression in C. elegans and to explore the underlying mechanisms.

      Author response image 1.

      Glutamate transporter removal inhibits ceftriaxone-mediated restoration of ivermectin sensitivity in ubr-1. (A) Compared to the ubr-1 mutants, the ubr-1; glt-1 and ubr-1; glt-5 double mutants show enhanced ivermectin resistance under ceftriaxone treatment. (B) The glt mutants do not show resistance to ivermectin. ****p < 0.0001; one-way ANOVA test.

      (3) Line 64 - as part of the rationale for the study, the authors state that "...increasing reports of unknown causes of IVM resistance continue to emerge...suggesting that additional unknown mechanisms are awaiting investigation." While this may be true, the ultimate conclusion from this study is that decreasing expression of Ivermectin-targeted GluCls causes Ivermectin resistance, which is a known mechanism. The field already knows that Ivermectin targets GluCls and thus decreasing GluCl expression or function would lead to Ivermectin resistance. The authors may want to edit the sentence mentioned above for clarity.

      Thanks for the suggestion. We have revised the sentence for clarity: “…, suggesting that previously unrecognized or additional mechanisms regulating GluCls expression may await further investigation.” This revision better reflects the focus on GluCl regulation and clarifies the potential for additional mechanisms to be explored.

      (4) The introduction to the serotonin-stimulated pharyngeal Calcium imaging section is a little confusing. The role of the various GluCls in pharyngeal pumping should be defined/clarified in the introduction to the last section (lines 337-341).

      Thanks. We have revised and clarified the introduction as follows: “GluCls downregulation was functionally validated by the diminished IVM-mediated inhibition of serotonin-activated pharyngeal Ca2+ activity observed in ubr-1 mutants. ”

      Additionally, the role of the various GluCls in pharyngeal pumping has been clarified:

      “Using translational reporters, we found that IVM resistance in ubr-1 mutants is caused by the functional downregulation of IVM-targeted GluCls, including AVR-15, AVR-14, and GLC-1. These receptors are activated by glutamate to facilitate chloride ion influx into pharyngeal muscle cells, resulting in the inhibition of muscle contractions and the suppression of food intake in C. elegans. ”

      We hope these revisions address the concerns raised and improve the clarity of this section.

      (5) The color code key on the right-hand side of the Raster Plots in Figure 1H should be made larger for clarity.

      Revised.

      (6) In Figure S3, a legend should be included to define the black and blue box plots.

      Thank you for your comment. We have added the following clarification to the figure legend: “Black plots: wild-type, blue plots: ubr-1 mutants.” This should now make the distinction between the two groups clear.

      (7) Figure S4, the brackets above the graphs are misleading. It is not clear which comparisons are being made.

      Thank you for your feedback. We have clarified the figure by updating the legend to include the statement: “All statistical analyses were performed against the ubr-1 mutant.” This clarification is now also included in Figure 3F-I to ensure consistency and avoid any confusion regarding the comparisons being made.

      Reviewer #2 (Recommendations for the authors):

      (1) In Figure 1A: the "trails" table needs more clarification to orient the reader.

      To improve clarity and better orient the reader, we have updated Figure 1A by explicitly adding the number of trials and including a statistical analysis of the viability of wild-type and ubr-1 mutants under different ML conditions. In Figure 1A legend, we have added “we used shades of red to represent worm viability on each experimental plate (n = 50 animals per plate), with darker shades indicating lower survival rates. The viability test was repeated at least 5 times (5 trials).”. These modifications aim to provide a clearer understanding of the data presentation and its significance.

      (2) In Figure S2: it would benefit the reader to include the major human parasitic nematodes in the phylogeny and include a discussion of the conservation.

      Thank you for your insightful comment. In Figure S2A, we have included the human parasitic nematodes Onchocerca volvulus, Brugia malayi, and Toxocara canis. Unfortunately, other major human parasitic nematodes, such as Ascaris lumbricoides (roundworm), Ancylostoma duodenale (hookworm), and Trichuris trichiura (whipworm), currently lack reported homologs of the ubr-1 gene.

      To provide some context, Onchocerca volvulus is a leading cause of infectious blindness globally, affecting millions of people, while Brugia malayi causes lymphatic filariasis, a significant tropical disease. Toxocara canis is a zoonotic parasite responsible for serious human syndromes such as visceral and ocular larval migration. Ivermectin remains a primary treatment for these parasitic infections.

      Interestingly, while we have identified relevant sequences in Onchocerca volvulus, Brugia malayi, and Toxocara canis, potential mutations in ubr-1-like genes in these parasitic nematodes may lead to ivermectin resistance. Sequence comparison analysis could shed light on the risks of such mutations and their relevance to ivermectin treatment failure, warranting further attention. We have added a discussion of this potential risk in the manuscript.

      Reviewer #3 (Recommendations for the authors):

      Minor corrections/suggestions:

      (1) The level of resistance in ubr-1 is similar to dyf genes. Should double-check ubr-1 mutant is not dyf.

      Thank you for your insightful suggestion. We are also interested in this point and designed the following experiments. We first directly tested the Dyf phenotype of ubr-1 using standard DIO dye staining (Author response image 2A) and found that ubr-1 clearly show a "dye filling defective" phenotype (Author response image 2B). This raises an interesting question: Could the IVM resistance observed in ubr-1 be due to its Dyf defect? To address this, we further performed experiment by using Ceftriaxone to test ubr-1’s Dyf phenotype. Ceftriaxone can fully rescue the sensitivity of ubr-1 to IVM (Figure 2). If IVM resistance observed in ubr-1 is due to its Dyf defect, we should observe same rescued Dyf defect. After treating ubr-1 mutants with Ceftriaxone (50 μg/mL) until L4 stage, we again performed DIO dye staining and found that while Ceftriaxone fully rescued IVM resistance in ubr-1, it did not rescue the Dyf defect (Author response image 2C). These results suggest that while ubr-1 has a Dyf defect, it is unlikely the primary cause of the IVM resistance in ubr-1 mutant.

      Author response image 2.

      ubr-1 mutant is not dyf. (A) Depiction of the DIO dye-staining assays. Diagram is adapted from (Power et al. 2020). (B) ubr-1 mutant exhibits obvious Dyf phenotype. (C) Cef treatment (50 μg/mL) does not alter the ubr-1 Dyf defect phenotype. Scale bar, 20 µm.

      (2) 367 "in IVM" superscript.

      (3) 429 ubr-1 italics.

      Thanks, revised.

      (4) Methods: Need more info on dissection: if there is direct interaction of bath with pharynx, as suggested by bath solution, then 5HT concentrations are too high. Direct exposure to 20mM 5HT will kill a pharynx. 20uM 5HT?

      Thank you for your comment. We have reviewed our experimental records and confirmed that the concentration mentioned in the manuscript is correct. In our experiment, the dissection refers to gently puncturing the epidermis behind head of the worm with a glass electrode to relieve internal pressure, which helps stabilize the calcium imaging process. In fact, there is no direct interaction between the bath solution and the pharynx or head neurons. We have revised the Methods section to clarify this point.

      (5) Figure 2: Meaning of "Trials" arrow on grid y-axis is not immediately obvious to me. Would prefer you just label/number individual trials.

      Sure, we have labeled the trails accordingly in revised Figure 1, 2, and Figure S1.

      (6) Figure 3: Legend should include [IVM]. Meaning of +EAT-4, +GOT-1 should be described in the legend.

      Thank you for your suggestion. We have updated the figure legend to include the IVM concentration (5 ng/mL). Additionally, we have clarified the meaning of +EAT-4 and +GOT-1 in the legend with the description: “…whereas the re-expression of GOT-1 (+GOT-1) and EAT-4 (+EAT-4) partially reinstated IVM resistance in the respective double mutants.” This ensures the figure is more informative and accessible to the reader.

      (7) 784 signalling pathway should just be pathway.

      Thanks, revised.

      (8) Line 811 " Both types of motor neurons are innervated by serotonin (5 -HT)." Innervated by serotonergic "neurons"? However, even that is misleading because serotonin is not necessarily synaptic.

      Thank you for your comment. We have revised the sentence to: “Both types of motor neurons could be activated by serotonin (5-HT).” This clarification better reflects the role of serotonin in modulating motor neuron activity.

      (9) Line 814 puffing or perfusion. Perfusion seems more accurate. Make the figure consistent.

      Thanks, revised.

      (10) Figure S1 requires an x axis label with better explanation.

      Thank you for your feedback. We have revised Figure S1 and added "x-axis" to clarify that it represents the trail number. Additionally, we have updated the figure legend to include the experimental conditions: “The shades of red represent worm viability, with darker shades indicating lower survival rates, based on 100 animals per plate and at least 5 trials.”

      (11) Figure S2 C-F needs ivermectin concentration.

      (12) Line 865 plants -> plates?

      Thanks, revised.

      (13) Figure S4. 875 "Rescue of IVM sensitivity of the ubr-1 mutant by the UBR-1 genomic fragment." Wrong title? Describes GFP expression and RNAi experiments.

      Thank you for pointing out the mistake in the title. We have revised the title to: “Knockdown of UBR-1 induces IVM resistance phenotypes.” Additionally, we have updated the figure description to include details about GFP expression and RNAi experiments. The GFP expression is now described as: “Expression of functional UBR-1::GFP, driven by its endogenous promoter, was observed predominantly in the pharynx, head neurons, and body wall muscles with weaker expression detected in vulval muscles and the intestine.” The RNAi experiments are described as: “Double-stranded RNA (dsRNA) interference was employed to suppress gene expression in specific tissues (Methods).”

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      In this study, James Lee, Lu Bai, and colleagues use a multifaceted approach to investigate the relationship between transcription factor condensate formation, transcription, and 3D gene clustering of the MET regulon in the model organism S. cerevisiae. This study represents a second clear example of inducible transcriptional condensates in budding yeast, as most evidence for transcriptional condensates arises from studies of mammalian systems. In addition, this study links the genomic location of transcriptional condensates to the potency of transcription of a reporter gene regulated by the master transcription factor contained in the condensate. The strength of evidence supporting these two conclusions is strong. Less strong is evidence supporting the claim that Met4-containing condensates mediate the clustering of genes in the MET regulon.

      Strengths:

      The manuscript is for the most part clearly written, with the overriding model and specific hypothesis being tested clearly explained. Figure legends are particularly well written. An additional strength of the manuscript is that most of the main conclusions are supported by the data. This includes the propensity of Met4 and Met32 to form puncta-like structures under inducing conditions, formation of Met32-containing LLPS-like droplets in vitro (within which Met4 can colocalize), colocalization of Met4-GFP with Met4-target genes under inducing conditions, enhanced transcription of a Met3pr-GFP reporter when targeted within 1.5 - 5 kb of select Met4 target genes, and most impressively, evidence that several MET genes appear to reposition under transcriptionally inducing conditions. The latter is based on a recently reported novel in vivo methylation assay, MTAC, developed by the Bai lab.

      Weaknesses:

      My principal concern is that the authors fail to show convincing evidence for a key conclusion, highlighted in the title, that nuclear condensates per se drive MET gene clustering. Figure 4E demonstrates that Met4 molecules, not condensates per se, are necessary for fostering distant cis and trans interactions between MET6 and three other Met4 targets under -met inducing conditions. In addition, the paper would be strengthened by discussing a recent study conducted in yeast that comes to many of the same conclusions reported here, including the role of inducible TF condensates in driving 3D genome reorganization (Chowdhary et al, Mol. Cell 2022).

      Following the reviewer’s advice, we carried out MTAC with the VP near MET6 in WT Met4 and ΔIDR2.3 strains (results shown below). The conclusions are somewhat ambiguous. For long-distance interactions with MUP1, YKG9, STR3, and MET13, we indeed observe decreased MTAC signals close to background levels in the ΔIDR2.3 strain, which aligns with the model suggesting that Met4 condensation promotes clustering among Met4 targeted genes. However, we also noticed significant decreases in the local MTAC signals (HIS3 and MET6). It is possible that the changes in Met4 condensates alter the chromosomal folding near MET6, thereby affecting the local MTAC signals. Alternatively, LacI-M.CviPI (the methyltransferase) could be induced to a lesser extent in the ΔIDR2.3 strain, leading to a genome-wide decrease in MTAC signals. Due to this ambiguity, we decided not to include the following plot in the main figure.

      Author response image 1.

      We discussed Hsf1 and added the suggested reference on page 13.

      Other concerns:

      (1) A central premise of the study is that the inducible formation of condensates underpins the induction of MET gene transcription and MET gene clustering. Yet, Figure 1 suggests (and the authors acknowledge) that puncta-like Met4-containing structures pre-exist in the nuclei of non-induced cells. Thus, the transcription and gene reorganization observed is due to a relatively modest increase in condensate-like structures. Are we dealing with two different types of Met4 condensates? (For example, different combinations of Met4 with its partners; Mediator- or Pol II-lacking vs. Mediator- or Pol II-containing; etc.?) At the very least, a comment to this effect is necessary.

      Although Met4 can form smaller puncta in the +met condition (Figure 1A), it cannot be recruited to its target genes due to the absence of its sequence-specific binding partners, Met31 and Met32 (these two factors are actively degraded in the +met condition). Consistently, in the +met condition, Met4 shows extremely low genome-wide ChIP signals (Figure 3C). Therefore, these Met4 puncta in +met do not have organize the 3D genome or have gene regulatory functions. This discussion is added on page 12.

      (2) Using an in vitro assay, the authors demonstrate that Met4 colocalizes with Met32 LLPS droplets (Figure 2F). Is the same true in vivo - that is, is Met32 required for Met4 condensation? This could be readily tested using auxin-induced degradation of Met32. Along similar lines, the claim that Met32 is required for MET gene clustering (line 250) requires auxin-induced degradation of this protein.

      As the reviewer pointed out above, cells in the +met condition also show small Met4 puncta. In this condition, Met32 is essentially undetectable (Met31 level is even lower and remains undetectable even in the -met conditions). Therefore, Met4 does not strictly require the presence of Met32 in vivo (may require other factors or modifications). Met4 does not have DNA-binding activity, and therefore it cannot target and organize chromosomes on its own. Although we did not do the Met32 degradation experiment, we measured the 3D genome conformation in +met and showed that there are no detectable interactions among Met4 target genes.

      (3) The authors use a single time point during -met induction (2 h) to evaluate TF clustering, transcription (mRNA abundance), and 3D restructuring. It would be informative to perform a kinetic analysis since such an analysis could reveal whether TF clustering precedes transcriptional induction or MET gene repositioning. Do the latter two phenomena occur concurrently or does one precede the other?

      We appreciate the reviewer’s insightful question. It is indeed intriguing to consider whether TF clustering precedes transcriptional induction and MET gene clustering. However, as mentioned on page 12 of our manuscript, this experiment poses significant challenges. The low intensities of the Met4 and Met32 signals necessitate high excitation for imaging, which also makes them prone to photo-bleaching. Consequently, we have been unable to measure the dynamics of Met4 and Met32 puncta in vivo, let alone co-image them with DNA/RNA. Undertaking this experiment will require considerable effort, which we plan to pursue in the future.

      (4) Based on the MTAC assay, MET13 does not appear to engage in trans interactions with other Met4 targets, whereas MET6 does (Figures 4C and 4E). Does this difference stem from the greater occupancy of Met4 at MET6 vs. MET13, greater association of another Met co-factor with the chromatin of MET6 vs. MET13, or something else?

      We were also surprised by this result, given that MET13 emerged as one of the strongest transcriptional hotspots in our previous screen. It also exhibits one of the highest Met4 ChIP signals and is closely associated with the nuclear pore complex. Our earlier findings indicate that DNA dynamics near the VP significantly influence the MTAC signal; specifically, a VP with constrained motion is less effective at methylating interacting sites (Li et al., 2024). Therefore, it is plausible that MET13 is associated with a large Met4 condensate, which constrains the motion of nearby chromatin and diminishes MTAC efficiency.

      Reviewer #2 (Public Review):

      Summary:

      This manuscript combines live yeast cell imaging and other genomic approaches to study how transcription factor (TF) condensates might help organize and enhance the transcription of the target genes in the methionine starvation response pathway. The authors show that the TFs in this response can form phase-separated condensates through their intrinsically disordered regions (IDRs), and mediate the spatial clustering of the related endogenous genes as well as reporter inserted near the endogenous target loci.

      Strengths:

      This work uses rigorous experimental approaches, such as imaging of endogenously labeled TFs, determining expression and clustering of endogenous target genes, and reporter integration near the endogenous target loci. The importance of TFs is shown by rapid degradation. Single-cell data are combined with genomic sequencing-based assays. Control loci engineered in the same way are usually included. Some of these controls are very helpful in showing the pathway-specific effect of the TF condensates in enhancing transcription.

      Weaknesses:

      Perhaps the biggest weakness of this work is that the role of IDR and phase separation in mediating the target gene clustering is unclear. This is an important question. TF IDRs may have many functions including mediating phase separation and binding to other transcriptional molecules (not limited to proteins and may even include RNAs). The effect of IDR deletion on reduced Fano number in cells could come from reduced binding with other molecules. This should be tested on phase separation of the purified protein after IDR deletion. Also, the authors have not shown IDR deletion affects the clustering of the target genes, so IDR deletion may affect the binding of other molecules (not the general transcription machinery) that are specifically important for target gene transcription. If the self-association of the IDR is the main driving force of the clustering and target gene transcription enhancement, can one replace this IDR with totally unrelated IDRs that have been shown to mediate phase separation in non-transcription systems and still see the gene clustering and transcription enhancement effects? This work has all the setup to test this hypothesis.

      We thank the reviewer for raising this point, and we tried more in vitro and in vivo experiments with Met4 IDR deletions. See the answer to Reviewer 1 for the in vivo 3D mapping experiment.

      We purified Met4-ΔIDR2 with an MBP tag, but its low yield made labeling and conducting thorough experiments challenging. At concentrations above ~10 μM, the protein tends to aggregate, while at lower concentrations, it remains diffusive in solution and does not form condensates. When we mixed purified Met4-ΔIDR2 with Met32, we observed reduced partitioning inside Met32 condensates compared to the full-length Met4. As the reviewer noted, this diminished interaction may contribute to the decreased puncta formation observed in vivo. This result is added to the manuscript on page 11 and supplementary figure 5.

      The Met4 protein was tagged with MBP but Met 32 was not. MBP tag is well known to enhance protein solubility and prevent phase separation. This made the comparison of their in vitro phase behavior very different and led the authors to think that maybe Met32 is the scaffold in the co-condensates. If MBP was necessary to increase yield and solubility during expression and purification, it should be cleaved (a protease cleavage site should be engineered) to allow phase separation in vitro.

      Following the reviewer’s advice, we purified Met4-TEV-MBP so that the MBP can be cleaved off. Unfortunately, concentrated Met4-TEV-MBP needs to be stored at high salt (400mM) to be soluble. When exchanged into a suitable buffer for TEV cleavage (≤200 mM NaCl), nearly all soluble protein aggregates. Attempts to digest the protein in storage buffer results in observable aggregation before significant cleavage (see below).  

      Author response image 2.

      Are ATG36 and LDS2 also supposed to be induced by -met? This should be explained clearly. The signals are high at -met.

      Genomic loci ATG36 and LDS2 were chosen as controls because they are not bound by Met TFs (ChIP-seq tracks) and their expressions are not induced by -met (RNA-seq data). This information is added to the manuscript on page 9. When MET3pr-GFP reporter is inserted into these loci, GFP is induced by -met (because it is driven by the MET3 promoter), but the induction level is less than the same reporter inserted into the transcriptional hotspot like MET13 and MET6 (Figure 6E, also see Du et al., Plos Genetics, 2017).

      ChIP-seq data:

      Author response image 3.

      RNA-seq counts:

      Author response table 1.

      Figure 6B, the Met4-GFP seems to form condensates at all three loci without a very obvious difference, though 6C shows a difference. 6C is from only one picture each. The authors should probably quantify the signals from a large number of randomly selected pictures (cells) and do statistics.

      If we understand this comment correctly, the reviewer is referring to the fact that all three loci in Figure 6B appear to show a peak in GFP intensity. This pattern emerges because these images are averaged among many cells (number of cells analyzed in 6B has been added to the Figure legends). GFP intensities near the center will always be higher because peripheral pixels are more likely to fall outside the nuclei boundaries, where Met4 signals are absent (same as in Figure 3F). Importantly, MET6 locus shows higher intensity near the center in comparison to PUT1 and ATG36, indicating its co-localization with Met4 condensates.

      Reviewer #3 (Public Review):

      Summary:

      In this study, the authors probe the connections between clustering of the Met4/32 transcription factors (TFs), clustering of their regulatory targets, and transcriptional regulation. While there is an increasing number of studies on TF clustering in vitro and in vivo, there is an important need to probe whether clustering plays a functional role in gene expression. Another important question is whether TF clustering leads to the clustering of relevant gene targets in vivo. Here the authors provide several lines of evidence to make a compelling case that Met4/32 and their target genes cluster and that this leads to an increase in transcription of these genes in the induced state. First, they found that, in the induced state, Met4/32 forms co-localized puncta in vivo. This is supported by in vitro studies showing that these TFs can form condensates in vitro with Med32 being the driver of these condensates. They found that two target genes, MET6 and MET13 have a higher probability of being co-localized with Met4 puncta compared with non-target loci. Using a targeted DNA methylation assay, they found that MET13 and MET6 show Met4-dependent long-range interactions with other Met4-regulated loci, consistent with the clustering of at least some target genes under induced conditions. Finally, by inserting a Met4-regulated reporter gene at variable distances from MET6, they provide evidence that insertion near this gene is a modest hotspot for activity.

      Weaknesses:

      (1) Please provide more information on the assay for puncta formation (Figure 1). It's unclear to me from the description provided how this assay was able to quantitate the number of puncta in cells.

      Due to the variation in puncta size and intensity (as illustrated in Figure 1A), counting the number of puncta would be highly subjective with arbitrary cutoffs. Therefore, we chose to calculate the CV and Fano values instead, which are unbiased measures. Proteins that form puncta will exhibit greater pixel-to-pixel variations in GFP intensity, resulting in higher CV and Fano values.

      (2) How does the number of puncta in cells correspond with the number of Met-regulated genes? What are the implications of this calculation?

      As previously mentioned, defining the exact number of Met4 puncta is challenging. The number of puncta does not necessarily have one-to-one correspondence to the number of Met4 target genes. Some puncta may not be associated with chromosomes, while others may interact with multiple genes.

      (3) A control for chromosomal insertion of the Met-regulated reporter was a GAL4 promoter derivative reporter. However, this control promoter seems 5-10 fold more active than the Met-regulated promoter (Figure 6). It's possible that the high activity from the control promoter overcomes some other limiting step such that chromosomal location isn't important. It would be ideal if the authors used a promoter with comparable activity to the Met-reporter as a control.

      We agree with the reviewer that it will be better to use another promoter with comparable activity. Indeed, this was our rationale for selecting the attenuated GAL1 promoter over the WT version; however, it still exhibited substantially higher activity than the MET3pr. Unfortunately, we do not have a promoter from a different pathway that is calibrated to match the activity level of MET3pr. Nonetheless, MET17pr has much higher activity (~3 fold) than MET3pr, and we observed similar degree of stimulus from the hotspot in comparison to the control locus for both promoters (1.5-2-fold increase in GFP expression) (Figure 6E & F). This suggests that the observed effects are more likely to depend on the activation pathway and TF identity rather than the promoter strength.

      (4) It seems like transcription from a very large number of genes is altered in the Met4 IDR mutant (Figure 7F). Why is this and could this variability affect the conclusions from this experiment?

      We agree with the reviewer that ΔIDR 2.3 truncation affects the expression of 2711 (P-adj <0.05) genes (1339 up,1372 down). We suspect that this is due to the decreased expression of Met4 target genes, leading to altered levels of methionine and other sulfur-containing metabolites. Such changes would have a global impact on gene expression. Importantly, despite the similar number of genes that show up vs down regulation in the ΔIDR 2.3 strain, almost all Met4 targets showed decreased expression (Fig 7F). This supports the model where Met4 condensates lead to increased expression in its target genes.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for The Authors):

      (1) The introduction contains multiple miscitations. Rather than gene clustering, most of the studies and reviews cited (e.g., lines 35-39) report interactions between genomic loci (E-E, E-P, and P-P). There are other claims not supported by the papers cited. Moreover, the authors lump together original research papers and reviews within a given group without distinguishing which is which.

      We thank the reviewer for pointing this out. We reorganized the references in the introduction.

      (2) One option to address the concern regarding the lack of evidence that nuclear condensates per se drive MET gene clustering is to test the impact of Met4 ΔIDR2.3 on MTAC signals.

      We carried out the suggested experiment. See answer above (Reviewer #1, Question #1).

      (3) Authors claim that there are significant differences between values depicted in Figures 1B and 3G. Statistical tests are necessary to show this.

      Significance values were calculated in comparison to free GFP using two-tailed Student’s t-test in 1B,1C, and 3G. The corresponding figure legends are updated.

      (4) How are the data in Figures 3F, G, and 6B, C generated? This is unclear from the information provided in the Figure legends and Materials and Methods.

      For each cell, we projected the highest mCherry and GFP intensity at each pixel for all z positions onto a 2D plane (MIP). The MIP images were aligned with the mCherry dot at the center and averaged among all cells. To calculate the GFP intensities like in Figure 3G and 6C, a single line was drawn across the center and the GFP profile was analyzed by ImageJ. We now describe this in the corresponding figure legends, and the Materials and Methods are also updated.

      (5) Typos/ unclear writing: lines 24, 58, 79, 82, 84, 96, 117, 121, 131, 142, 147, 161 (terminus, not "terminal"), 250, 325, 349, 761 (was, not "are"). For several of these: "condense" is not "condensate"; for many others: inappropriate use of "the". Supplementary Figure 1 legend: not "a single nuclei" instead "a single nucleus".

      We thank the reviewer for pointing this out. We tried our best to correct grammatical errors.

      (6) Define GAL1Spr (Figure 6F).

      The GAL1S promoter is an attenuated GAL1 promoter that lacks two out of the four Gal4 binding site. The original paper is now cited in the manuscript on page 10.  

      (7) Figure 7B, C: there appears to be an inconsistency between the image and bar graph value for ΔIDR3.

      The Fano values calculated in 7C are averaged among a population of cells (we added the cell numbers to the legend), while the image in 7B is an example of an individual nucleus. There is some cell-to-cell variability in how the Met4 appears. To be more representative, we chose a different image for ΔIDR3.

      (8) Supplementary Tables: use descriptive titles for file names.

      This is corrected.

      Reviewer #2 (Recommendations For The Authors):

      Minor:

      Figure 4F is not cited in the text, and the color legend seems wrong for targeted and control.

      Figure 4F is now cited in the text. The labels were corrected.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews: 

      Reviewer #1 (Public review): 

      Summary: 

      The investigators in this study analyzed the dataset assembly from 540 Salmonella isolates, and those from 45 recent isolates from Zhejiang University of China. The analysis and comparison of the resistome and mobilome of these isolates identified a significantly higher rate of cross-region dissemination compared to localized propagation. This study highlights the key role of the resistome in driving the transition and evolutionary 

      Thank you for summarizing our work. According to your comments, we carefully considered and responded to them and made corresponding revisions to the text. Additionally, to fully contextualize the background knowledge and clarify the major points in this study, we add some references.

      Upon further review of our initial manuscript, we realized that the original submission did not strictly follow the lineage order proposed by Zhou et al. (Natl Sci Rev. 2023 Sep 2;10(10):nwad228). To avoid confusion and keep the uniform knowledge in the typing system, we have adjusted the lineage nomenclature along the revised manuscript to reflect the corrected order as follows:

      Author response table 1.

      To ensure consistency with previous studies, we have revised the nomenclature for the different lineages of bvSP.

      Strengths: 

      The isolates included in this study were from 16 countries in the past century (1920 to 2023). While the study uses S. Gallinarun as the prototype, the conclusion from this work will likely apply to other Salmonella serotypes and other pathogens. 

      Thanks for the constructive comments and the positive reception of the manuscript.

      Weaknesses: 

      While the isolates came from 16 countries, most strains in this study were originally from China. 

      We appreciate the reviewer's observation regarding the sampling distribution of isolates in this study. We acknowledge that while the isolates were collected from 15 different countries, with a significant proportion originated from China (Author response image 1). This focus is due to several reasons:

      Author response image 1.

      Geographic distribution of 580 S. Gallinarum. Different colors indicate the countries of origin for the 580 S. Gallinarum strains in the dataset. Darker shades represent higher numbers of strains.

      (1) As once a globally prevalent pathogen across the 20th century, S. Gallinarum was listed by the World Organization for Animal Health (WOAH) due to its economic importance. After 30 years of implementation of the National Poultry Improvement Plan in the US, it was almost eradicated in high-income countries, and interestingly, it became an endemic pathogen with sporadic outbreaks in most low- or middle-income countries like China and Brazil. Given the vast expanse of China's land area and the country's economic factors, implementing the same measures remains challenging.  

      (2) S. Gallinarum is an avian-specific pathogen, particularly affecting chickens, and its distribution is closely linked to chicken meat production in different countries. There are more frequent reports of fowl typhoid in some high chicken-producing developing countries. Data from the United States Department of Agriculture (USDA) on annual chicken meat production for 2023/2024 show that the global distribution of S. Gallinarum aligns closely with the overall chicken meat production of these countries (https://fas.usda.gov/data/production/commodity/0115000).

      Author response image 2.

      The United States Department of Agriculture (USDA) data on annual chicken meat production for 2023/2024 across different countries globally.

      (3) Our primary objective was to investigate the localized resistome adaptation of S. Gallinarum in regions. Being a region with significant disease burden, China has reported numerous outbreaks (Sci Data. 2022 Aug 13;9(1):495; Sci Data. 2024 Feb 27;11(1):244) and a high AMR prevalence of this serovar (Natl Sci Rev. 2023 Sep 2;10(10):nwad228; mSystems. 2023 Dec 21;8(6):e0088323), making it an excellent example for understanding localized resistance mechanisms.

      (4) As China is the primary country of origin for the strains in this study, it is necessary to ensure that the strains from China are consistent with the local geographic characteristics of the country. Therefore, we conducted a correlation analysis between the number of strains from different provinces in China and the total GDP/population size of those provinces (Author response image 3). The results show that most points fall within the 95% confidence interval of the regression line. Although some points exhibit relative unbalance in the number of S. Gallinarum strains, most data points for these regions have a small sample size (n < 15). Overall, we found that the prevalence of S. Gallinarum in different regions of China is consistent with the overall nationwide trend.

      Author response image 3.

      Correlation analysis between the number of S. Gallinarum collected from different provinces in China and the total GDP/population size. The figure depicts a series of points representing individual provinces. The x-axis indicates the number of S. Gallinarum included in the dataset, while the y-axis displays the values for total GDP and total population size, respectively.

      Nevertheless, a search of nearly a decade of literature on PubMed and a summary of the S. Gallinarum genome available on public databases indicate that the dataset used is the most complete. Furthermore, focusing on a specific region within China allowed us to conduct a detailed and thorough analysis. However, we highly agree that expanding the study to include more isolates from other countries would enhance the generalizability of our findings, and we are actively collecting additional S. Gallinarum genome data. In the revised manuscript, we have further emphasized the limitations as follow:

      Lines 427-429: “However, the current study has some limitations. Firstly, despite assembling the most comprehensive WGS database for S. Gallinarum from public and laboratory sources, there are still biases in the examined collection. The majority (438/580) of S. Gallinarum samples were collected from China, possibly since the WGS is a technology that only became widely available in the 21st century. This makes it impractical to sequence it on a large scale in the 20th century, when S. Gallinarum caused a global pandemic. So, we suspect that human intervention in the development of this epidemic is the main driving force behind the fact that most of the strains in the data set originated in China. In our future work, we aim to actively gather more data to minimize potential biases within our dataset, thereby improving the robustness and generalizability of our findings.”

      Reviewer #2 (Public review): 

      Summary: 

      The authors sequence 45 new samples of S. Gallinarum, a commensal Salmonella found in chickens, which can sometimes cause disease. They combine these sequences with around 500 from public databases, determine the population structure of the pathogen, and coarse relationships of lineages with geography. The authors further investigate known anti-microbial genes found in these genomes, how they associate with each other, whether they have been horizontally transferred, and date the emergence of clades. 

      Thank you for your constructive suggestions, which are valuable and highly beneficial for improving our paper. According to your comments, we carefully considered and responded to them and made corresponding revisions to the text. Furthermore, to fully contextualize the background knowledge and clarify the major points in this study, we add some references to support our findings and policy implications.

      Upon further review of our initial manuscript, we realized that the original submission did not strictly follow the lineage order proposed by Zhou et al. (Natl Sci Rev. 2023 Sep 2;10(10):nwad228). To avoid confusion in the typing system, we have adjusted the lineage nomenclature in the revised manuscript to reflect the corrected order (see Author response table 1).

      Strengths: 

      (1) It doesn't seem that much is known about this serovar, so publicly available new sequences from a high-burden region are a valuable addition to the literature. 

      (2) Combining these sequences with publicly available sequences is a good way to better contextualise any findings. 

      Thank you so much for your thorough review and constructive comments on the manuscript.

      Weaknesses: 

      There are many issues with the genomic analysis that undermine the conclusions, the major ones I identified being: 

      (1) Recombination removal using gubbins was not presented fully anywhere. In this diversity of species, it is usually impossible to remove recombination in this way. A phylogeny with genetic scale and the gubbins results is needed. Critically, results on timing the emergence (fig2) depend on this, and cannot be trusted given the data presented. 

      We sincerely thank you for pointing out this issue. In the original manuscript, we aimed to present different lineages of S. Gallinarum within a single phylogenetic tree constructed using BEAST. However, in the revised manuscript, we have addressed this issue by applying the approach recommended by Gubbins to remove recombination events for each lineage defined by FastBAPs. Additionally, to better illustrate the removal of recombination regions in the genome, we have included a figure generated by Gubbins (New Supplementary Figure 12). 

      Our results indicate that recombination events are relatively infrequent in Lineage 1, followed by Lineage 3, but occur more frequently in Lineage 2. In the revised manuscript, we have included additional descriptions in the Methods section to clarify this analysis. We hope these modifications adequately address the reviewer’s concerns and enhance the trustworthiness of our findings.

      (2) The use of BEAST was also only briefly presented, but is the basis of a major conclusion of the paper. Plot S3 (root-to-tip regression) is unconvincing as a basis of this data fitting a molecular clock model. We would need more information on this analysis, including convergence and credible intervals. 

      Thank you very much for raising this issue. We decided to reconduct separate BEAST analyses for each lineage, accurately presenting the evolutionary scale based on the abovementioned improvements. The implementation of individual lineage for BEAST analysis was conducted based on the following steps:

      (1) Using R51 as the reference, a reference-mapped multiple core-genome SNP sequence alignment was created, and recombination regions were detected and removed as described above.

      (2) TreeTime was used to assess the temporal structure by performing a regression analysis of the root-to-tip branch distances within the maximum likelihood tree, considering the sampling date as a variable (New Supplementary Figures 6). However, the root-to-tip regression analysis presented in New Supplementary Figures 6 was not intended as a basis for selecting the best molecular clock model; its purpose was to clean the dataset with appropriate measurements.

      (3) To determine the optimal model for running BEAST, we tested a total of six combinations in the initial phase of our study. These combinations included the strict clock, relaxed lognormal clock, and three population models (Bayesian SkyGrid, Bayesian Skyline, and Constant Size). Before conducting the complete BEAST analysis, we evaluated each combination using a Markov Chain Monte Carlo (MCMC) analysis with a total chain length of 100 million and sampling every 10,000 iterations. We then summarized the results using NSLogAnalyser and determined the optimal model based on the marginal likelihood value for each combination. The results indicated that the model incorporating the Bayesian Skyline and the relaxed lognormal clock yielded the highest marginal likelihood value in our sample. Then, we proceeded to perform a timecalibrated Bayesian phylogenetic inference analysis for each lineage. The following settings were configured: the "GTR" substitution model, “4 gamma categories”, the "Relaxed Clock Log Normal" model, the "Coalescent Bayesian Skyline" tree prior, and an MCMC chain length of 100 million, with sampling every 10,000 iterations.

      (4) Convergence was assessed using Tracer, with all parameter effective sampling sizes (ESS) exceeding 200. Maximum clade credibility trees were generated using TreeAnnotator. Finally, key divergence time points (with 95% credible intervals) were estimated, and the tree was visualized using FigTree. 

      For the key lineages, L2b and L3b (carrying the resistome, posing antimicrobial resistance (AMR) risks, and exhibiting intercontinental transmission events), we have redrawn Figure 2 based on the updated BEAST analysis results (New Figure 2). For L1, L2a, and L3c, we have added supplementary figures to provide a more detailed visualization of their respective BEAST analysis outcomes (New Supplementary Figures 3-5). The revised BEAST analysis indicates that the origin of L3b in China can be traced back to as early as 1683 (95% CI: 1608 to 1839). In contrast, the earliest possible origin of L2b in China dates back to 1880 (95% CI: 1838 to 1902). This indicates that the previous manuscript's assumption that L2b is an older lineage compared to L3b may be inaccurate. 

      Furthermore, In the revised manuscript, we specifically estimated the time points for the first intercontinental transmission events for the two major lineages, L2b and L3b. Our results indicate that L2b, likely underwent two major intercontinental transmission events. The first occurred around 1893 (95% CI: 1870 to 1918), with transmission from China to South America. The second major transmission event occurred in 1923 (95% CI: 1907 to 1940), involving the spread from South America to Europe. In contrast, the transmission pattern of L3b appears relatively more straightforward. Our findings show that L3b, an S. Gallinarum lineage originating in China, only underwent one intercontinental transmission event from China to Europe, likely occurring around 1790 (95% CI: 1661 to 1890) (New Supplementary Figure 7). Based on the more critical BEAST analysis for each lineage, we have revised the corresponding conclusions in the manuscript. We believe that the updated BEAST analysis, performed using a more accurate recombination removal approach, significantly enhances the rigor and credibility of our findings.

      (3) Using a distance of 100 SNPs for a transmission is completely arbitrary. This would at least need to be justified in terms of the evolutionary rate and serial interval. 

      Using single nucleotide polymorphism (SNP) distance to trace pathogen transmission is a common approach (J Infect Dis. 2015 Apr 1;211(7):1154-63) and in our previous studies (hLife 2024; 2(5):246-256. mLife 2024; 3(1):156-160.). When the SNP distance within a cluster falls below a set threshold, the strains in that cluster are considered to have a potential direct transmission link. It is generally accepted that the lower the threshold, the more stringent the screening process becomes. However, there is little agreement in the literature regarding what such a threshold should be, and the appropriate SNP cut-off for inferring transmission likely depends critically on the context (Mol Biol Evol. 2019 Mar 1;36(3):587-603).

      In this study, we compared various thresholds (SNPs = 5, 10, 20, 25, 30, 35, 40, 50, 100) to ensure clustering in an appropriate manner. First, we summarized the tracing results under each threshold (Author response image 4), which demonstrated that, regardless of the threshold used, all strains associated with transmission events originated from the same location (New Figure 3a).

      Author response image 4.

      Clustering results of 45 newly isolated S. Gallinarum strains using different SNP thresholds of 5, 10, 15, 20, 25, 28, 30, 50, and 100 SNPs. The nine subplots represent the clustering results under each threshold. Each point corresponds to an individual strain, and lines connect strains with potential transmission relationships.

      In response to your comments regarding the evolutionary rate, we estimated the overall evolutionary rate of the S. Gallinarum using BEAST. We applied the methodology described by Arthur W. Pightling et al. (Front Microbiol. 2022 Jun 16; 13:797997). The numbers of SNPs per year were determined by multiplying the evolutionary rates estimated with BEAST by the number of core SNP sites identified in the alignments. We hypothesize that a slower evolutionary rate in bacteria typically requires a lower SNP threshold when tracing transmission events using SNP distance analysis. Pightling et al.'s previous research found an average evolutionary rate of 1.97 SNPs per year (95% HPD, 0.48 to 4.61) across 22 different Salmonella serotypes. Our updated BEAST estimation for the evolutionary rate of S. Gallinarum suggests it is approximately 0.74 SNPs per year (95% HPD, 0.42 to 1.06). Based on these findings, and our previous experience with similar studies (mBio. 2023 Oct 31;14(5):e0133323.), we set a threshold of 5 SNPs in the revised manuscript.

      Then, we adopted the newly established SNP distance threshold (n=5) to update Figure 3a and New Supplementary Figure 8. The heatmap on the far right of New Figure 3a illustrates the SNP distances among 45 newly isolated S. Gallinarum strains from two locations in Zhejiang Province (Taishun and Yueqing). New Supplementary Figure 8 simulates potential transmission events between the bvSP strains isolated from Zhejiang Province (n=95) and those from China with available provincial information (n=435). These analyses collectively demonstrate the localized transmission pattern of bvSP within China. Our analysis using the newly established SNP threshold indicates that the 45 strains isolated from Taishun and Yueqing exhibit a highly localized transmission pattern, with pairs of strains exhibiting potential transmission events below the set threshold occurring exclusively within a single location. Subsequently, we conducted the SNP distance-based tracing analysis for the 95 strains from Zhejiang Province and those from China with available provincial information (n=435) (New Supplementary Figure 8, New Supplementary Table S8). Under the SNP distance threshold (n=5), we identified a total of 91 potential transmission events, all of which occurred exclusively within Zhejiang Province. No inter-provincial transmission events were detected. Based on these findings, we revised the methods and conclusions in the manuscript accordingly. We believe that the updated version well addresses your concerns.

      Nevertheless, the final revised and updated results do not change the conclusions presented in our original manuscript. Instead, applying a more stringent SNP distance threshold allows us to provide solid evidence supporting the localized transmission pattern of S. Gallinarum in China. 

      (4) The HGT definition is non-standard, and phylogeny (vertical inheritance) is not controlled for.  

      The cited method: 

      'In this study, potentially recently transferred ARGs were defined as those with perfect identity (more than 99% nucleotide identity and 100% coverage) in distinct plasmids in distinct host bacteria using BLASTn (E-value {less than or equal to}10−5)' 

      This clearly does not apply here, as the application of distinct hosts and plasmids cannot be used. Subsequent analysis using this method is likely invalid, and some of it (e.g. Figure 6c) is statistically very poor. 

      Thank you for raising this important question. In our study, Horizontal Gene Transfer (HGT) is defined as the transfer of genetic information between different organisms, a process that facilitates the spread of antibiotic resistance genes (ARGs) among bacteria. This definition of HGT is consistent with that used in previous studies (Evol Med Public Health. 2015; 2015(1):193–194; ISME J. 2024 Jan 8;18(1):wrad032). In Salmonella, the transfer of antimicrobial resistance genes via HGT is not solely dependent on plasmids; other mobile genetic elements (MGEs), such as transposons, integrons, and prophages, also play significant roles. This has also  been documented in our previous work (mSystems. 2023 Dec 21;8(6):e0088323). Given the involvement of various MGEs in the horizontal transfer of ARGs, we propose that the criteria for evaluating horizontal transfer via plasmids can also be applied to ARGs mediated by other MGEs.

      In this study, we adopted stricter criteria than those used by Xiaolong Wang et al. Specifically, we defined two ARGs as identical only if they exhibited 100% nucleotide identity and 100% coverage. To address concerns regarding the potential influence of vertical inheritance in our analysis, we have made the following improvements. In the revised manuscript, we provide a more detailed table that includes the co-localization analysis of each ARG with mobile genetic elements (New Supplementary Table 9). For prophages and plasmids, we required that ARGs be located directly within these elements. In contrast, for transposons and integrons, we considered ARGs to be associated if they were located within a 5 kb region upstream or downstream of these elements (Nucleic Acids Res. 2022 Jul 5;50(W1):W768-W773). 

      In the revised manuscript, we first categorized a total of 621 ARGs carried by 436 bvSP isolates collected in China according to the aforementioned criteria and found that 415 ARGs were located on MGEs. After excluding the ARGs not associated with MGEs, we recalculated the overall HGT frequency of 10 types of ARGs in China, the horizontal ARGs transfer frequency in three key regions, and the horizontal ARGs transfer frequency within a single region (New Supplementary Table 7). Based on the results, we updated relevant sections of the manuscript and remade Figure 6. The updated manuscript describes the results of this section as follows:

      “Horizontal transfer of resistome occurs widely in localized bvSP

      Horizontal transfer of the resistome facilitates the acquisition of AMR among bacteria, which may record the distinct acquisition event in the bacterial genome. To compare these events in a geographic manner, we further investigated the HGT frequency of each ARG carried by bvSP isolated from China and explored the HGT frequency of resistome between three defined regions. Potentially horizontally transferred ARGs were defined as those with perfect identity (100% identity and 100% coverage) and were located on MGEs across different strains (Fig. 6a). We first categorized a total of 621 ARGs carried by 436 bvSP isolates collected in China and found that 415 ARGs were located on MGEs. After excluding the ARGs not associated with MGEs, our findings reveal that horizontal gene transfer of ARGs is widespread among Chinese bvSP isolates, with an overall transfer rate of 92%. Specifically, 50% of the ARGs exhibited an HGT frequency of 100%, indicating that these ARGs might underwent extensive frequent horizontal transfer events (Fig. 6b). It is noteworthy that certain resistance genes, such as tet(A), aph(3'')-Ib, and aph(6)-Id, appear to be less susceptible to horizontal transfer.

      However, different regions generally exhibited a considerable difference in resistome HGT frequency. Overall, bvSP from the southern areas in China showed the highest HGT frequency (HGT frequency=95%). The HGT frequencies for bvSP within the eastern and northern regions of China are lower, at 92% and 91%, respectively (Fig. 6c). For specifical ARG type, we found tet(A) is more prone to horizontal transfer in the southern region, and this proportion was considerably lower in the eastern region. Interestingly, certain ARGs such as aph(6)-Id, undergo horizontal transfer only within the eastern and northern regions of China (Fig. 6d). Notably, as a localized transmission pathogen, resistome carried by bvSP exhibited a dynamic potential among inter-regional and local demographic transmission, especially from northern region to southern region (HGT frequency=93%) (Fig. 6e, Supplementary Table 7).”

      We also modified the current version of the pipeline used to calculat the HGT frequency of resistance genes. In the revised pipeline, users are required to provide a file specifying the locations of mobilome on the genome before formally calculating the HGT frequency of the target ARGs. The specific code and data used in the calculation have been uploaded to https://github.com/tjiaa/Cal_HGT_Frequency.

      However, we also acknowledge that the current in silico method has some limitations. This approach heavily relies heavily on prior information in existing resistome/mobilome databases. Additionally, the characteristics of second-generation sequencing data make it challenging to locate gene positions precisely. Using complete genome assemblies might be a crucial approach to address this issue effectively. In the revised manuscript, we have also provided a more detailed explanation of the implications of the current pipeline.

      Regarding your second concern, "some of it (e.g., Figure 6c) is statistically very poor," the horizontal ARG transfer frequency calculation for each region was based on the proportion of horizontal transfer events of ARGs in that region to the total possible transfer events. As a result, we are unable to calculate the statistical significance between the two regions. Our aim with this approach is to provide a rough estimate of the extent of horizontal ARG transfer within the S. Gallinarum population in each region. In future studies, we will refine our conclusions by developing a broader range of evaluation methods to ensure more comprehensive assessment and validation.

      (5) Associations between lineages, resistome, mobilome, etc do not control for the effect of genetic background/phylogeny. So e.g. the claim 'the resistome also demonstrated a lineage-preferential distribution' is not well-supported. 

      Thank you for your comments. We acknowledge that the associations between lineages and the mobilome/resistome may be influenced by the genetic background or phylogeny of the strains. For instance, our conclusion regarding the lineage-preferential distribution of the resistome was primarily based on New Figure 4a, where L3 is clearly shown to carry the most ARGs. Furthermore, we observed that L3b tends to harbor bla<sub>_TEM-1B</sub>, _sul2, and tet(A) more frequently than other lineages. However, we recognize that this evidence is insufficient to support a definitive conclusion of “demonstrated a lineage-preferential distribution”. Therefore, we have re-examined the current manuscript and described these findings as a potential association between the mobilome/resistome and lineages.

      (6) The invasiveness index is not well described, and the difference in means is not biologically convincing as although it appears significant, it is very small. 

      Thank you for pointing this out. For the invasiveness index mentioned in the manuscript, we used the method described in previous studies. (PLoS Genet. 2018 May 8;14(5), Nat Microbiol. 2021 Mar;6(3):327-338). Specifically, Salmonella’s ability to cause intestinal or extraintestinal infections in hosts is related to the degree of genome degradation. We evaluated the potential for extraintestinal infection by 45 newly isolated S. Gallinarum strains (L2b and L3b) using a model that quantitatively assesses genome degradation. We analyzed samples using the 196 top predictor genes, employing a machine-learning approach that utilizes a random forest classifier and delta-bitscore functional variant-calling. This method evaluated the invasiveness of S. Gallinarum towards the host, and the distribution of invasiveness index values for each region was statistically tested using unpaired t-test. The code used for calculating the invasiveness index is available at https://github.com/Gardner-BinfLab/invasive_salmonella. In the revised manuscript, we added a more detailed description of the invasiveness index calculation in the Methods section as follows:

      Lines 592-603: “Specifically, Salmonella’s ability to cause intestinal or extraintestinal infections in hosts is related to the degree of genome degradation. We evaluated the potential for extraintestinal infection by 45 newly isolated S. Gallinarum strains (L2b and L3b) using a model that quantitatively assesses genome degradation. We analyzed each sample using the 196 top predictor genes for measuring the invasiveness of S. Gallinarum, employing a machine-learning approach that utilizes a random forest classifier and deltabitscore functional variant-calling. This method evaluated the invasiveness of S. Gallinarum towards the host, and the distribution of invasiveness index values for each region was statistically tested using unpaired t-test. The code used for calculating the invasiveness index is available at: https://github.com/Gardner-BinfLab/invasive_salmonella.”

      Regarding the second question, 'the difference in means is not biologically convincing as although it appears significant, it is very small,' we believe that this difference is biologically meaningful. In our previous work, we infected chicken embryos with different lineages of S. Gallinarum (Natl Sci Rev. 2023 Sep 2;10(10):nwad228). The virulence of thirteen strains of Salmonella Gallinarum, comprising five from lineage L2b and eight from lineage L3b, was evaluated in 16-day-old SPF chicken embryos through inoculation into the allantoic cavity. Controls included embryos that inoculated with phosphate-buffered saline (PBS). The embryos were incubated in a thermostatic incubator maintained at 37.5°C with a relative humidity ranging from 50% to 60%. Prior to inoculation, the viability of the embryos was assessed by examining the integrity of their venous system and their movements; any dead embryos were excluded from the study. Overnight cultures resuspended in PBS at a concentration of 1000 CFU per 100 μL were administered to the embryos. Mortality was recorded daily for a period of five days, concluding upon the hatching of the chicks. 

      It is generally accepted that strains with higher invasive capabilities are more likely to cause chicken embryo mortality. Our experimental results showed that the L2b, which exhibits higher invasiveness, with a slightly higher to cause chicken embryo death (Author response image 5). 

      Author response image 5.

      The survival curves of chicken embryos infected with bvSP isolates from S. Gallinarum L2b and S. Gallinarum L3b. Inoculation with Phosphate Buffer Saline (PBS) were considered controls. 

      (7) 'In more detail, both the resistome and mobilome exhibited a steady decline until the 1980s, followed by a consistent increase from the 1980s to the 2010s. However, after the 2010s, a subsequent decrease was identified.' 

      Where is the data/plot to support this? Is it a significant change? Is this due to sampling or phylogenetics? 

      Thank you for highlighting these critical points. The description in this statement is based on New Supplementary Figure 11. On the right side of New Supplementary Figure 11, we presented the average number of Antimicrobial Resistance Genes (ARGs) and Mobile Genetic Elements (MGEs) carried by S. Gallinarum isolates from different years, and we described the overall trend across these years. However, we realized that this statement might overinterpret the data. Given that this sentence does not impact our emphasis on the overall increasing trends observed in the resistome and mobilome, as well as their potential association, we decided to remove it in the revised manuscript.

      The revised paragraph would read as follows:

      Lines 261-268: “Variations in regional antimicrobial use may result in uneven pressure for selecting AMR. The mobilome is considered the primary reservoir for spreading resistome, and a consistent trend between the resistome and the mobilome has been observed across different lineages, from L1-L3c. We observed an overall gradual rise in the resistome quantity carried by bvSP across various lineages, correlating with the total mobilome content (S11 Fig). Furthermore, we investigated the interplay between particular mobile elements and resistome types in bvSP.”

      (8) It is not clear what the burden of disease this pathogen causes in the population, or how significant it is to agricultural policy. The article claims to 'provide valuable insights for targeted policy interventions.', but no such interventions are described. 

      Thank you for your constructive suggestions. Salmonella Gallinarum is an avian-specific pathogen that induces fowl typhoid, a severe systemic disease characterized by high mortality rates in chickens, thereby posing a significant threat to the poultry industry, particularly in developing countries (Rev Sci Tech. 2000 Aug;19(2):40524). In our previous research, we conducted a comprehensive meta-analysis of 201 publications encompassing over 900 million samples to investigate the global impact of S. Gallinarum (Sci Data. 2022 Aug 13;9(1):495). Our findings estimated that the global prevalence of S. Gallinarum is 8.54% (with a 95% confidence interval of 8.43% to 8.65%), with notable regional variations in incidence rates.

      Our previously analysis focused on the prevalence of S. Gallinarum (including biovars SP and SG) across six continents. The results revealed that all continents, except Oceania, exhibited positive prevalences of S. Gallinarum. Asia had the highest prevalence at 17.31%, closely followed by Europe at 16.03%. In Asia, the prevalence of biovar SP was higher than that of biovar SG, whereas in Europe, biovar SG was observed to be approximately two hundred times more prevalent than biovar SP. In South America, the prevalence of S. Gallinarum was higher than that of biovar SP, at 10.06% and 13.20% respectively. Conversely, the prevalence of S. Gallinarum was relatively lower in North America (4.45%) compared to Africa (1.10%) (Author response image 6).

      Given the significant economic losses caused by S. Gallinarum to the poultry industry and the potential risk of escalating antimicrobial resistance, more targeted policy interventions are urgently needed. Further elaboration on this implication is provided in the revised “Discussion” section as follows:

      Lines 401-416: “In summary, the findings of this study highlight that S. Gallinarum remains a significant concern in developing countries, particularly in China. Compared to other regions, S. Gallinarum in China poses a notably higher risk of AMR, necessitating the development of additional therapies, i.e. vaccine, probiotics, bacteriophage therapy in response to the government's policy aimed at reducing antimicrobial use ( J Infect Dev Ctries. 2014 Feb 13;8(2):129-36). Furthermore, given the dynamic nature of S. Gallinarum risks across different regions, it is crucial to prioritize continuous monitoring in key areas, particularly in China's southern regions where the extensive poultry farming is located. Lastly, from a One-Health perspective, controlling AMR in S. Gallinarum should not solely focus on local farming environments, with improved overall welfare on poultry and farming style. The breeding pyramid of industrialized poultry production should be targeted on the top, with enhanced and accurate detection techniques (mSphere. 2024 Jul 30;9(7):e0036224). More importantly, comprehensive efforts should be made to reduce antimicrobial usage overall and mitigate potential AMR transmission from environmental sources or other hosts (Vaccines (Basel). 2024 Sep 18;12(9):1067; Vaccines (Basel). 2023 Apr 18;11(4):865; Front Immunol. 2022 Aug 11:13:973224).”

      Author response image 6.

      A comparison of the global prevalence of S. gallinarum across continents.

      (9) The abstract mentions stepwise evolution as a main aim, but no results refer to this. 

      Thank you for raising this issue. In the revised manuscript, we have changed “stepwise evolution” to simply “evolution” to ensure a more accurate and precise description.

      (10) The authors attribute changes in population dynamics to normalisation in China-EU relations and hen fever. However, even if the date is correct, this is not a strongly supported causal claim, as many other reasons are also possible (for example other industrial processes which may have changed during this period). 

      Thank you for raising this critical issue. In the revised manuscript, we conducted a more stringent BEAST analysis for each lineage, as described earlier. This led to some changes in the inferred evolutionary timelines. Consequently, we have removed the corresponding statement from the “Results” section. Instead, we now only provide a discussion of historical events, supported by literature, that could have facilitated the intercontinental spread of L2b and L3b in the “Discussion” section. We believe these revisions have made the manuscript more rigorous and precise.

      Lines 332-342: “_The biovar types of _S. Gallinarum have been well-defined as bvSP, bvSG, and bvSD historically ( J Vet Med B Infect Dis Vet Public Health. 2005 Jun;52(5):2148). Among these, bvSP can be further subdivided into five lineages (L1, L2a, L2b, L3b, and L3c) using hierarchical Bayesian analysis. Different sublineages exhibited preferential geographic distribution, with L2b and L3b of bvSP being predominant global lineage types with a high risk of AMR. The historical geographical transmission was verified using a spatiotemporal Bayesian framework. The result shows that L3b was initially spread from China to Europe in the 18<sup>th</sup>-19<sup>th</sup> century, which may be associated with the European hen fever event in the mid-19th century (Burnham GP. 1855. The history of the hen fever: a humorous record). L2b, on the other hand, appears to have spread to Europe via South America, potentially contributing to the prevalence of bvSP in the United States.”  

      (11) No acknowledgment of potential undersampling outside of China is made, for example, 'Notably, all bvSP isolates from Asia were exclusively found in China, which can be manually divided into three distinct regions (southern, eastern, and northern).'.

      Perhaps we just haven't looked in other places?

      We appreciate the reviewer's observation regarding the sampling distribution of isolates in this study. We acknowledge that while the isolates were collected from 15 different countries with, a significant proportion originated from China (Author response image 1). This focus is due to several reasons:

      (1) As once a globally prevalent pathogen across the 20th century, S. Gallinarum was listed by the World Organization for Animal Health (WOAH) due to its economic importance. After 30 years of implementation the National Poultry Improvement Plan in the US, it was almost eradicated in high-income countries, and interestingly, it became an endemic pathogen with sporadic outbreaks in most low- or middle-income countries like China and Brazil. Given the vast expanse of China's land area and the country's economic factors, implementing the same measures remains a challenging endeavour. 

      (2) S. Gallinarum is an avian-specific pathogen, particularly affecting chickens, and its distribution is closely linked to chicken meat production in different countries. In some high chicken-producing developing countries, such as China and Brazil, there are more frequent reports of fowl typhoid. Data from the United States Department of Agriculture (USDA) on annual chicken meat production for 2023/2024 show that the global distribution of S. Gallinarum aligns closely with the overall chicken meat production of these countries (https://fas.usda.gov/data/production/commodity/0115000).  

      (3) Our primary objective was to investigate the localized resistome adaptation of S. Gallinarum in regions. Being a region with significant disease burden, China has reported numerous outbreaks (Sci Data. 2022 Aug 13;9(1):495; Sci Data. 2024 Feb 27;11(1):244) and a high AMR prevalence of this serovar (Natl Sci Rev. 2023 Sep 2;10(10):nwad228; mSystems. 2023 Dec 21;8(6):e0088323), making it an excellent example for understanding localized resistance mechanisms. 

      Nevertheless, a search of nearly a decade of literature on PubMed and a summary of the S. Gallinarum genome available on public databases indicate that the dataset used is the most complete. Furthermore, focusing on a specific region within China allowed us to conduct a detailed and thorough analysis. However, we highly agree that expanding the study to include more isolates from other countries would enhance the generalizability of our findings, and we are actively collecting additional S. Gallinarum genome data. In the revised manuscript, we modified this sentence to indicate that this phenomenon is only observed in the current dataset, thereby avoiding an overly absolute statement:

      Lines 131-135: “For the bvSP strains from Asia included in our dataset, we found that all originated from China. To further investigate the distribution of bvSP across different regions in China, we categorized them into three distinct regions: southern, eastern, and northern (Supplementary Table 3)”.

      (12) Many of the conclusions are highly speculative and not supported by the data. 

      Thank you for your comment. We have carefully revised the manuscript to address your concerns. We hope that the changes made in the revised version meet your expectations and provide a clearer and more accurate interpretation of our findings.

      (13) The figures are not always the best presentation of the data: 

      a. Stacked bar plots in Figure 1 are hard to interpret, the total numbers need to be shown.

      Panel C conveys little information. 

      b. Figure 4B: stacked bars are hard to read and do not show totals. 

      c. Figure 5 has no obvious interpretation or significance. 

      Thank you for your comments. We have revised the figures to improve the clarity and presentation of the data.

      In summary, the quality of analysis is poor and likely flawed (although there is not always enough information on methods present to confidently assess this or provide recommendations for how it might be improved). So, the stated conclusions are not supported. 

      Thank you for your valuable feedback. We have carefully revised the manuscript to address your concerns. We hope that the updated figures and tables, and new data in the revised version meet your expectations and provide more appropriate interpretation of our findings.

      Recommendations for the authors:  

      Reviewer #1 (Recommendations for the authors): 

      This reviewer enjoyed reading this well-written manuscript. The authors are encouraged to address the following comments and revise the manuscript accordingly. 

      (1) Title: The authors use avian-restrict Salmonella to refer to Salmonella Gallinarum. Please consider using Salmonella Gallinarum in the title. Also, your analysis relates to resistome and mobilome. Would it make sense to add mobilome in the manuscript? 

      Thank you for your guidance. In the revised manuscript, we have changed the title to “Avian-specific Salmonella enterica Serovar Gallinarum transition to endemicity is accompanied by localized resistome and mobilome interaction”. We believe that this revised title more accurately reflects the content of our study.

      (2) Abstract: This study uses 45 isolates from your labs. However, you failed to include these 45 isolates in the Abstract. Also, please clarify the sources of these isolates (from dead chickens, or dead chicken embryos? You wrote in two different ways in this manuscript). Also, I am not entirely convinced how the results from these 45 isolates will support the overall conclusion of this work. 

      Thank you for your thorough review and constructive comments on the manuscript. In the revised version, we have added a description of 45 newly isolated S. Gallinarum strains in the Abstract to provide readers with a clearer understanding of the dataset used in this study.

      Lines 36-41: “Using the most comprehensive whole-genome sequencing dataset of Salmonella enterica serovar Gallinarum (S. Gallinarum) collected from 16 countries, including 45 newly recovered samples from two related local regions, we established the relationship among avian-specific pathogen genetic profiles and localization patterns.”

      Furthermore, the newly isolated S. Gallinarum strains were obtained from dead chicken embryos. We think your second concern may arise from the following description in the manuscript: “All 734 samples of dead chicken embryos were collected from Taishun and Yueqing in Zhejiang Province, China. After the thorough autopsy, the liver, intestines, and spleen were extracted and added separately into 2 mL centrifuge tubes containing 1 mL PBS. The organs were then homogenized by grinding.” In fact, all the collected dead chicken embryos were aged 19 to 20 days. At this developmental stage, collecting the liver, intestines, and spleen for isolation and cultivation of S. Gallinarum is possible. To avoid any confusion, we have included a more detailed description of the dead chicken embryos in the revised manuscript as follows:

      Lines 447-451: “All 734 samples of dead chicken embryos aged 19 to 20 days were collected from Taishun and Yueqing in Zhejiang Province, China. After a thorough autopsy, the liver, intestines, and spleen were extracted and added separately into 2 mL centrifuge tubes containing 1 mL PBS. The organs were then homogenized by grinding.”

      Regarding your concern about the statement, “I am not entirely convinced how the results from these 45 isolates will support the overall conclusion of this work,” we would like to clarify the significance of these new isolates. Our research first identified distinct characteristics in the 45 newly isolated S. Gallinarum strains from Taishun and Yueqing, Zhejiang Province. Specifically, we found that most of the strains from Yueqing belonged to sequence type ST92, whereas the majority from Taishun were ST3717. Additionally, there were significant differences between these geographically close strains in terms of SNP distance and predicted invasion capabilities. These findings suggest that S. Gallinarum may exhibit localized transmission patterns, which forms the basis of the scientific question and hypothesis we originally aimed to address. Furthermore, in our previous work, we collected 325 S. Gallinarum strains. By incorporating the newly isolated 45 strains, we aim to provide a more comprehensive view of the population diversity, transmission pattern and potential risk of S. Gallinarum. We will continue to endeavour to understand the global genomic and population diversity in this field.

      Finally, we revised the sentences that could potentially raise concerns for readers: 

      Lines 175-177: “To investigate the dissemination pattern of bvSP in China, we obtained forty-five newly isolated bvSP from 734 samples (6.1% overall isolation rate) collected from diseased chickens at two farms in Yueqing and Taishun, Zhejiang Province.”  >  “To investigate the dissemination pattern of bvSP, we obtained forty-five newly isolated bvSP from 734 samples (6.1% overall isolation rate) collected from diseased chickens at two farms in Yueqing and Taishun, Zhejiang Province.”

      (3) The manuscript uses nomenclature and classification into different sublineages. Did the authors establish the approaches for defining these sublineages in this group or did you follow the accepted standards? 

      Thank you very much for raising this important issue. The biovar types of Salmonella Gallinarum have historically been well-defined as S. Gallinarum biovar

      Pullorum (bvSP), S. Gallinarum biovar Gallinarum (bvSG), and S. Gallinarum biovar Duisburg (bvSD) (J Vet Med B Infect Dis Vet Public Health. 2005 Jun;52(5):214-8). However, there seems to be no widespread consensus on the population nomenclature for the key biovar bvSP. In a previous study, Zhou et al. classified bvSP into six lineages:

      L1, L2a, L2b, L3a, L3b, and L3c (Natl Sci Rev. 2023 Sep 2;10(10):nwad228). However, our more comprehensive analysis of S. Gallinarum using a larger dataset and hierarchical Bayesian clustering revealed that L3a, previously considered a distinct lineage, is actually a sublineage of L3c. Upon further review of our initial manuscript, we realized that the original submission did not strictly follow the lineage order proposed by Zhou et al. To avoid confusion in the typing system, we have adjusted the lineage nomenclature in the revised manuscript to reflect the corrected order (see Author response table 1).

      (4) This reviewer is convinced with the analysis approaches and conclusion of this work.

      In the meantime, the authors are encouraged to discuss the application of the conclusion of this study: a) can the data be somehow used in the prediction model? b) would the conclusion from S. Gallinarum have generalized application values for other pathogens. 

      Thank you for your constructive comments on the manuscript. 

      a) can the data be somehow used in the prediction model?

      We believe that genomic data can be effectively used for constructing prediction models; however, the success of such models largely depends on the specific traits being predicted. In this study, we utilized a random forest prediction model based on 196 top genes (PLoS Genet. 2018 May 8;14(5)) to predict the invasiveness of 45 newly isolated strains. In relation to the antimicrobial resistance (AMR) issue discussed in this paper, we also conducted relevant analyses. For instance, we explored the use of image-based models to predict whether a genome is resistant to specific antibiotics (Comput Struct Biotechnol J. 2023 Dec 29:23:559-565). We are confident that the incorporation of newly generated data will facilitate the development of future predictive models, and we plan to pursue further research in this area.

      b) would the conclusion from S. Gallinarum have generalized application values for other pathogens.

      This might be explained from two perspectives. First, the key role of the mobilome in facilitating the spread of the resistome, as emphasized in this study, has also been confirmed in research on other pathogens (mBio. 2024 Oct 16;15(10):e0242824). Thus, we believe that the pipeline we developed to assess the horizontal transfer frequency of different resistance genes across regions applies to various pathogens. On the other hand, due to distinct evolutionary histories, different pathogens exhibit varying levels of adaptation to their environments. In this study, we found that S. Gallinarum tends to spread highly localized; however, this conclusion may not necessarily hold for other pathogens.

      Reviewer #2 (Recommendations for the authors): 

      The authors would need to: 

      (1) Address my concerns about genomic analyses listed in the public review. 

      Thank you for your valuable feedback. We have carefully reviewed your concerns and made the necessary revisions to address the points raised about genomic analyses in the public review. We sincerely hope that these modifications meet your expectations and provide more robust analysis. We appreciate your thoughtful input and remain open to further suggestions to improve the manuscript.

      (2) Add more detail on the genomic methods and their outputs, as suggested above. 

      We have added further details to clarify the methodologies and outputs as mentioned above. Specifically, we expanded the description of the data processing, and the bioinformatic tools used for analysis. To ensure clarity, we also included an expanded discussion of the key outputs, highlighting their implications. We hope these revisions meet your expectations.

      (3) Critically rewrite their introduction to make it clear what problem they are trying to address. 

      Thank you for your guidance. In the revised manuscript, we have made the necessary modifications to the Introduction section to more clearly articulate the problem we aim to address.

      (4) Critically rewrite their conclusions so they are supported by the data they present, and make it clear when claims are more speculative. 

      Thank you for your guidance. In the revised manuscript, we have made the recommended modifications to the relevant sections of the conclusion as outlined above.

      More minor issues I identified: 

      (1) Typo in the title 'avian-restrict'. 

      Done.

      Line 1: “Avian-specific Salmonella enterica Serovar Gallinarum transition to endemicity is accompanied by localized resistome and mobilome interaction.”

      (2) 'By utilizing the pipeline we developed' -- a pipeline has not been introduced at this point. 

      In the revised manuscript, we have removed this section from the 'Abstract'.

      Lines 46-48: “Notably, the mobilome-resistome combination among distinct lineages exhibits a geographical-specific manner, further supporting a localized endemic mobilome-driven process.”

      (3) 'has more than 90% serovars' -- doesn't make sense. 

      Revised.

      Lines 82-83: “Salmonella, a pathogen with distinct geographical characteristics, has more than 90% of its serovars frequently categorized as geo-serotypes.”

      (4) 'horrific mortality rates that remain a disproportionate burden'. 

      Revised.

      Lines 83-87: “Among the thousands of geo-serotypes, Salmonella enterica Serovar Gallinarum (S. Gallinarum) is an avian-specific pathogen that causes severe mortality, with particularly detrimental effects on the poultry industry in low- and middle-income countries.”

      (5) What is the rate, what is a comparison, how is it disproportionate? 

      Thank you for your valuable feedback. It is challenging to accurately estimate the specific prevalence of S. Gallinarum, particularly due to the lack of comprehensive data in many countries. Numerous cases likely go unreported. However, S. Gallinarum is more commonly detected in low- and middle-income countries. Here, we provide three evidence supporting this observation. First, in our previous research, we conducted a comprehensive meta-analysis of 201 studies, involving over 900 million samples, to evaluate the global impact of S. Gallinarum (Sci Data. 2022 Aug 13;9(1):495). The estimated prevalence in 17 countries showed that Bangladesh had the highest rate (25.75%) of S. Gallinarum infections. However, for biovar Pullorum (bvSP), Argentina (20.69%) and China (18.18%) reported the highest prevalence rates. Second, previous studies have also reported that S. Gallinarum predominantly occurs in low- and middleincome countries (Vet Microbiol. 2019 Jan:228:165-172; BMC Microbiol. 2024 Oct 18;24(1):414). Finally, S. Gallinarum was once a globally prevalent pathogen in the 20th century. Following the implementation of eradication programs in most high-income countries, it was listed by the World Organization for Animal Health and subsequently became an endemic pathogen with sporadic outbreaks. However, similar eradication efforts are challenging to implement in low- and middle-income countries, leading to a disproportionately higher incidence of S. Gallinarum in these regions.

      In the revised manuscript, we have rephrased this sentence to enhance its accuracy:

      Lines 83-87: “Among the thousands of geo-serotypes, Salmonella enterica serovar Gallinarum (S. Gallinarum) is an avian-specific pathogen that causes severe mortality, with particularly detrimental effects on the poultry industry in low- and middle-income countries.”

      (6) 'we collected the most comprehensive set of 580 S. Gallinarum isolates', -> 'we collected the most comprehensive set S. Gallinarum isolates, consisting of 580 genomes'. 

      Revised.

      Lines 97-100: “To fill the gaps in understanding the evolution of S. Gallinarum under regional-associated AMR pressures and its adaptation to endemicity, we collected the most comprehensive set S. Gallinarum isolates, consisting of 580 genomes, spanning the period from 1920 to 2023.” 

      (7) Sequence reads are not available, and use a non-standard database. The eLife policy states: 'Sequence reads and assembly must be included for reference genomes, while novel short sequences, including epitopes, functional domains, genetic markers and haplotypes should be deposited, together with surrounding sequences, into Genbank, DNA Data Bank of Japan (DDBJ), or EMBL Nucleotide Sequence Database (ENA). DNA and RNA sequencing data should be deposited in NCBI Trace Archive or NCBI Sequence Read Archive (SRA).' So the sequences assemblies and reads should ideally be mirrored appropriately. 

      Thank you for your valuable suggestion regarding submitting the genome data for the newly isolated 45 S. Gallinarum strains. The genome data have been deposited in the NCBI Sequence Read Archive (SRA) under two BioProjects. The “SRA Accession number” for each strain have been added to New Supplementary Table 1. We believe this will ensure that the data are more readily accessible to a broader audience of researchers for download and analysis. We have revised the corresponding paragraph in the manuscript as follows:

      Lines 606-608: “For the newly isolated 45 strains of Salmonella Gallinarum, genome data have been deposited in NCBI Sequence Read Archive (SRA) database. The “SRA Accession” for each strain are listed in Supplementary Table 1.”

      (8) You should state at the start of the results which data is public, and how much is newly sequenced. 

      Revised.

      Lines 109-112: “To understand the global geographic distribution and genetic relationships of S. Gallinarum, we assembled the most comprehensive S. Gallinarum WGS dataset (n=580), comprising 535 publicly available genomes and 45 newly sequenced genomes.”

    1. Author Response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      Chan et al. tried identifying the binding sites or pockets for the KCNQ1-KCNE1 activator mefenamic acid. Because the KCNQ1-KCNE1 channel is responsible for cardiac repolarization, genetic impairment of either the KCNQ1 or KCNE1 gene can cause cardiac arrhythmia. Therefore, the development of activators without side effects is highly demanded. Because the binding of mefenamic acid requires both KCNQ1 and KCNE1 subunits, the authors performed drug docking simulation by using KCNQ1-KCNE3 structural model (because this is the only available KCNQ1-KCNE structure) with substitution of the extracellular five amino acids (R53-Y58) into D39-A44 of KCNE1. That could be a limitation of the work because the binding mode of KCNE1 might differ from that of KCNE3. Still, they successfully identified some critical amino acid residues, including W323 of KCNQ1 and K41 and A44 of KCNE1. They subsequently tested these identified amino acid residues by analyzing the point mutants and confirmed that they attenuated the effects of the activator. They also examined another activator, yet structurally different DIDS, and reported that DIDS and mefenamic acid share the binding pocket, and they concluded that the extracellular region composed of S1, S6, and KCNE1 is a generic binding pocket for the IKS activators.

      The data are solid and well support their conclusions, although there are a few concerns regarding the choice of mutants for analysis and data presentation.

      Other comments:

      1. One of the limitations of this work is that they used psKCNE1 (mostly KCNE3), not real KCNE1, as written above. It is also noted that KCNQ1-KCNE3 is in the open state. Unbinding may be facilitated in the closed state, although evaluating that in the current work is difficult.

      We agree that it is difficult to evaluate the role of unbinding from our model. Our data showing that longer interpulse intervals have a normalizing effect on the GV curve (Figure 3-figure supplement 2) could be interpreted to suggest that unbinding occurs in the closed state. Alternatively, the slowing of deactivation caused by S1-S6 interactions and facilitated by the activators may effectively be exceeded at the longer interpulse intervals.

      1. According to Figure 2-figure supplement 2, some amino acid residues (S298 and A300) of the turret might be involved in the binding of mefenamic acid. On the other hand, Q147 showing a comparable delta G value to S298 and A300 was picked for mutant analysis. What are the criteria for the following electrophysiological study?

      EP experiments interrogated selected residues with significant contributions to mefenamic acid and DIDs coordination as revealed by the MM/GBSA and MM/PBSA methods. A300 was identified as potentially important. We did attempt A300C but were never able to get adequate expression for analysis.

      1. It is an interesting speculation that K41C and W323A stabilize the extracellular region of KCNE1 and might increase the binding efficacy of mefenamic acid. Is it also the case for DIDS? K41 may not be critical for DIDS, however.

      Yes, we found K41 was not critical to the binding/action of DIDS compared to MEF. In electrophysiological experiments with the K41C mutation, DIDS induced a leftward GV shift (~ -25 mV) whereas the normalized response was statistically non-significant. In MD simulation studies, we observed detachment of DIDS from K41C-Iks only in 3 runs out of 8 simulations. This is in contrast to Mef, where the drug left the binding site of K41C-Iks complex in all simulations.

      1. Same to #2, why was the pore turret (S298-A300) not examined in Figure 7?

      Again, we attempted A300C but could not get high enough expression.

      Reviewer #3 (Public Review):

      Weaknesses:

      1. The computational aspect of the work is rather under-sampled - Figure 2 and Figure 4. The lack of quantitative analysis on the molecular dynamic simulation studies is striking, as only a video of a single representative replica is being shown per mutant/drug. Given that the simulations shown in the video are extremely short; some video only lasts up to 80 ns. Could the author provide longer simulations in each simulation condition (at least to 500 ns or until a stable binding pose is obtained in case the ligand does not leave the binding site), at least with three replicates per each condition? If not able to extend the length of the simulations due to resources issue, then further quantitative analysis should be conducted to prove that all simulations are converged and are sufficient. Please see the rest of the quantitative analysis in other comments.

      We provide more quantitative analysis for the existing MD simulations and ran five additional simulations with 500 ns duration by embedding the channel in a POPC lipid membrane. For the new MD simulations, we used a different force field in order to minimize ambiguity related to force fields as well. Analysis of these data has led to new data and supplemental figures regarding RMSD of ligands during the simulations (Figure 4-figure supplement 1 and Figure 6-figure supplement 3), clustering of MD trajectories based on Mef conformation (Figure 2-figure supplement 3 and Figure 6 -figure supplement 2), H-bond formation over the simulations (Figure 2-figure supplement 4 and Figure 6-figure supplement 1). We have edited the manuscript to include this new information where appropriate.

      1. Given that the protein is a tetramer, at least 12 datasets could have been curated to improve the statistic. It was also unclear how frequently the frames from the simulations were taken in order to calculate the PBSA/GBSA.

      By using one ligand for each ps-IKs channel complex we tried to keep the molecular system and corresponding analysis as simple as was possible. Our initial results have shown that 4D docking and subsequent MD simulations with only one ligand bound to ps-IKs was complicated enough. Our attempts to dock 4 ligands simultaneously and analyze the properties of such a system were ineffective due to difficulties in: i) obtaining stable complexes during conformational sampling and 4D docking procedures, since the ligand interaction covers a region including three protein chains with dynamic properties, ii) possible changes of receptor conformation properties at three other subunits when one ligand is already occupying its site, iii) marked diversity of the binding poses of the ligand as cluster analysis of ligand-channels complex shows (Figure 2-figure supplement 3).

      We have added a line in the methods to clarify the use of only one ligand per channel complex in simulations.

      In order to calculate MMPBSA/MMGBSA we used a frame every 0.3 ns throughout the 300 ns simulation (1000 frames/simulation) or during the time the ligand remained bound. We have clarified this in the Methods.

      1. The lack of labels on several structures is rather unhelpful (Figure 2B, 2C, 4B). The lack of clarity of the interaction map in Figures 2D and 6A.

      We updated figures considering the reviewer's comments and added labels. For 2D interaction maps, we provided additional information in figure legends to improve clarity.

      1. The RMSF analysis is rather unclear and unlabelled thoroughly. In fact, I still don't quite understand why n = 3, given that the protein is a tetramer. If only one out of four were docked and studied, this rationale needs to be explained and accounted for in the manuscript.

      The rationale of conducting MD simulations with one ligand bound to IKs is explained in response to point 2 of the reviewer’s comments.

      RMSF analysis in Figure 4C-E was calculated using the chain to which Mef was docked but after Mef had left the binding site. Details were added to the methods.

      1. For the condition that the ligands suppose to leave the site (K42C for Mef and Y46A for DIDS), can you please provide simulations at a sufficient length of time to show that ligand left the site over three replicates? Given that the protein is a tetramer, I would be expecting three replicates of data to have four data points from each subunit. I would be expecting distance calculation or RMSD of the ligand position in the binding site to be calculated either as a time series or as a distribution plot to show the difference between each mutant in the ligand stability within the binding pocket. I would expect all the videos to be translatable to certain quantitative measures.

      We have shown in the manuscript that the MEF molecule detaches from the K41C/IKs channel complex in all three simulations (at 25 ns, 70 ns and 20 ns, Table. 4). Similarly, the ligand left the site in all five new 500 ns duration simulations. We did not provide simualtions for Y46A, but Y46C left the binding site in 4 of 5 500 ns simulations and changed binding pose in the other.

      Difficulties encountered upon extending the docking and MD simulations for 4 receptor sites of the channel complex is discussed in our response to point # 2 of the reviewer.

      1. Given that K41 (Mef) and Y46 are very important in the coordination, could you calculate the frequency at which such residues form hydrogen bonds with the drug in the binding site? Can you also calculate the occupancy or the frequency of contact that the residues are making to the ligand (close 4-angstrom proximity etc.) and show whether those agree with the ligand interaction map obtained from ICM pro in Figure 2D?

      We thank the reviewer for the suggestion to analyze the H-bond contribution to ligand dynamics in the binding site. In the plots shown in Figure 2-figure supplement 4 and Figure 6-figure supplement 1, we now provide detailed information about the dynamics of the H-bond formation between the ligand and the channel-complex throughout simulations. In addition, we have quantified this and have added these numbers to a table (Table 2) and in the text of the results.

      1. Given that the author claims that both molecules share the same binding site and the mode of ligand binding seems to be very dynamic, I would expect the authors to show the distribution of the position of ligand, or space, or volume occupied by the ligand throughout multiple repeats of simulations, over sufficient sampling time that both ligand samples the same conformational space in the binding pocket. This will prove the point in the discussion - Line 463-464. "We can imagine a dynamic complex... bind/unbind from Its at a high frequency".

      To support our statement regarding a dynamic complex we analyzed longer MD simulations and clustered trajectories, from this an average conformation from each cluster was extracted and provided as supplementary information which shows the different binding modes for Mef (Figure 2-figure supplement 3). DIDS was more stable in MD simulations and though there were also several clusters, they were similar enough that when using the same cut-off distance as for mefenamic acid, they could be grouped into one cluster. (Note the scale differences on dendrogram between Figure 2-figure supplement 3 and Figure 6-figure supplement 2).

      1. I would expect the authors to explain the significance and the importance of the PBSA/GBSA analysis as they are not reporting the same energy in several cases, especially K41 in Figure 2 - figure supplement 2. It was also questionable that Y46, which seems to have high binding energy, show no difference in the EPhys works in figure 3. These need to be commented on.

      Several studies indicate that G values calculated using MM/PBSA and MM/GBSA methods may vary. Some studies report marked differences and the reasons for such a discrepancy is thoroughly discussed in a review by Genheden and Ryde (PMID: 25835573). Therefore, we used both methods to be sure that key residues contributing to ligand binding identified with one method appear in the list of residues for which the calculations are done with the other method.

      Y46C which showed only a slightly less favorable binding energy and did not unbind during 300 ns simulations, unbound, or changed pose in 4 out of 5 of the longer simulations in the presence of a lipid membrane (Figure 4-figure supplement 1). The discrepancy between electrophysiological and MD data is commented in the manuscript (pages 12-13).

      1. Can the author prove that the PBSA/GBSA analysis yielded the same average free energy throughout the MD simulation? This should be the case when the simulations are converged. The author may takes the snapshots from the first ten ns, conduct the analysis and take the average, then 50, then 100, then 250 and 500 ns. The author then hopefully expects that as the simulations get longer, the system has reached equilibrium, and the free energy obtained per residue corresponds to the ensemble average.

      As we mention in the manuscript, MEF- channel interactions are quite dynamic and vary even from simulation to simulation. The frequent change of the binding pose of the ligands observed during simulations (represented in Figure 2 - figure supplement 3 as clusters) is a clear reflection of such a dynamic process. Therefore, we do not expect the same average energy throughout the simulation but we do expect that G values stands above the background for key residues, which was generally the case (Figure 2 - figure supplement 2 and Figure 6.)

      1. The phrase "Lowest interaction free energy for residues in ps-KCNE1 and selected KCNQ1 domains are shown as enlarged panels (n=3 for each point)" needs further explanation. Is this from different frames? I would rather see this PBSA and GBSA calculated on every frame of the simulations, maybe at the one ns increment across 500 ns simulations, in 4 binding sites, in 3 replicas, and these are being plotted as the distribution instead of plotting the smallest number. Can you show each data point corresponding to n = 3?

      The MMPBSA/MMGBSA was calculated for 1000 frames across 3x300 ns simulations with 0.3 ns sampling interval, together 3000 frames, shown in Figure 2-figure supplement 2 and includes error bars to show the differences across runs. We have updated the legend for greater clarity.

      1. I cannot wrap my head around what you are trying to show in Figure 2B. This could be genuinely improved with better labelling. Can you explain whether this predicted binding pose for Mef in the figure is taken from the docking or from the last frame of the simulation? Given that the binding mode seems to be quite dynamic, a single snapshot might not be very helpful. I suggest a figure describing different modes of binding. Figure 2B should be combined with figure 2C as both are not very informative.

      We have updated Figure 2B with better labelling and added a new figure showing the different modes of binding (Figure 2-figure supplement 3).

      1. Similar to the comment above, but for Figure 4B. I do not understand the argument. If the author is trying to say that the pocket is closed after Mef is removed - then can you show, using MD simulation, that the pocket is openable in an apo to the state where Mef can bind? I am aware that the open pocket is generated through batches of structures through conformational sampling - but as the region is supposed to be disordered, can you show that there is a possibility of the allosteric or cryptic pocket being opened in the simulations? If not, can you show that the structure with the open pocket, when the ligand is removed, is capable of collapsing down to the structure similar to the cryo-EM structure? If none of the above work, the author might consider using PocketMiner tools to find an allosteric pocket (https://doi.org/10.1038/s41467-023-36699-3) and see a possibility that the pocket exists.

      Please see the attached screenshot which depicts the binding pocket from the longest run we performed (1250 ns) before drug detachment (grey superimposed structures) and after (red superimposed structures). Mefenamic acid is represented as licorice and colored green. Snapshots for superimposition were collected every 10 ns. As can be seen in the figure, when the drug leaves the binding site (after 500 ns, structures colored red), the N-terminal residue of psKCNE1, W323, and other residues that form the pocket shift toward the binding site, overlapping with where Mefenamic acid once resided. The surface structure in Figure 4B shows this collapse.

      Author response image 1.

      In the manuscript, we propose that drug binding occurs by the mechanism that could be best described by induced fit models, which state that the formation of the firm complexes (channel-Mef complex) is a result of multiple-states conformational adjustments of the bimolecular interaction. These interactions do not necessarily need to have large interfaces at the initial phase. This seems to be the case in Mef with IKS interactions, since we could not identify a pocket of appropriate size either using PocketMiner software suggested by the reviewer or with PocketFinder tool of ICM-pro software.

      1. Figure 4C - again, can you show the RMSF analysis of all four subunits leading to 12 data points? If it is too messy to plot, can you plot a mean with a standard deviation? I would say that a 1-1.5 angstroms increase in the RMSF is not a "markedly increased", as stated on line 280. I would also encourage the authors to label whether the RMSF is calculated from the backbone, side-chain or C-alpha atoms and, ideally, compare them to see where the dynamical properties are coming from.

      Please see the answer to comment #4. We agree that the changes are not so dramatic and modified the text accordingly. RMSD was calculated for backbone atom to compare residues with different side chains, a note of this is now in the methods and statistical significance of ps-IKs vs K41C, W323A and Y46C is indicated in Figures 4C-4E.

      1. In the discussion - Lines 464-467. "Slowed deactivation of the S1/KCNE1/Pore domain/drug complex... By stabilising the activated complex. MD simulation suggests the latter is most likely the case." Can you point out explicitly where this has been proven? If the drug really stabilised the activated complex, can you show which intermolecular interaction within E1/S1/Pore has the drug broken and re-form to strengthen the complex formation? The authors have not disproven the point on steric hindrance either. Can this be disproved by further quantitative analysis of existing unbiased equilibrium simulations?

      The stabilization of S1/KCNE1/Pore by drugs does not necessarily have to involve a creation of new contacts between protein parts or breakage of interfaces between them. The stabilization of activated complexes by drugs may occur when the drug simultaneously binds to both moveable parts of the channel, such as voltage sensor(s) or upper KCNE1 region, and static region(s) of the channel, such as the pore domain. We have changed the corresponding text for better clarity.

      1. Figure 4D - Can you show this RMSF analysis for all mutants you conducted in this study, such as Y46C? Can you explain the difference in F dynamics in the KCNE3 for both Figure 4C and 4D?

      We now show the RMSF for K41C, W323A and Y46C in Figure 4C-E. We speculate that K41 (magenta) and W323 (yellow), given their location at the lipid interface (see Author response image 1), may be important stabilizing residues for the KCNE N-terminus, whereas Y46 (green) which is further down the TMD has less of an impact.

      Author response image 2.

      1. Line 477: the author suggested that K41 and Mef may stabilise the protein-protein interface at the external region of the channel complex. Can you prove that through the change in protein-protein interaction, contact is made over time on the existing MD trajectories, whether they are broken or formed? The interface from which residues help to form and stabilise the contact? If this is just a hypothesis for future study, then this has to be stated clearly.

      It is known that crosslinking of several residues of external E1 with the external pore residues dramatically stabilizes voltage-sensors of KCNQ1/KCNE1 complex in the up-state conformation. This prevents movable protein regions in the voltage-sensors returning to their initial positions upon depolarization, locking the channel in an open state. We suggest that MEF may restrain the backward movement of voltage-sensors in a similar way that stabilizes open conformation of the channel. The stabilization of the voltage sensor domain through MEF occurs due to contacts of the drug with both static (pore domain) and dynamic protein parts (voltage-sensors and external KCNE1 regions). We have changed the corresponding part of the text.

      1. The author stated on lines 305-307 that "DIDS is stabilised by its hydrophobic and vdW contacts with KCNQ1 and KCNE1 subunits as well as by two hydrogen bonds formed between the drug and ps-KCNE1 residue L42 and KCNQ1 residue Q147" Can you show, using H-bond analysis that these two hydrogen bonds really exist stably in the simulations? Can you show, using minimum distance analysis, that L42 are in the vdW radii stably and are making close contact throughout the simulations?

      We performed a detailed H-bond analysis (Figure 6-supplement figure 1) which shows that DIDS forms multiple H-bond over the simulations, though only some of them (GLU43, TYR46, ILE47, SER298, TYR299, TRP323 ) are stable. Thus, the H-bonds that we observed in DIDS-docking experiments were unstable in MD simulations. As in the case of the IKs-MEF complex, the prevailing H-bonds exhibit marked quantitative variability from simulation to simulation. We have added a table detailing the most frequent H-bonds during MD simulations (Table 2).

      1. Discussion - In line 417, the author stated that the "S1 appears to pull away from the pore" and supplemented the claim with the movie. This is insufficient. The author should demonstrate distance calculation between the S1 helix and the pore, in WT and mutants, with and without the drug. This could be shown as a time series or distribution of centre-of-mass distance over time.

      We tried to analyze the distance changes between the upper S1 and the pore domain but failed to see a strong correlation We have removed this statement from the discussion.

      1. Given that all the work were done in the open state channel with PIP2 bound (PDB entry: 6v01), could the author demonstrate, either using docking, or simulations, or alignment, or space-filling models - that the ligand, both DIDS and Mef, would not be able to fit in the binding site of a closed state channel (PDB entry: 6v00). This would help illustrate the point denoted Lines 464-467. "Slowed deactivation of the S1/KCNE1/Pore domain/drug complex... By stabilising the activated complex. MD simulation suggests the latter is most likely the case."

      As of now, a structure representing the closed state of the channel does not exist. 6V00 is the closed inactivated state of the channel pore with voltage-sensors in the activated conformation. In order to create simulation conditions that reliably describe the electrophysiological experiments, at least a good model for closed channels with resting state voltage sensors is necessary.

      1. The author stated that the binding pose changed in one run (lines 317 to 318). Can you comment on those changes? If the pose has changed - what has it changed to? Can you run longer simulations to see if it can reverse back to the initial confirmation? Or will it leave the site completely?

      Longer simulations and trajectory clustering revealed several binding modes, where one pose dominated in approximately 50% of all simulations in Figure 2-figure supplement 3 encircled with a blue frame.

      1. Binding free energy of -32 kcal/mol = -134 kJ/mol. If you try to do dG = -RTlnKd, your lnKd is -52. Your Kd is e^-52, which means it will never unbind if it exists. I am aware that this is the caveat with the methodologies. But maybe these should be highlighted throughout the manuscript.

      We thank the reviewer for this comment. G values, and corresponding Kd values, calculated from simulation of Mef-ps-IKs complex do not reflect the apparent Kd values determined in electrophysiological experiments, nor do they reflect Kd values of drug binding that could be determined in biochemical essays. Important measures are the changes observed in simulations of mutant channel complexes relative to wild type. We now briefly mention this issue in the manuscript.

      Reviewer #1 (Recommendations For The Authors):

      1) It would be nice to have labels of amino acid residues in Figure 2B.

      We updated Figure 2B and added some residue labels.

      2) Fig. 3A and 7A. In what order the current traces are presented? I don't see the rule.

      We have now arranged the current traces in a more orderly manner, listing them first by ascending KCNE1 residue numbers and then by ascending KCNQ1 residue numbers. Now consistent with Fig 3 and 7 (normalized response and delta V1/2).

      3) Line 312 "A44 and Y46 were more so." A44 may be more critical, but I can't see Y46 is more, according to Figure 2-figure supplement2 and Figure 6.

      Indeed, comparison of the energy decomposition data indicates approximately the same ∆G values for Y46. We have revised this in the text correspondingly.

      4) Line 267 "Mefenamic acid..." I would like to see the movie.

      We no longer have access to this original movie

      5) In supplemental movies 5-7, the side chains of some critical amino acid residues (W323, K41) would be better presented as in movies 1-4.

      We have retained the original presentations of these movies as the original files are no longer available.

      Reviewer #2 (Recommendations For The Authors):

      General comments:

      1) To determine the effect of mefenamic acid and DIDS on channel closing kinetics, a protocol in which they step from an activating test pulse to a repolarizing tail pulse to -40 mV for 1 s is used. If I understand it right, the drug response is assessed as the difference in instantaneous tail current amplitude and the amplitude after 1 s (row 599-603). The drug response of each mutant is then normalized to the response of the WT channel. However, for several mutants there is barely any sign of current decay during this relatively brief pulse (1 s) at this specific voltage. To determine drug effects more reliably on channel closing kinetics/the extent of channel closing, I wonder if these protocols could be refined? For instance, to cover a larger set of voltages and consider longer timescales?

      To clarify, the drug response of each mutant is not normalized to the response of the WT channel. In fact, our analysis is not meant to compare mutant and WT tail current decay but rather how isochronal tail current decay is changed in response to drug treatment in each channel construct. As acknowledged by the reviewer, the peak to end difference currents were calculated by subtracting the minimum amplitude of the deactivating current from the peak amplitude of the deactivating current. But the difference current in mefenamic acid or DIDS was normalized to the maximum control (in the absence of drug) difference current and subtracted from 1.0 to obtain the normalized response. Thus, the difference in tail current decay in the absence and in the presence of drug is measured within the same time scale and allow a direct comparison between before and after drug treatment. As shown in Fig 3D and 7C, a large drug response such as the one measured in WT channels is reflected by a value close to 1. A smaller drug response is indicated by low values. We recognize that some mutations resulted in an intrinsic inhibition of tail current decay in the absence of drug, which potentially lead to underestimating the normalized response value. Our goal was not to study in detail the effects of the drug on channel closing kinetics, but only to determine the impact of the mutation on drug binding by using tail current decay as a readout. Consequently, we believe that the duration of the deactivating tail current used in this experiment was sufficient to detect drug-induced tail current decay inhibition.

      2) The effect of mefenamic acid seems to be highly dependent on the pulse-to-pulse interval in the experiments. For instance, for WT in Figure 3 - Figure supplement 1, a 15 s pulse-to-pulse interval provides a -100 mV shift in V1/2 induced by mefenamic acid, whereas there is no shift induced when using a 30 s pulse-to-pulse interval. Can the authors explain why they generally consider a 15 s pulse-to-pulse interval more suitable (physiologically relevant?) in their experiments to assess drug effects?

      In our previous experiments, we have determined that a 15 s inter-pulse interval is generally adequate for the WT IKs channels to fully deactivate before the onset of the next pulse. Consistent with our previous work (Wang et al. 2019), we observed that in wild-type EQ channels, there is no current summation from one pulse to the next one (see Fig 1A, bottom panel). This is important as the IKs channel complex is known to be frequency dependent i.e. current amplitude increases as the inter-pulse interval gets shorter. Such current summation results in a leftward shift of the conductance-voltage (GV) relationship. This is also important with regards to drug effects. As indicated by the reviewer, mefenamic acid effects are prominent with a 15 sec inter-pulse interval but less so with a 30 sec inter-pulse interval when enough time is given for channels to more completely deactivate. Full effects of mefenamic acid would have therefore been concealed with a 30sec inter-pulse interval.

      Moreover, our patch-clamp recordings aim to explore the distinct responses of mutant channels to mefenamic acid and DIDS in comparison to the wild-type channel. It is important to note that the inter-pulse interval's physiological relevance is not necessarily crucial in this context.

      3) Related to comment 1 and 2, there is a large diversity in the intrinsic properties of tested mutants. For instance, V1/2 ranges from 4 to 70 mV. Also, there is large variability in the slope of the G-V curves. Whether channel closing kinetics, or the impact of pulse-to-pulse interval, vary among mutants is not clear. Could the authors please discuss whether the intrinsic properties of mutants may affect their ability to respond to mefenamic acid and DIDS? Also, please provide representative current families and G-V curves for all assessed mutants in supplementary figures.

      The intrinsic properties of some mutants vary from the WT channels and influence their responsiveness to mefenamic acid and DIDS. The impact of the mutations on the IKs channel complex are reflected by changes in V1/2 (Table 1, 4) and tail current decay (Figs. 3, 7). But, it is the examination of the drug effects on these intrinsic properties (i.e. GV curve and tail current decay) that constitutes the primary endpoint of our study. We consider that the degree by which mef and DIDS modify these intrinsic properties reflects their ability to bind or not to the mutated channel. In our analysis, we compared each mutant's response to mefenamic acid and DIDS with its respective control. Consequently, the intrinsic properties of the mutant channels have already been considered in our evaluation. As requested, we have provided representative current families and G-V curves for all assessed mutants in Figure 3-figure supplement 1 and Figure 7-figure supplement 1.

      4) The A44C and Y148C mutants give strikingly different currents in the examples shown in Figure 3 and Figure 7. What is the reason for this? In the examples in figure 7, it almost looks like KCNE1 is absent. Although linked constructs are used, is there any indication that KCNE1 is not co-assembled properly with KCNQ1 in those examples?

      The size of the current is critical to determining its shape, as during the test pulse there is some endogenous current mixed in which impacts shape. A44C and Y148C currents shown in Figure 7 are smaller with a larger contribution of the endogenous current, mostly at the foot of the current trace. In our experience there is little endogenous current in the tail current at -40 mV and for this reason we focus our measurements there.

      Although constructs with tethered KCNQ1 and KCNE1 were used, we cannot rule out the possibility that Q1 and E1 interaction was altered by some of the mutations. Several KCNE1 and KCNQ1 residues have been identified as points of contact between the two subunits. For instance, the KCNE1 loop (position 36-47) has been shown to interact with the KCNQ1 S1-S2 linker (position 140-148) (Wang et al, 2011). Thus, it is conceivable that mutation of one or several of those residues may alter KCNQ1/KCNE1 interaction and modify the activation/deactivation kinetics of the IKs channel complex.

      5) I had a hard time following the details of the simulation approaches used. If not already stated (I could not find it), please provide: i) details on whether the whole channel protein was considered for 4D docking or a docking box was specified, ii) information on how simulations with mutant ps-IKs were prepared (for instance with the K41C mutant), especially whether the in silico mutated channel was allowed to relax before evaluation (and for how long). Also, please make sure that information on simulation time and number of repeats are provided in the Methods section.

      For 4D docking, only residues within 0.8 nm of psKCNE1 residues D39-A44 were selected. Complexes with mutated residues were relaxed using the same protocol as the WT channel, (equilibration with gradually releasing restraints with a final equilibration for 10 ns where only the backbone was constrained with 50 kcal/mol/nm2). We have updated the methods accordingly.

      Specific comments:

      In figure legends, please provide information on whether data represents mean +/- SD or SEM. Also, please provide information on which statistical test was used in each figure.

      We revised the figure legend to add the nature of the statistical test used.

      G-V curves are normalized between 0 and 1. However, for many mutants the G-V relationship does not reach saturation at depolarized voltages. Does this affect the estimated V1/2? I could not really tell as I was not sure how V1/2 was determined for different mutants (could the explanation on row 595-598 be clarified)?

      The primary focus here is in the shift between the control response and drug response for each mutant, rather than the absolute V1/2 values. The isochronal G-V curves that are generated for each construct (WT and mutant) utilize an identical voltage protocol. This approach ensures a uniform comparison among all mutants. By observing the shifts in these curves, we can gain insight into the response of mutant channels to the drug. This information ultimately helps elucidate the inherent properties of the mutant channels and contributes to our understanding of the drug's binding mechanism to the channel.

      As requested by the reviewer, we also clarified the way V1/2 was generated: When the G-V curve did not reach zero, the V1/2 value was directly read from the plot at the voltage point where the curve crossed the 0.5 value on the y coordinate.

      A general comment is that the Discussion is fairly long and some sections are quite redundant to the Results section. The authors could consider focusing the text in the Discussion.

      We changed the discussion correspondingly wherever it was appropriate.

      I found it a bit hard to follow the authors interpretation on whether their drug molecules remain bound throughout the experiments, or whether there is fast binding/unbinding. Please clarify if possible.

      In the 300 ns MD simulations mefenamic acid and DIDS remained stably bound to WT-ps-IKS, binding of drugs to mutant complexes are described in the Table 3 and Table 5. In longer simulations with the channel embedded in a lipid environment, mefenamic acid unbinds in two out of five runs for WT-ps-IKs (Figure 4 – figure supplement 1), and DIDS shows a few events where it briefly unbinds (Figure 6 -figure supplement 3). Based on electrophysiological data we speculate that drugs might bind and unbind to WT-ps-IKs during the gating process. We do not see bind-unbinding in MD simulations, since the model we used in simulations reflects only open conformation of the channel-complex with an activated-state voltage-sensor, whereas a resting-state voltage sensor condition was not considered.

      The authors have previously shown that channels with no, one or two KCNE1 subunits are not, or only to a small extent, affected by mefenamic acid (Wang et al., 2020). Could the details of the binding site and proposed mechanisms of action provide clues as to why all binding sites need to be occupied to give prominent drug effects?

      In the manuscript, we propose that the binding of drugs induces conformational changes in the pocket region that stabilize S1/KCNE1/Pore complex. In the tetrameric channel with 4:4 alpha to beta stoichiometry the drugs are likely to occupy all four sites with complete stabilization of S1/KCNE1/Pore. When one or more KCNE1 subunits is absent, as in case of EQQ, or EQQQQ constructs, drugs will bind to the site(s) where KCNE1 is available. This will lead to stabilization of the only certain part of the S1/KCNE1/Pore complex. We believe that the corresponding effect of the drug, in this case will be partially effective.

      There is a bit of jumping in the order of when some figures are introduced (e.g. row 178 and 239). The authors could consider changing the order to make the figures easier to follow.

      We have changed the corresponding section appropriately to improve the reading flow.

      Row 237: "Data not shown", please show data.

      The G-V curve of the KCNE1 Y46C mutant displays a complex, double Boltzmann relationship which does not allow for the calculation of a meaningful V1/2 nor would it allow for an accurate determination of drug effects. Consequently, we have excluded it from the manuscript.

      In the Discussion, the author use the term "KCNE1/3". Does this correspond to the previous mention of "ps-KCNE1"?

      Yes, this refers to ps-KCNE1. We have changed it correspondingly.

      Row 576: When was HMR 1556 used?

      While HMR 1556 was used in preliminary experiments to confirm that the recorded current was indeed IKs, it does not provide substantial value to the data presented in our study or our experiments. As a result, we have excluded HMR 1556 experiments from the final results and have revised the Methods section accordingly.

      Reviewer #3 (Recommendations For The Authors):

      1) Figures 2D and 6A are very unclear. Can the authors provide labels as text rather than coloured circles, whether the residue is on Q1 or E1? There is also a distance label in the figure in the small font with the faintest shade of grey, which I believe is supposed to be hydrogen bonds. Can this be improved for clarity?

      We feel that additional labels on the ligand diagrams to be more confusing, instead, we updated the description in the legend and added labels to Figure 2B and Figure 6B to improve the clarity of residue positions. In addition, we have added 2 new figures with more detailed information about H-bonds (Figure 2-figure supplement 4, Figure 6- figure supplement 1).

      2) Figure 2B - all side chains need labelling in different binding modes. The green ligand on blue protein is very difficult to see. Suddenly, the ligand turns light blue in panel 2C. Can this be consistent throughout the manuscript?

      Figure 2B is updated according to this comment.

      3) Figure 2 - figure supplement 2, and figure 6B. Can the author show the residue number on the x-axis instead of just the one-letter abbreviation? This requires the reader to count and is not helpful when we try to figure out where the residue is at a glance. I would suggest a structure label adjacent to the plot to show whether they are located with respect to the drug molecule.

      Since the numbers for residues on either end of the cluster are indicated at the bottom of each boxed section, we feel that adding residue numbers would just further clutter the figure.

      4) Figure 2 - figure supplement 2, and Figure 6B. Can you explain what is being shown in the error bar? I assume standard deviation?

      Error bars on Figure 2-figure supplement 2 represent SEM. We added corresponding text in the figure legend.

      5) Figure 2 - figure supplement 2, and figure 6B. Can you explain how many frames are being accounted for in this PBSA calculation?

      For Figure 2- figure supplement 2 and Figure 6B a frame was made every 0.3 ns over 3x300 ns simulation, 1000 frames for each simulation, 3000 frames overall.

      6) Figure 3D/E and 7C/D, it would be helpful to show which mutant show agreeable results with the simulations, PBSA/GBSA and contact analyses as suggested above.

      The inconsistencies and discrepancies between the results of MD simulations and electrophysiological experiments are discussed throughout the manuscript.

      7) Figure legend, figure 3E - I assume that there is a type that is different mutants with respect to those without the drug. Otherwise, how could WT, with respect to WT, has -105 mV dV1/2?

      The reviewer is correct in that the bars indicate the difference in V1/2 between control and drug treatment. Thus, the difference in V1/2 (∆V1/2) between the V1/2 calculated for WT control and the V1/2 for mefenamic acid is indeed -105 mV. We have now revised Figure 3E's legend to accurately reflect this and ensure a clear understanding of the data presented.

      8) Figure 3 - figure supplement 1B is very messy, and I could not extract the key point from it. Can this be plotted on a separate trace? At least 1 WT trace and one mutant trace, 1 with WT+drug and one mut+drug as four separate plots for clarity?

      The key message of this figure is to illustrate the similarities of EQ WT + Mef and EQ L142C data. Thus, after thorough consideration, we have concluded that maintaining the current figure, which displays the progressive G-V curve shift in EQ WT and L142C in a superimposed manner, best illustrates the gradual shift in the G-V curves. This presentation allows for a clearer and more immediate comparison of the curve shifts, which may be more challenging to discern if the G-V curves were separated into individual figures. We believe that the existing format effectively communicates the relevant information in a comprehensive and accessible manner.

      9) Figure 4B - the label Voltage is blended into the orange helix. Can the label be placed more neatly?

      We altered the labels for this figure and added that information in the figure description.

      10) Can you show the numerical label of the residue, at least only to the KCNE1 portion in Figures 4C and 4D?

      We updated these figures and added residue numbering for clarity.

      11) Can you hide all non-polar hydrogen atoms in figure 8 and colour each subunit so that it agrees with the rest of the manuscripts? Can you adjust the position of the side chain so that it is interpretable? Can you summarise this as a cartoon? For example, Q147 and Y148 are in grey and are very far hidden away. So as S298. Can you colour-code your label? The methionine (I assume M45) next to T327 is shown as the stick and is unlabelled. Maybe set the orthoscopic view, increase the lighting and rotate the figures in a more interpretable fashion?

      We agree that Fig.8 is rather small as originally presented. We have tried to emphasize those residues we feel most critical to the study and inevitably that leads to de-emphasis of other, less important residues. As long as the figure is reproduced at sufficient size we feel that it has sufficient clarity for the purposes of the Discussion.

      12) Line 538-539. Can you provide more detail on how the extracellular residues of KCNE3 are substituted? Did you use Modeller, SwissModel, or AlphaFold to substitute this region of the KCNEs?

      We used ICM-pro to substitute extracellular residues of KCNE3 and create mutant variants of the Iks channel. This information is provided in the methods section now.

      13) Line 551: The PIP2 density was solved using cryo-EM, not X-ray crystallography.

      We corrected this.

      14) Line 555: The system was equilibrated for ten ns. In which ensemble? Was there any restraint applied during the equilibration run? If yes, at what force constant?

      The system was equilibrated in NVT and NPT ensembles with restraints. These details are added to methods. In the new simulations, we did equilibrations gradually releasing spatial from the backbone, sidechains, lipids, and ligands. A final 30 ns equilibration in the NPT ensemble was performed with restraint only for backbone atoms with a force constant of 50 kJ/mol/nm2. Methods were edited accordingly.

      15) Line 557: Kelvin is a unit without a degree.

      Corrected

      16) Line 559: PME is an electrostatic algorithm, not a method.

      Corrected

      17) Line 566: Collecting 1000 snapshots at which intervals. Given your run are not equal in length, how can you ensure that these are representative snapshots?

      Please see comment #5.

      18) Table 3 - Why SD for computational data and SEM for experimental data?

      There was no particular reason for using SD in some graphs. We used appropriate statistical tests to compare the groups where the difference was not obvious.

    1. Author response:

      The following is the authors’ response to the original reviews

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      Using lineage tracing and single-cell RNA sequencing, Li et al. reported brain ECs can differentiate into pericytes after stroke. This finding is novel and important to the field.

      Strengths:

      Detailed characterization of each time point and genetic manipulation of genes for study role of ECs and E-pericyte.

      Weaknesses:

      Genetic evidence for lineage tracing of ECs and E-pericytes requires more convincing data that includes staining, FACS, and scRNA-seq analysis.

      We appreciate the reviewer’s recommendation to explore more convincing data, including staining, FACS, and scRNA-seq analysis. We initially employed traditional lineage tracing methods to demonstrate that endothelial cells can transform into pericytes after stroke. We utilized Cdh5CreERT2;Ai47 mice, Tie2-Dre;Mfsd2aCreER;Ai47 mice, and AAV-BI30 virus-infected Ai47 mice. However, in our validation of the transformed cells as pericytes, there are limitations to our results. While three pericyte markers (CD13, NG2, and PDGFRβ) were used in Cdh5CreERT2;Ai47 mice, only one marker (CD13) was applied in Tie2Dre; Mfsd2aCreER;Ai47 and AAV-BI30 virus-infected Ai47 mice. This is insufficient, and the other two pericyte markers (NG2 and PDGFRβ) need to be verified in these models.

      At scRNA-seq, although we observed an increased proportion of pericyte/EGFP<sup>+</sup> cells after stroke, we did not rule out potential contamination by pericyte cells, nor did we include sufficient replicates. To address these issues, we can explore additional methods for analyzing scRNA-seq data, increasing sample replicates, and eliminating pericyte contamination using advanced algorithms. Furthermore, we can use chimeric-related mutations to compare normal endothelial cells, normal pericytes, endothelial-derived pericytes (E-pericytes), and intermediate fibroblast-like cells at the DNA level. This approach will help identify and trace chimeric-related mutations across different cell types and developmental stages. Finally, we can track the entire process of endothelial cell transformation into pericytes using two-photon imaging in vivo.

      Reviewer #2 (Public review):

      Summary:

      In this manuscript, Li and colleagues study the fate of endothelial cells in a mouse model of ischemic stroke. Using genetic lineage tracing approaches, they found that endothelial cells give rise to non-endothelial cells, which they term "E-pericytes." They further show that depleting these cells exacerbates blood-brain barrier leakage and worsens functional recovery. The authors also provide evidence that endothelial-to-mesenchymal transition, myeloid cell-derived TGFβ1, and endothelial TGFβRII are involved in this process. These are potentially interesting findings, however, the experimental evidence that endothelial cells undergo transdifferentiation to non-endothelial cells is weak, as is the evidence that these cells are pericytes. Addressing this foundational weakness will facilitate the interpretation of the other findings.

      Strengths:

      (1) The authors address an important question about blood vessel function and plasticity in the context of stroke.

      (2) The authors use a variety of genetic approaches to understand cell fate in the context of stroke. Particularly commendable is the use of several complementary lineage tracing strategies, including an intersectional strategy requiring both endothelial Cre activity and subsequent mural cell NG2 promoter activity.

      (3) The authors address upstream cellular and molecular mechanisms, including roles for myeloid-derived TGFβ.

      Weaknesses:

      (1) The authors use Cdh5-CreERT2; Ai47 mice to permanently label endothelial cells and their progeny with eGFP. They then isolate eGFP<sup>+</sup> cells from control and MCAO RP7D and RP34D brains, and use single-cell RNA-seq to identify the resulting cell types. Theoretically, all eGFP<sup>+</sup> cells should be endothelial cells or their progeny. This is a very powerful and well-conceived experiment. The authors use the presence of a pericyte cluster as evidence that endothelial-to-pericyte transdifferentiation occurs. However, pericytes are also present in the scRNA-seq data from sham mice, as are several other cell types such as fibroblasts and microglia. This suggests that pericytes and these other cell types might have been co-purified (e.g., as doublets) with eGFP<sup>+</sup> endothelial cells during FACS and may not themselves be eGFP<sup>+</sup>. Pericyte-endothelial doublets are common in scRNA-seq given that these cell types are closely and tightly associated. Additionally, tight association (e.g., via peg-socket junctions) can cause fragments of endothelial cells to be retained on pericytes (and vice-versa) during dissociation. Finally, it is possible that after stroke or during the dissociation process, endothelial cells lyse and release eGFP that could be taken up by other cell types. All of these scenarios could lead to the purification of cells that were not derived (transdifferentiated) from endothelial cells. The authors note that the proportion of pericytes increased in the stroke groups, but it does not appear this experiment was replicated and thus this conclusion is not supported by statistical analysis. The results of pseudotime and trajectory analyses rely on the foundation that the pericytes in this dataset are endothelial-derived, which, as discussed above, has not been rigorously demonstrated.

      Thank you for your thoughtful comment.

      Indeed, we face the challenge of obtaining pure cells. As the reviewer has pointed out, several factors may contribute to cell contamination. For instance, the meninges of adult mice are difficult to remove completely, which may lead to fibroblast contamination. Although Cdh5CreERT2 can specifically label endothelial cells in the normal brain parenchyma, there may still be very few unspecific cells in certain brain regions, such as the choroid plexus and periventricular areas, resulting in the presence of ependymal cells. To address these issues, we can improve our methodology by carefully removing the meninges, choroid plexus, and periventricular cells during sample preparation. Additionally, we need to increase the N of the transcriptome samples to enhance the reliability of our data.

      (2) I have the same concern regarding the inadvertent purification of cells that were not derived from endothelial cells in the context of the bulk RNA-seq experiment (Figure S4), especially given the sample-to-sample variability in gene expression in the RP34D, eGFP<sup>+</sup> non-ECs-group (e.g., only 2/5 samples are enriched for mesenchymal transcription factor Tbx18, only 1/5 samples are enriched for mural cell TF Heyl). If the sorted eGFP<sup>+</sup> non-ECs were pericytes, I would expect a strong and consistent pericyte-like gene expression profile.

      This is an interesting question.

      Indeed, significant differences were observed in the expression of pericyte-related transcriptional profiles within the eGFP<sup>+</sup> non-ECs group. For instance, transcription factors such as Hic1 and Fosl1 were nearly absent in the eGFP<sup>+</sup> non-ECs group. We propose several potential explanations for these observations:

      (1) The sorted eGFP<sup>+</sup> non-ECs group may contain other cell types, leading to contamination.

      (2) The eGFP<sup>+</sup> non-ECs group may not uniformly express all pericyte-related transcriptional profiles.

      (3) The temporal dynamics of transcription factor expression (i.e., different factors being expressed at different stages) could contribute to the observed variability.

      (4) The heterogeneity in the timing of endothelial-to-pericyte transformation (i.e., some cells have already transformed into pericytes while others are in the process of transformation at the early stage) may result in significant differences in transcriptional profiles.

      (3) The authors use immunohistochemistry to understand localization, morphology, and marker expression of eGFP<sup>+</sup> cells in situ. The representative "E-pericytes" shown in Figure 3A-D are not associated with blood vessels, and the authors' quantification also shows that the majority of such cells are not vessel-associated ("avascular"). By definition, pericytes are a component of blood vessels and are embedded within the vascular basement membrane. Thus, concluding that these cells are pericytes ("E-pericytes") may be erroneous.

      Yes, we found that 72.2% of E-pericytes were free and not associated with blood vessels. Normally, pericytes surround blood vessels and connect to endothelial cells. However, in certain diseases, such as Alzheimer's disease, stroke, and diabetic encephalopathy, pericytes can detach from blood vessels. In our stroke model, we observed that pericytes detach from blood vessels. This phenomenon can be explained by two possible scenarios:

      (1) After endothelial cells transform into E-pericytes, the E-pericytes detach from blood vessels due to the pathological environment following stroke.

      (2) After stroke, blood vessel function is impaired, leading to vascular degeneration. Endothelial cells shed from the blood vessels and subsequently transform into E-pericytes.

      Therefore, preventing pericyte detachment from blood vessels after stroke represents an important scientific challenge.

      (4) CD13 flow cytometry and immunohistochemistry are used extensively to identify pericytes. In the context of several complementary lineage tracing strategies noted in Strength #2, CD13 immunohistochemistry is the only marker used to identify putative pericytes (Figure S3J-M). In stroke, CD13 is not specific to pericytes; dendritic cells and other monocyte-derived cells express CD13 (Anpep) in mouse brain after stroke (PMID: 38177281, https://anratherlab.shinyapps.io/strokevis/).

      We thank the reviewer for their valuable input. In the context of stroke, CD13 is not specific to pericytes. Additionally, pericytes lack a single specific marker; instead, their identity is determined by a combination of multiple markers. To more convincingly validate the identity of pericytes, it is necessary to incorporate additional pericyte markers alongside several complementary lineage tracing strategies.

      (5) The authors conclude that "EC-specific overexpression of the Tgfbr2 protein by a virus (Tgfbr2) decreases Evans blue leakage, promotes CBF recovery, alleviates neurological deficits and facilitates spontaneous behavioral recovery after stroke by increasing the number of E-pericytes." All data in Figure 10, however, compare endothelial Tgfbr2 overexpression to a DsRed overexpression control. There is no group in which Tgfbr2 is overexpressed but "E-pericytes" are eliminated with DTA (this is done in Figure 9B, but this experiment lacks the Tgfbr2 overexpression-only control). Thus, the observed functional outcomes cannot be ascribed to "E-pericytes"; it remains possible that endothelial Tgfbr2 overexpression affects EB leakage, CBF, and behavior through alternative mechanisms.

      We thank the reviewer for their valuable comment. Although in Figures 9A-B, we observed no significant difference in Evans blue leakage between the Tgfbr2 overexpression group and the Tgfbr2 overexpression + DTA group (P=0.8153), this suggests that the impact of Tgfbr2 overexpression on the blood-brain barrier (BBB) is primarily attributed from the E-pericytes generated by Tgfbr2 expression. Furthermore, in Figure 10A, the inclusion of the Tgfbr2 overexpression + DTA group would provide stronger evidence that the effects of Tgfbr2 overexpression on the BBB and neurobehavioral outcomes are mainly due to the E-pericytes derived from Tgfbr2 expression.

      (6) Single-cell and bulk RNA-seq data are not available in a public repository (such as GEO). Depositing these data would facilitate their independent reevaluation and reuse.

      Thank you for the suggestion and we have uploaded Single-cell and bulk RNA-seq data (The assignment of GEO number is pending).

      Reviewer #3 (Public review):

      Summary:

      The data and experiments presented in that study convincingly show that a subpopulation of endothelial cells undergo transformation into pericyte-like cells after stroke in mice. These so-called "E-pericytes" are protective and might present a new target for stroke recovery. The authors used a huge battery of different techniques and modified signaling pathways and cellular interactions using several genetic and pharmacological tools to show that TGFbeta and EndoMT are causes of this transformation.

      Strengths:

      The amount of different genetic and pharmacological approaches in combination with sophisticated techniques such as single-cell RNAseq is impressive and convincing. The results support their conclusions and the authors achieved their aims. The findings will strongly impact the field of cerebrovascular recovery after stroke and might open up new therapeutic targets.

      Weaknesses:

      The written and graphic presentation of the findings needs substantial improvement. Language editing is strongly recommended (there are a lot of spelling and grammatical errors in the text and illustrations, including legends).

      Thank you for raising this important point and we will place greater emphasis on the written and graphic presentation of the findings.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      In this study, Li et al. reported that endothelial cells in the brain can differentiate into pericytes to promote the restoration of blood-brain barrier (BBB) function after stroke. Understanding the mechanisms underlying BBB restoration post-stroke is crucial to the field. Using lineage tracing, RNA sequencing (RNA-seq), and immunostaining, Li et al. detected the transdifferentiation of endothelial cells (ECs) into E-pericytes in the middle cerebral artery occlusion (MCAO) model. The specific knockout of Tgfbr2 in ECs reduced the number of E-pericytes, exacerbated BBB leakage, and worsened neurological deficits. This observation of EC to pericyte differentiation is novel; however, the conclusions at this stage are not fully supported by the evidence provided.

      (1) The authors claimed, based on the EdU assay, that 12.9% of pericytes present at RP34D originated from self-proliferation, while the origin of the remaining 27.6% of new pericytes remains unclear. This raises concerns, as the EdU assay is not 100% efficient in detecting all proliferating cells. If EdU<sup>+</sup> ECs account for fewer than 10% of all ECs, it follows that other EdU-ECs must have alternative origins.

      That is an interesting question. To address this issue, we need to consider the following aspects:

      (1) The EdU assay is not 100% efficient in detecting all proliferating cells, which means that the actual proportion of proliferating pericytes may be higher than 12.9%, while the proportion of pericytes from other sources may be lower than 27.6% (as determined by FACS). This is consistent with the observation in Figure 3H (immunofluorescence analysis), where EGFP<sup>+</sup> pericytes accounted for only 24.5% of all pericytes.

      (2) The dose of EdU administered in our study was relatively high (200 mg/kg, intraperitoneal injection, daily), which may increase the efficiency of EdU labeling.

      (3) When EdU<sup>+</sup> endothelial cells (ECs) constitute less than 10% of all ECs, it does suggest that EdU-ECs could be a source of pericytes. However, at least EdU<sup>+</sup> ECs cannot transform into pericytes, as we did not detect any EdU<sup>+</sup>EGFP<sup>+</sup> pericytes.

      (2) The reference for Cdh5CreERT2 is cited as 25, which is a review article published in ATVB. This review lists many different drivers, and the specific Cdh5CreERT2 line used in this study is not identified. This specificity is critical for accurate lineage tracing of ECs.

      Although the review I mentioned did not address this, the specificity of Cdh5CreERT2 in the brain has been demonstrated in other studies (Boyé K, et al. Nat Commun. 2022 Mar 4;13(1):1169; Patel A, et al. Proc Natl Acad Sci U S A. 2024 Dec 3;121(49):e2322124121). We have further confirmed that Cdh5CreERT2 specifically labels endothelial cells in the brain parenchyma (Figure S1). Additionally, we found nonspecific labeling in the blood (less than 1% CD45+ blood cells, primarily myeloid cells) and meninges outside the brain parenchyma. We ruled out nonspecific transdifferentiation labeling in the blood through bone marrow reconstitution experiments and in the meninges using in vivo two-photon imaging (results not shown).

      (3) The scRNA-seq data should include GFP signals to track the increasing number of pericytes from early to late stages post-injury. This is the only independent method from staining to verify that the pericytes are indeed derived from GFP<sup>+</sup> ECs after brain injury. Sham samples should be utilized as strict side-by-side controls.

      This is a valuable suggestion. We observed that, despite being positive for EGFP protein, only 50% of the sorted cells expressed the EGFP gene at the transcriptome level. This phenomenon has also been reported in other studies (Rodor J,et al a. Cardiovasc Res. 2022 Aug 24;118(11):2519-2534.). For these reasons, we did not rely on GFP signals to track the increase in pericyte numbers from early to late stages post-injury.

      (4) Since Ai47 is employed, there are three different variants of green fluorescent proteins, including ZsGreen, which may result in signals being spotted in the staining. The GFP signal detected could also represent dead cells that have lost CD31 expression.

      The detected GFP signal could also originate from dead cells that have lost CD31 expression, which is a plausible explanation. As shown in Figure 3I, EGFP<sup>+</sup> non-ECs peak at RP14D and then decline, suggesting that some EGFP<sup>+</sup> non-ECs either die or revert to endothelial cells (ECs). Therefore, it cannot be ruled out that we captured some dead EGFP<sup>+</sup> non-ECs; however, as indicated in Figure 3I, this proportion is likely less than 25%. Additionally, pericytes are prone to death in ischemic and hypoxic environments (Figure 1A), which explains why some of the transformed EGFP<sup>+</sup> non-ECs may die. Nevertheless, at RP514D, we can still detect EGFP<sup>+</sup> non-ECs, indicating that a subset of these cells can survive for an extended period (Figure S3F).

      (5) The quality of the staining images is not convincing, as some non-ECs and ECs are in close proximity, leading to potential artifacts in signal interpretation. The reviewer cannot rely solely on single staining techniques to be convinced of EC differentiation into pericytes. Although it has been reported that ECs can differentiate into pericytes during development, this phenomenon in the adult brain is surprising; thus, more rigorous evidence with strong lineage tracing data should be provided through multiple measurements.

      Why some non-ECs and ECs are located nearby:

      (1) Non-ECs exhibit characteristics of pericytes, which are typically adjacent to ECs.

      (2) Could this proximity lead to potential artifacts in signal interpretation? We believe this is unlikely, as we also observed a significant number of non-ECs located far from ECs on blood vessels (Figure 3A-B, Figure S3M).

      (3) Three pericyte markers (CD13, NG2, and PDGFRβ) were also used to verify the transformed cells, while the three pericyte markers were not expressed in normal endothelial cells.

      (6) FACS (Fluorescence-activated cell sorting) should be employed to quantitatively assess the contribution of GFP<sup>+</sup> ECs to pericytes at each stage after injury, compared to sham controls.

      Yes, if the contribution of GFP<sup>+</sup> ECs to pericytes could be assessed at each time point, the role of E-pericytes in the pericyte pool could be better explained, and the proportion of E-pericytes would become more prominent. In Figure 3, we did not use FACS to evaluate the contribution of GFP<sup>+</sup> ECs to pericytes at each stage post-injury. Instead, we only assessed the ratio of EGFP<sup>+</sup> non-ECs to all EGFP<sup>+</sup> cells. However, we did verify the contribution of GFP<sup>+</sup> ECs (E-pericytes) to pericytes at RP34D using FACS (CD13+ DsRed/CD13 = 25.6%, Figure 4C). This ratio is consistent with the immunofluorescence data (Figure 3H).

      (7) In Tie2Dre;Mfsd2aCrexER;Ai47 mice, ECs in the brain are specifically labeled, indicating that ECs could give rise to CD13+ EGFP<sup>+</sup> non-ECs at RP34D (Figure S3L). However, the GFP signal for Ai47 is not homogeneous, displaying many spotted patterns. Using tdTomato as an alternative for detection could enhance clarity.

      We repeated the experiment using tdTomato as the reporter gene in mice and observed results consistent with those obtained using Ai47 as the reporter gene. For consistency, all results presented are based on Ai47. Regarding the spotted patterns observed with Ai47, this phenomenon can be attributed to the relatively low laser intensity (2%). Higher laser intensity would cause overexposure of EGFP<sup>+</sup> ECs. To address the issue of spotted patterns in Ai47 imaging, we can improve the visualization of complete cell morphology (as shown in Figure S3M) by increasing the gain value, which enhances the background signal.

      (8) The data concerning the genetic ablation of pericytes lacks specificity. There is insufficient evidence to support that DTA is specifically expressed in E-pericytes. The authors should utilize DTR (Diphtheria Toxin Receptor) and confirm that DTR expression is restricted to pericytes derived from GFP<sup>+</sup> ECs. Treatment with diphtheria toxin, but not PBS as a control, should specifically ablate these E-pericytes without affecting any other GFP-pericytes in the brain following injury.

      We did not verify that DTA expression was restricted to E-pericytes. To ensure that DTA is only expressed in converted E-pericytes, we employed two strategies:

      (1) Specific Targeting of Endothelial Cells: We used the AAV-BI30 virus to specifically infect endothelial cells. Although not 100% exclusive, 98.5% of the expression occurred in endothelial cells, with minimal infection in neurons and microglia. Additionally, we combined this with Cdh5CreERT2 to control the DIO action in the virus. This means that only endothelial cells expressing both Cdh5CreERT2 and infected with AAV-BI30 could undergo cell fate changes and transform into pericytes, subsequently expressing markers such as NG2 and driving DTA expression in E-pericytes (Figure 4A).

      (2) Validation of DTA Expression: To prevent off-target expression of DTA in other cell types, we plan to verify DTA protein expression using specific antibodies to confirm whether DTA is expressed in unintended cells. Alternatively, as suggested, we could utilize the Diphtheria Toxin Receptor (DTR) system. By ensuring that DTR expression is restricted to pericytes derived from GFP<sup>+</sup> ECs, treatment with diphtheria toxin would specifically ablate these E-pericytes without affecting other GFP- pericytes in the brain post-injury.

      (9) There is currently no convincing genetic data demonstrating that Tgfb signaling overexpression or deletion modulates the transdifferentiation of ECs to pericytes.

      Yes, this is an important consideration. Although we knocked out the TGFβ receptor in endothelial cells (ECs) and observed a reduction in the formation of E-pericytes (Figure 6D and 6G), it would be more informative to specifically knockout the Tgfb gene in myeloid cells or monocyte-macrophage lineages to determine whether these cells are the primary source of TGFβ driving endothelial cell transformation. Additionally, injecting TGFβ protein directly into the brains of mice could help explore whether exogenous TGFβ promotes the formation of E-pericytes.

      Reviewer #2 (Recommendations for the authors):

      (1) Figure 1D, there does not appear to be a clear PDGFRβ-positive population. In this case, it is necessary to include the negative control that served as the basis for drawing the positive gate.

      Author response image 1 below show the negative control for CD31 and PDGFRβ.

      Author response image 1.

      (2) Figures 3A-D, Figures S3J-M, the authors statistically compare % negative to % positive. It appears % negative = 100% - % positive. If this is the case, these groups are not independent and should not be statistically compared.

      This is a very important point, and such a comparison is not appropriate. The statistical comparison mentioned above has now been removed.

      (3) Figure 4B, in addition to the cells indicated with arrows, there is a substantial additional DsRed+ signal of similar intensity in this image. It would be helpful to show a negative control.

      Author response image 2 below show the contralateral and ipsilateral, respectively. In the contralateral, DsRed has few signals, no complete cell morphology, and is separated from the Hoechst+ nucleus. in the ipsilateral, DsRed signals are strong, have intact cell morphology, and are tightly bound to the Hoechst+ nucleus. In the ipsilateral, some DsRed signals may come from dying cells.

      Author response image 2.

      (4) Figure 6G, the y-axis title is "E-pericytes/all EGFP<sup>+</sup> cells (%)" but the y-axis scale goes from 0 to 900. Is this an error?

      Thank you. We want to calculate the number of pericytes per unit area, it should be E-pericyte/mm2.

      (5) Figure 9B, in the representative images, the 6th group is labeled "Tgfb2 + DTA" but in the plot below, the 6th group is labeled Tgfbr2 + DsRed. Which is correct?

      Thank you. The "Tgfb2 + DTA" is right. We have changed it to "Tgfb2 + DTA" in the 6th group, Figure 9B.

      (6) Figure S1I, error bars and/or individual data points should be shown.

      The purpose of this diagram is to demonstrate the number of mice in which EGFP<sup>+</sup> cells are 100% co-labeled with endothelial markers (CD31, ERG, GLUT1, and VE-Cadherin), as EGFP<sup>+</sup> cells are exclusively found in endothelial cells within the brain parenchyma. Additionally, the diagram illustrates the number of mice in which EGFP<sup>+</sup> cells show no co-labeling (0%) with mural cell markers (CD13, PDGFRβ, α-SMA, and NG2), as EGFP<sup>+</sup> cells are not present in mural cells within the brain parenchyma.

      (7) The authors write: "When Tgfbr2 was overexpressed and DTA was expressed specifically in the same ECs, DTA prevented the EC-specific overexpression of the Tgfbr2 gene and increased the proportion of E-pericytes.". The authors' strategy for DTA expression involves the NG2 promoter, which, in principle, is not active in ECs. Thus how can DTA be "expressed specifically in the same ECs" and how can DTA "prevent EC-specific overexpression" of Tgfbr2?

      Our purpose is not clearly expressed. The statement should be revised to: “When Tgfbr2 was overexpressed to increase E-pericytes and DTA was expressed in transformed cells to deplete E-pericytes, we found that there was no significant change in the number of E-pericytes in the Tgfbr2 + DTA group compared with the DTA group.”

      (8) The interpretation of Evans blue leakage as "low molecular weight" leakage should be revised since Evans blue binds serum albumin and thus it is the molecular weight of this complex (~67 kDa) that is relevant.

      We agree with the reviewer. Yes, it should not be stated that Evans blue is low molecular weight, as it binds to serum albumin to form complexes. The text has been revised to: “Interestingly, no obvious leakage of dextran-rhodamine B (~70 kDa) (Figure S8C) or Texas Red (~71 kDa) was detected (Figure S8D). However, the elimination of E-pericytes allowed evans blue and trypan blue to cross the blood-brain barrier (BBB).”

      (9) It is critical that the sequencing data be made available through a public repository (such as GEO).

      Thank you. Now we've uploaded it to GEO.

      (10) It would be extremely helpful if the authors would make their viral plasmids available through a public repository (such as Addgene).

      Thank you. Now we've uploaded it to Addgene (The assignment of Addgene number is pending).

      Reviewer #3 (Recommendations for the authors):

      (1) The distribution and expression of pericytic and fibroblast markers at different time points after stroke is confusing while reading the manuscript, e.g., vimentin is not expressed on day 34 but on day 8, whereas CD13 is expressed on day 34 but not on day 8, if I understood the text correctly. To make it easier to follow, the authors could add a label of the day after stroke to each of the subfigures which show images and co-expression of different markers (e.g. Figures 3 and S3).

      Below are the expressions of different specific markers in each cell.

      “√” stand for positive, “×” stand for positive

      Author response table 1.

      (2) The authors need to check the N numbers again, e.g., Figure S3L: 4 dots per group are shown in the graph but an N of 3 is mentioned in the legend.

      Thank you for raising this important point. N=4 has been corrected in the legend of Figure 3S. We also checked other N numbers.

      (3) Labelling of graphs should be consistent (e.g., S4C: "I-ECs" vs. S4F: "Ipsi-ECs") and correct (e.g., "DsRed" instead of "DeRed" in Figure 4B).

      Yes, we need a uniform name with "Ipsi-ECs" and "DsRed". Thank you.

      (4) Figure 4: In the text, the injection is described to be done on day 34 whereas in Figure 4A the injections are described to take place before MCAO, please clarify. Does day 34 mean 34 days after injection or after MCAO (as in the former experiments)?

      In the text, the sentence, “Then we used AAV2/9-BI30-NG2 promoter-DIO-DTA (DTA) to deplete E-pericytes at RP34D (Figure 4D),” could be misinterpreted as suggesting that the virus was injected at RP34D. To avoid confusion, it has been revised to: “We used the AAV2/9-BI30-NG2 promoter-DIO-DTA (DTA) virus, which was injected before MCAO (Figure 4A), to deplete E-pericytes (Figure 4D).” Yes, day 34 means 34 days after injection or after MCAO and we unify to 34 days.

      (5) Some images are too dark to recognize clear structures and prove the findings (e.g., Figure S6B).

      Thank you for raising this important point.

      (6) There is no Figure S8D (as mentioned in the text).

      Thank you for raising this important point. This problem has been corrected.

      (7) Figure S9: the text only states, that Tgfbr2 overexpression increases CBF recovery and effective perfusion. Also with the legend, it is not clear what was done and measured, especially in Figure S9B - what do the graphs show? Also, the y-axis labeling is missing for the traces.

      In Figure S9A, we assessed changes in blood flow using laser speckle imaging. Laser speckle imaging relies on random interference patterns formed by scattered light when a laser strikes tissue. Moving red blood cells alter the contrast of the speckle pattern: faster blood flow results in quicker speckle changes and lower contrast, while slower blood flow leads to slower speckle changes and higher contrast. By analyzing these changes in speckle contrast, blood flow dynamics can be evaluated in real-time and non-invasively.

      In Figure S9B, we measured blood flow changes using Laser Doppler flowmetry. When a laser interacts with flowing blood, the moving red blood cells scatter the light, causing a frequency shift (Doppler shift). Faster blood flow results in a greater frequency shift, while slower blood flow leads to a smaller frequency shift. By detecting the frequency shift of the scattered light, blood flow velocity and changes can be measured in real time and non-invasively. In Laser Doppler Flowmetry (LDF), the unit of the vertical axis is typically Perfusion Units (PU). PU is a relative unit used to represent changes in blood flow rather than absolute blood flow velocity. These methods have now been further explained in the diagram.

      (8) Which regions of the brain were used to take images (e.g., to count neurons)?

      We captured images and quantified neurons in the cortex and striatum of the brain. Our statistical analysis further demonstrated that, at RP34D, the presence of E-pericytes in the brain does not exhibit region-specificity. Instead, the formation of E-pericytes is driven by TGFβ1, which is regulated by immune cells. Ultimately, the distribution and activity of these immune cells are influenced by the severity of ischemia and hypoxia.

      (9) The sentence "Protein C receptor-expressing (Procr+) ECs could give rise to de novo formation of ECs and pericytes in the mammary gland13." is repeated almost identically in three different places in the text. However, whether Procr+ cells are involved in the described transdifferentiation or whether "E-pericytes" do express the protein C receptor is not shown and needs additional investigation.

      The reason for referencing this literature is to highlight that endothelial cells (ECs) during breast development can give rise to pericytes, which serves as background knowledge supporting our research. To further explore this phenomenon in brain, we used ProcrCreERT2;Ai47 mice subjected to MCAO (middle cerebral artery occlusion) to investigate whether Procr+ ECs could transform into pericytes, similar to what occurs in mammary glands. However, since ProcrCreERT2 labels not only ECs but also pericytes in the brain, the results did not achieve our goal and were therefore not included in the study.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      Summary:  

      This paper investigates the relationship between ocular drift - eye movements long thought to be random - and visual acuity. This is a fundamental issue for how vision works. The work uses adaptive optics retinal imaging to monitor eye movements and where a target object is in the cone photoreceptor array. The surprising result is that ocular drift is systematic - causing the object to move to the center of the cone mosaic over the course of each perceptual trial. The tools used to reach this conclusion are state-of-the-art and the evidence presented is convincing.

      Strengths  

      P1.1. The central question of the paper is interesting, as far as I know, it has not been answered in past work, and the approaches employed in this work are appropriate and provide clear answers.

      P1.2. The central finding - that ocular drift is not a completely random process - is important and has a broad impact on how we think about the relationship between eye movements and visual perception.

      P1.3. The presentation is quite nice: the figures clearly illustrate key points and have a nice mix of primary and analyzed data, and the writing (with one important exception) is generally clear.

      Thank you for your positive feedback.

      Weaknesses

      P1.4. The handling of the Nyquist limit is confusing throughout the paper and could be improved. It is not clear (at least to me) how the Nyquist limit applies to the specific task considered. I think of the Nyquist limit as saying that spatial frequencies above a certain cutoff set by the cone spacing are being aliased and cannot be disambiguated from the structure at a lower spatial frequency. In other words, there is a limit to the spatial frequency content that can be uniquely represented by discrete cone sampling locations. Acuity beyond that limit is certainly possible with a stationary image - e.g. a line will set up a distribution of responses in the cones that it covers, and without noise, an arbitrarily small displacement of the line would change the distribution of cone responses in a way that could be resolved. This is an important point because it relates to whether some kind of active sampling or movement of the detectors is needed to explain the spatial resolution results in the paper. This issue comes up in the introduction, results, and discussion. It arises in particular in the two Discussion paragraphs starting on line 343.

      We thank you for pointing out a possible confusion for readers. Overall, we contrast our results to the static Nyquist limit because it is generally regarded as the upper limit of resolution acuity. We updated our text in a few places, especially the Discussion, and added a reference to make our use of the Nyquist limit clearer.

      We agree with the reviewer of how the Nyquist limit is interpreted within the context of visual structure. If visual structure is under-sampled, it is not lost, but creates new, interfered visual structure at lower spatial frequency. For regular patterns like gratings, interference patterns may emerge akin to Moire patterns, which have been shown to occur in the human eye, and which form is based on the arrangement and regularity of the photoreceptor mosaic (Williams, 1985). We note however that the successful resolution of the lower frequency pattern does not necessarily carry the same structural information, specifically, orientation, and the aliased structure might indeed mask the original stimulus. Please compare Figure 1f where we show individual static snapshots of such aliased patterns, especially visible when the optotypes are small (towards the lower right of the figure). We note that theoretical work predicts that with prior knowledge about the stimulus, even such static images might be possible to de-alias (Ruderman & Bialek, 1992). We added this to our manuscript.   

      We think the reviewer’s following point about the resolution of a line position, is only partially connected to the first, however. In our manuscript we note in the Introduction that resolution of the relative position of visual objects is a so called hyperacuity phenomenon. The fact that it occurs in humans and other animals demonstrates that visual brains have come up with neuronal mechanisms to determine relative stimulus position with sub-Nyquist resolution. The exact mechanism is however not fully clear. One solution is that relative cone signal intensities could be harnessed, similar as is employed technically, e.g. in a quadrant-cell detector. Its positional precision is much higher than the individual cell’s size (or Nyquist limit), predominantly determined by the detector’s sensitivity and to a lesser degree its size. On the other hand, such detector, being hyperacute with object location, would not have the same resolution as, for instance, letter-E orientation discrimination. 

      Note that in all the above occasions, a static image-sensor-relationship is assumed. In our paper, we were aiming to convey, like others did before, that a moving stimulus may give rise to sub-Nyquist structural resolution, beyond what is already known for positional acuity and hence, classical hyperacuity. 

      Based on the data shown in this manuscript and other experimental data currently collected in the lab, it seems to us that eye movements are indeed the crucial point in achieving sub-Nyquist resolution. For example, ultra-short presentation durations, allowing virtually no retinal slip, push thresholds close to the Nyquist limit and above. Furthermore, with AOSLO stimulation, it is possible to stabilize a stimulus on the retina, which would be a useful tool studying this hypothesis. Our current level of stabilization is however not accurate enough to completely mitigate retinal image motion in the foveola, where cells are smallest, and transients could occur. From what we observe and other studies that looked at resolution thresholds at more peripheral retinal locations, we would predict that foveolar resolution of a perfectly stabilized stimulus would be indeed limited by the Nyquist limit of the receptor mosaic.

      P1.5. One question that came up as I read the paper was whether the eye movement parameters depend on the size of the E. In other words, to what extent is ocular drift tuned to specific behavioral tasks?

      This is an interesting question. Yet, the experimental data collected for the current manuscript does not contain enough dispersion in target size to give a definitive answer, unfortunately. A larger range of stimulus sizes and especially a similar number of trials per size would be required. Nonetheless, when individual trials were re-grouped to percentiles of all stimulus sizes (scaled for each eye individually), we found that drift length and directionality was not significantly different between any percentile group of stimulus sizes (Wilcoxon sign rank test, p > 0.12, see also Figure R1). Our experimental trials started with a stimulus demanding visual acuity of 20/16 (logMAR = -0.1), therefore all presented stimulus sizes were rather close to threshold. The high visual demand in this AO resolution task might bring the oculomotor system to a limit, where ocular drift length can’t be decreased further. However, with the limitation due to the small range of stimulus sizes, further investigations would be needed. Given this and that this topic is also ongoing research in our lab where also more complex dynamics of FEM patterns are considered, we refrain from showing this analysis in the current manuscript.  

      Author response image 1.

      Drift length does not depend on stimulus sizes close to threshold. All experimental trials were sorted by stimulus size and then grouped into percentiles for each participant (left). Additionally, 10 % of trials with stimulus sizes just above or below threshold are shown for comparison (right). For each group, median drift lengths (z-scored) are shown as box and whiskers plot. Drift length was not significantly different across groups.  

      Reviewer #2 (Public Review):

      Summary:

      In this work, Witten et al. assess visual acuity, cone density, and fixational behavior in the central foveal region in a large number of subjects.

      This work elegantly presents a number of important findings, and I can see this becoming a landmark work in the field. First, it shows that acuity is determined by the cone mosaic, hence, subjects characterized by higher cone densities show higher acuity in diffraction-limited settings. Second, it shows that humans can achieve higher visual resolution than what is dictated by cone sampling, suggesting that this is likely the result of fixational drift, which constantly moves the stimuli over the cone mosaic. Third, the study reports a correlation between the amplitude of fixational motion and acuity, namely, subjects with smaller drifts have higher acuities and higher cone density. Fourth, it is shown that humans tend to move the fixated object toward the region of higher cone density in the retina, lending further support to the idea that drift is not a random process, but is likely controlled. This is a beautiful and unique work that furthers our understanding of the visuomotor system and the interplay of anatomy, oculomotor behavior, and visual acuity.

      Strengths:

      P2.1. The work is rigorously conducted, it uses state-of-the-art technology to record fixational eye movements while imaging the central fovea at high resolution and examines exactly where the viewed stimulus falls on individuals' foveal cone mosaic with respect to different anatomical landmarks in this region. The figures are clear and nicely packaged. It is important to emphasize that this study is a real tour-de-force in which the authors collected a massive amount of data on 20 subjects. This is particularly remarkable considering how challenging it is to run psychophysics experiments using this sophisticated technology. Most of the studies using psychophysics with AO are, indeed, limited to a few subjects. Therefore, this work shows a unique set of data, filling a gap in the literature.

      Thank you, we are very grateful for your positive feedback.

      Weaknesses:

      P2.2. No major weakness was noted, but data analysis could be further improved by examining drift instantaneous direction rather than start-point-end-point direction, and by adding a statistical quantification of the difference in direction tuning between the three anatomical landmarks considered.

      Thank you for these two suggestions. We now show the development of directionality with time (after the first frame, 33 ms as well as 165 ms, 330 ms and 462 ms), and performed a Rayleigh test for non-uniformity of circular data. Please also see our response to comment R2.4.

      Briefly, directional tuning was already visible at 33 ms after stimulus onset and continuously increases with longer analysis duration. Directionality is thus not pronounced at shorter analysis windows. These results have been added to the text and figures (Figure 4 - figure supplement 1).

      The statistical tests showed that circular sample directionality was not uniformly distributed for all three retinal locations. The circular average was between -10 and 10 ° in all cases and the variance was decreasing with increasing time (from 48.5 ° to 34.3 ° for CDC, 49.6 ° to 38.6 ° for PRL and 53.9 ° to 43.4 for PCD location, between frame 2 and 15). As we have discussed in the paper, we would expect all three locations to come out as significant, given their vicinity to the CDC (which is systematic in the case of PRL, and random in the case of PCD, see also comment R2.2).        

      Reviewer #3 (Public Review):

      Summary:

      The manuscript by Witten et al., titled "Sub-cone visual resolution by active, adaptive sampling in the human foveola," aims to investigate the link between acuity thresholds (and hyperacuity) and retinal sampling. Specifically, using in vivo foveal cone-resolved imaging and simultaneous microscopic photostimulation, the researchers examined visual acuity thresholds in 16 volunteers and correlated them with each individual's retinal sampling capacity and the characteristics of ocular drift.

      First, the authors found that although visual acuity was highly correlated with the individual spatial arrangement of cones, for all participants, visual resolution exceeded the Nyquist sampling limit - a well-known phenomenon in the literature called hyperacuity.

      Thus, the researchers hypothesized that this increase in acuity, which could not be explained in terms of spatial encoding mechanisms, might result from exploiting the spatiotemporal characteristics of visual input, which is continuously modulated over time by eye movements even during so-called fixations (e.g., ocular drift).

      Authors reported a correlation between subjects, between acuity threshold and drift amplitude, suggesting that the visual system benefits from transforming spatial input into a spatiotemporal flow. Finally, they showed that drift, contrary to the traditional view of it as random involuntary movement, appears to exhibit directionality: drift tends to move stimuli to higher cone density areas, therefore enhancing visual resolution.

      Strengths:

      P3.1. The work is of broad interest, the methods are clear, and the results are solid.

      Thank you.

      Weaknesses:

      P3.2. Literature (1/2): The authors do not appear to be aware of an important paper published in 2023 by Lin et al. (https://doi.org/10.1016/j.cub.2023.03.026), which nicely demonstrates that (i) ocular drifts are under cognitive influence, and (ii) specific task knowledge influences the dominant orientation of these ocular drifts even in the absence of visual information. The results of this article are particularly relevant and should be discussed in light of the findings of the current experiment.

      Thank you for pointing to this important work which we were aware of. It simply slipped through during writing. It is now discussed in lines 390-393. 

      P3.3. Literature (2/2): The hypothesis that hyperacuity is attributable to ocular movements has been proposed by other authors and should be cited and discussed (e.g., https://doi.org/10.3389/fncom.2012.00089, https://doi.org/10.10

      Thank you for pointing us towards these works which we have now added to the Discussion section. We would like to stress however, that we see a distinction between classical hyperacuity phenomena (Vernier, stereo, centering, etc.) as a form of positional acuity, and orientation discrimination.  

      P3.4. Drift Dynamic Characterization: The drift is primarily characterized as the "concatenated vector sum of all frame-wise motion vectors within the 500 ms stimulus duration.". To better compare with other studies investigating the link between drift dynamics and visual acuity (e.g., Clark et al., 2022), it would be interesting to analyze the drift-diffusion constant, which might be the parameter most capable of describing the dynamic characteristics of drift.

      During our analysis, we have computed the diffusion coefficient (D) and it showed qualitatively similar results to the drift length (see figures below). We decided to not show these results, because we are convinced that D is indeed not the most capable parameter to describe the typical drift characteristic seen here. The diffusion coefficient is computed as the slope of the mean square displacement (MSD). In our view, there are two main issues with applying this metric to our data, one conceptual, one factual:

      (1) Computation of a diffusion coefficient is based upon the assumption that the underlying movement is similar to a random walk process. From a historical perspective, where drift has been regarded as more random, this makes sense. We also agree that D can serve as a valuable metric, depending on the individual research question. In our data, however, we clearly show that drift is not random, and a metric quantifying randomness is thus ill-defined. 

      (2) We often observed out- and in-type motion traces, i.e. where the eye somewhat backtracks from where it started. Traces in this case are equally long (and fast) as other motion will be with a singular direction, but D would in this case be much smaller, as the MSD first increases and then decreases. In reality, the same number of cones would have been traversed as with the larger D of straight outward movement, albeit not unique cones. For our current analyses, the drift length captures this relationship better.

      Author response image 2.

      Diffusion coefficient (D) and the relation to visual acuity (see Figure 3 e-g for comparison to drift length). a, D was strongly correlated between fellow eyes. b, Cone density and D were not significantly correlated. c, The median D had a moderate correlation with visual acuity thresholds in dominant as well as non-dominant eyes. Dominant eyes are indicated by filled, nondominant eyes by open markers.

      We would like to put forward that, in general, better metrics are needed, especially in respect to the visual signals arising from the moving eye. We are actively looking into this in follow-up work, and we hope that the current manuscript might spark also others to come up with new ways of characterizing the fine movements of the eye during fixation.

      P3.5. Possible inconsistencies: Binocular differences are not expected based on the hypothesis; the authors may speculate a bit more about this. Additionally, the fact that hyperacuity does not occur with longer infrared wavelengths but the drift dynamics do not vary between the two conditions is interesting and should be discussed more thoroughly.

      Binocularity: the differences in performance between fellow eyes is rather subtle, and we do not have a firm grip on differences other than the cone mosaic and fixational motor behavior between the two eyes. We would rather not speculate beyond what we already do, namely that some factor related to the development of ocular dominance is at play. What we do show with our data is that cone density and drift patterns seem to have no part in it.  

      Effect of wavelength: even with the longer 840 nm wavelength, most eyes resolve below the Nyquist limit, with a general increase in thresholds (getting worse) compared to 788 nm. As we wrote in the manuscript, we assume that the increased image blur and reduced cone contrast introduced by the longer wavelength are key to why there is an overall reduction in acuity. No changes were made to the manuscript. As a more general remark, we would not consider the sub-Nyquist performances seen in our data to be a hyperacuity, although technically it is. The reason is that hyperacuity is usually associated with stimuli that require resolving positional shifts, and not orientation. There is a log unit of difference between thresholds in these tasks.  

      P3.6. As a Suggestion: can the authors predict the accuracy of individual participants in single trials just by looking at the drift dynamics?

      That’s a very interesting point that we indeed currently look at in another project. As a comment, we can add that by purely looking at the drift dynamics in the current data, we could not predict the accuracy (percent correct) of the participant. When comparing drift length or diffusion coefficients between trials with correct or false response, we do not observe a significant difference. Also, when adding an anatomical correlate and compare between trials where sampling density increases or decreases, there is no significant trend. We think that it is a more complex interplay between all the influencing factors that can perhaps be met by a model considering all drift dynamics, photoreceptor geometry and stimulus characteristics.   

      No changes were made to the manuscript.

      Recommendations for the authors:

      Reviewing Editor (Recommendations For The Authors):

      As you will see, the reviewers were quite enthusiastic about your work, but have a few issues for your consideration. We hope that this is helpful. We'll consider any revisions in composing a final eLife assessment.

      Reviewer #1 (Recommendations For The Authors):

      R1.1:  Discussion of myopia. Myopia takes a fair bit of space in the Discussion, but the paper does not include any subjects that are sufficiently myopic to test the predictions. I would suggest reducing the amount of space devoted to this issue, and instead making the prediction that myopia may help with resolution quickly. The introduction (lines 54-56) left me expecting a test of this hypothesis, and I think similarly that issue could be left out of the introduction.

      We have removed this part from the Introduction and shortened the Discussion.  

      R1.2: Line 118: define CDC here.

      Thank you for pointing this out, it is now defined at this location.  

      R1.3: Line 159-162: suggest breaking this sentence into two. This sentence also serves as a transition to the next section, but the wording suggests it is a result that is shown in the prior section. Suggest rewording to make the transition part clear. Maybe something like "Hence the spatial arrangement of cones only partially ... . Next we show that ocular motion and the associated ... are another important factor."

      Text was changed as suggested.  

      R1.4.: Figure 3: The retina images are a bit hard to see - suggest making them larger to take an entire row. As a reader, I also was wondering about the temporal progression of the drift trajectories and the relation to the CDC. Since you get to that in Figure 4, you could clarify in the text that you are starting by analyzing distance traveled and will return to the issue of directed trajectories.

      Visibility was probably an issue during the initial submission and review process where images were produced at lower resolution. The original figures are of sufficient resolution to fully appreciate the underlying cone mosaic and will later be able to zoom in the online publication.  

      We added a mention of the order of analysis in the Results section (LL 163-165)

      R1.5: Line 176: define "sum of piecewise drift amplitude" (e.g. refer to Figure where it is defined).

      We refer to this metric now as the drift length (as pointed out rightfully so by reviewer #2), and added its definition at this location.   

      R1.6: Lines 205-208: suggest clarifying this sentence is a transition to the next section. As for the earlier sentence mentioned above, this sounds like a result rather than a transition to an issue you will consider next.

      This sentence was changed to make the transition clearer. 

      R1.7: Line 225: suggest starting a new paragraph here.

      Done as suggested

      Reviewer #2 (Recommendations For The Authors):

      I don't have any major concerns, mostly suggestions and minor comments.

      R2.1: (1) The authors use piecewise amplitude as a measure of the amount of retinal motion introduced by ocular drift. However, to me, this sounds like what is normally referred to as the path length of a trace rather than its amplitude. I would suggest using the term length rather than amplitude, as amplitude is normally considered the distance between the starting and the ending point of a trace.

      This was changed as suggested throughout the manuscript. 

      R2.2: (2) It would be useful to elaborate more on the difference between CDC and PCD, I know the authors do this in other publications, but to the naïve reader, it comes a bit as a surprise that drift directionality is toward the CDC but less so toward the PCD. Is the difference between these metrics simply related to the fact that defining the PCD location is more susceptible to errors, especially if image quality is not optimal? If indeed the PCD is the point of peak cone density, assuming no errors or variability in the estimation of this point, shouldn't we expect drift moving stimuli toward this point, as the CDC will be characterized by a slightly lower density? I.e., is the absence of a PCD directionality trend as strong as the trend seen for the CDC simply the result of variability and error in the estimate of the PCD or it is primarily due to the distribution of cone density not being symmetrical around the PCD?

      Thank you for this comment. We already refer in the Methods section to the respective papers where this difference is analyzed in more detail, and shortly discuss it here.

      To briefly answer the reviewer’s final question: PCD location is too variable, and ought to be avoided as a retinal landmark. While we believe there is value in reporting the PCD as a metric of maximum density, it has been shown recently (Reiniger et al., 2021; Warr et al., 2024; Wynne et al., 2022) and is visible in our own (partly unpublished) data, that its location will change with changing one or more of these factors: cone density metric, window size or cone quantity selected, cone annotation quality, image quality (e.g. across days), individual grader, annotation software, and likely more. Each of these factors alone can change the PCD location quite drastically, all while of course, the retina does not change. The CDC on the other hand, given its low-pass filtering nature, is immune to the aforementioned changes within a much wider range and will thus reflect the anatomical and, shown here, functional center of vision, better. However, there will always be individual eyes where PCD location and the CDC are close, and thus researchers might be inclined to also use the PCD as a landmark. We strongly advise against this. In a way, the PCD is a non-sense location while its dimension, density, can be a valuable metric, as density does not vary that much (see e.g. data on CDC density and PCD density reported in this manuscript).  

      Below we append a direct comparison of PCD vs CDC location stability when only one of the mentioned factors are changed. Sixteen retinas imaged on two different days were annotated and analyzed by the same grader with the same approach, and the difference in both locations are shown.  

      Author response image 3.

      Reproducibility of CDC and PCD location in comparison. Two retinal mosaics which were recorded at two different timepoints, maximum 1 year apart from each other, were compared for 16 eyes. The retinal mosaics were carefully aligned. The retinal locations for CDC and PCD that were computed for the first timepoint were used as the spatial anchor (coordinate center), the locations plotted here as red circles (CDC) and gray diamonds (PCD) represent the deviations that were measured at the second timepoint for both metrics.  

      R2.3.: I don't see a statistical comparison between the drift angle tuning for CDC, PRL, and PCD. The distributions in Figure 4F look very similar and all with a relatively wide std. It would be useful to mark the mean of the distributions and report statistical tests. What are the data shown in this figure, single subjects, all subjects pooled together, average across subjects? Please specify in the caption.

      We added a Rayleigh test to test each distribution for nun-uniformity and Kolmogorov-Smirnov tests to compare the distributions towards the different landmarks.  We added the missing specifications to the figure caption of Figure 4 – figure supplement 1. 

      R2.4: I would suggest also calculating drift direction based on the average instantaneous drift velocity, similarly to what is done with amplitude. From Figure 3B it is clear that some drifts are more curved than others. For curved drifts with small amplitudes the start-point- end-point (SE) direction is not very meaningful and it is not a good representation of the overall directionality of the segment. Some drifts also seem to be monotonic and then change direction (eg. the last three examples from participant 10). In this case, the SE direction is likely quite different from the average instantaneous direction. I suspect that if direction is calculated this way it may show the trend of drifting toward the CDC more clearly.

      In response to this and a comment of reviewer #1, we add a calculation of initial  drift direction (and for increasing duration) and show it in Figure 4 – figure supplement 1. By doing so, we hope to capture initial directionality, irrespective of whether later parts in the path change direction. We find that directionality increases with increasing presentation duration. 

      R2.5: I find the discussion point on myopia a bit confusing. Considering that this is a rather tangential point and there are only two myopic participants, I would suggest either removing it from the discussion or explaining it more clearly.

      We changed this section, also in response to comment R1.1.

      R2.6: I would suggest adding to the discussion more elaboration on how these results may relate to acuity in normal conditions (in the presence of optical aberrations). For example, will this relationship between sampling cone density and visual acuity also hold natural viewing conditions?

      We added only a half sentence to the first paragraph of the discussion. We are hesitant to extend this because there is very likely a non-straightforward relationship between acuity in normal and fully corrected conditions. We would predict that, if each eye were given the same type and magnitude of aberrations (similar to what we achieved by removing them), cone density will be the most prominent factor of acuity differences. Given that individual aberrations can vary substantially between eyes, this effect will be diluted, up to the point where aberrations will be the most important factor to acuity. As an example, under natural viewing conditions, pupil size will dominantly modulate the magnitude of aberrations.

      R2.7: Line 398 - the point on the superdiffusive nature of drift comes out of the blue and it is unclear. What is it meant by "superdiffusive"?

      We simply wanted to express that some drift properties seem to be adaptable while others aren’t. The text was changed at this location to remove this seemingly unmotivated term. 

      R2.8: Although it is true that drift has been assumed to be a random motion, there has been mounting evidence, especially in recent years, showing a degree of control and knowledge about ocular drift (eg. Poletti et al, 2015, JN; Lin et al, 2023, Current Biology).

      We agree, of course. We mention this fact several times in the paper and adjusted some sentences to prevent misunderstandings. The mentioned papers are now cited in the Discussion. 

      R2.9: Reference 23 is out of context and should be removed as it deals with the control of fine spatial attention in the foveola rather than microsaccades or drift.

      We removed this reference. 

      R2.10: Minor point: Figures appear to be low resolution in the pdf.

      This seemed to have been an issue with the submission process. All figures will be available in high resolution in the final online version. 

      R2.11: Figure S3, it would be useful to mark the CDC at the center with a different color maybe shaded so it can be visible also on the plot on the left.

      We changed the color and added a small amount of transparency to the PRL markers to make the CDC marker more visible. 

      R2.12: Figure S2, it would be useful to show the same graphs with respect to the PCD and PRL and maybe highlight the subjects who showed the largest (or smallest) distance between PRL and CDC).

      Please find new Figure 4 supplement 1, which contains this information in the group histograms. Also, Figure 4 supplement 2 is now ordered by the distance PRL-CDC (while the participant naming is kept as maximum acuity exhibited. In this way, it should be possible to infer the information of whether PRL-CDC distance plays a role. For us it does not seem to be crucial. Rather, stimulus onset and drift length were related, which is captured in Figure 4g. 

      R2.13: There is a typo in Line 410.

      We could not find a typo in this line, nor in the ones above and below. “Interindividual” was written on purpose, maybe “intraindividual” was expected? No changes were made to the text. 

      References

      Reiniger, J. L., Domdei, N., Holz, F. G., & Harmening, W. M. (2021). Human gaze is systematically offset from the center of cone topography. Current Biology, 31(18), 4188–4193. https://doi.org/10.1016/j.cub.2021.07.005

      Ruderman, D. L., & Bialek, W. (1992). Seeing Beyond the Nyquist Limit. Neural Computation, 4(5), 682–690. https://doi.org/10.1162/neco.1992.4.5.682

      Warr, E., Grieshop, J., Cooper, R. F., & Carroll, J. (2024). The effect of sampling window size on topographical maps of foveal cone density. Frontiers in Ophthalmology, 4, 1348950. https://doi.org/10.3389/fopht.2024.1348950

      Williams, D. R. (1985). Aliasing in human foveal vision. Vision Research, 25(2), 195–205. https://doi.org/10.1016/0042-6989(85)90113-0

      Wynne, N., Cava, J. A., Gaffney, M., Heitkotter, H., Scheidt, A., Reiniger, J. L., Grieshop, J., Yang, K., Harmening, W. M., Cooper, R. F., & Carroll, J. (2022). Intergrader agreement of foveal cone topography measured using adaptive optics scanning light ophthalmoscopy. Biomedical Optics Express, 13(8), 4445–4454. https://doi.org/10.1364/boe.460821

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews: 

      Reviewer #1 (Public Review): 

      Summary: 

      The manuscript by Mäkelä et al. presents compelling experimental evidence that the amount of chromosomal DNA can become limiting for the total rate of mRNA transcription and consequently protein production in the model bacterium Escherichia coli. Specifically, the authors demonstrate that upon inhibition of DNA replication the single-cell growth rate continuously decreases, in direct proportion to the concentration of active ribosomes, as measured indirectly by single-particle tracking. The decrease of ribosomal activity with filamentation, in turn, is likely caused by a decrease of the concentration of mRNAs, as suggested by an observed plateau of the total number of active RNA polymerases. These observations are compatible with the hypothesis that DNA limits the total rate of transcription and thus translation. The authors also demonstrate that the decrease of RNAp activity is independent of two candidate stress response pathways, the SOS stress response and the stringent response, as well as an anti-sigma factor previously implicated in variations of RNAp activity upon variations of nutrient sources.

      Remarkably, the reduction of growth rate is observed soon after the inhibition of DNA replication, suggesting that the amount of DNA in wild-type cells is tuned to provide just as much substrate for RNA polymerase as needed to saturate most ribosomes with mRNAs. While previous studies of bacterial growth have most often focused on ribosomes and metabolic proteins, this study provides important evidence that chromosomal DNA has a previously underestimated important and potentially rate-limiting role for growth. 

      Thank you for the excellent summary of our work.

      Strengths: 

      This article links the growth of single cells to the amount of DNA, the number of active ribosomes and to the number of RNA polymerases, combining quantitative experiments with theory. The correlations observed during depletion of DNA, notably in M9gluCAA medium, are compelling and point towards a limiting role of DNA for transcription and subsequently for protein production soon after reduction of the amount of DNA in the cell. The article also contains a theoretical model of transcription-translation that contains a Michaelis-Menten type dependency of transcription on DNA availability and is fit to the data. While the model fits well with the continuous reduction of relative growth rate in rich medium (M9gluCAA), the behavior in minimal media without casamino acids is a bit less clear (see comments below). 

      At a technical level, single-cell growth experiments and single-particle tracking experiments are well described, suggesting that different diffusive states of molecules represent different states of RNAp/ribosome activities, which reflect the reduction of growth. However, I still have a few points about the interpretation of the data and the measured fractions of active ribosomes (see below). 

      Apart from correlations in DNA-deplete cells, the article also investigates the role of candidate stress response pathways for reduced transcription, demonstrating that neither the SOS nor the stringent response are responsible for the reduced rate of growth. Equally, the anti-sigma factor Rsd recently described for its role in controlling RNA polymerase activity in nutrient-poor growth media, seems also not involved according to mass-spec data. While other (unknown) pathways might still be involved in reducing the number of active RNA polymerases, the proposed hypothesis of the DNA substrate itself being limiting for the total rate of transcription is appealing. 

      Finally, the authors confirm the reduction of growth in the distant Caulobacter crescentus, which lacks overlapping rounds of replication and could thus have shown a different dependency on DNA concentration. 

      Weaknesses: 

      There are a range of points that should be clarified or addressed, either by additional experiments/analyses or by explanations or clear disclaimers. 

      First, the continuous reduction of growth rate upon arrest of DNA replication initiation observed in rich growth medium (M9gluCAA) is not equally observed in poor media. Instead, the relative growth rate is immediately/quickly reduced by about 10-20% and then maintained for long times, as if the arrest of replication initiation had an immediate effect but would then not lead to saturation of the DNA substrate. In particular, the long plateau of a constant relative growth rate in M9ala is difficult to reconcile with the model fit in Fig 4S2. Is it possible that DNA is not limiting in poor media (at least not for the cell sizes studied here) while replication arrest still elicits a reduction of growth rate in a different way? Might this have something to do with the naturally much higher oscillations of DNA concentration in minimal medium?

      The reviewer is correct that there are interesting differences between nutrient-rich and -poor conditions. They were originally noted in the discussion, but we understand how our original presentation made it confusing. We reorganized the text and figures to better explain our results and interpretations. In the revised manuscript, the data related to the poor media are now presented separately (new Figure 6) from the data related to the rich medium (Figures 1-3).  The total RNAP activity (abundance x active fraction) is significantly reduced in poor media (Figure 6A-B) similarly to rich medium (Figure 3H). Thus, DNA is limiting for transcription across conditions. However, the total ribosome activity in poor media (Figure 6C-D) and thus the growth rate (Figure 6EF) was less affected in comparison to rich media (Figure 2H and 1C). Our interpretation of these results is that while DNA is limiting for transcription in all tested nutrient conditions (as shown by the total active RNAP data), post-transcriptional buffering activities compensate for the reduction in transcription in poor media, thereby maintaining a better scaling of growth rates under DNA limitation. 

      The authors argue that DNA becomes limiting in the range of physiological cell sizes, in particular for M9glCAA (Fig. 1BC). It would be helpful to know by how much (fold-change) the DNA concentration is reduced below wild-type (or multi-N) levels at t=0 in Fig 1B and how DNA concentration decays with time or cell area, to get a sense by how many-fold DNA is essentially 'overexpressed/overprovided' in wild-type cells. 

      We now provide crude estimates in the Discussion section. The revised text reads: “Crude estimations suggest that ≤ 40% DNA dilution is sufficient to negatively affect transcription (total RNAP activity) in M9glyCAAT, whereas the same effect was observed after less than 10% dilution in nutrient-poor media (M9gly or M9ala) (see Materials and Methods).” We obtained these numbers based on calculations and estimates described in the Materials and Methods section and Appendix 1 (Appendix 1 – Table 1).

      Fig. 2: The distribution of diffusion coefficients of RpsB is fit to Gaussians on the log scale. Is this based on a model or on previous work or simply an empirical fit to the data? An exact analytical model for the distribution of diffusion constants can be found in the tool anaDDA by Vink, ..., Hohlbein Biophys J 2020. Alternatively, distributions of displacements are expressed analytically in other tools (e.g., in SpotOn). 

      We use an empirical fit of Gaussian mixture model (GMM) of three states to the data and extract the fractions of molecules in each state. This avoids making too many assumptions on the underlying processes, e.g. a Markovian system with Brownian diffusion. The model in anaDDA (Vink et al.) is currently limited to two-transitioning states with a maximal step number of 8 steps per track for a computationally efficient solution (longer tracks are truncated). Using a short subset of the trajectories is less accurate than using the entire trajectory and because of this, we consider full tracks with at least 9 displacements. Meanwhile, Spot-On supports a three-state model but it is still based on a semi-analytical model with a pre-calculated library of parameters created by fitting of simulated data. Neither of these models considers the effect of cell confinement, which plays a major role in single-molecule diffusion in small-sized cells such as bacteria. For these reasons, we opted to use an empirical fit to the data. We note that the fractions of active ribosomes in WT cells, which we extracted from these diffusion measurements, are consistent with the range of estimates obtained by others using similar or different approaches (Forchhammer and Lindhal 1971; Mohapatra and Weisshaar, 2018; Sanamrad et al., 2014). 

      The estimated fraction of active ribosomes in wild-type cells shows a very strong reduction with decreasing growth rate (down from 75% to 30%), twice as strong as measured in bulk experiments (Dai et al Nat Microbiology 2016; decrease from 90% to 60% for the same growth rate range) and probably incompatible with measurements of growth rate, ribosome concentrations, and almost constant translation elongation rate in this regime of growth rates. Might the different diffusive fractions of RpsB not represent active/inactive ribosomes? See also the problem of quantification above. The authors should explain and compare their results to previous work. 

      We agree that our measured range is somewhat larger than the estimated range from Dai et al, 2016. However, they use different media, strains, and growth conditions. We also note that Dai et al did not make actual measurements of the active ribosome fraction. Instead, they calculate the “active ribosome equivalent” based on a model that includes growth rate, protein synthesis rate, RNA/protein abundance, and the total number of amino acids in all proteins in the cell. Importantly, our measurements show the same overall trend (a ~30% decrease) as Dai et al, 2016. Furthermore, our results are within the range of previous experimental estimates from ribosome profiling (Forchhammer and Lindhal 1971) or single-ribosome tracking (Mohapatra and Weisshaar, 2018; Sanamrad et al., 2014). We clarified this point in the revised manuscript. 

      To measure the reduction of mRNA transcripts in the cell, the authors rely on the fluorescent dye SYTO RNAselect. They argue that 70% of the dye signal represents mRNA. The argument is based on the previously observed reduction of the total signal by 70% upon treatment with rifampicin, an RNA polymerase inhibitor (Bakshi et al 2014). The idea here is presumably that mRNA should undergo rapid degradation upon rif treatment while rRNA or tRNA are stable. However, work from Hamouche et al. RNA (2021) 27:946 demonstrates that rifampicin treatment also leads to a rapid degradation of rRNA. Furthermore, the timescale of fluorescent-signal decay in the paper by Bakshi et al. (half life about 10min) is not compatible with the previously reported rapid decay of mRNA (24min) but rather compatible with the slower, still somewhat rapid, decay of rRNA reported by Hamouche et al.. A bulk method to measure total mRNA as in the cited Balakrishnan et al. (Science 2022) would thus be a preferred method to quantify mRNA. Alternatively, the authors could also test whether the mass contribution of total RNA remains constant, which would suggest that rRNA decay does not contribute to signal loss. However, since rRNA dominates total RNA, this measurement requires high accuracy. The authors might thus tone down their conclusions on mRNA concentration changes while still highlighting the compelling data on RNAp diffusion. 

      Thank you for bringing the Hamouche et al 2021 paper to our attention. To address this potential issue, we have performed fluorescence in situ hybridization (FISH) microscopy using a 16S rRNA probe (EUB338) to quantify rRNA concentration in 1N cells. We found that the rRNA signal only slightly decreases with cell size (i.e., genome dilution) compared to the RNASelect signal (e.g., a ~5% decrease for rRNA signal vs. 50% for RNASelect for a cell size range of 4 to 10 µm2). We have revised the text and added a figure to include the new rRNA FISH data (Figure 4). In addition, as a control, we validated our rRNA FISH method by comparing the intracellular concentration of 16S rRNA in poor vs. rich media (new Figure 4 – Figure supplement 3).

      The proteomics experiments are a great addition to the single-cell studies, and the correlations between distance from ori and protein abundance is compelling. However, I was missing a different test, the authors might have already done but not put in the manuscript: If DNA is indeed limiting the initiation of transcription, genes that are already highly transcribed in non-perturbed conditions might saturate fastest upon replication inhibition, while genes rarely transcribed should have no problem to accommodate additional RNA polymerases. One might thus want to test, whether the (unperturbed) transcription initiation rate is a predictor of changes in protein composition. This is just a suggestion the authors may also ignore, but since it is an easy analysis, I chose to mention it here. 

      We did not find any correlation when we examined the potential relation between RNA slopes and mRNA abundance (from our first CRISPRi oriC time point) or the transcription initiation rate (from Balakrishnan et al., 2022, PMID: 36480614) across genes. These new plots are presented in Figure 7 – Figure supplement 2B. In contrast, we found a small but significant correlation between RNA slopes and mRNA decay rates (from Balakrishnan et al., 2022, PMID: 36480614), specifically for genes with short mRNA lifetimes (new Figure 7F). This effect is consistent with our model prediction (Figure 5 – Figure supplement 2). 

      Related to the proteomics, in l. 380 the authors write that the reduced expression close to the ori might reflect a gene-dosage compensatory mechanism. I don't understand this argument. Can the authors add a sentence to explain their hypothesis? 

      We apologize for the confusion. While performing additional analyses for the revisions, we realized that while the proteins encoded by genes close to oriC tend to display subscaling behavior, this is not true at the mRNA level (new Figure 7 – Figure supplement 3B). In light of this result, we no longer have a hypothesis for the observed negative correlation at the protein level (originally Figure 5D, now Figure 7 – Figure supplement 3A). The text was revised accordingly.  

      In Fig. 1E the authors show evidence that growth rate increases with cell length/area. While this is not a main point of the paper it might be cited by others in the future. There are two possible artifacts that could influence this experiment: a) segmentation: an overestimation of the physical length of the cell based on phase-contrast images (e.g., 200 nm would cause a 10% error in the relative rate of 2 um cells, but not of longer cells). b) timedependent changes of growth rate, e.g., due to change from liquid to solid or other perturbations. To test for the latter, one could measure growth rate as a function of time, restricting the analysis to short or long cells, or measuring growth rate for short/long cells at selected time points. For the former, I recommend comparison of phase-contrast segmentation with FM4-64-stained cell boundaries.

      As the reviewer notes, the small increase in relative growth was just a minor observation that does not affect our story whether it is biologically meaningful or the result of a technical artefact. But we agree with the reviewer that others might cite it in future works and thus should be interpreted with caution.

      An artefact associated with time-dependent changes (e.g. changing from liquid cultures to more solid agarose pads) is unlikely for two reasons. 1. We show that varying the time that cells spend on agarose pads relative to liquid cultures does not affect the cell size-dependent growth rate results (Figure 1 – supplement 5A). 2. We show that the growth rate is stable from the beginning of the time-lapse with no transient effects upon cell placement on agarose pads for imaging (Figure 1 – supplement 1). These results were described in the Methods section where they could easily be missed. We revised the text to discuss these controls more prominently in the Results section.

      As for cell segmentation, we have run simulations and agree with the reviewer that a small overestimation of cell area (which is possible with any cell segmentation methods including ours) could lead to a small increase in relative growth with increasing cell areas (new Figure 1 – Figure supplement 3). Since the finding is not important to our story, we simply revised the text and added the simulation results to alert the readers to the possibility that the observation may be due to a small cell segmentation bias.

      Reviewer #2 (Public Review): 

      In this work, the authors uncovered the effects of DNA dilution on E. coli, including a decrease in growth rate and a significant change in proteome composition. The authors demonstrated that the decline in growth rate is due to the reduction of active ribosomes and active RNA polymerases because of the limited DNA copy numbers. They further showed that the change in the DNA-to-volume ratio leads to concentration changes in almost 60% of proteins, and these changes mainly stem from the change in the mRNA levels. 

      Thank you for the support and accurate summary!

      Reviewer #3 (Public Review): 

      Summary: 

      Mäkelä et al. here investigate genome concentration as a limiting factor on growth.

      Previous work has identified key roles for transcription (RNA polymerase) and translation (ribosomes) as limiting factors on growth, which enable an exponential increase in cell mass. While a potential limiting role of genome concentration under certain conditions has been explored theoretically, Mäkelä et al. here present direct evidence that when replication is inhibited, genome concentration emerges as a limiting factor. 

      Strengths: 

      A major strength of this paper is the diligent and compelling combination of experiment and modeling used to address this core question. The use of origin- and ftsZ-targeted CRISPRi is a very nice approach that enables dissection of the specific effects of limiting genome dosage in the context of a growing cytoplasm. While it might be expected that genome concentration eventually becomes a limiting factor, what is surprising and novel here is that this happens very rapidly, with growth transitioning even for cells within the normal length distribution for E. coli. Fundamentally, it demonstrates the fine balance of bacterial physiology, where the concentration of the genome itself (at least under rapid growth conditions) is no higher than it needs to be. 

      Thank you!

      Weaknesses: 

      One limitation of the study is that genome concentration is largely treated as a single commodity. While this facilitates their modeling approach, one would expect that the growth phenotypes observed arise due to copy number limitation in a relatively small number of rate-limiting genes. The authors do report shifts in the composition of both the proteome and the transcriptome in response to replication inhibition, but while they report a positional effect of distance from the replication origin (reflecting loss of high-copy, origin-proximal genes), other factors shaping compositional shifts and their functional effects on growth are not extensively explored. This is particularly true for ribosomal RNA itself, which the authors assume to grow proportionately with protein. More generally, understanding which genes exert the greatest copy number-dependent influence on growth may aid both efforts to enhance (biotechnology) and inhibit (infection) bacterial growth. 

      We agree but feel that identifying the specific limiting genes is beyond the scope of the study. This said, we carried out additional experiments and analyses to address the reviewer’s comment and identify potential contributing factors and limiting gene candidates. First, we examined the intracellular concentration of 16S ribosomal RNA (rRNA) by rRNA FISH microscopy and found that it decays much slower than the bulk of mRNAs as measured using RNASelect staining (new Figure 4 and Figure 4 – Figure supplements 1 and 3). We found that the rRNA signal is far more stable in 1N cells than the RNASelect signal, the former decreasing by only ~5% versus ~50% for the later in response to the same range of genome dilution (Figure 4C).  Second,  we carried out new correlation analyses between our proteomic/transcriptomic datasets and published genome-wide datasets that report various variables under unperturbed conditions (e.g., mRNA abundance, mRNA degradation rates, fitness cost, transcription initiation rates, essentiality for viability); see new Figure 7E-G and Figure 7 – Figure supplement 2. In the process, we found that genes essential for viability tend, on average, to display superscaling behavior (Figure 7G). This suggests that cells have evolved mechanisms that prioritize expression of essential genes over nonessential ones during DNA-limited growth. Furthermore, this analysis identified a small number of essential genes that display strong negative RNA slopes (Figure 7C, Datasets 1 and 2), indicating that the concentration of their mRNA decreases rapidly relative to the rest of the transcriptome upon genome dilution. These essential genes with strong subscaling behavior are candidates for being growth-limiting. 

      The text and figures were revised to include these new results.

      Overall, this study provides a fundamental contribution to bacterial physiology by illuminating the relationship between DNA, mRNA, and protein in determining growth rate. While coarse-grained, the work invites exciting questions about how the composition of major cellular components is fine-tuned to a cell's needs and which specific gene products mediate this connection. This work has implications not only for biotechnology, as the authors discuss, but potentially also for our understanding of how DNA-targeted antibiotics limit bacterial growth. 

      Thank you!

      Recommendations for the authors:

      Reviewer #2 (Recommendations For The Authors): 

      Below are my comments. 

      (1) I noticed that a paper by Li et al. on biorxiv has found similar results as this work ("Scaling between DNA and cell size governs bacterial growth homeostasis and resource allocation," https://doi.org/10.1101/2021.11.12.468234), including the linear growth of E. coli when the DNA concentration is low. This relevant reference was not cited or discussed in the current manuscript. 

      We agree that authors should cite and discuss relevant peer-reviewed literature. But broadly speaking, we feel that extending this responsibility to all preprints (and by extension any online material) that have not been reviewed is a bit dangerous. It would effectively legitimize unreviewed claims and risk their propagation in future publications. We think that while imperfect, the peer-reviewing process still plays an important role. 

      Regarding the specific 2021 preprint that the reviewer pointed out, we think that the presented growth rate data are quite noisy and that the experiments lack a critical control (multi-N cells), making interpretation difficult. Their report that plasmid-borne expression is enhanced when DNA is severely diluted is certainly interesting and makes sense in light of our measurements that the activities, but not the concentrations, of RNA polymerases and ribosomes are reduced in 1N cells. However, we do not know why this preprint has not yet been published since 2021. There could be many possible reasons for this. Therefore, we feel that it is safer to limit our discussion to peer-reviewed literature.

      (2) I think the kinetic Model B in the Appendix has been studied in previous works, such as Klump & Hwa, PNAS 2008, https://doi.org/10.1073/pnas.0804953105

      Indeed, Klumpp & Hwa 2008 modeled the kinetics of RNA polymerase and promoter association prior to our study. But there is a difference between their model and ours. Their model is based on Michaelis Menten-type (MM) functions in which the RNAP is analogous to the “substrate” and the promoter to the “enzyme” in the MM equation. In contrast, our model uses functions based on the law of mass action (instead of MMtype of function). We have revised the text, included the Klumpp & Hwa 2008 reference, and revised the Materials & Methods section to clarify these points. 

      (3) On lines 284-285, if I understand correctly, the fractions of active RNAPs and active ribosomes are relative to the total protein number. It would be helpful if the authors could mention this explicitly to avoid confusion. 

      The fractions of active RNAPs and active ribosomes are expressed as the percentage of the total RNAPs and ribosomes. We have revised the text to be more explicit. Thank you.

      (4) On line 835, I am not sure what the bulk transcription/translation rate means. I guess it is the maximum transcription/translation rate if all RNAPs/ribosomes are working according to Eq. (1,2). It would be helpful if the authors could explain the meaning of r_1 and r_2 more explicitly. 

      Our apology for the lack of clarity. We have added the following equations:

      (5) Regarding the changes in protein concentrations due to genome dilution, a recent theoretical paper showed that it may come from the heterogeneity in promoter strengths (Wang & Lin, Nature Communications 2021). 

      In the Wang and Lin model, the heterogeneity in promoter strength predicts that the “mRNA production rate equivalent”, which is the mRNA abundance multiplied by the mRNA decay rate, will correlate the RNA slopes. However, we found these two variables to be uncorrelated (see below, The Spearman correlation coefficient ρ was 0.02 with a p-value of 0.24, indicating non-significance (NS).

      Author response image 1.

      The mRNA production rate equivalent (mRNA abundance at the first time point after CRISPRi oriC induction multiplied by the mRNA degradation rate measured by Balakrishnan et al., 2022, PMID: 36480614, expressed in transcript counts per minute) does not correlate (Spearman correlation’s p-value = 0.24) with the RNA slope in 1N-rich cells.  Data from 2570 genes are shown (grey markers, Gaussian kernel density estimation - KDE), and their binned statistics (mean +/- SEM, ~280 genes per bin, orange markers). 

      In addition, we found no significant correlation between RNA slopes and mRNA abundance or transcription initiation rate. These plots are now included in Figure 7E and Figure 7 –Figure supplement 2B. Thus, the promoter strength does not appear to be a predictor of the RNA (and protein) scaling behavior under DNA limitation. 

      Reviewer #3 (Recommendations For The Authors): 

      One general area that could be developed further is analysis of changes in the proteome/transcriptome composition, given that there may be specific clues here as to the phenotypic effects of genome concentration limitation. Specifically: 

      • In Figure 5D, the authors demonstrate an effect of origin distance on sensitivity to replication inhibition, presumably as a copy number effect. However, the authors note that the effect was only slight and postulated a compensatory mechanism. Due to the stability of proteins, one should expect relatively small effects - even if synthesis of a protein stopped completely, its concentration would only decrease twofold with a doubling of cell area (slope = -1, if I'm interpreting things correctly). It would be helpful to display the same information shown in Figure 5D at the mRNA level, since I would anticipate that higher mRNA turnover rates mean that effects on transcription rate should be felt more rapidly. 

      We thank the reviewer for this suggestion. To our surprise, we found that there is no correlation between gene location relative to the origin and RNA slope across genes. This suggests that the observed correlation between gene location and protein slopes does not occur at the mRNA level. Given that we do not have an explanation for the underlying mechanism, we decided to present these data (the original data in Figure 5D and the new data for the RNA slope) in a supplementary figure (Figure 7 – Figure supplement 3).

      • Related to this, did the authors see any other general trends? For example, do highly expressed genes hit saturation faster, making them more sensitive to limited genome concentration? 

      We found that the RNA slopes do not correlate with mRNA abundance or transcription initiation rates. However, they do correlate with mRNA decay. That is, short-lived mRNAs tend to have negative RNA slopes. The new analyses have been added as Figure 7E-F and Figure 7 – Figure supplement 2B. The text has been revised to incorporate this information. 

      • Presumably loss of growth is primarily driven by a subset of genes whose copy number becomes limiting. Previously, it has been reported that there is a wide variety among "essential" genes in their expression-fitness relationship - i.e. how much of a reduction in expression you need before growth is reduced (e.g. PMID 33080209). It would be interesting to explore the shifts in proteome/transcriptome composition to see whether any genes particularly affected by restricted genome concentration are also especially sensitive to reduced expression - overlap in these datasets may reveal which genes drive the loss of growth. 

      This is a very interesting idea – thank you! We did not find a correlation between the protein/RNA slope and the relative gene fitness as previously calculated (PMID 33080209), as shown below.

      Author response image 2.

      The relative fitness of each gene (data by Hawkins et al., 2020, PMID: 33080209, median fitness from the highest sgRNA activity bin) plotted versus the gene-specific RNA and protein slopes that we measured in 1Nrich cells after CRISPRi oriC induction. More than 260 essential genes are shown (262 RNA slopes and 270 protein slopes, grey markers), and their binned statistics (mean +/- SEM, 43-45 essential genes per bin, orange markers). The spearman correlations (ρ) with p-values above 10-3 are considered not significant (NS). In our analyses, we only considered correlations significant if they have a Spearman correlation p-value below 10-10.

      However, while doing this suggested analysis, we noticed that the essential genes that were included in the forementioned study have RNA slopes above zero on average. This led us to compare the RNA slope distributions of essential genes relative to all genes (now included in Figure 7G). We found that they tend to display superscaling behavior (positive RNA slopes), suggesting the existence of regulatory mechanisms that prioritize the expression of essential genes over less important ones when genome concentration becomes limiting for growth.  The text has been revised to include this new information.

      Other suggestions: 

      • In Figure 3 the authors report that total RNAP concentration increases with increasing cytoplasmic volume. This is in itself an interesting finding as it may imply a compensatory mechanism - can the authors offer an explanation for this? 

      We do not have a straightforward explanation. But we agree that it is very interesting and should be investigated in future studies given that this superscaling behavior is common among essential genes. 

      • The explanation of the modeling within the main text could be improved. Specifically, equations 1 and 2, as well as a discussion of models A and B (lines 290-301), do not explicitly relate DNA concentration to downstream effects. The authors provide the key information in Appendix 1, but for a general reader, it would be helpful to provide some intuition within the main text about how genome concentration influences transcription rate (i.e. via 𝛼RNAP).  

      We apologize for the lack of clarity. We have added information that hopefully improves clarity.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This article presents important results describing how the gathering, integration, and broadcasting of information in the brain changes when consciousness is lost either through anesthesia or injury. They provide convincing evidence to support their conclusions, although the paper relies on a single analysis tool (partial information decomposition) and could benefit from a clearer explication of its conceptual basis, methodology, and results. The work will be of interest to both neuroscientists and clinicians interested in fundamental and clinical aspects of consciousness.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      In this paper, Luppi et al., apply the recently developed integrated information decomposition to the question how the architecture of information processing changes when consciousness is lost. They explore fMRI data from two different populations: healthy volunteers undergoing reversible anesthesia, as well as from patients who have long-term disorders of consciousness. They show that, in both populations, synergistic integration of information is disrupted in common ways. These results are interpreted in the context of the SAPHIRE model (recently proposed by this same group), that describes information processing in the brain as being composed of several distinct steps: 1) gatekeeping (where gateway regions introduce sensory information to the global synergistic workspace where 2) it is integrated or "processed" before 3) by broadcast back to to the brain.

      I think that this paper is an excellent addition to the literature on information theory in neuroscience, and consciousness science specifically. The writing is clear, the figures are informative, and the authors do a good job of engaging with existing literature. While I do have some questions about the interpretations of the various information-theoretic measures, all in all, I think this is a significant piece of science that I am glad to see added to the literature.

      One specific question I have is that I am still a little unsure about what "synergy" really is in this context. From the methods, it is defined as that part of the joint mutual information that is greater than the maximum marginal mutual information. While this is a perfectly fine mathematical measure, it is not clear to me what that means for a squishy organ like the brain. What should these results mean to a neuro-biologist or clinician?

      Right now the discussion is very high level, equating synergy to "information processing" or "integrated information", but it might be helpful for readers not steeped in multivariate information theory to have some kind of toy model that gets worked out in detail. On page 15, the logical XOR is presented in the context of the single-target PID, but 1) the XOR is discrete, while the data analyzed here are continuous BOLD signals w/ Gaussian assumptions and 2) the XOR gate is a single-target system, while the power of the Phi-ID approach is the multi-target generality. Is there a Gaussian analog of the single-target XOR gate that could be presented? Or some multi-target, Gaussian toy model with enough synergy to be interesting? I think this would go a long way to making this work more accessible to the kind of interdisciplinary readership that this kind of article with inevitably attract.

      We appreciate this observation. We now clarify that:

      “redundancy between two units occurs when their future spontaneous evolution is predicted equally well by the past of either unit. Synergy instead occurs when considering the two units together increases the mutual information between the units’ past and their future – suggesting that the future of each is shaped by its interactions with the other. At the microscale (e.g., for spiking neurons) this phenomenon has been suggested as reflecting “information modification” 36,40,47. Synergy can also be viewed as reflecting the joint contribution of parts of the system to the whole, that is not driven by common input48.”

      In the Methods, we have also added the following example to provide additional intuition about synergy in the case of continuous rather than discrete variables:

      “As another example for the case of Gaussian variables (as employed here), consider a 2-node coupled autoregressive process with two parameters: a noise correlation c and a coupling parameter a. As c increases, the system is flooded by “common noise”, making the system increasingly redundant because the common noise “swamps” the signal of each node. As a increases, each node has a stronger influence both on the other and on the system as a whole, and we expect synergy to increase. Therefore, synergy reflects the joint contribution of parts of the system to the whole that is not driven by common noise. This has been demonstrated through computational modelling (Mediano et al 2019 Entropy).”

      See below for the relevant parts of Figures 1 and 2 from Mediano et al (2019 Entropy), where Psi refers to the total synergy in the system.

      Author response image 1.

      Strengths

      The authors have a very strong collection of datasets with which to explore their topic of interest. By comparing fMRI scans from patients with disorders of consciousness, healthy resting state, and various stages of propofol anesthesia, the authors have a very robust sample of the various ways consciousness can be perturbed, or lost. Consequently, it is difficult to imagine that the observed effects are merely a quirk of some biophysical effect of propofol specifically, or a particular consequence of long-term brain injury, but do in fact reflect some global property related to consciousness. The data and analyses themselves are well-described, have been previously validated, and are generally strong. I have no reason to doubt the technical validity of the presented results.

      The discussion and interpretation of these results is also very nice, bringing together ideas from the two leading neurocognitive theories of consciousness (Global Workspace and Integrated Information Theory) in a way that feels natural. The SAPHIRE model seems plausible and amenable to future research. The authors discuss this in the paper, but I think that future work on less radical interventions (e.g. movie watching, cognitive tasks, etc) could be very helpful in refining the SAPHIRE approach.

      Finally, the analogy between the PID terms and the information provided by each eye redundantly, uniquely, and synergistically is superb. I will definitely be referencing this intuition pump in future discussions of multivariate information sharing.

      We are very grateful for these positive comments, and for the feedback on our eye metaphor.

      Weaknesses

      I have some concerns about the way "information processing" is used in this study. The data analyzed, fMRI BOLD data is extremely coarse, both in spatial and temporal terms. I am not sure I am convinced that this is the natural scale at which to talk about information "processing" or "integration" in the brain. In contrast to measures like sample entropy or Lempel-Ziv complexity (which just describe the statistics of BOLD activity), synergy and Phi are presented here as quasi-causal measures: as if they "cause" or "represent" phenomenological consciousness. While the theoretical arguments linking integration to consciousness are compelling, is this is right data set to explore them in? For example, the work by Newman, Beggs, and Sherril (nee Faber), synergy is associated with "computation" performed in individual neurons: the information about the future state of a target neuron that is only accessible when knowing both inputs (analogous to the synergy in computing the sum of two dice). Whether one thinks that this is a good approach neural computation or not, it fits within the commonly accepted causal model of neural spiking activity: neurons receive inputs from multiple upstream neurons, integrate those inputs and change their firing behavior accordingly.

      In contrast, here, we are looking at BOLD data, which is a proxy measure for gross-scale regional neural activity, which itself is a coarse-graining of millions of individual neurons to a uni-dimensional spectrum that runs from "inactive to active." It feels as though a lot of inferences are being made from very coarse data.

      We appreciate the opportunity to clarify this point. It is not our intention to claim that Phi-R and synergy, as measured at the level of regional BOLD signals, represent a direct cause of consciousness, or are identical to it. Rather, our work is intended to use these measures similarly to the use of sample entropy and LZC for BOLD signals: as theoretically grounded macroscale indicators, whose empirical relationship to consciousness may reveal the relevant underlying phenomena. In other words, while our results do show that BOLD-derived Phi-R tracks the loss and recovery of consciousness, we do not claim that they are the cause of it: only that an empirical relationship exists, which is in line with what we might expect on theoretical grounds. We have now clarified this in the Limitations section of our revised manuscript, as well as revising our language accordingly in the rest of the manuscript.

      We also clarify that the meaning of “information processing” that we adopt pertains to “intrinsic” information that is present in the system’s spontaneous dynamics, rather than extrinsic information about a task:

      “Information decomposition can be applied to neural data from different scales, from electrophysiology to functional MRI, with or without reference to behaviour 34. When behavioural data are taken into account, information decomposition can shed light on the processing of “extrinsic” information, understood as the translation of sensory signals into behavioural choices across neurons or regions 41,43,45,47. However, information decomposition can also be applied to investigate the “intrinsic” information that is present in the brain’s spontaneous dynamics in the absence of any tasks, in the same vein as resting-state “functional connectivity” and methods from statistical causal inference such as Granger causality 49. In this context, information processing should be understood in terms of the dynamics of information: where and how information is stored, transferred, and modified 34.”

      References:

      (1) Newman, E. L., Varley, T. F., Parakkattu, V. K., Sherrill, S. P. & Beggs, J. M. Revealing the Dynamics of Neural Information Processing with Multivariate Information Decomposition. Entropy 24, 930 (2022).

      Reviewer #2 (Public Review):

      The authors analysed functional MRI recordings of brain activity at rest, using state-of-the-art methods that reveal the diverse ways in which the information can be integrated in the brain. In this way, they found brain areas that act as (synergistic) gateways for the 'global workspace', where conscious access to information or cognition would occur, and brain areas that serve as (redundant) broadcasters from the global workspace to the rest of the brain. The results are compelling and consisting with the already assumed role of several networks and areas within the Global Neuronal Workspace framework. Thus, in a way, this work comes to stress the role of synergy and redundancy as complementary information processing modes, which fulfill different roles in the big context of information integration.

      In addition, to prove that the identified high-order interactions are relevant to the phenomenon of consciousness, the same analysis was performed in subjects under anesthesia or with disorders of consciousness (DOC), showing that indeed the loss of consciousness is associated with a deficient integration of information within the gateway regions.

      However, there is something confusing in the redundancy and synergy matrices shown in Figure 2. These are pair-wise matrices, where the PID was applied to identify high-order interactions between pairs of brain regions. I understand that synergy and redundancy are assessed in the way the brain areas integrate information in time, but it is still a little contradictory to speak about high-order in pairs of areas. When talking about a "synergistic core", one expects that all or most of the areas belonging to that core are simultaneously involved in some (synergistic) information processing, and I do not see this being assessed with the currently presented methodology. Similarly, if redundancy is assessed only in pairs of areas, it may be due to simple correlations between them, so it is not a high-order interaction. Perhaps it is a matter of language, or about the expectations that the word 'synergy' evokes, so a clarification about this issue is needed. Moreover, as the rest of the work is based on these 'pair-wise' redundancy and synergy matrices, it becomes a significative issue.

      We are grateful for the opportunity to clarify this point. We should highlight that PhiID is in fact assessing four variables: the past of region X, the past of region B, the future of region X, and the future of region Y. Since X and Y each feature both in the past and in the future, we can re-conceptualise the PhiID outputs as reflecting the temporal evolution of how X and Y jointly convey information: the persistent redundancy that we consider corresponds to information that is always present in both X and Y; whereas the persistent synergy is information that X and Y always convey synergistically. In contrast, information transfer would correspond to the phenomenon whereby information was conveyed by one variable in the past, and by the other in the future (see Luppi et al., 2024 TICS; and Mediano et al., 2021 arXiv for more thorough discussions on this point). We have now added this clarification in our Introduction and Results, as well as adding the new Figure 2 to clarify the meaning of PhiID terms.

      We would also like to clarify that all the edges that we identify as significantly changing are indeed simultaneously involved in the difference between consciousness and unconsciousness. This is because the Network-Based Statistic differs from other ways of identifying edges that are significantly different between two groups or conditions, because it does not consider edges in isolation, but only as part of a single connected component.

      Reviewer #3 (Public Review):

      The work proposes a model of neural information processing based on a 'synergistic global workspace,' which processes information in three principal steps: a gatekeeping step (information gathering), an information integration step, and finally, a broadcasting step. The authors determined the synergistic global workspace based on previous work and extended the role of its elements using 100 fMRI recordings of the resting state of healthy participants of the HCP. The authors then applied network analysis and two different measures of information integration to examine changes in reduced states of consciousness (such as anesthesia and after-coma disorders of consciousness). They provided an interpretation of the results in terms of the proposed model of brain information processing, which could be helpful to be implemented in other states of consciousness and related to perturbative approaches. Overall, I found the manuscript to be well-organized, and the results are interesting and could be informative for a broad range of literature, suggesting interesting new ideas for the field to explore. However, there are some points that the authors could clarify to strengthen the paper. Key points include:

      (1) The work strongly relies on the identification of the regions belonging to the synergistic global workspace, which was primarily proposed and computed in a previous paper by the authors. It would be great if this computation could be included in a more explicit way in this manuscript to make it self-contained. Maybe include some table or figure being explicit in the Gradient of redundancy-to-synergy relative importance results and procedure.

      We have now added the new Supplementary Figure 1 to clarify how the synergistic workspace is identified, as per Luppi et al (2022 Nature Neuroscience).

      (2) It would be beneficial if the authors could provide further explanation regarding the differences in the procedure for selecting the workspace and its role within the proposed architecture. For instance, why does one case uses the strength of the nodes while the other case uses the participation coefficient? It would be interesting to explore what would happen if the workspace was defined directly using the participation coefficient instead of the strength. Additionally, what impact would it have on the procedure if a different selection of modules was used? For example, instead of using the RSN, other criteria, such as modularity algorithms, PCA, Hidden Markov Models, Variational Autoencoders, etc., could be considered. The main point of my question is that, probably, the RSN are quite redundant networks and other methods, as PCA generates independent networks. It would be helpful if the authors could offer some comments on their intuition regarding these points without necessarily requiring additional computations.

      We appreciate the opportunity to clarify this point. Our rationale for the procedure used to identify the workspace is to find regions where synergy is especially prominent. This is due to the close mathematical relationship between synergistic information and integration of information (see also Luppi et al., 2024 TICS), which we view as the core function of the global workspace. This identification is based on the strength ranking, as per Luppi et al (2022 Nature Neuroscience), which demonstrated that regions where synergy predominates (i.e., our proposed workspace) are also involved with high-level cognitive functions and anatomically coincide with transmodal association cortices at the confluence of multiple information streams. This is what we should expect of a global workspace, which is why we use the strength of synergistic interactions to identify it, rather than the participation coefficient. Subsequently, to discern broadcasters from gateways within the synergistic workspace, we seek to encapsulate the meaning of a “broadcaster” in information terms. We argue that this corresponds with making the same information available to multiple modules. Sameness of information corresponds to redundancy, and multiplicity of modules can be reflected in the network-theoretic notion of participation coefficient. Thus, a broadcaster is a region in the synergistic workspace (i.e., a region with strong synergistic interactions) that in addition has a high participation coefficient for its redundant interactions.

      Pertaining specifically to the use of resting-state networks as modules, indeed our own (Luppi et al., 2022 Nature Neuroscience) and others’ research has shown that each RSN entertains primarily redundant interactions among its constituent regions. This is not surprising, since RSNs are functionally defined: their constituent elements need to process the same information (e.g., pertaining to a visual task in case of the visual network). We used the RSNs as our definition of modules, because they are widely understood to reflect the intrinsic organisation of brain activity into functional units; for example, Smith et al., (2009 PNAS) and Cole et al (2014 Neuron) both showed that RSNs reflect task-related co-activation of regions, whether directly quantified from fMRI in individuals performing multiple tasks, or inferred from meta-analysis of the neuroimaging literature. This is the aspect of a “module” that matters from the global workspace perspective: modules are units with distinct function, and RSNs capture this well. This is therefore why we use the RSNs as modules when defining the participation coefficient: they provide an a-priori division into units with functionally distinct roles.

      Nonetheless, we also note that RSN organisation is robustly recovered using many different methods, including seed-based correlation from specific regions-of-interest, or Independent Components Analysis, or community detection on the network of inter-regional correlations - demonstrating that they are not merely a function of the specific method used to identify them. In fact, we show significant correlation between participation coefficient defined in terms of RSNs, and in terms of modules identified in a purely data-driven manner from Louvain consensus clustering (Figure S4).

      (3) The authors acknowledged the potential relevance of perturbative approaches in terms of PCI and quantification of consciousness. It would be valuable if the authors could also discuss perturbative approaches in relation to inducing transitions between brain states. In other words, since the authors investigate disorders of consciousness where interventions could provide insights into treatment, as suggested by computational and experimental works, it would be interesting to explore the relationship between the synergistic workspace and its modifications from this perspective as well.

      We thank the Reviewer for bringing this up: we now cite several studies that in recent years have applied perturbative approaches to induce transitions between states of consciousness.

      “The PCI is used as a means of assessing the brain’s current state, but stimulation protocols can also be adopted to directly induce transitions between states of consciousness. In rodents, carbachol administration to frontal cortex awakens rats from sevoflurane anaesthesia120, and optogenetic stimulation was used to identify a role of central thalamus neurons in controlling transitions between states of responsiveness121,122. Additionally, several studies in non-human primates have now shown that electrical stimulation of the central thalamus can reliably induce awakening from anaesthesia, accompanied by the reversal of electrophysiological and fMRI markers of anaesthesia 123–128. Finally, in human patients suffering from disorders of consciousness, stimulation of intra-laminar central thalamic nuclei was reported to induce behavioural improvement 129, and ultrasonic stimulation 130,131 and deep-brain stimulation are among potential therapies being considered for DOC patients 132,133. It will be of considerable interest to determine whether our corrected measure of integrated information and topography of the synergistic workspace also restored by these causal interventions.”

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      I would appreciate it if the authors could revisit the figures and make sure that:

      (1) All fonts are large enough to be readable for people with visual impairments (for ex. the ranges on the colorbars in Fig. 2 are unreadably small).

      Thank you: we have increased font sizes.

      (2) The colormaps are scaled to show meaningful differences (Fig. 2A)

      We have changed the color scale in Figure 2A and 2B.

      Also, the authors may want to revisit the references section: some of the papers that were pre-prints at one point have now been published and should be updated.

      Thank you: we have updated our references.

      Minor comments:

      • In Eqs. 2 and 3, the unique information term uses the bar notation ( | ) that is typically indicative of "conditioned on." Perhaps the authors could use a slash notation (e.g. Unq(X ; Z / Y)) to avoid this ambiguity? My understanding of the Unique information is that it is not necessarily "conditioned on", so much as it is "in the context of".

      Indeed, the “|” sign of “conditioning” could be misleading; however, the “/” sign could also be misleading, if interpreted as division. Therefore, we have opted for the “\” sign of “set difference”, in Eq 2 and 3, which is conceptually more appropriate in this context.

      • The font on the figures is a little bit small - for readers with poor eyes, it might be helpful to increase the wording size.

      We have increased font sizes in the figures where relevant.

      • I don't quite understand what is happening in Fig. 2A - perhaps it is a colormap issue, but it seems as though it's just a bit white square? It looks like redundancy is broadly correlated with FC (just based on the look of the adjacency matrices), but I have no real sense of what the synergistic matrix looks like, other than "flat."

      We have now changed the color scale in Figure 2.

      Reviewer #2 (Recommendations For The Authors):

      Besides the issues mentioned in the Public review, I have the following suggestions to improve the manuscript:

      • At the end of the introduction, a few lines could be added explaining why the study of DOC patients and subjects under anesthesia will be informative in the context of this work.

      By comparing functional brain scans from transient anaesthetic-induced unconsciousness and from the persistent unconsciousness of DOC patients, which arises from brain injury, we can search for common brain changes associated with loss of consciousness – thereby disambiguating what is specific to loss of consciousness.

      • On page and in general the first part of Results, it is not evident that you are working with functional connectivity. Many times the word 'connection' is used and sometimes I was wondering whether they were structural or functional. Please clarify. Also, the meaning of 'synergistic connection' or 'redundant connection' could be explained in lay terms.

      Thank you for bringing this up. We have now replaced the word “connection” with “interaction” to disambiguate this issue, further adding “functional” where appropriate. We have also provided, in the Introduction, an intuitive explanation of what synergy and redundancy mean int he context of spontaneous fMRI signals.

      • Figure 2 needs a lot of improvement. The matrix of synergistic interactions looks completely yellow-ish with some vague areas of white. So everything is above 2. What does it mean?? Pretty uninformative. The matrix of redundant connections looks a lot of black, with some red here and there. So everything is below 0.6. Also, what are the meaning and units of the colorbars?.

      We agree: we have increased font sizes, added labels, and changed the color scale in Figure 2. We hope that the new version of Figure 2 will be clearer.

      • Caption of Figure 2 mentions "... brain regions identified as belonging to the synergistic global workspace". I didn't get it clear how do you define these areas. Are they just the sum of gateways and broadcasters, or is there another criterion?

      Regions belonging to the synergistic workspace are indeed the set comprising gateways and broadcasters; they are the regions that are synergy-dominated, as defined in Luppi et al., 2022 Nature Neuroscience. We have now clarified this in the figure caption.

      • In the first lines of page 7, it is said that data from DOC and anesthesia was parcellated in 400 + 54 regions. However, it was said in a manner that made me think it was a different parcellation than the other data. Please make it clear that the parcellation is the same (if it is).

      We have now clarified that the 400 cortical regions are from the Schaefer atlas, and 54 subcortical regions from the Tian atlas, as for the other analysis. The only other parcellation that we use is the Schaefer-232, for the robustness analysis. This is also reported in the Methods.

      • Figure 3: the labels in the colorbars cannot be read, please make them bigger. Also, the colorbars and colorscales should be centered in white, to make it clear that red is positive and blue is negative. O at least maintain consistency across the panels (I can't tell because of the small numbers).

      Thank you: we have increased font sizes, added labels, indicated that white refers to zero (so that red is always an increase, and blue is always a decrease), and changed the color scale in Figure 2.

      • The legend of Figure 4 is written in a different style, interpreting the figure rather than describing it. Please describe the figure in the caption, in order to let the read know what they are looking at.

      We have endeavoured to rewrite the legend of Figure 4 in a style that is more consistent with the other figures.

      • In several parts the 'whole-minus-sum' phi measure is mentioned and it is said that it did not decrease during loss of consciousness. However, I did not see any figure about that nor any conspicuous reference to that in Results text. Where is it?

      We apologise for the confusion: this is Figure S3A, in the Supplementary. We have now clarified this in the text.

      Reviewer #3 (Recommendations For The Authors):

      (1) In the same direction, regarding Fig. 2, in my opinion, it does not effectively aid in understanding the selection of regions as more synergistic or redundant. In panels A) and B), the color scales could be improved to better distinguish regions in the matrices (panel A) is saturated at the upper limit, while panel B) is saturated at the lower limit). Additionally, I suggest indicating in the panels what is being measured with the color scales.

      Thank you: we have increased font sizes, added labels, and changed the color scale in Figure 2.

      (2) When investigating the synergistic core of human consciousness and interpreting the results of changes in information integration measures in terms of the proposed framework, did the authors consider the synergistic workspace computed in HCP data? If the answer is positive, it would be helpful for the authors to be more explicit about it and elaborate on any differences that may be found, as well as the potential impact on interpretation.

      This is correct: the synergistic workspace, including gateways and broadcasters, are identified from the Human Connectome Project dataset. We now clarify this in the manuscript.

      Minors:

      (1) I would suggest improving the readability of figures 2 and 3, considering font size (letters and numbers) and color bars (numbers and indicate what is measured with this scale). In Figure 1, the caption defines steps instead stages that are indicated in the figure.

      Thank you: we have increased font sizes, added labels, and replaced steps with “stages” in Figure 1.

    1. Author response:

      The following is the authors’ response to the original reviews.

      We summarized the main changes:

      (1) In the Introduction part, we give a general definition of habitat fragmentation to avoid confusion, as reviewers #1 and #2 suggested.

      (2) We clarify the two aspects of the observed “extinction”——“true dieback” and “emigration”, as reviewers #2 and #3 suggested.

      (3) In the Methods part, we 1) clarify the reason for testing the temporal trend in colonization/extinction dynamics and describe how to select islands as reviewer #1 suggested; 2) describe how to exclude birds from the analysis as reviewer #2 suggested.

      (4) In the Results part, we modified and rearranged Figure 4-6 as reviewers #1, #2 and #3 suggested.

      (5) In the Discussion part, we 1) discuss the multiple aspects of the metric of isolation for future research as reviewer #3 suggested; 2) provide concrete evidence about the relationship between habitat diversity or heterogeneity and island area and 3) provide a wider perspective about how our results can inform conservation practices in fragmented habitats as reviewer #2 suggested.

      eLife Assessment

      This important study enhances our understanding of how habitat fragmentation and climate change jointly influence bird community thermophilization in a fragmented island system. The evidence supporting some conclusions is incomplete, as while the overall trends are convincing, some methodological aspects, particularly the isolation metrics and interpretation of colonization/extinction rates, require further clarification. This work will be of broad interest to ecologists and conservation biologists, providing crucial insights into how ecosystems and communities react to climate change.

      We sincerely extend our gratitude to you and the esteemed reviewers for acknowledging the importance of our study and for raising these concerns. We have clarified the rationale behind our analysis of temporal trends in colonization and extinction dynamics, as well as the choice of distance to the mainland as the isolation metric. Additionally, we further discuss the multiple aspects of the metric of isolation for future research and provide concrete supporting evidence about the relationship between habitat diversity or heterogeneity and island area.

      Incorporating these valuable suggestions, we have thoroughly revised our manuscript, ensuring that it now presents a more comprehensive and nuanced account of our research. We are confident that these improvements will further enhance the impact and relevance of our work for ecologists and conservation biologists alike, offering vital insights into the resilience and adaptation strategies of communities facing the challenges of climate change.

      Reviewer #1 (Public Review):

      Summary:

      This study reports on the thermophilization of bird communities in a network of islands with varying areas and isolation in China. Using data from 10 years of transect surveys, the authors show that warm-adapted species tend to gradually replace cold-adapted species, both in terms of abundance and occurrence. The observed trends in colonisations and extinctions are related to the respective area and isolation of islands, showing an effect of fragmentation on the process of thermophilization.

      Strengths:

      Although thermophilization of bird communities has been already reported in different contexts, it is rare that this process can be related to habitat fragmentation, despite the fact that it has been hypothesized for a long time that it could play an important role. This is made possible thanks to a really nice study system in which the construction of a dam has created this incredible Thousand Islands lake. Here, authors do not simply take observed presence-absence as granted and instead develop an ambitious hierarchical dynamic multi-species occupancy model. Moreover, they carefully interpret their results in light of their knowledge of the ecology of the species involved.

      Response: We greatly appreciate your recognition of our study system and the comprehensive approach and careful interpretation of results. 

      Weaknesses:

      Despite the clarity of this paper on many aspects, I see a strong weakness in the authors' hypotheses, which obscures the interpretation of their results. Looking at Figure 1, and in many sentences of the text, a strong baseline hypothesis is that thermophilization occurs because of an increasing colonisation rate of warm-adapted species and extinction rate of cold-adapted species. However, there does not need to be a temporal trend! Any warm-adapted species that colonizes a site has a positive net effect on CTI; similarly, any cold-adapted species that goes extinct contributes to thermophilization.

      Thank you very much for these thoughtful comments. The understanding depends on the time frame of the study and specifically, whether the system is at equilibrium. We think your claim is based on this background: if the system is not at equilibrium, then CTI can shift simply by having differential colonization (or extinction) rates for warm-adapted versus cold-adapted species. We agree with you in this case.

      On the other hand, if a community is at equilibrium, then there will be no net change in CTI over time. Imagine we have an archipelago where the average colonization of warm-adapted species is larger than the average colonization of cold-adapted species, then over time the archipelago will reach an equilibrium with stable colonization/extinction dynamics where the average CTI is stable over time. Once it is stable, then if there is a temporal trend in colonization rates, the CTI will change until a new equilibrium is reached (if it is reached).

      For our system, the question then is whether we can assume that the system is or has ever been at equilibrium. If it is not at equilibrium, then CTI can shift simply by having differential colonization (or extinction) rates for warm-adapted versus cold-adapted species. If the system is at equilibrium (at the beginning of the study), then CTI will only shift if there is a temporal change or trend in colonization or extinction rates.

      Habitat fragmentation can affect biomes for decades after dam formation. The “Relaxation effect” (Gonzalez, 2000) refers to the fact that the continent acts as a potential species pool for island communities. Under relaxation, some species will be filtered out over time, mainly through the selective extinction of species that are highly sensitive to fragmentation. Meanwhile, for a 100-hectare patch, it takes about ten years to lose 50% of bird species; The smaller the patch area, the shorter the time required (Ferraz et al., 2003; Haddad et al., 2015). This study was conducted 50 to 60 years after the formation of the TIL, making the system with a high probability of reaching “equilibrium” through “Relaxation effect”(Si et al., 2014). We have no way of knowing exactly whether “equilibrium” is true in our system. Thus, changing rates of colonization-extinction over time is actually a much stronger test of thermophilization, which makes our inference more robust.

      We add a note to the legend of Figure 1 on Lines 781-786:

      “CTI can also change simply due to differential colonization-extinction rates by thermal affinity if the system is not at equilibrium prior to the study. In our study system, we have no way of knowing whether our island system was at equilibrium at onset of the study, thus, focusing on changing rates of colonization-extinction over time presents a much stronger tests of thermophilization.”

      We hope this statement can make it clear. Thank you again for this meaningful question.

      Another potential weakness is that fragmentation is not clearly defined. Generally, fragmentation sensu lato involves both loss of habitat area and changes in the spatial structure of habitats (i.e. fragmentation per se). Here, both area and isolation are considered, which may be slightly confusing for the readers if not properly defined.

      Thank you for reminding us of that. Habitat fragmentation in this study involves both habitat loss and fragmentation per se. We have clarified the general definition in the Introduction on Lines 61-63:

      “Habitat fragmentation, usually defined as the shifts of continuous habitat into spatially isolated and small patches (Fahrig, 2003), in particular, has been hypothesized to have interactive effects with climate change on community dynamics.”

      Reviewer #2 (Public Review):

      Summary:

      This study addresses whether bird community reassembly in time is related to climate change by modelling a widely used metric, the community temperature index (CTI). The authors first computed the temperature index of 60 breeding bird species thanks to distribution atlases and climatic maps, thus obtaining a measure of the species realized thermal niche.

      These indices were aggregated at the community level, using 53 survey transects of 36 islands (repeated for 10 years) of the Thousand Islands Lake, eastern China. Any increment of this CTI (i.e. thermophilization) can thus be interpreted as a community reassembly caused by a change in climate conditions (given no confounding correlations).

      The authors show thanks to a mix of Bayesian and frequentist mixed effect models to study an increment of CTI at the island level, driven by both extinction (or emigration) of cold-adapted species and colonization of newly adapted warm-adapted species. Less isolated islands displayed higher colonization and extinction rates, confirming that dispersal constraints (created by habitat fragmentation per se) on colonization and emigration are the main determinants of thermophilization. The authors also had the opportunity to test for habitat amount (here island size). They show that the lack of microclimatic buffering resulting from less forest amount (a claim backed by understory temperature data) exacerbated the rates of cold-adapted species extinction while fostering the establishment of warm-adapted species.

      Overall these findings are important to range studies as they reveal the local change in affinity to the climate of species comprising communities while showing that the habitat fragmentation VS amount distinction is relevant when studying thermophilization. As is, the manuscript lacks a wider perspective about how these results can be fed into conservation biology, but would greatly benefit from it. Indeed, this study shows that in a fragmented reserve context, habitat amount is very important in explaining trends of loss of cold-adapted species, hinting that it may be strategic to prioritize large habitats to conserve such species. Areas of diverse size may act as stepping stones for species shifting range due to climate change, with small islands fostering the establishment of newly adapted warm-adapted species while large islands act as refugia for cold-adapted species. This study also shows that the removal of dispersal constraints with low isolation may help species relocate to the best suitable microclimate in a heterogenous reserve context.

      Thank you very much for your valuable feedback. We greatly appreciate your recognition of the scientific question to the extensive dataset and diverse approach. In particular, you provided constructive suggestions and examples on how to extend the results to conservation guidance. This is something we can’t ignore in the manuscript. We have added a paragraph to the end of the Discussion, stating how our results can inform conservation, on Lines 339-347:

      ‘Overall, our findings have important implications for conservation practices. Firstly, we confirmed the role of isolation in limiting range shifting. Better connected landscapes should be developed to remove dispersal constraints and facilitate species’ relocation to the best suitable microclimate. Second, small patches can foster the establishment of newly adapted warm-adapted species while large patches can act as refugia for cold-adapted species. Therefore, preserving patches of diverse sizes can act as stepping stones or shelters in a warming climate depending on the thermal affinity of species. These insights are important supplement to the previous emphasis on the role of habitat diversity in fostering (Richard et al., 2021) or reducing (Gaüzère et al., 2017) community-level climate debt.’

      Strength:

      The strength of the study lies in its impressive dataset of bird resurveys, that cover 10 years of continued warming (as evidenced by weather data), 60 species in 36 islands of varying size and isolation, perfect for disentangling habitat fragmentation and habitat amount effects on communities. This distinction allows us to test very different processes mediating thermophilization; island area, linked to microclimatic buffering, explained rates for a variety of species. Dispersal constraints due to fragmentation were harder to detect but confirms that fragmentation does slow down thermophilization processes.

      This study is a very good example of how the expected range shift at the biome scale of the species materializes in small fragmented regions. Specifically, the regional dynamics the authors show are analogous to what processes are expected at the trailing and colonizing edge of a shifting range: warmer and more connected places display the fastest turnover rates of community reassembly. The authors also successfully estimated extinction and colonization rates, allowing a more mechanistic understanding of CTI increment, being the product of two processes.

      The authors showed that regional diversity and CTI computed only by occurrences do not respond in 10 years of warming, but that finer metrics (abundance-based, or individual islands considered) do respond. This highlights the need to consider a variety of case-specific metrics to address local or regional trends. Figure Appendix 2 is a much-appreciated visualization of the effect of different data sources on Species thermal Index (STI) calculation.

      The methods are long and diverse, but they are documented enough so that an experienced user with the use of the provided R script can follow and reproduce them.

      Thank you very much for your profound Public Review. We greatly appreciate your recognition of the scientific question, the extensive dataset and the diverse approach. 

      Weaknesses:

      While the overall message of the paper is supported by data, the claims are not uniformly backed by the analysis. The trends of island-specific thermophilization are very credible (Figure 3), however, the variable nature of bird observations (partly compensated by an impressive number of resurveys) propagate a lot of errors in the estimation of species-specific trends in occupancy, abundance change, and the extinction and colonization rates. This materializes into a weak relationship between STI and their respective occupancy and abundance change trends (Figure 4a, Figure 5, respectively), showing that species do not uniformly contribute to the trend observed in Figure 3. This is further shown by the results presented in Figure 6, which present in my opinion the topical finding of the study. While a lot of species rates response to island areas are significant, the isolation effect on colonization and extinction rates can only be interpreted as a trend as only a few species have a significant effect. The actual effect on the occupancy change rates of species is hard to grasp, and this trend has a potentially low magnitude (see below).

      Thank you very much for pointing out this shortcoming. The R2 between STI and their respective occupancy trends is relatively small (R2\=0.035). But the R2 between STI and their respective abundance change trends are relatively bigger, in the context of Ecology research (R2\=0.123). The R2 between STI and their respective colonization rate (R2\=0.083) and extinction rate trends (R2\=0.053) are also relatively small. Low R2 indicates that we can’t make predictions using the current model, we must notice that except STI, other factors may influence the species-specific occupancy trend. Nonetheless, it is important to notice that the standardized coefficient estimates are not minor and the trend is also significant, indicating the species-specific response is as least related to STI.

      The number of species that have significant interaction terms for isolation (Figure 6) is indeed low. Although there is uncertainty in the estimation of relationships, there are also consistent trends in response to habitat fragmentation of colonization of warm-adapted species and extinction of cold-adapted species. This is especially true for the effect of isolation, where on islands nearer to the mainland, warm-adapted species (15 out of 15 investigated species) increased their colonization probability at a higher rate over time, while most cold-adapted species (21 out of 23 species) increased their extinction probability at a higher rate. We now better highlight these results in the Results and Discussion.

      While being well documented, the myriad of statistical methods used by the authors ampere the interpretation of the figure as the posterior mean presented in Figure 4b and Figure 6 needs to be transformed again by a logit-1 and fed into the equation of the respective model to make sense of. I suggest a rewording of the caption to limit its dependence on the method section for interpretation.

      Thank you for this suggestion. The value on the Y axis indicates the posterior mean of each variable (year, area, isolation and their interaction effects) extracted from the MSOM model, where the logit(extinction rate) or logit(colonization rate) was the response variable. All variables were standardized before analysis to make them comparable so interpretation is actually quite straight forward: positive values indicate positive influence while negative values indicate negative influence. Because the goal of Figure 6 is to display the negative/positive effect, we didn’t back-transform them. Following your advice, we thus modified the caption of Figure 6 (now renumbered as Figure 5, following a comment from Reviewer #3, to move Figure 5 to Figure 4c). The modified title and legends of Figure 5 are on Lines 817-820:

      “Figure 5. Posterior estimates of logit-scale parameters related to cold-adapted species’ extinction rates and warm-adapted species’ colonization rates. Points are species-specific posterior means on the logit-scale, where parameters >0 indicate positive effects (on extinction [a] or colonization [b]) and parameters <0 indicate negative effects...”

      By using a broad estimate of the realized thermal niche, a common weakness of thermophilization studies is the inability to capture local adaptation in species' physiological or behavioral response to a rise in temperature. The authors however acknowledge this limitation and provide specific examples of how species ought to evade high temperatures in this study region.

      We appreciate your recognition. This is a common problem in STI studies. We hope in future studies, researchers can take more details about microclimate of species’ true habitat across regions into consideration when calculating STI. Although challenging, focusing on a smaller portion of its distribution range may facilitate achievement.

      Reviewer #3 (Public Review):

      Summary:

      Juan Liu et al. investigated the interplay between habitat fragmentation and climate-driven thermophilization in birds in an island system in China. They used extensive bird monitoring data (9 surveys per year per island) across 36 islands of varying size and isolation from the mainland covering 10 years. The authors use extensive modeling frameworks to test a general increase in the occurrence and abundance of warm-dwelling species and vice versa for cold-dwelling species using the widely used Community Temperature Index (CTI), as well as the relationship between island fragmentation in terms of island area and isolation from the mainland on extinction and colonization rates of cold- and warm-adapted species. They found that indeed there was thermophilization happening during the last 10 years, which was more pronounced for the CTI based on abundances and less clearly for the occurrence-based metric. Generally, the authors show that this is driven by an increased colonization rate of warm-dwelling and an increased extinction rate of cold-dwelling species. Interestingly, they unravel some of the mechanisms behind this dynamic by showing that warm-adapted species increased while cold-dwelling decreased more strongly on smaller islands, which is - according to the authors - due to lowered thermal buffering on smaller islands (which was supported by air temperature monitoring done during the study period on small and large islands). They argue, that the increased extinction rate of cold-adapted species could also be due to lowered habitat heterogeneity on smaller islands. With regards to island isolation, they show that also both thermophilization processes (increase of warm and decrease of cold-adapted species) were stronger on islands closer to the mainland, due to closer sources to species populations of either group on the mainland as compared to limited dispersal (i.e. range shift potential) in more isolated islands.

      The conclusions drawn in this study are sound, and mostly well supported by the results. Only a few aspects leave open questions and could quite likely be further supported by the authors themselves thanks to their apparent extensive understanding of the study system.

      Strengths:

      The study questions and hypotheses are very well aligned with the methods used, ranging from field surveys to extensive modeling frameworks, as well as with the conclusions drawn from the results. The study addresses a complex question on the interplay between habitat fragmentation and climate-driven thermophilization which can naturally be affected by a multitude of additional factors than the ones included here. Nevertheless, the authors use a well-balanced method of simplifying this to the most important factors in question (CTI change, extinction, and colonization, together with habitat fragmentation metrics of isolation and island area). The interpretation of the results presents interesting mechanisms without being too bold on their findings and by providing important links to the existing literature as well as to additional data and analyses presented in the appendix.

      We appreciate very much for your positive and constructive comments and suggestions. Thank you for your recognition of the scientific question, the modeling approach and the conclusions. 

      Weaknesses:

      The metric of island isolation based on the distance to the mainland seems a bit too oversimplified as in real life the study system rather represents an island network where the islands of different sizes are in varying distances to each other, such that smaller islands can potentially draw from the species pools from near-by larger islands too - rather than just from the mainland. Thus a more holistic network metric of isolation could have been applied or at least discussed for future research. The fact, that the authors did find a signal of island isolation does support their method, but the variation in responses to this metric could hint at a more complex pattern going on in real-life than was assumed for this study.

      Thank you for this meaningful question. Isolation can be measured in different ways in the study region. We chose the distance to the mainland as a measure of isolation based on the results of a previous study. One study in our system provided evidence that the colonization rate and extinction rate of breeding bird species were best fitted using distance to the nearest mainland over other distance-based measures (distance to the nearest landmass, distance to the nearest bigger landmass)(Si et al., 2014). Besides, their results produced almost identical patterns of the relationship between isolation and colonization/extinction rate (Si et al., 2014). That’s why we only selected “Distance to the mainland” in our current analysis and we do find some consistent patterns as expected. The plants on all islands were cleared out about 60 years ago due to dam construction, with all bird species coming from the mainland as the original species pool through a process called “relaxation”. This could be the reason why distance to the nearest mainland is the best predictor.

      We agree with you that it’s still necessary to consider more aspects of “isolation” at least in discussion for future research. In our Discussion, we address these on Lines 292-299:

      “As a caveat, we only consider the distance to the nearest mainland as a measure of fragmentation, consistent with previous work in this system (Si et al., 2014), but we acknowledge that other distance-based metrics of isolation that incorporate inter-island connections could reveal additional insights on fragmentation effects. The spatial arrangement of islands, like the arrangement of habitat, can influence niche tracking of species (Fourcade et al., 2021). Future studies should take these metrics into account to thoroughly understand the influence of isolation and spatial arrangement of patches in mediating the effect of climate warming on species.”

      Further, the link between larger areas and higher habitat diversity or heterogeneity could be presented by providing evidence for this relationship. The authors do make a reference to a paper done in the same study system, but a more thorough presentation of it would strengthen this assumption further.

      Thank you very much for this question. We now add more details about the relationship between habitat diversity and heterogeneity based on a related study in the same system. The observed number of species significantly increased with increasing island area (slope = 4.42, R2 = 0.70, p < .001), as did the rarefied species richness per island (slope = 1.03, R2 = 0.43, p < .001), species density (slope = 0.80, R2 = 0.33, p = .001) and the rarefied species richness per unit area (slope = 0.321, R2 = 0.32, p = .001). We added this supporting evidence on Lines 317-321:

      “We thus suppose that habitat heterogeneity could also mitigate the loss of these relatively cold-adapted species as expected. Habitat diversity, including the observed number of species, the rarefied species richness per island, species density and the rarefied species richness per unit area, all increased significantly with island area instead of isolation in our system (Liu et al., 2020)”

      Despite the general clear patterns found in the paper, there were some idiosyncratic responses. Those could be due to a multitude of factors which could be discussed a bit better to inform future research using a similar study design.

      Thank you for these suggestions. We added a summary statement about the reasons for idiosyncratic responses on Lines 334-338:

      “Overall, these idiosyncratic responses reveal several possible mechanisms in regulating species' climate responses, including resource demands and biological interactions like competition and predation. Future studies are needed to take these factors into account to understand the complex mechanisms by which habitat loss meditates species range shifts.”

      Reviewer #1 (Recommendations For The Authors):

      (1) Figure 1: I disagree that there should be a temporal trend in colonisation/extinction dynamics.

      Thank you again for these thoughtful comments. We have explained in detail in the response to the Public Review.

      (2) L 485-487: As explained before I disagree. I don't see why there needs to be a temporal trend in colonization and extinction.

      Thank you again for these thoughtful comments. Because we can’t guarantee that the study system has reached equilibrium, changing rates of colonization-extinction over time is actually a much stronger test of thermophilization. More detailed statement can be seen in the response to the Public Review.

      (3) L 141: which species' ecological traits?

      Sorry for the confusion. The traits included continuous variables (dispersal ability, body size, body mass and clutch size) and categorical variables (diet, active layer, residence type). Specifically, we tested the correlation between STI and dispersal ability, body size, body mass and clutch size using Pearson correlation test. We also tested the difference in STI between different trait groups using the Wilcoxon signed-rank test for three Category variables: diet (carnivorous/ omnivorous/ herbivory), active layer (canopy/mid/low), and residence type (resident species/summer visitor). There is no significant difference between any two groups for each of the three category variables (p > 0.2). We added these on Lines 141-145:

      “No significant correlation was found between STI and species’ ecological traits; specifically, the continuous variables of dispersal ability, body size, body mass and clutch size (Pearson correlations for each, |r| < 0.22), and the categorial variables of diet (carnivorous/omnivorous/herbivory), active layer (canopy/mid/low), and residence type (resident species/summer visitor)”

      (4) L 143: CTIoccur and CTIabun were not defined before.

      Because CTIoccur and CTIabun were first defined in Methods part (section 4.4), we change the sentence to a more general statement here on Lines 147-150:

      “At the landscape scale, considering species detected across the study area, occurrence-based CTI (CTIoccur; see section 4.4) showed no trend (posterior mean temporal trend = 0.414; 95% CrI: -12.751, 13.554) but abundance-based CTI (CTIabun; see section 4.4) showed a significant increasing trend.”

      (5) Figure 4: what is the dashed vertical line? I assume the mean STI across species?

      Sorry for the unclear description. The vertical dashed line indicates the median value of STI for 60 species, as a separation of warm-adapted species and cold-adapted species. We have added these details on Lines 807-809:

      “The dotted vertical line indicates the median of STI values. Cold-adapted species are plotted in blue and warm-adapted species are plotted in orange.”

      (6) Figure 6: in the legend, replace 'points in blue' with 'points in blue/orange' or 'solid dots' or something similar.

      Thank you for this suggestion. We changed it to “points in blue/orange” on Lines 823.

      (7) L 176-176: unclear why the interaction parameters are particularly important for explaining the thermophilization mechanism: if e.g. colonization rate of warm-adapted species is constantly higher in less isolated islands, (and always higher than the extinction rate of the same species), it means that thermophilization is increased in less isolated islands, right?

      Thank you for this question. This is also related to the question about “Why use temporal trends in colonization/extinction rate to test for thermophilization mechanisms”. Colonization-extinction over time is actually a much stronger test of thermophilization (more details refer to response to Public Review and Recommendations 1&2).

      Based on this, the two main driving processes of thermophilization mechanism include the increasing colonization rate of warm-adapted species and the increasing extinction rate of cold-adapted species with year. The interaction effect between island area (or isolation) and year on colonization rate (or extinction rate) can tell us how habitat fragmentation mediates the year effect. For example, if the interaction term between year and isolation is negative for a warm-adapted species that increased in colonization rate with year, it indicates that the colonization rate increased faster on less isolated islands. This is a signal of a faster thermophilization rate on less-isolated islands.

      (8) L201-203: this is only little supported by the results that actually show that there is NO significant interaction for most species.

      Thank you for this comment. Although most species showed non-significant interaction effect, the overall trend is relatively consistent, this is especially true for the effect of isolation. To emphasize the “trend” instead of “significant effect”, we slightly modified this sentence in more rigorous wording on Lines 205-208: 

      “We further found that habitat fragmentation influences two processes of thermophilization: colonization rates of most warm-adapted species tended to increase faster on smaller and less isolated islands, while the loss rates of most cold-adapted species tended to be exacerbated on less isolated islands.”

      (9) Section 2.3: can't you have a population-level estimate? I struggled a bit to understand all the parameters of the MSOM (because of my lack of statistical/mathematical proficiency) so I cannot provide more advice here.

      Thank you for raising this advice. We think what you are mentioning is the overall estimate across all species for each variable. From MSOM, we can get a standardized estimate of every variable (year, area, isolation, interaction) for each species, separately. Because the divergent or consistent responses among species are what we are interested in, we didn’t calculate further to get a population-level estimate.

      (10) L 291: a dot is missing.

      Done. Thank you for your correction.

      (11) L 305, 315: a space is missing

      Done

      (12) L 332: how were these islands selected?

      Thank you for this question. The 36 islands were selected according to a gradient of island area and isolation, spreading across the whole lake region. The selected islands guaranteed there is no significant correlation between island area and isolation (the Pearson correlation coefficient r = -0.21, p = 0.21). The biggest 7 islands among the 36 islands are also the only several islands larger than 30 ha in the whole lake region. We have modified this in the Method part on Lines 360-363.

      “We selected 36 islands according to a gradient of island area and isolation with a guarantee of no significant correlation between island area and isolation (Pearson r = -0.21, p = 0.21). For each island, we calculated island area and isolation (measured in the nearest Euclidean distance to the mainland) to represent the degree of habitat fragmentation.”

      (13) L 334: "Distance to the mainland" was used as a metric of isolation, but elsewhere in the text you argue that the observed thermophilization is due to interisland movements. It sounds contradictory. Why not include the average or shortest distance to the other islands?

      Thank you very much for raising this comment. Yes, “Distance to the mainland” was the only metric we used for isolation. We carefully checked through the manuscript where the “interisland movement” comes from and induces the misunderstanding. It must come from Discussion 3.1 (n Lines 217-221): “Notably, when tested on the landscape scale (versus on individual island communities), only the abundance-based thermophilization trend was significant, indicating thermophilization of bird communities was mostly due to inter-island occurrence dynamics, rather than exogenous community turnover.”

      Sorry, the word “inter-island” is not exactly what we want to express here, we wanted to express that “the thermophilization was mostly due to occurrence dynamics within the region, rather than exogenous community turnover outside the region”. We have changed the sentence in Discussion part on Lines 217-221:

      “Notably, when tested on the landscape scale (versus on individual island communities), only the abundance-based thermophilization trend was significant, indicating thermophilization of bird communities was mostly due to occurrence dynamics within the region, rather than exogenous community turnover outside the region.”

      Besides, I would like to explain why we use distance to the mainland. We chose the distance to the mainland as a measure of isolation based on the results of a previous study. One study in our system provided evidence that the colonization rate and extinction rate of breeding bird species were best fitted using distance to the nearest mainland over other distance-based measures (distance to the nearest landmass, distance to the nearest bigger landmass)(Si et al., 2014). Besides, their results produced almost identical patterns of the relationship between isolation and colonization/extinction rate(Si et al., 2014). That’s why we only selected “Distance to the mainland” in our current analysis and we do find some consistent patterns as expected. The plants on all islands were cleared out about 60 years ago due to dam construction, with all bird species coming from the mainland as the original species pool through a process called “relaxation”. This may be the reason why distance to the nearest mainland is the best predictor.

      In Discussion part, we added the following discussion and talked about the other measures on Lines 292-299:

      “As a caveat, we only consider the distance to the nearest mainland as a measure of fragmentation, consistent with previous work in this system (Si et al., 2014), but we acknowledge that other distance-based metrics of isolation that incorporate inter-island connections could reveal additional insights on fragmentation effects. The spatial arrangement of islands, like the arrangement of habitat, can influence niche tracking of species (Fourcade et al., 2021). Future studies should take these metrics into account to thoroughly understand the influence of isolation and spatial arrangement of patches in mediating the effect of climate warming on species.”

      (14) L 347: you write 'relative' abundance but this measure is not relative to anything. Better write something like "we based our abundance estimate on the maximum number of individuals recorded across the nine annual surveys".

      Thank you for this suggestion, we have changed the sentence on Lines 377-379:

      “We based our abundance estimate on the maximum number of individuals recorded across the nine annual surveys.”

      (15) L 378: shouldn't the formula for CTIoccur be (equation in latex format):

      CTI{occur, j, t} =\frac{\sum_{i=1}^{N_{j,t}}STI_{i}}{N_{j,t}}

      Where Nj,t is the total number of species surveyed in the community j in year t

      Thank you very much for this careful check, we have revised it on Lines 415, 417:

      “where Nj,t is the total number of species surveyed in the community j in year t.”

      Reviewer #2 (Recommendations For The Authors):

      (1) Line 76: "weakly"

      Done. Thank you for your correction.

      (2) Line 98: I suggest a change to this sentence: "For example, habitat fragmentation renders habitats to be too isolated to be colonized, causing sedentary butterflies to lag more behind climate warming in Britain than mobile ones"

      Thank you for this modification, we have changed it on Lines 99-101.

      (3) Line 101: remove either "higher" or "increasing"

      Done, we have removed “higher”. Thank you for this advice.

      (4) Line 102: "benefiting from near source of"

      Done.

      (5) Line 104: "emigrate"

      Done.

      (6) Introduction: I suggest making it more explicit what process you describe under the word "extinction". At first read, I thought you were only referring to the dieback of individuals, but you also included emigration as an extinction process. It also needs to be reworded in Fig 1 caption.

      Thank you for this suggestion. Yes, we can’t distinguish in our system between local extinction and emigration. The observed “extinction” of cold-adapted species over 10 years may involve two processes that usually occur in order: first “emigration” and then if can’t emigrate or withstand, “real local dieback”. It should also be included in the legend of Figure 1, as you said. We have modified the legend in Lines 780-781:

      “Note that extinction here may include both the emigration of species and then the local extinction of species.”

      There is also one part in the Discussion that mentions this on Lines 287-291: “While we cannot truly distinguish in our system between local extinction and emigration, we suspect that given two islands equal except in isolation, and if both lose suitability due to climate change, individuals can easily emigrate from the island nearer to the mainland, while individuals on the more isolated island would be more likely to be trapped in place until the species went locally extinct due to a lack of rescue”.

      (7) I also suggest differentiating habitat fragmentation (distances between islands) and habitat amount (area) as explained in Fahrig 2013 (Rethinking patch size and isolation effects: the habitat amount hypothesis) and her latter paper. This will help the reader what lies behind the general trend of fragmentation: fragmentation per se and habitat amount reduction.

      Thank you for this suggestion! Habitat fragmentation in this study involves both habitat loss and fragmentation per se. We now give a general definition of habitat fragmentation on Lines 61-63:

      “Habitat fragmentation, usually defined as the shifts of continuous habitat into spatially isolated and small patches (Fahrig, 2003), in particular, has been hypothesized to have interactive effects with climate change on community dynamics.”

      (8) Line 136: is the "+-" refers to the standard deviation or confidence interval, I suggest being explicit about it once at the start of the results.

      Thank you for reminding this. The "+-" refers to the standard deviation (SD). The modified sentence is now on Lines 135-139:

      “The number of species detected in surveys on each island across the study period averaged 13.37 ± 6.26 (mean ± SD) species, ranging from 2 to 40 species, with an observed gamma diversity of 60 species. The STI of all 60 birds averaged 19.94 ± 3.58 ℃ (mean ± SD) and ranged from 9.30 ℃ (Cuculus canorus) to 27.20 ℃ (Prinia inornate), with a median of STI is 20.63 ℃ (Appendix 1—figure 2; Appendix 1—figure 3).”

      (9) Line 143: please specify the unit of thermophilization.

      The unit of thermophilization rate is the change in degree per unit year. Because in all analyses, predictor variables were z-transformed to make their effect comparable. We have added on Line 151:

      “When measuring CTI trends for individual islands (expressed as °/ unit year)”

      (10) Line 289: check if no word is missing from the sentence.

      The sentence is: “In our study, a large proportion (11 out of 15) of warm-adapted species increasing in colonization rate and half (12 out of 23) of cold-adapted species increasing in extinction rate were changing more rapidly on smaller islands.”

      Given that we have defined the species that were included in testing the third prediction in both Methods part and Result part: 15 warm-adapted species that increased in colonization rate and 23 cold-adapted species that increased in extinction rate. We now remove this redundant information and rewrote the sentence as below on Lines 300-302:

      “In our study, the colonization rate of a large proportion of warm-adapted species (11 out of 15) and the extinction rate of half of old-adapted species (12 out of 23) were increasing more rapidly on smaller islands.”

      (11) Line 319: I really miss a concluding statement of your discussion, your results are truly interesting and deserve to be summarized in two or three sentences, and maybe a perspective about how it can inform conservation practices in fragmented settings.

      Thank you for this profound suggestion both in Public Review and here. We have added a paragraph to the end of the Discussion, stating how our results can inform conservation, on Lines 339-347:

      “Overall, our findings have important implications for conservation practices. Firstly, we confirmed the role of isolation in limiting range shifting. Better connected landscapes should be developed to remove dispersal constraints and facilitate species’ relocation to the best suitable microclimate. Second, small patches can foster the establishment of newly adapted warm-adapted species while large patches can act as refugia for cold-adapted species. Therefore, preserving patches of diverse sizes can act as stepping stones or shelters in a warming climate depending on the thermal affinity of species. These insights are important supplement to the previous emphasis on the role of habitat diversity in fostering (Richard et al., 2021) or reducing (Gaüzère et al., 2017) community-level climate debt.”

      (12) Line 335: I suggest " ... the islands has been protected by forbidding logging, ..."

      Thanks for this wonderful suggestion. Done. The new sentence is now on Lines 365-366:

      “Since lake formation, the islands have been protected by forbidding logging, allowing natural succession pathways to occur.”

      (13) Line 345: this speed is unusually high for walking, check the speed.

      Sorry for the carelessness, it should be 2.0 km/h. It has been corrected on Lines 375-376:

      “In each survey, observers walked along each transect at a constant speed (2.0 km/h) and recorded all the birds seen or heard on the survey islands.”

      (14) Line 351: you could add a sentence explaining why that choice of species exclusion was made. Was made from the start of the monitoring program or did you exclude species afterward?

      We excluded them afterward. We excluded non-breeding species, nocturnal and crepuscular species, high-flying species passing over the islands (e.g., raptors, swallows) and strongly water-associated birds (e.g., cormorants). These records were recorded during monitoring, including some of them being on the shore of the island or high-flying above the island, and some nocturnal species were just spotted by accident.

      We described more details about how to exclude species on Lines 379-387:

      “We excluded non-breeding species, nocturnal and crepuscular species, high-flying species passing over the islands (e.g., raptors, swallows) and strongly water-associated birds (e.g., cormorants) from our record. First, our surveys were conducted during the day, so some nocturnal and crepuscular species, such as the owls and nightjars were excluded for inadequate survey design. Second, wagtail, kingfisher, and water birds such as ducks and herons were excluded because we were only interested in forest birds. Third, birds like swallows, and eagles who were usually flying or soaring in the air rather than staying on islands, were also excluded as it was difficult to determine their definite belonging islands. Following these operations, 60 species were finally retained.”

      (15) Line 370: I suggest adding the range and median of STI.

      Thanks for this good suggestion. The range, mean±SD of STI were already in the Results part, we added the median of STI there as well. The new sentence is now in Results part on Lines 137-139:

      “The STI of all 60 birds averaged 19.94 ± 3.58 ℃ (mean ± SD) and ranged from 9.30 ℃ (Cuculus canorus) to 27.20 ℃ (Prinia inornate), with a median of 20.63 ℃ (Appendix 1—figure 2; Appendix 1—figure 3).”

      (16) Figure 4.b: Is it possible to be more explicit about what that trend is? the coefficient of the regression Logit(ext/col) ~ year + ...... ?

      Thank you for this advice. Your understanding is right: we can interpret it as the coefficient of the ‘year’ effect in the model. More specifically, the ‘year’ effect or temporal trend here is the ‘posterior mean’ of the posterior distribution of ‘year’ in the MSOM (Multi-species Occupancy Model), in the context of the Bayesian framework. We modified this sentence on Lines 811-813:

      “ Each point in (b) represents the posterior mean estimate of year in colonization, extinction or occupancy rate for each species.”

      (17) Figure 6: is it possible to provide an easily understandable meaning of the prior presented in the Y axis? E.g. "2 corresponds to a 90% probability for a species to go extinct at T+1", if not, please specify that it is the logit of a probability.

      Thank you for this question both in Public Review and here. The value on the Y axis indicates the posterior mean of each variable (year, area, isolation and their interaction effects) extracted from the MSOM model, where the logit(extinction rate) or logit(colonization rate) was the response variable. All variables were standardized before analysis to make them comparable. So, positive values indicate positive influence while negative values indicate negative influence. Because the goal of Figure 6 is to display the negative/positive effect, we didn’t back-transform them. Following your advice, we thus modified the caption of Figure 6 (now renumbered as Figure 5, following a comment from Reviewer #3, to move Figure 5 to Figure 4c). The modified title and legends of Figure 5 are on Lines 817-820:

      “Figure 5. Posterior estimates of logit-scale parameters related to cold-adapted species’ extinction rates and warm-adapted species’ colonization rates. Points are species-specific posterior means on the logit-scale, where parameters >0 indicate positive effects (on extinction [a] or colonization [b]) and parameters <0 indicate negative effects.”

      (18) Line 773: points in blue only are significant? I suggest "points in color".

      Thank you for your reminder. Points in blue and orange are all significant. We have revised the sentence on Line 823:

      “Points in blue/orange indicate significant effects.”

      These are all small suggestions that may help you improve the readability of the final manuscript. I warmly thank you for the opportunity to review this impressive study.

      We appreciate your careful review and profound suggestions. We believe these modifications will improve the final manuscript.

      Reviewer #3 (Recommendations For The Authors):

      I have a few minor suggestions for paper revision for your otherwise excellent manuscript. I wish to emphasize that it was a pleasure to read the manuscript and that I especially enjoyed a very nice flow throughout the ms from a nicely rounded introduction that led well into the research questions and hypotheses all the way to a good and solid discussion.

      Thank you very much for your review and recognition. We have carefully checked all recommendations and addressed them in the manuscript.

      (1) L 63: space before the bracket missing and I suggest moving the reference to the end of the sentence (directly after habitat fragmentation does not seem to make sense).

      Thank you very much for this suggestion. The missed space was added, and the reference has been moved to the end of the sentence. We also add a general definition of habitat fragmentation. The new sentence is on Lines 61-64:

      “Habitat fragmentation, usually defined as the shifts of continuous habitat into spatially isolated and small patches (Fahrig, 2003), in particular, has been hypothesized to have interactive effects with climate change on community dynamics.”

      (2) L 102: I suggest to write "benefitting ..." instead.

      Done.

      (3) L 103: higher extinction rates (add "s").

      Done.

      (4) L 104: this should probably say "emigrate" and "climate warming".

      Done.

      (5) L 130-133: this is true for emigration (more isolated islands show slower emigration). But what about increased local extinction, especially for small and isolated islands? Especially since you mentioned later in the manuscript that often emigration and extinction are difficult to identify or differentiate. Might be worth a thought here or somewhere in the discussion?

      Thank you for this good question. I would like to answer it in two aspects:

      Yes, we can’t distinguish between true local extinction and emigration. The observed local “extinction” of cold-adapted species over 10 years may involve two processes that usually occur in order: first “emigration” and then, if can’t emigrate or withstand, “real local dieback”. Over 10 years, the cold-adapted species would have to tolerate before real extinction on remote islands because of disperse limitation, while on less isolated islands it would be easy to emigrate and find a more suitable habitat for the same species. Consequently, it’s harder for us to observe “extinction” of species on more isolated islands, while it’s easier to observe “fake extinct” of species on less isolated islands due to emigration. As a result, the observed extinction rate is expected to increase more sharply for species on less remote islands, while the observed extinction rate is expected to increase relatively moderately for the same species on remote islands.

      We have modified the legend of Figure 1 on Lines 780-781:

      “Note that extinction here may include both the emigration of species and then the local extinction of species.”

      There is also one part in the Discussion that mentions this on Lines 287-291: “While we cannot truly distinguish in our system between local extinction and emigration, we suspect that given two islands equal except in isolation, if both lose suitability due to climate change, individuals can easily emigrate from the island nearer to the mainland, while individuals on the more isolated island would be more likely to be trapped in place until the species went locally extinct due to a lack of rescue”.

      Besides, you said “But what about increased local extinction, especially for small and isolated islands?”, I think you are mentioning the “high extinction rate per se on remote islands”. We want to test the “trend” of extinction rate on a temporal scale, rather than the extinction rate per se on a spatial scale. Even though species have a high extinction rate on remote islands, it can also show a slower changing rate in time.

      I hope these answers solve the problem.

      (6) L 245: I think this is the first time the acronym appears in the ms (as the methods come after the discussion), so please write the full name here too.

      Thank you for pointing out this. I realized “Thousand Island Lake” appears for the first time in the last paragraph of the Introduction part. So we add “TIL” there on Lines 108-109:

      “Here, we use 10 years of bird community data in a subtropical land-bridge island system (Thousand Island Lake, TIL, China, Figure 2) during a period of consistent climatic warming.”

      (7) L 319: this section could end with a summary statement on idiosyncratic responses (i.e. some variation in the responses you found among the species) and the potential reasons for this, such as e.g. the role of other species traits or interactions, as well as other ways to measure habitat fragmentation (see main comments in public review).

      Thank you for this suggestion both in Public Review and here. We added a summary statement about the reasons for idiosyncratic responses on Lines 334-338:

      “Overall, these idiosyncratic responses reveal several possible mechanisms in regulating species' climate responses, including resource demands and biological interactions like competition and predation. Future studies are needed to take these factors into account to understand the complex mechanisms by which habitat loss meditates species range shifts.”

      We only strengthen “habitat loss” here, because idiosyncratic responses mainly come from the mediating effect of habitat loss. For the mediating effect of isolation, the response is relatively consistent (see Page 8, Lines 183-188): “In particular, the effect of isolation on temporal dynamics of thermophilization was relatively consistent across cold- and warm-adapted species (Figure 5a, b); specifically, on islands nearer to the mainland, warm-adapted species (15 out of 15 investigated species) increased their colonization probability at a higher rate over time, while most cold-adapted species (21 out of 23 species) increased their extinction probability at a higher rate”.

      (8) L 333: what about the distance to other islands? it's more of a network than a island-mainland directional system (Figure 2). You could address this aspect in the discussion.

      Thank you for this good question again. Isolation can be measured in different ways in the study region. We chose distance to the mainland because it was the best predictor of colonization and extinction rate of breeding birds in the study region, and produced similar results like the other distance-based measures, including distance to the nearest landmass, distance to the nearest larger landmass (Si et al., 2014). We still agree with you that it’s necessary to consider more aspects of “isolation” at least in discussion for future research. In Discussion part, we addressed these on Lines 292-299. For more details refer to the response to Public Review.

      (9) Figure 2: Is B1 one of the sampled islands? It is clearly much larger than most other islands and I think it could thus serve as an important population source for many of the adjacent smaller islands? Thus, the nearest neighbor distance to B1 could be as important in addition to the distance to the mainland?

      Yes, B1 is one of the sampled islands and is also the biggest island. In previous research in our study system, we tried distance to the nearest landmass, to the nearest larger landmass and the nearest mainland, they produced similar results (For more details refer to the response to Public Review). We agree with you that the nearest neighbor distance to B1 could be a potentially important measure, but need further research. In our Discussion, we address these on Lines 292-299:

      “As a caveat, we only consider the distance to the nearest mainland as a measure of fragmentation, consistent with previous work in this system (Si et al., 2014), but we acknowledge that other distance-based metrics of isolation that incorporate inter-island connections could reveal additional insights on fragmentation effects. The spatial arrangement of islands, like the arrangement of habitat, can influence niche tracking of species (Fourcade et al., 2021). Future studies should take these metrics into account to thoroughly understand the influence of isolation and spatial arrangement of patches in mediating the effect of climate warming on species.”

      (10) L 345: 20km/h walking seems impressively fast? I assume this is a typo.

      Sorry for the carelessness, it should be 2.0 km/h. it has been corrected on Lines 375-376:

      “In each survey, observers walked along each transect at a constant speed (2.0 km/h) and recorded all the birds seen or heard on the survey islands.”

      (11) L 485: I had difficulties fully understanding the models that were fitted here and could not find them in the codes you provided (which were otherwise very well documented!). Could you explain this modeling step in a bit more detail?

      Thank you for your recognition! According to Line 485 in the online PDF version (Methods part 4.6.3), it says: “An increasing colonization trend of warm-adapted species and increasing extinction trend of cold-adapted species are two main expected processes that cause thermophilization (Fourcade et al., 2021). To test our third prediction about the mediating effect of habitat fragmentation, we selected warm-adapted species that had an increasing trend in colonization rate (positive year effect in colonization rate) and cold-adapted species that had an increasing extinction rate (positive year effect in extinction rate)…..”

      We carefully checked the code in Figshare link and found that the MOSM JAGS code was not uploaded before. Very sorry for that. Now it can be found in the document [MOSM.R] at https://figshare.com/s/7a16974114262d280ef7. Hope the code, together with the modeling process in section 4.5 in the Methods can help to understand the whole modeling process. Besides, we would like to explain how to decide the temporal trend in colonization or extinction of each species related to Line 485. Let’s take the model of species-specific extinction rate for example:

      In this model, “Island” was a random effect, “Year” is added as a random slope, thus allowing “year effect” (that is: the temporal trend) of extinction rate of species to vary with “island”. Further, the interaction effect between island variables (isolation, area) was added to test if the “year effect” was related to island area or isolation.

      Because we are only interested in warm-adapted species that have a positive temporal trend in colonization and cold-adapted species that have a positive temporal trend in extinction, which are two main processes underlying thermophilizaiton, we choose warm-adapted species that have a positive year-effect in colonization, and cold-adapted species that has a positive year-effect in extinction. Hope this explanation and the JAGS code can help if you are confused about this part.

      Hope these explanations can make it clearer.

      (12) Figure 1: to me, it would be more intuitive to put the landscape configuration in the titles of the panels b, c, and d instead of "only" the mechanisms. E.g. they could be: a) fragmented islands with low climate buffering; b) small islands with low habitat heterogeneity; c) isolated islands with dispersal limitations?

      It is also slightly confusing that the bird communities are above "island" in the middle of the three fragmented habitats - which all look a bit different in terms of tree species and structure which makes the reader first think that it has something to do with the "new" species community. so maybe worth rethinking how to illustrate the three fragmented islands?

      We would like to thank you for your nice proposition. Firstly, it’s a good idea to put the landscape configuration in the title of the panels b, c, d. The new title (a) is “Fragmented islands with low climate buffering”, title (b) is “Small islands with low habitat heterogeneity”, and title (c) is “Isolated patches with dispersal limitations”.

      Second, we realized that putting the “bird community” above “island” in the middle of the three patches is a bit confusing. Actually, we wanted to show bird communities only on that one island in the middle. The other two patches are only there to represent a fragmented background. To avoid misunderstanding, we added a sentence in the legend of Figure 1 on Lines 778-780:

      “The three distinct patches signify a fragmented background and the community in the middle of the three patches was selected to exhibit colonization-extinction dynamics in fragmented habitats.”

      (13) Figure 4: please add the description of the color code for panel a.

      Sorry for the unclear description. The vertical dashed line indicates the median value of STI for 60 species, as a separation of warm-adapted species and cold-adapted species. We have added these details on Lines 807-809:

      “The dotted vertical line indicates the median of STI values. Cold-adapted species are plotted in blue and warm-adapted species are plotted in orange.”

      (14) Figure 5: You could consider adding this as panel c to Figure 4 as it depicts the same thing as in 4a but for CTI-abundance.

      Thank you for this advice. We have moved the original Figure 5 to Figure 4c. Previous Figure 6 thus turned into Figure 5. All corresponding citations in the main text were checked to adapt to the new index. The new figure is now on Lines 801-815:

      References

      Ferraz, G., Russell, G. J., Stouffer, P. C., Bierregaard Jr, R. O., Pimm, S. L., & Lovejoy, T. E. (2003). Rates of species loss from Amazonian forest fragments. Proceedings of the National Academy of Sciences, 100(24), 14069-14073. doi:10.1073/pnas.2336195100

      Fourcade, Y., WallisDeVries, M. F., Kuussaari, M., van Swaay, C. A., Heliölä, J., & Öckinger, E. (2021). Habitat amount and distribution modify community dynamics under climate change. Ecology Letters, 24(5), 950-957. doi:10.1111/ele.13691

      Gaüzère, P., Princé, K., & Devictor, V. (2017). Where do they go? The effects of topography and habitat diversity on reducing climatic debt in birds. Global Change Biology, 23(6), 2218-2229. doi:10.1111/gcb.13500

      Gonzalez, A. (2000). Community relaxation in fragmented landscapes: the relation between species richness, area and age. Ecology Letters, 3(5), 441-448. doi:10.1046/j.1461-0248.2000.00171.x

      Haddad, N. M., Brudvig, L. A., Clobert, J., Davies, K. F., Gonzalez, A., Holt, R. D., . . . Collins, C. D. (2015). Habitat fragmentation and its lasting impact on Earth’s ecosystems. Science advances, 1(2), e1500052. doi:10.1126/sciadv.1500052

      Richard, B., Dupouey, J. l., Corcket, E., Alard, D., Archaux, F., Aubert, M., . . . Macé, S. (2021). The climatic debt is growing in the understorey of temperate forests: Stand characteristics matter. Global Ecology and Biogeography, 30(7), 1474-1487. doi:10.1111/geb.13312

      Si, X., Pimm, S. L., Russell, G. J., & Ding, P. (2014). Turnover of breeding bird communities on islands in an inundated lake. Journal of Biogeography, 41(12), 2283-2292. doi:10.1111/jbi.12379

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Recommendations For The Authors): 

      Figures 1 and 2. How do the authors know that the lysine mutations are specific to constitutive activity and not because it is causing the channel to be now voltage sensitive? 

      As shown in the revised Figs. 1b, S2a, and 3b, TMEM16F I521K/M522K, TMEM16F I521E, and TMEM16A I546K/I547K spontaneously expose PS, respectively. Neither membrane depolarization nor calcium stimulation was introduced under these conditions and the cells were grown in calcium-free media after transfection to limit calcium-dependent activation. Our new experiments further demonstrate that TMEM16F T526K (Fig. 1b) and TMEM16A E551K (Fig. 3b), which are further away from the activation gate, exhibit either strongly attenuated or lack spontaneous lipid scrambling activity. According to these results, the gain-of-function mutants (TMEM16F

      I521K/M522K/I521E and TMEM16A I546K/I547K) are indeed constitutively active. This constitutive scramblase activity is not due to a gain of voltage sensitivity as ion channel activity is also minimal around the resting membrane potential of a HEK cell (Fig. 1d, e and Fig. 3d, e).

      The authors see very large currents of 5 -10 nA in their electrophysiology experiments in Figures 2D and 3D. I understand that Figure 2D are whole-cell recordings but are the authors confident that the currents that they are recordings from the mutants are indeed specific to TMEM16A. More importantly, in Figure 3D they see 3-5nA currents in insideout patches, which is huge. They have no added divalent in their bath solution, which could lead to larger single-channel amplitudes, but 3-5nA seems excessive. Some control to demonstrate that these are indeed OSCA1.2 currents is important. 

      TMEM16A and TMEM16F are well-known for their high cell surface expression. Therefore, the current amplitude is usually huge even in excised inside-out or outside-out patches—please see our previous publications for details: 1) 10.1016/j.cell.2012.07.036, 2) 10.7554/eLife.02772, 3) 10.1038/s41467-019-11784-8, 4) 10.1038/s41467-019-09778-7, 5) 10.1016/j.celrep.2020.108570, 6) 10.1085/jgp.202012704, and 7) 10.1085/jgp.202313460. 

      HEK293 cells do not have endogenous TMEM16A (https://doi.org/10.1038/nature07313, 10.1016/j.cell.2008.09.003 , DOI: 10.1126/science.1163518). It therefore serves as a widely used cell line for studying TMEM16A biophysics. As overexpressing the WT control barely elicited any obvious current in 0 Ca2+ (Fig. 3d), there is no doubt that the large outward-rectifying current (hallmark of CaCC) in the revised Fig. 3d (previous Fig. 2D) was elicited from the mutant TMEM16A channels. The strong outward rectification also rules out the possibility of this being leak current.

      Regarding Fig. 4d (previous Fig. 3D), OSCA1.2 has excellent surface expression as shown in Fig. 4b. OSCA1.2 also has much higher single channel conductance (121.8 ± 3.4 pS, 10.7554/eLife.41844) than TMEM16A (~3-8 pS) and TMEM16F (<1 pS). Therefore, recording nA OSCA1.2 current from excised patches is normal given larger OSCA1.2 current at depolarized voltages than the current recorded at hyperpolarized voltages (please see our explanation in the next response). As the reviewer pointed out, lack of divalent ions in our experimental conditions may also partially contribute to the large conductance. To further verify, we conducted mock transfection recordings (please see Author response image 1 below). WT- but not mock (GFP)transfected cells gave rise to large current, further supporting that the recorded current was indeed through OSCA1.2. 

      Author response image 1.

      Representative inside-out currents for mock (GFP)- and OSCA1.2 WT-transfected cells. OSCA1.2 is responsible for nA currents elicited by the pressure and voltage protocols shown.

      Figure 3D and 5D. Most of the traces and current quantification is done at positive potentials and is outward current. Do the authors observe inward currents? It is difficult to judge by the figures since currents are so large. OSCA/TMEM63s are cationic channels and all published data on these channels have demonstrated robust inward currents at negative, physiologically relevant potentials. The lack of inward currents but only large outward currents suggests that these mutations could be doing something else to the channel. 

      Yes. We indeed observe inward current at negative holding potentials under pressure clamp (Author response image 2). However, mechanosensitive OSCA and TMEM63A channels are also voltage dependent. Their outward current is an order of magnitude larger at depolarized voltages (e.g., Author response image 2, also 10.7554/eLife.41844, see Fig. 1H). 

      Author response image 2.

      Voltage-dependent rectification of OSCA1.2 current. a. Representative OSCA1.2 trace (bottom) elicited by a voltage-ramp under -50 mmHg (top). b. The difference in inward and outward current amplitudes. 

      We found that quantifying the OSCA1.2 outward current has advantages over the inward current. Usually, using the gold standard pressure clamp protocol at negative holding voltages, peak inward current amplitude is quantified. However, OSCA inward current quickly inactivates (10.7554/eLife.41844, see Fig. 1C). This makes robust quantification and comparison with mutant channels difficult. Holding the membrane at a constant pressure and measuring OSCA1.2 G-V overcomes these issues associated with the classical inward current measurements. The large depolarization-driven outward current does not inactivate, and robust tail current (Response Fig. 1, 2) allows us to construct G-V relationships. We found quantifying mutants’ voltage dependence at constant pressure is more consistent than quantifying pressure dependence at constant voltage. These advantages make our new protocol preferable to the commonly used gold standard pressure clamp protocol for characterizing and comparing the gating mutations identified in this manuscript. 

      Figure 3 and 5. Why are mechanically activated currents being recorded at random pressure stimuli (-50 mmHg for OSCA) and (-80 mmHg for Tmem63a)? The gold standard in the field is to run an entire pressure response curve. Given that only outward currents are observed at membrane potentials +120mV and above at 0mmHg, this questions whether they are indeed constitutively active. 

      As we explained in the previous response, both voltage and membrane stretch activate OSCA/TMEM63A channels. We found measuring voltage dependence under constant pressure provided more consistent quantification than the gold standard pressure response protocol. This may be due to the variability of applied membrane tension under repeated stretches versus the more consistent applied voltage. Additionally, we chose -50 mmHg and -80 mmHg to reflect the reported differences in half-maximal pressures between OSCA1.2 and TMEM63A (e.g., P50 ~55 mmHg for 1.2 and ~61 mmHg for 63A in 10.7554/eLife.41844 versus ~86 mmHg for 1.2 and -123 mmHg for 63A in 10.1016/j.neuron.2023.07.006).

      We also used higher pressure in cell attached mode to increase TMEM63A current amplitudes, which are usually tiny.  We have updated our method section (Lines 329334) to further clarify why we used these protocols. 

      Please note that in TMEM16 proteins, ions and lipids might not always co-transport.

      This means that under certain conditions, only one type of substrate may go through. For instance, in WT TMEM16F, Ca2+ stimulation can easily trigger PS exposure at resting membrane potential. No ionic currents are elicited until strong depolarization is applied. Similarly, the TMEM16F GOF mutations spontaneously transport lipids, leading to loss of lipid asymmetry (Fig. 1b, c). However, in 0 Ca2+, these TMEM16F mutant channels still need strong depolarization for ion conduction (Fig. 1d, e). Although the detailed mechanism still needs to be further investigated, the OSCA1.2 and TMEM63A GOF mutations share similar features with TMEM16 proteins, exhibiting ion conduction under high pressures and depolarizing voltages, yet constitutively active scrambling.  

      Some clarity is needed for their choice of residues. I understand that a lot of this is also informed by the structures of these ion channels. According to the alignment shown in Supplementary Figure 1, they chose LA for OSCA1.2, which is in line with the IM (TMEM16F) and II(TMEM16A) residues but for Tmem63a they chose the hydrophobic gate residue W and S. Was the A476 tested? Also, OSCA1.2 already has a K in the hydrophobic gating residue region. How do the authors reconcile this with their model? 

      We appreciate this critical comment. We have included the characterization of TMEM63A A476K (Fig. 6, corresponding to M522 in 16F, I547 in 16A, and A439 in OSCA1.2). Interestingly, A476K transfected cells did not show obvious spontaneous PS exposure yet exhibited a modest shift in V50 comparable to W472K and S475K. These differences may reflect the high-tension activated nature of the TMEM63 proteins (10.1016/j.neuron.2023.07.006) as compared to OSCA1.2, where the corresponding mutation (A439K, Fig. 4b, c) showed very little spontaneous activity and required hypotonic stimulation to promote more robust PS exposure (Fig. 5). 

      Furthermore, as we showed in Figs. 1b-c and 3b-c, there is a lower limit (towards the Cterminus) of the TM 4 lysine mutation effect, which becomes insufficient to cause a constitutively open pore for spontaneous lipid scrambling. It is possible that TMEM63A A476K represents the lower limit of TM 4 mutations that can convert TMEM63A into a spontaneous lipid scramblase.  

      Regarding OSCA1.2 K435 and TMEM63A W472, these sites correspond to the hydrophobic gate residues on TM 4 in TMEM16F (F518, Fig. 1a) and TMEM16A (L543, Fig. 3a) so it is unsurprising to us that a lysine mutation at this site causes constitutive scramblase activity in TMEM63A (Fig. 6b, c). For OSCA1.2, it is more intriguing since this residue is already a lysine (K435). In Supplementary Fig. 5 our new experiments show that neutralizing K435 with leucine (K435L) in the background of L438K significantly attenuates spontaneous PS exposure from ~63% PS positive for L438K alone (two lysine residues) to ~31% for K435L/L438K (one lysine). One the other hand, the K435L mutation by itself is also insufficient to induce PS exposure. Therefore, the endogenous lysine at residue 435 has an additive effect on the spontaneous scramblase activity of L438K. We believe the explanation for this result lies in experiments conducted in model transmembrane helices, which have shown that stacking hydrophilic side chains within the membrane interior promotes trans-bilayer lipid flipping (see 10.1248/cpb.c22-00133). 

      These same studies also support our observation (10.1038/s41467-019-09778-7) that highly hydrophilic side chains (such as lysine or glutamic acid) accelerate trans-bilayer lipid flipping more effectively than hydrophobic side chains such as isoleucine or alanine (Author response image 3, see also 10.1021/acs.jpcb.8b00298).

      Author response image 3.

      Trans-bilayer lipid flipping rates (kflip) accelerate with increasing side chain hydropathy for a residue placed in the center of a model transmembrane helical peptide

      How do the authors know that osmotic shock is indeed activating OSCA1.2 and TMEM63A? If they can record from the channels then electrophysiology data that confirms activation of the channel in the presence of hypoosmotic shock will strengthen the osmolarity active scramblase activity demonstrated in Figure 4. So far, there is conclusive data showing that they are mechanically activated but conclusive electrophysiological data for OSCA/TMEM63 osmolarity activation is not described yet, including the reference (38) they indicate in line 132. Although osmotic shock can perturb mechanical properties of the membrane it can also activate volume-regulated anion channels, which are also present in HEK cells. 

      Thank you for raising this important question. While reference 38, (now reference 39) shows direct electrophysiological evidence of hypertonicity-induced current (e.g., Fig. 4 f, g, i, and j in 10.1038/nature13593), direct electrophysiological evidence that OSCA/TMEM63 can be activated by hypotonic stimulation is still missing. To address this question, we conducted whole-cell patch clamp experiments on mocktransfected and OSCA1.2 WT-transfected cells stimulated with 120 mOsm/kg hypotonic solution, comparable to the same conditions as hypotonic-induced scrambling shown in Fig. 5. As shown in Supplementary Fig. 6, our whole-cell recording detected a slowly evolving yet robust outward rectifying current in OSCA1.2-transfected cells, which was not observed in mock transfected cells. 

      To avoid the contamination from endogenous SWELL osmo-/volume-regulated chloride channels, our new experiment used 140 mM Na gluconate to replace NaCl in both the pipette and the bath solution. Because SWELL/VRAC channels are minimally permeable to gluconate anions (e.g., 10.1007/BF00374290), we conclude that hypotonic stimulation can indeed activate OSCA1.2 albeit with perhaps lower efficiency compared to mechanical stimulation.  

      Minor comments 

      What is the timeline for the scramblase assay for all the experiments (except Figure 4)? How long is the AnnexinV incubated before imaging? 

      Thank you for pointing out this point where we have not provided sufficient detail. Cells were imaged in the scramblase assay (including in Fig. 4, now revised Fig. 5) in AnnexinV-containing buffer immediately and without a formal incubation period because AnnexinV binding to exposed PS proceeds rapidly. We have included additional detail in the methods section to eliminate any confusion (Lines 310-312).

      In some places of the document, it says OSCA/TMEM63, and in other places, it is denoted as TMEM63/OSCA. The literature so far has always called the family OSCA/TMEM63- please stay consistent with the field. 

      Thank you for pointing this out, we have corrected these instances to be consistent with the field.   

      Reviewer #2 (Recommendations For The Authors): 

      (1) The authors' statement that the channel/scramblase family members have a relatively low "energetic barrier for scramblase" activity needs further support. While mutating the hydrophobic channel gate certainly could destabilize ion conduction to cause a GOF effect on channel activity, it is still not clear why scramblase activity, which is tantamount to altered permeation, happens in the mutant channels. Are permeation and channel gating (opening) coupled in these channels? If so, what is the basis for the coupling? Is scramblase activity only observed when the gating is destabilized or are they separable? 

      We appreciate these great questions. For the question about the ‘energetic barrier’ statement, please see our response to point (3) where we have carried out MD simulations of the OSCA1.2 WT and L438K mutant to provide insight into how the permeation pathway is altered by these mutations. 

      Regarding why TMEM16A can be converted into a scramblase, we use the extensively studied TMEM16 proteins as examples to improve our current understanding of OSCA/TMEM63 proteins. For further details please see our original paper (10.1038/s41467-019-09778-7) and our review (10.3389/fphys.2021.787773), which are summarized as follows: 

      (1) The “neck region”, consisting of the exofacial halves of TMs 3-6, form the poregate region for both ion and lipid permeation (Author response image 4B). In the closed state, the neck region is constricted and TMs 4 and 6 interact with each other, preventing substrate permeation. The hydrophobic inner activation gate that we identified (10.1038/s41467-019-09778-7) resides right underneath the inner mouth of the neck region, controlling both ion and lipid permeation scrambling. 

      (2) Based on our functional observations and the available scramblase structures of TMEM16 proteins in multiple conformations, we proposed a clamshell-like gating model to describe TMEM16 lipid scrambling (Author response image 4D). According to this model, Ca2+-induced conformational changes weaken the TM 4/6 interface. This promotes the separation of the two transmembrane segments, analogous to the opening of a clam shell, allowing a membrane-spanning groove to facilitate permeation of the lipid headgroup.

      (3) For the CaCC, TMEM16A, Ca2+ binding dilates the pore. However, the binding energy likely cannot open the TM 4/6 interface at the neck region so, in the absence of groove formation, only Cl- ions but not lipids can permeate. (Pore dilation model, Author response image  4C). 

      (4) Introducing charged residues near the inner activation gate disrupts the neck region, potentially by weakening the hydrophobic interactions between TMs 4 and 6. This mutational effect results in constitutively active TMEM16F scramblases and enables spontaneous lipid permeation in the TMEM16A CaCC. 

      (5) In our revision, we tested additional mutations with different side chain properties (Supplementary Fig. 2), validating previous findings by us (10.1038/s41467-01909778-7) and others (10.1038/s41467-022-34497-x) that gate disruption increases with the side chain hydropathy of the mutation. 

      (6) We further extended lysine mutations to two helical turns below the inner activation gate on TM 4 and identified a lower limit for mutation-induced spontaneous scramblase activity in TMEM16F and TMEM16A (Figs. 1b, c and 3b, c, respectively). Together, all these points lend additional support to our proposed gating models for TMEM16 proteins, which we postulate may also relate to the OSCA/TMEM63 family based on the evidence provided in our manuscript.

      Author response image 4.

      Model of gating (and regulatory) mechanisms in the TMEM16 family. (B) overall architecture and proposed modules, (C) pore-dilation gating model for CaCCs, (D) Clamshell gating model for CaPLSases.

      Regarding the relationship between ion and lipid permeation through TMEM16 scramblases, the following is the summary of our current understanding: 

      (1) Functionally, ion and lipid permeation are not necessarily obligatory to each other. This is evidenced by our previous biophysical characterizations of TMEM16F ion channel and lipid scramblase activities. Ca2+ can trigger TMEM16F lipid scrambling at resting membrane potentials, however, Ca2+ alone is insufficient to record TMEM16F current. Strong membrane depolarization synergistically with elevated intracellular Ca2+ is required to activate ion permeation. Based on these observations, we postulate that ions and lipids may have different extracellular gates, despite sharing an inner activation gate (10.1038/s41467-019-09778-7). Ca2+ alone may sufficiently open the inner gate (and extracellular gate) for lipids, whereas depolarization is likely required to open the extracellular gate and allow ion flux. Further structure-function studies are needed to test this hypothesis. 

      (2) Structurally, the open conformation of TMEM16 scramblases such as the fungal orthologs and human TMEM16K (Supplementary Fig. 1 b-d) are widely open, which allows lipid and ion co-transport. Ion and lipid co-transport has also been demonstrated in various MD simulations (e.g., 10.7554/eLife.28671, 10.3389/fmolb.2022.903972, and 10.1038/s41467-021-22724-w)

      (3) Functionally, we (10.1085/jgp.202012704) and others (10.7554/eLife.06901.001) have measured dual recording of channel and scramblase activities, also demonstrating that ions and lipids are co-transported simultaneously when the proteins are fully activated.

      (4) In this manuscript, we also provide multiple examples (TMEM16F in Fig. 1, TMEM16A in Fig. 3, OSCA1.2 in Fig. 4, and TMEM63A in Fig. 6) of mutations showing spontaneous phospholipid scramblase activities, yet their channel activities require strong depolarization or, in the case of TMEM63A, high pressures to be elicited.

      Together, this new evidence further supports our hypothesis that there might be multiple gates for ion and lipid permeation, in addition to the shared inner gate we previously identified. We hope these detailed explanations help convey the intricacy of these intriguing questions. Of course, future studies are needed to test our hypothesis and elucidate the complex relationship between ion and lipid permeation of these proteins. 

      (2) One weakness in the experimental approach is the very limited number of substitutions used to infer the conclusion regarding the energetic barrier and other conclusions relating to scramblase activity. Additional substitutions of charged and polar amino acids at the hydrophobic gate would be helpful in illuminating the molecular determinants of the GOF phenotype and also reveal varying patterns of lipid permeation which could be enormously informative. These additional mutations for analysis of TMEM16F and OSCA should be added to the study. 

      We appreciate these great suggestions which were shared by multiple reviewers. We have included our duplicated response below.

      “Response to reviewers 2 & 3: In our 2019 paper (10.1038/s41467-019-09778-7), we have systematically tested the side chain properties at the inner activation gate of TMEM16F on lipid scrambling activity (Response Fig. 6) and, since then, these results have been supplemented by others as well (10.1038/s41467-022-34497-x). In summary, mutating the inner activation gate residues to polar or charged residues generally results in constitutively activated scramblases without requiring Ca2+ (Fig 5a in 10.1038/s41467-019-09778-7). Because these residues form a hydrophobic gate, introducing smaller side chains via alanine substitution are also gain-of-function with the Y563A mutant as well as the F518A/Y563A/I612A variant being constitutively active (Fig. 3a in 10.1038/s41467-019-09778-7). Meanwhile, mutating these gate residues to hydrophobic amino acids causes no change for I612W, a slight gain-of-function for F518W, slight loss-of-function of F518L, and complete loss-of-function for Y563W (Fig. 4b in 10.1038/s41467-01909778-7). These findings clearly demonstrate that the side-chain properties are critical for regulating the gate opening. Charged mutations including lysine and glutamic acid are the most effective to promote gate opening (Fig 5a in 10.1038/s41467-019-09778-7).

      Similarly, others have observed that side chain hydropathy at the F518 site in TMEM16F correlates with shifts in the Ca2+ EC50 (Fig. 2 of 10.1038/s41467-022-34497-x). Note that this publication resolved the structure of the TMEM16F F518H mutant, revealing a previously unseen conformation that we have highlighted in Supplementary Fig. 1e and discussed in lines 235-238. Please also see our response to Reviewer #1 above, where we discuss discoveries in model transmembrane helical peptide systems showing that transbilayer lipid flipping rates correlate with side chain hydropathy (Author response image 3), distance between stacked hydropathic residues (schematic in 10.1248/cpb.c22-00133), and even helical angle between stacked side chains (not show). 

      Following the reviewers’ suggestions, we have tested additional mutations in alternative locations and with different side chains.  

      (1) We have added data for TMEM16F I521A and I521E to demonstrate a similar effect of alternative side chains to what has previously been reported by us and others. We found that I521A failed to show spontaneous scrambling activity (Supplementary Fig. 2), yet I521E (Supplementary Fig. 2) is a constitutively active lipid scramblase, similar to I521K (Fig. 1). This further demonstrates that gate disruption correlates with the side chain hydropathy and that this site lines a critical gating interface.

      (2) We also added lysine mutations two helical turns below the conserved inner activation gate for TMEM16F T526 (Fig. 1), TMEM16A E551 (Fig. 3). We found that there is indeed a lower limit for the observed effect in TMEM16, where lysine mutations no longer induce spontaneous lipid scrambling activity. This indicates that when TM 4/6 interaction is weaker toward intracellular side (Figs. 1a, 3a), the TM 4 lysine mutation loses the ability to promoting lipid scrambling by disrupting the TM 4/6 interface to enable clamshell-like opening of the permeation pathway. 

      (3) We added a TMEM16F lysine mutation on TM 6 at residue I611 (Fig. 2). Similar to I612K (Response Fig. 6), I611K also leads to spontaneous lipid scrambling and enhanced channel activity in the absence of calcium (Fig. 2). This shows that charged mutations along TM 6 can also promote lipid scrambling, strengthening our model that hydrophobic interactions along the TM 4/6 interface are critical for gating and lipid permeation.”

      (3) Related to the above point, it would be enormously useful to perform even limited computational modelling to support the "energetic barrier" statement. Specifically, can the authors model waters in the putative pore to examine water occupancy in the WT and mutant channels to better understand how the barrier for ions and lipids is altered in the TMEM16? 

      We appreciate this suggestion and have now conducted atomistic MD simulations of OSCA1.2 WT and L438K mutant for ~1 μs (Supplementary Fig. 4). The simulations revealed, elevated water occupancy in the pore region of the L438K mutant, likely due to a widening at the TM 4/6 interface. Conversely, the WT interface remained constricted, largely disallowing water occupancy. These computational results support our previously proposed clamshell-like gating model for TMEM16 scramblases and provide strong support that the L438K mutation is disrupting the interaction of the TM 4/6 interface, in turn reducing the energetic barrier for both ion and lipid permeation. 

      (4) I am puzzled about the ability of OSCA and the TMEM63 proteins which are cation channels to conduct negatively charged lipids. How can the pore be selective for cations and yet permeate negatively charged molecules when lipids are presented? 

      This is a great question. TMEM16 scramblase (as well as other known scramblases, such as the Xkr and Opsin families) are surprisingly non-selective to phospholipids (all major phospholipid species, not just anionic lipids like PS). It is still debated whether lipid headgroups indeed insert into an open pore or hydrophilic groove (Response Fig. 5), or if they may traverse the bilayer by the so-called ‘out-of-groove’ model. Regardless of the model, the consensus is that Ca2+-induced conformational changes catalyze lipid permeation and the mutations we have introduced are designed to mimic these conformational changes by separating the TM 4/6 interface.

      Additionally, TMEM16F channel activity was first characterized as cation non-selective (10.1016/j.cell.2012.07.036), similar to OSCA/TMEM63s, which may even exhibit some chloride permeability (10.7554/eLife.41844.001). Thus, it appears as though scramblase activity is agnostic to headgroup charge and compatible with both a mutant anion channel (TMEM16A) and mutant cation channels (TMEM16F, OSCA1.2, and TMEM63A), however, more detailed structural, functional, and computational studies are needed to further clarify ion and lipid co-transport mechanisms.  

      (5) Do pore blockers like Gd3+ which block permeation also inhibit the scramblase activity of the mutant channels? This should be tested for the mutant channels. 

      While extracellular Gd3+ has been previously reported as an inhibitor of OSCA1.2 (10.7554/eLife.41844.001), we did not observe this effect (Author response image 5), but instead saw inhibition by intracellular Gd3+ (Author response image 6). Given this discrepancy, we did not test Gd3+ inhibition of the OSCA1.2 scramblases, but instead tested Ani9, a paralog-specific inhibitor of TMEM16A, on the TMEM16A I546K gain-offunction and found it attenuated both ion channel and phospholipid scramblase activities (Supplementary Fig. 3).

      Author response image 5.

      200 µM Gd3+ext fails to inhibit OSCA1.2 currents in cell-attached patches. Pressure-elicited peak currents (n=6 each). Statistical test is an unpaired Student’s t-test.

      Author response image 6.

      200 µM Gd3+int completely inhibits OSCA1.2 currents in inside-out patches. (a) representative traces in before (black), during (red), and after (blue) Gd3+ application. (b) Representative application timecourse. (c) Quantification of peak currents (n=8 each). Statistical test is one-way ANOVA.

      Minor: 

      - Some of the current amplitudes shown in Figures 2 and 3 are enormous. Is liquid junction potential corrected in these experiments? If not, it would be preferable to correct this to avoid voltage errors. 

      Thanks for the question. The large current amplitude is due to 1) great surface expression of the proteins; 2) large single channel conductance of OSCA channels, 3) much larger current at positive voltages for OSCA channels. Our control experiment showed that WT TMEM16A at 0 Ca2+ did not give rise to any current (Fig. 3d), further demonstrating that the large current was not due to liquid junction potential. For the OSCA recordings, we also did not observe current in mock-transfected cells, further excluding the possible interference of liquid junction potential (Response Fig. 1)

      - Related, authors could consider adding some evidence using selective pharmacology to support the conclusions that the observed currents arise from TMEM or OSCA channels. 

      Thanks for the suggestion. As mentioned above, we have added experiments with Ani9, a specific inhibitor of TMEM16A, in Supplementary Fig. 3. We found that Ani9 robustly attenuated both ion channel and phospholipid scramblase activities for the TMEM16A I546K gain-of-function mutant. This is also consistent with our previous publication (10.1038/s41467-019-09778-7), where Ani9 efficiently inhibited the TMEM16A L534K mutant scramblases. Additionally, we have provided mock controls (Response Fig. 1, Fig. 6d, e) to show that the observed currents are indeed attributable to OSCA1.2 and TMEM63A.

      Reviewer #3 (Recommendations For The Authors): 

      Given that the authors postulate that the introduction of a positive charge via the lysine side chain is essential to the constitutive activity of these proteins, additional mutation controls for side chain size (e.g. glutamine/methionine) or negative charge (e.g. glutamic acid), or a different positive charge (i.e. arginine) would have strengthened their argument. To more comprehensively understand the TM4/TM6 interface, mutations at locations one turn above and one turn below could be studied until there is no phenotype. In addition, the equivalent mutations on the TM6 side should be explored to rule out the effects of conformational changes that arise from mutating TM4 and to increase the strength of evidence for the importance of side-chain interactions at the TM6 interface. 

      We appreciate these great suggestions which were shared by multiple reviewers. We have included our previous responses below.

      “Response to reviewers 2 & 3: In our 2019 paper (10.1038/s41467-019-09778-7), we have systematically tested the side chain properties at the inner activation gate of TMEM16F on lipid scrambling activity (Response Fig. 6) and, since then, these results have been supplemented by others as well (10.1038/s41467-022-34497-x). In summary, mutating the inner activation gate residues to polar or charged residues generally results in constitutively activated scramblases without requiring Ca2+ (Fig 5a in 10.1038/s41467-019-09778-7). Because these residues form a hydrophobic gate, introducing smaller side chains via alanine substitution are also gain-of-function with the Y563A mutant as well as the F518A/Y563A/I612A variant being constitutively active (Fig. 3a in 10.1038/s41467-019-09778-7). Meanwhile, mutating these gate residues to hydrophobic amino acids causes no change for I612W, a slight gain-of-function for F518W, slight loss-of-function of F518L, and complete loss-of-function for Y563W (Fig. 4b in 10.1038/s41467-01909778-7). These findings clearly demonstrate that the side-chain properties are critical for regulating the gate opening. Charged mutations including lysine and glutamic acid are the most effective to promote gate opening (Fig 5a in 10.1038/s41467-019-09778-7).

      Similarly, others have observed that side chain hydropathy at the F518 site in TMEM16F correlates with shifts in the Ca2+ EC50 (Fig. 2 of 10.1038/s41467-022-34497-x). Note that this publication resolved the structure of the TMEM16F F518H mutant, revealing a previously unseen conformation that we have highlighted in Supplementary Fig. 1e and discussed in lines 235-238. Please also see our response to Reviewer #1 above, where we discuss discoveries in model transmembrane helical peptide systems showing that transbilayer lipid flipping rates correlate with side chain hydropathy (Author response image 3), distance between stacked hydropathic residues (schematic in 10.1248/cpb.c22-00133), and even helical angle between stacked side chains (not show). 

      Following the reviewers’ suggestions, we have tested additional mutations in alternative locations and with different side chains.  

      (1) We have added data for TMEM16F I521A and I521E to demonstrate a similar effect of alternative side chains to what has previously been reported by us and others. We found that I521A failed to show spontaneous scrambling activity (Supplementary Fig. 2), yet I521E (Supplementary Fig. 2) is a constitutively active lipid scramblase, similar to I521K (Fig. 1). This further demonstrates that gate disruption correlates with the side chain hydropathy and that this site lines a critical gating interface.

      (2) We also added lysine mutations two helical turns below the conserved inner activation gate for TMEM16F T526 (Fig. 1), TMEM16A E551 (Fig. 3). We found that there is indeed a lower limit for the observed effect in TMEM16, where lysine mutations no longer induce spontaneous lipid scrambling activity. This indicates that when TM 4/6 interaction is weaker toward intracellular side (Figs. 1a, 3a), the TM 4 lysine mutation loses the ability to promoting lipid scrambling by disrupting the TM 4/6 interface to enable clamshell-like opening of the permeation pathway. 

      (3) We added a TMEM16F lysine mutation on TM 6 at residue I611 (Fig. 2). Similar to I612K (Response Fig. 6), I611K also leads to spontaneous lipid scrambling and enhanced channel activity in the absence of calcium (Fig. 2). This shows that charged mutations along TM 6 can also promote lipid scrambling, strengthening our model that hydrophobic interactions along the TM 4/6 interface are critical for gating and lipid permeation.”

      The experiments for OSCA1.2 osmolarity effects on gating and scramblase in Figure 4 could be improved by adding different levels of osmolarity in addition to time in the hypotonic solution.

      We thank the reviewer for this excellent suggestion. We extensively tested this idea and found evidence (Response Fig. 10) that intermediate osmolarity (220 and 180 mOso/kg) also can enhance the scramblase activity of the A439K mutant, albeit to a milder extent compared to 120 mOso/kg stimulation. This suggests that swellinginduced membrane stretch may proportionally induce A439K activation and lipid scrambling. Due to the relatively mild sensitivity of OSCA to osmolarity and the variations induced by the experimental conditions, we believe it is better to not include this data to avoid overclaiming. We hope the reviewer would agree. 

      Author response image 7.

      AnV intensities of WT- and A439K-transfected cells after 10 minutes of hypotonic stimulation at the listed osmolarities.

      Some confocal images appear to be rotated relative to each other (e.g. Figures 2b and 3b).

      Thank you for identifying these errors, they are corrected in the revision.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      We wish to thank the Reviewers for their critical analysis of the article and for their suggestions and comments.

      In addition and beside the point-by-point answer to the Reviewers, we wish here to emphasize on three essential points that have been raised: First, we never intended (nor pretended) to address the incidence of the two EHT cell emergence processes on downstream fate, after release from the aortic floor (see for example the last paragraph of our initially submitted manuscript). We only wished to bring evidence on cell biological heterogeneity of the HE, particularly relying on cell polarity control and polarity reestablishment/reinforcement in the case of EHT pol+ cells, thus leading to emergence morphodynamic complexity. In the general context of cell extrusion in which all polarity features are generally downregulated, these are remarkable features.

      Second, we inform the Reviewers that we have performed a major revision of the work on the Pard3 proteins issue the outcome of which, hopefully, substantiates significantly the idea of a tuning of cell polarity features in the HE and all along the EHT time-window, for supporting EHT pol- and EHT pol+ types of emergence. To achieve this, we entirely revised the experimental strategy to increase specificity and sensitivity of detection of Pard3 protein isoforms expressed in the vascular system, based on endothelial FACS-sorting, qRT-PCR and single-molecule whole mount in situ hybridization using RNAscope. Importantly, we wish to stress that, by addressing Pard3 proteins, we initially aimed at substantiating our observations on the localization of our podxl2 construct (del-podxl2) used to label apical membranes. Hence, we sought to bring correlative evidence on the variation of expression of polarity proteins at early and later time points of the EHT time-window (suggesting tightly regulated expression control of polarity determinants, possibly at the mRNA level). This was clearly written and justified in the text, lines 227 or 303 of the initial manuscript. Also, this may have led to identify (a) specific isoform(s), including splicing variants as initially addressed.

      As the Reviewers will see, while performing the revision of our work, we now have been able to point at a specific isoform of Pard3, namely Pard3ba, whose mRNA expression level, in aortic cells and at the single cell resolution, is uniquely and specifically enhanced in cells contacting emergence ‘hot spots’. Using our Runx1 mutant fish line (dt-Runx1), we also show that expression of Pard3ba mRNAs, in these specific aortic regions, is sensitive to interference with Runx1 activity (i.e dt-Runx1 increases Pard3ba expression). Altogether, our new results strongly support our idea, initially proposed, on the regulation of polarity features during EHT; they indicates intercellular coordination, throughout cooperative cross-talk between aortic and HE/EHT cells. This is compatible with the idea of a ‘tuning’ of apico-basal polarity during the entire EHT time-window (including maturation of the HE to become competent for emergence and the emergence process per se whose morphodynamic complexity relies on regulating apico-basal polarity associated functions (ex: for controlling the specific junctional recycling modes of EHT pol+ and EHT pol- cells, as we suggest using JAM proteins that we have chosen owing to their function in the recruitment of Pard3 proteins for apico-basal polarity establishment)). This complements nicely our work and highlights the relevance of studying the interplay between aortic and HE/EHT cells (which we have started to dissect in the second part of our manuscript). Further work is obviously required to address local, dynamic variations of mRNAs encoding for this specific isoform of Pard3 as well as specific interference with its functions at the spatial and temporal levels (hence on live tissues), which is far beyond the scope of our currently submitted work.

      Finally, this emphasizes the importance of the aortic context, at the mesoscopic level, in the regulation of the EHT.

      Third, based on these major points and Reviewers suggestions, we propose to take into account the fact that the heterogeneity in emergence morphodynamics was not highlighted and propose the following title:

      ‘Tuning apicobasal polarity and junctional recycling in the hemogenic endothelium orchestrates the morphodynamic complexity of emerging pre-hematopoietic stem cells’

      Regarding Results and Figures, the previous Figures 3 and 4 have been entirely revised, with the support of Supplement Figures (3 and 4 supplement figures, respectively as well as a supplement video to Figure 3). Supplement Figures have also been included to the revised version, for nearly all results that appeared as data not shown (Figure 1 – figure supplement 2: illustrating the maintenance of EHT pol+ and EHT pol- cells after division; Figure 1 – figure supplement 3: illustrating the expression of the hematopoietic marker CD41 by EHT pol+ and EHT pol- cells). Also, a new supplemental figure, Figure 7 – figure supplement 7, has been added to substantiate the impact of interfering with ArhGEF11/PDZ-RhoGEF alternative splicing on hematopoiesis. Finally, a Figure for the Reviewers is added at the end of this file that shows that virtually 100% of aortic floor cells that we consider as hemogenic cells are positive for the hematopoietic marker Gata2b which is upstream of Runx1 (using RNAscope which allows achieving cellular resolution unambiguously).

      Reviewer #1 (Public Review):

      Summary:

      In this research article, the authors utilized the zebrafish embryo to explore the idea that two different cell types emerge with different morphodynamics from the floor of the dorsal aorta based on their apicobasal polarity establishment. The hypothesis that the apical-luminal polarity of the membrane could be maintained after EHT and confer different functionality to the cell is exciting, however, this could not be established. There is a general lack of data supporting several of the main statements and conclusions. In addition, the manuscript is difficult to follow and needs refinement. We present below some questions and suggestions with the goal of guiding the authors to improve the manuscript and solidify their findings.

      Here, we wish to emphasize that we do not make the hypothesis that ‘…the apical-luminal polarity of the membrane could be maintained after EHT …’ but that the apico-basal polarity establishment/maintenance controls the type of emergence and their associated cell biological features (EHT pol+ and EHT pol- cellular morphodynamics, establishment of membrane domains). Hence, our work suggests that these emergence modes, as a consequence of their intrinsic characteristics and differences, might have an impact on cellular behavior after the release (to place the work in the broader context of hematopoietic cell fate and differentiation). More specifically, the difference in the biological features of the luminal versus abluminal membrane for the two EHT types (ex: membrane signaling territories, membrane pools devoted to specific functions), might endow the cells with specific functional properties, after the release. What happens to those cells thereafter, except for illustrating the evolution of the luminal membrane for pol+ EHT cells, is beyond the scope of this paper. Here, we analyze and characterize some of the cell biological features of the EHT process per se (the emergence from the aortic floor), including the dynamic interface with adjoining endothelial cells.

      Strengths:

      New transgenic zebrafish lines developed. Challenging imaging.

      Weaknesses:

      (1) The authors conclude that the truncated version of Podxl2 fused to a fluorophore is enriched within the apical site of the cell. However, based on the images provided, an alternative interpretation is that the portion of the membrane within the apical side is less stretched than in the luminal side, and therefore the fluorophore is more concentrated and easier to identify by confocal. This alternative interpretation is also supported by data presented later in the paper where the authors demonstrate that the early HE is not polarized (membranes are not under tension and stretched yet). Could the authors confirm their interpretation with a different technique/marker like TEM?

      The argument of the apparent enrichment, or exclusion, of a marker depending on membrane stretching (and hence molecular packing) would be valid for any type of molecule embedded in these membranes, including of course endogenous ones (this is one of the general biophysical principles leading to the establishment of membrane domains, structurally and functionally speaking); hence, using another marker would not solve the issue because it would depends on its behavior in regard to packing (in particular lipid packing), which is difficult to anticipate and is a topic in its own (especially in this system that has been poorly investigated in regard to its biophysical and biochemical properties in vivo (including its exposure to the hemodynamics)).

      If we follow the logic of the Reviewer, it appears that it is not consistent with our results on the maturing HE. Indeed, in our dt-Runx1 mutants, mKate2-podxl2 is enriched at the luminal membrane of HE cells (HE cells are elongated, and the two membrane domains have a relative equal surface and bending); in comparison, HE cells have the same morphology in control animals than in mutants but, in controls, eGFP-podxl2 and mKate2-podxl2 are equally partitioned between the luminal and abluminal membranes (see Figure 3 – figure supplement 2 (for mKate2-podxl2) and Figure 2 – figure supplement 1 and 2 (for eGFP-podxl2)). In addition, we took care while designing the eGFP and mKate2 fusions to keep the natural podxl2 sequence containing critical cysteine residues to maintain assembly properties and distance from the transmembrane segment (hence the fluorescent protein per se is not directly exposed to membrane stretching).

      Finally, electron microscopy is not the approach to use for this issue because requiring tissue fixation which is always at risk because modifying significantly membrane properties. On this line, when we fix embryos (and hence membranes, see our new Figure 4 and its Supplemental Figures), we do not appear to maintain obvious EHT pol+ and pol- cell shapes. In addition, to be conclusive, the work would require not TEM but immuno-EM to be able to visualize the marker(s), which is another challenge with this system.

      (2) Could the authors confirm that the engulfed membranes are vacuoles as they claimed, using, for example, TEM? Why is it concluded that "these vacuoles appear to emanate from the abluminal membrane (facing the sub-aortic space) and not from the lumen?" This is not clear from the data presented.

      The same argument regarding electron microscopy mentioned on the point before is valid here (in addition, it would require serial sectioning in the case it would be technically feasible to make sure not to miss the very tinny connection that may only suggest ultimate narrowing down of the facing adjacent bilayers, which is quite challenging). The term vacuole which we use with caution (in fact, more often, we use the term pseudo-vacuoles in the initial manuscript, lines 140, 146, 1467 (legend to Figure 1 – figure supplemental 1 or apparent vacuole-like in the same legend lines 1465 and 1476) is legitimate here because we cannot say that they are portions of the invaginated luminal membrane as we could be accused not to show that these membranes are still connected to the luminal surface; we are here at the limit of the resolution that in vivo imaging is allowing for the moment with this system, and we drive the attention of the Reviewer on the fact that we are reaching here a sub-cellular level which is already a challenge by itself.

      In addition, if there would not be at some point vacuoles (or pseudo-vacuoles) formed in this system (membrane-bounded organelles), it would be difficult to conceive how, after release of the cell, the fluid inherited from the artic lumen would efficiently be chased from these membranes/organelles (see also our model Figure 1 – figure Supplement 1B).

      Why is it concluded that "these vacuoles appear to emanate from the abluminal membrane (facing the sub-aortic space) and not from the lumen?" This is not clear from the data presented.

      This is not referring to our data but to the Sato et al 2023 work. For EHT undergoing cells leading to aortic clusters in mammals and avians, vacuolar structures indeed appear to emanate from the ab-luminal side facing the sub-aortic space (we cannot call it basal because we do not know the polarity status of these cells). In the Revised version of the manuscript, we have moved this paragraph referring to the Sato et al work to the Discussion, which gives the possibility to expand a bit on this issue, for more clarity (see the second paragraph of our new Discussion).

      (3) It is unclear why the authors conclude that "their dynamics appears to depend on the activity of aquaporins and it is very possible that aquaporins are active in zebrafish too, although rather in EHT cells late in their emergence and/or in post-EHT cells, for water chase and vacuolar regression as proposed in our model (Figure 1 - figure supplement 1B)." In our opinion, these figures do not confirm this statement.

      This part of the text has been upgraded and moved to the Discussion (see our answer to point 2), to take Reviewers concern about clarity of the Results text section and allowing elaborating a bit more on this issue. We only wished to drive the attention on the described presence of intracellular vacuolar structures recently addressed in the Sato el al 2023 paper showing EHTcell vacuoles that are proposed to contribute to cellular deformation during the emergence. We take this example to rationalize the regression of the vacuolar structures described Figure 1 - figure supplement 1B, which is why we have written ‘… it is very possible that aquaporins are active in zebrafish too’; the first part of the sentence refers to the Sato et al 2023 paper.

      (4) Could the authors prove and show data for their conclusions "We observed that both EHT pol+ and EHT pol- cells divide during the emergence"; "both EHT pol+ and EHT pol- cells express reporters driven by the hematopoietic marker CD41 (data not shown), which indicates that they are both endowed with hematopoietic potential"; and "the full recovery of their respective morphodynamic characteristics (not shown)?".

      To the new version of our manuscript, we have added new Supplemental information to Figure 1 (two new Supplemental Figures):

      • Figure 1 - figure Supplement 2 that illustrates that both EHT pol+ and EHT pol- cells divide during the emergence as well as the maintenance of morphology for both EHT cell types. We wish also to add here that the maintenance of the EHT pol+ morphology is the most critical point, showing that dividing cells in this system do not necessarily lead to EHT pol- cells.

      • Figure 1 - figure Supplement 3 that shows that both EHT cell types express CD41.

      (5) The authors do not demonstrate the conclusion traced from Fig. 2B. Is there a fusion of the vacuoles to the apical side in the EHT pol+ cells? Do the cells inheriting less vacuoles result in pol- EHT? It looks like the legend for Fig. 2-fig supp is missing.

      As said previously, showing fusion here is not technically possible, but indeed, this is the idea, which fits with the images corresponding to timing points 0-90 minutes (Figure 2A), showing (in particular for the right cell) a large pseudo-vacuole whose membrane is heavily enriched with the polarity marker podxl2 (based on fluorescence signal in a membrane-bounded organelle that, based on its curvature radius, should be more under tension then the more convoluted EHT pol+ cell luminal membrane). Also, EHT pol – cells may be born from HE cells that either inherit from less intracellular vesicles after division (or that are derived from HE cells that are less – or not - exposed to polarity-dependent signaling (see our data presented in the new Figure 4 and the new version of the Discussion (see paragraphs ‘Characteristics of the HE and complexity of pre-hematopoietic stem cell emergence’ and ‘Spatially restricted control of Pard3ba mRNAs by Runx1’).

      Finally, the cartoon Figure 2B is a hypothetical model, consistent with our data, and that is meant to help the reader to understand the idea extrapolated from images that may not be so easy to interpret for people not working on this system. In legend of Figure 2 that describes this issue in the first version of our manuscript (lines 1241-1243), we were cautious and wrote, in parentheses: ‘note that exocytosis of the large vacuolar structure may have contributed to increase the surface of the apical/luminal membrane (the green asterisk labels the lumen of the EHT pol + cell’.

      The legend to Figure 2 – figure supplement 1 is not missing (see lines 1492 – 1499 of the first manuscript). The images of this supplement are not extracted from a time-lapse sequence and show that as early as 30hpf (shortly after the beginning of the EHT time-window – around 28hpf), cells on the aortic floor already exhibit podxl2-containing pseudo-vacuolar structures (which we propose is a prerequisite for HE cell maturation into EHT competent cells; see also Figure 2 – figure supplement 2).

      (6) The title of the paper "Tuning apico-basal polarity and junctional recycling in the hemogenic endothelium orchestrates pre-hematopoietic stem cell emergence complexity" could be interpreted as functional heterogeneity within the HSCs, which is not demonstrated in this work. A more conservative title denoting that there are two types of EHT from the DA could avoid misinterpretations and be more appropriate.

      There was no ambiguity, throughout our initial manuscript, on what we meant when using the word ‘emergence’; it refers only to the extrusion process from the aortic floor.

      Reducing our title only to the 2 types of EHT cells would be very reductionist in regard to our work that also addresses essential aspects of the interplay between hemogenic cells, cells undergoing extrusion (EHT pol+ and pol- cells), and their endothelial neighbors (not to mention what we show in terms of the cell biology for the maturing HE and the regulation of its interface with endothelial cells (evidence for vesicular trafficking, specific regulation of HE-endothelial cell intercalation required for EHT progression etc … ). However, and to take this specific comment into account, we propose a slightly changed title saying that there are emergences differentially characterized by their morphodynamic characteristics:

      ‘Tuning apicobasal polarity and junctional recycling in the hemogenic endothelium orchestrates the morphodynamic complexity of emerging pre-hematopoietic stem cells’

      (7) There are several conclusions not supported by data: "Finally, we have estimated that the ratio between EHT pol+ and EHT pol- cells is of approximately 2/1". "We observed that both EHT pol+ and EHT pol- cells divide during the emergence and remain with their respective morphological characteristics". "We also observed that both EHT pol+ and EHT pol- cells express reporters driven by the hematopoietic marker CD41 (data not shown), which indicates that they are both endowed with hematopoietic potential." These conclusions are key in the paper, and therefore they should be supported by data.

      Most of the requests of the Reviewer in this point have already been asked in point 4 and were added to the revised version.

      Regarding the EHT pol+/pol- ratio, we will keep the ratio to approximately 2/1. The Reviewer should be aware that quantification of EHT cells is a tricky issue and a source of important variability, as can be assessed by the quantifications that we have been performing (see for example figures in which we compare the dt-Runx1 phenotype with Ctrl). This is inherent to this system, more specifically because the EHT process is asynchronous, ranging from approx. 28 hpf to 3 days post fertilization (we have even observed EHT at 5 dpf). We systematically observed heterogeneity in EHT numbers and EHT types between animals and also between experiments (some days we observe EHTs at 48 hpf, others more around 55 hpf or even later). In addition, emergence also proceeds on the lateral side of the aorta and, while it is relatively easy to identify EHT pol+ cells because of their highly characterized morphology, it is more difficult for EHT pol- cells that can be mistaken to round HE cells preparing for division. In the current revision of our work, we provide additional facts and potential explanations on the mechanisms that control this asynchrony and the apparent stochasticity of the EHT process (see results of new Figures 3 and 4).

      Reviewer #2 (Public Review):

      In this study, Torcq and colleagues make careful observations of the cellular morphology of haemogenic endothelium undergoing endothelial to haematopoietic transition (EHT) to become stem cells, using the zebrafish model. To achieve this, they used an extensive array of transgenic lines driving fluorescent markers, markers of apico-basal polarity (podocalixin-FP fusions), or tight junction markers (jamb-FP fusions). The use of the runx truncation to block native Runx1 only in endothelial cells is an elegant tool to achieve something akin to tissuespecific deletion of Runx1. Overall, the imaging data is of excellent quality. They demonstrate that differences in apico-basal polarity are strongly associated with different cellular morphologies of cells undergoing EHT from HE (EHT pol- and EHT pol+) which raises the exciting possibility that these morphological differences reflect the heterogeneity of HE (and therefore HSCs) at a very early stage. They then overexpress a truncated form of Runx1 (just the runt domain) to block Runx1 function and show that more HE cells abort EHT and remain associated with the embryonic dorsal aorta. They identify pard3aa and pard3ab as potential regulators of cell polarity. However, despite showing that loss of runx1 function leads to (late) decreases in the expression of these genes, no evidence for their role in EHT is presented. The FRAP experiments and the 2d-cartography, albeit very elegant, are difficult to interpret and not very clearly described throughout the text, making interpretation difficult for someone less familiar with the techniques. Finally, while it is clear that ArhGEF11 is playing an important role in defining cell shapes and junctions between cells during EHT, there is very little statistical evidence to support the limited data presented in the (very beautiful) images.

      As mentioned in the response to reviewer 1, we revised our whole strategy for the analysis of the role of Pard3 proteins in regulating the emergence of hematopoietic precursors. Our new data, obtained using refined gene expression analysis by qRT-PCR on FACS sorted populations and by in situ gene expression analysis at the single-cell resolution using RNAscope, show first that a unique Pard3 isoform (Pard3ba) is sensitive to runx1 activity, and that its expression is specifically localized in aortic cells contacting hemogenic(HE)/EHT cells. We show a clear correlation between the densification of Pard3ba mRNAs and the presence of contacting HE/EHT cells, suggesting a key role for Pard3ba in a cross talk between aortic and hemogenic cells. Furthermore, we show that our dt-runx1 mutant impacts on the maturation of HE cells; when this mutant is expressed, we observe, in comparison to control, an accumulation of HE cells that are abnormally polarized as well as unusually high numbers of EHT pol+ cells. This strongly suggests that the polarity status of HE cells controls the mode of emergence. Overall, our work shows that regulation of apico-basal polarity features is essential for the maturation of the HE and the proper proceeding of the EHT.

      We made efforts to explain more clearly the FRAP experiments as well as the analysis of 2Dcartography throughout the text to facilitate readers comprehension. 2D-cartography are an invaluable tool to precisely discriminate between endothelial and hemogenic cells, and their usage was essential during the FRAP sessions, to point at specific junctional complexes accurately. Performing FRAP at cellular junctions during aortic development was extremely challenging technically and the outcome subjected to quite significant variability (which often leads to quantitative results at the limit of the statistical significance, which is why we speak of tendencies in our results section reporting on this type of experiments). Apart from constant movement and drifting of the embryos which are sources of variability, the EHT process per se is evolving over time and does so at heterogeneous pace (for example, the apical closure of EHT pol+ cells is characterized by a succession of contraction and stabilization phases, see Lancino et al. 2018) which is an additional source of variability in the measurements. Despite all this, our data collectively and consistently suggest a differential regime of junctional dynamics between EHT cell types and support the critical function of ArhGEF11/PDZ-RhoGEF in the control of junctional turnover at the interface between HE and aortic cells as well as between HE cells to regulate cell-cell intercalation.

      There is a sense that this work is both overwhelming in terms of the sheer amount of imaging data, and the work behind it to generate all the lines they required, and at the same time that there is very little evidence supporting the assertion that pard3 (and even ArhGEF11) are important mediators of cell morphology and cell fate in the context of EHT. For instance, the pard3 expression data, and levels after blocking runx1 (part of Figure 3 and Figure 4) don't particularly add to the manuscript beyond indicating that the pard3 genes are regulated by Runx1.

      We thank the reviewer for the comment on the Pard3 data particularly because it led us to reconsider our strategy to address with more precision and at the cellular resolution the potential function of this protein family during the time-window of the EHT. As summarized in the header of the Public Review, we identified one specific isoform of Pard3 in the zebrafish - Pard3ba – whose sensitivity to runx1 interference and spatial restriction in expression reinforce the idea of a fine control of apico-basal polarity features and associated functions while EHT is proceeding. Our new data also reinforce the interplay between HE/EHT cells and their direct endothelial neighbors.

      Weaknesses

      The writing style is quite convoluted and could be simplified for clarity. For example, there is plenty of discussion and speculation throughout the presentation of the results. A clearer separation of the results from this speculation/discussion would help with understanding. Figures are frequently presented out of order in the text; modifying the figures to accommodate the flow of the text (or the other way around) - would make it much easier to follow the narrative. While the evidence for the different cellular morphologies of cells undergoing EHT is strong, the main claim (or at least the title of the manuscript) that tuning apico-basal polarity and junctional recycling orchestrate stem cell emergence complexity is not well supported by the data.

      We refined our text when necessary, in particular taking care of transferring and substantiating the arguments that appeared in the Results section, to the Discussion. We also made efforts, on several occasions and for clarity, to describe more precisely the results presented in the different panels of the Figures.

      As mentioned in the header of the text of the Public Review and the response to the 6th point of the Public Review of Reviewer 1, we modified slightly the title to avoid ambiguity. In addition, we added a new paragraph to the beginning of our discussion that summarizes the impact of our findings and, we believe, legitimates our title.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) Embryonic stages should be indicated in all images presented for clarification.

      We thank the reviewer for this point, we added stages when missing on the figures (Figure 1, Figure 1 - Figure supplement 1, Figure 2, Figure 2 - Figure supplement 1, Figure 5, Figure 6, Figure 6 - Figure supplement 1, Figure 7 - Figure supplement 3, Figure 7 - Figure supplement 5, Figure 7 - Figure supplement 6)

      (2) In which anatomical site/s were images from Fig 1C and D taken? The surrounding environment looks different, for example, cells in Fig1D seem to be surrounded by other cells, resembling the endothelial plexus at the CHT, while the cells in Fig. 1C seem to be in the dorsal aorta. Is there a spatial difference depending on where cells are budding off? The authors state that there are no differences, but no quantification or data demonstrating that statement is provided.

      As mentioned in the figure legend (lines 1206-1209 of the original manuscript), images for Figure 1C and 1D were both taken at the boundary between the end of the AGM and the entry in the caudal hematopoietic tissue. As the images were acquired from different embryos, the labelling of the underlying vein differs between the two panels, with veinous tissues being more sparsely labelled in panel C than in panel D. These images were chosen to illustrate the clearly opposite morphology between the two EHT types that we describe. However, for the rest of the paper, all images and all analysis were exclusively acquired / performed in the dorsal aorta in the AGM, in a region spanning over approximately 10-12 inter-segmentary vessels, starting from the end of the elongated yolk up to the start of the balled yolk. In light of the work from the lab of Zilong Wen showing that only cells emerging anteriorly exhibit long-term replenishment potential (Tian et al. 2017), we specifically chose to limit our comparative analysis to the AGM region and did not quantitatively investigate emergences occurring in the caudal region of the aorta. Additionally, although we routinely observe both types of emergences occurring in the caudal region of the dorsal aorta, we did not quantify the frequency of either EHT events in this region.

      Finally, the EHT pol+ cells that we show Figure 1C are of the highest quality obtained ever; one reason is that these two cells emerge at the entry of the CHT which is a region a lot easier to image at high resolution in comparison to the trunk because the sample is less thick and because we are less perturbed by heart beats.

      (3) Which figure shows "EHT pol- cells were observed in all other Tg fish lines that we are routinely imaging, including the Tg(Kdrl:Gal4;UAS:RFP) parental line that was used for transgenesis, thus excluding the possibility that these cells result from an artefact due to the expression of a deleted form of Podxl2 and/or to its overexpression."? It would be informative to include this figure.

      Other examples of EHT pol- cells were shown Figure 5C as well as Figure 6B using the Tg(kdrl:Jam3b-eGFP; kdrl:nls-mKate2) fish line, that was routinely used for junctional dynamic analyses by FRAP. Furthermore, we add now a new figure (New Figure 1 – figure supplement 3), to illustrate the presence of EHT pol- cells using the Tg(CD41:eGFP) transgenic background, additionally illustrating that EHT pol- cells are CD41 positive.

      (4) Are the spinning disk confocal images a single plane? Or maximum projections? Sometimes this is not specified.

      We made sure to take into account this remark and went through all figures legends to specify the type of images presented (Figure 1 – figure supplement 1, Figure 2, Figure 2 – figure supplement 1, Figure 2 – figure supplement 2, Figure 7 – figure supplement 3) and also, when relevant, we added this information directly to the figure panels (Figure 6A – 6B).

      (5) Could the expression data by RT-qPCR for the Pard3 isoforms be shown? Additionally, it would be appreciated if this expression data could be complemented using Daniocell (https://daniocell.nichd.nih.gov/).

      As mentioned in the first paragraph of our response to Public Reviews, and based on reviewers’ comments, we revised our strategy for the investigation of pard3 proteins expression in the vascular system, for their potential role in EHT and sensitivity to runx1. First, we used FACS sorting as well as tissue dissection to enrich in aortic endothelial cells and perform our qPCR analyses (see the new Figure 4 – figure supplement 1A and Figure 4 – figure supplement 3A for the strategy). As asked by the reviewers and for more transparency, we show the expression relative to the housekeeping gene ef1a in our different control samples (new Figure 4 – figure supplement 1C). Furthermore, we used single-molecule FISH to precisely characterise in situ the expression of several of the Pard3 isoforms (Pard3aa, Pard3ab and Pard3ba, which, based on qPCR, were the most relevant for our investigation in the vascular system) (see lines 386 to 412 in text relative to Figure 4 – figure supplement 2). This new addition nicely shows the different pattern of expression of 3 of the Pard3 zebrafish isoforms in the trunk of 2dpf embryos, outlining interesting specificities of each isoform expression in different tissues.

      We thank the reviewer for this suggestion to complement our data with the published Daniocell dataset. However, and potentially due to the poor annotation of the different pard3 genes on public databases, gene expression information was absent for two of our isoforms of interest (pard3aa and pard3ba), that we ultimately show to be the most enriched in the vascular system in the trunk. Daniocell gene expression data for the Pard3ab isoform at 48hpf show expression in pronephric duct at 48-58hpf, as well as in intestine progenitors and neuronal progenitors, which is consistent with our in situ observations using RNAscope. However, pard3ab is poorly detected within the hematopoietic and vascular clusters. This observation is coherent with our data that do not show any enrichment of this isoform in vascular tissues compared to other structures. On the other hand, pard3bb does not seem to be particularly enriched in vascular/hematopoietic clusters at 48-58hpf in the Daniocell dataset, in accordance to what we observe with our qPCR. Finally, in the Daniocell dataset, all of the pard3 variants (pard3ab, pard3bb, PARD3 and PARD3 (1 of many)) seem to be either scarcely or not detected in the hematopoietic/vascular system. In our case, for all the isoforms we studied in control condition (pard3aa, pard3ab and pard3ba), and although the technic is only semi-quantitative due to the presence of an amplification step, RNAscope assays seem to indicate a very low expression in aortic cell (with sometime as little as one mRNA copy per cell; this explains low detection in single-cell RNAseq datasets and is coherent with the Daniocell dataset.

      (6) It would be informative to add in the introduction some information on apico-basal polarity, tight junctions, JAMs (ArhGEF11/PDZ-RhoGEF).

      We modified the introduction so as to add relevant information on Pard3 proteins, their link with our JAMs reporters in the context of polarity establishment, as well as the role of ArhGEF11/PDZ-RhoGEF and its alternative splicing variants in regulating junctional integrity in the context of epithelial-to-mesenchymal transition (lines 99 to 127). This modification of the introduction also allowed us to lighten some parts of the result section (lines 222 to 224, 345 to 349 and 454 to 456 of the original manuscript).

      Reviewer #2 (Recommendations For The Authors):

      (1) There is lots of data (and lots of work) in this paper; I feel that the pard3 data doesn't substantially add to the paper, and at the same time there is data missing (see point 10, point 11 below for an example).

      To add to the clarity and substantiate our findings on Pard3, we revised entirely our investigation strategy as mentioned in previous paragraphs. We refined the characterization of Pard3 isoforms expression in the vascular tissue, using both cell enrichment by FACS for gene expression analysis as well as single-molecule FISH (RNAscope) to access to spatial information on the expression of pard3 isoforms, reaching sub-cellular resolution.

      This new strategy allowed us to show the unexpected localization of Pard3ba mRNAs in mRNAs enriched regions in the vicinity of HE/EHT cells (new Figure 4, and paragraph Interfering with Runx1 activity unravels its function in the control of Pard3ba expression and highlights heterogeneous spatial distribution of Pard3ba mRNAs along the aortic axis, see the new manuscript). Overall, the new spatial analysis we performed allowed us to substantiate our findings on Pard3ba and suggests a direct interplay between hemogenic cells and their endothelial aortic neighbors; this interplay supposedly relies on apico-basal polarity features that is at least in part regulated by runx1 in the context of HE maturation and EHT.

      (2) Labelling of the figures could be substantially improved. In many instances, the text refers to a figure (e.g. Fig 6A), but it has several panels that are not well annotated (in the case of Fig 6A, four panels) or labelled sparsely in a way that makes it easy to follow the text and identify the correct panel in the figure. Even supplementary figures are sparsely labelled. Labelling to include embryonic stages, which transgenic is being used, etc should be added to the panels to improve clarity for the reader.

      We revised the figures to added relevant information, including stages, types of images and annotations to facilitate the comprehension, including Figure 6A – 6B, Figure 5B – 5C (see response to Reviewer 1, first comment, for a more complete list of all revised figures, transgenic fish lines and embryonic stages annotations). Furthermore, we revised the integrality of the manuscript to fit as much as possible to the figures and added some annotations to more easily link the text to the figures and panels.

      (3) The current numbering of supplementary figures is quite confusing to follow.

      We revised the manuscript so as to make sure all principal and supplementary figures were called in the right order and that supplementary figures appearance was coherent with the unfolding of the text. For Figure 7 only, the majority of the supplemental figures are called before the principal figure, as they relate to our experimental strategy that we comment on before describing the results.

      (4) Graphs in Fig 4, Fig 7 supplement 1 and some of the supplementary figures miss statistical info for some comparison (I assume when non-significant), and sometimes present a p-value of a statistical test being done between samples across stages - but these are not dealt with in the text. Throughout all graphs, the font size used in graphs for annotation (labelling of samples, x-axis, and in some cases the p values) is very small and difficult to read.

      For Figure 7 - figure supplement 1, non-significant p-values of statistical tests were not displayed (as mentioned in the Figure legend, line 1614 of the original manuscript). For the new Figure 4, all p-values are displayed. For new Figure 4 - figure Supplement 1, statistical tests were only performed to compare RFP+ and RFP- cells in the trunk condition (3 biological replicates) and not in the whole embryo condition, for which we did not perform enough replicates for statistical analysis (biological duplicates).

      (5) The results are generally very difficult to follow, with a fair amount of discussion included but then very little detail of the experiments per se.

      We thank the reviewers for these comments that helped us improve the clarity of the manuscript.

      The Results section was revised to move some of the paragraphs to the introduction (see response to Reviewer 1, 6th comment), and some of them to the Discussion (such as lines 149 to 156 or 410 to 416 in the first version of the manuscript referring to vacuolar structures or to the recycling modes of JAMs in EHT pol+ and EHT pol- cells).

      (6) The truncated version of runx1 is introduced but its expected effect is not explained until the discussion. Related to this, is it expected that blocking runx1 with this construct (leading to accumulation of cells in the aorta before they undergo EHT) then leads to increased numbers of T-cell progenitors in the thymus? Abe et al (2005, J Immunol) have used the same strategy to overexpress the runt domain in thymocytes and found a decrease in these cells, rather than an increase. Can you explain this apparent discrepancy?

      We thank the reviewer for this interesting point on the effect of runx1 interference. This phenotype (increased number of thymic cells) seems to be in agreement with the phenotype that was described in zebrafish using homozygous runx1 mutants (Sood et al. 2010 PMID: 20154212), in which the authors show an increase of lymphoid progenitors in the kidney marrow of adult runx1W84X/W84X mutants compared to controls as well as a similar number of intra-thymic lck:eGFP cells in mutants and controls. Notably, the T-lymphoid lineage seems to be the only lineage spared by the mutation of runx1. This could suggest that in this case either the T-lymphoid lineage can develop independently of runx1 or that a compensation phenomenon (for example by another protein of the runx family) occurs to rescue the generation of T-lymphocytes.

      Although our data shows an impact on T-lymphopoiesis, we do not elucidate the exact mechanism leading to an increased number of thymic cells. In our case, we do not know the half-life of our dt-runx1 protein in newly generated hematopoietic cells when our transgene, expressed under the control of the kdrl vascular promoter, ceases to be produced after emergence. The effect we observe could be direct, due to the presence of our mutant protein after 3 days in thymic cells, or indirect, due to the impact of our mutant on the HE, that could lead to the preferential generation of lymphoid-biased progenitors. Similarly, we do not know whether the cells we observe at this stage in the thymus are generated from long-term HSC or short-term progenitors. Indeed, cell tracing analysis from the lab of Zilong Wen (Tian et al. 2017, see our Ref list) show the simultaneous presence of short-term PBI derived and longterm AGM derived thymic cells at 5dpf. Based on this, we can imagine for example that the sur-numerous cells we observe in the thymus are transient populations that could multiply faster in the absence of definitive populations. Conversely, based on our observation of an accumulation of EHT pol+ events, we can imagine that the EHT pol+ and EHT pol- cells are indeed differentially fated and that EHT pol+ may be biased toward a lymphoid lineage. We also know that at the stage we observe (5dpf), RNAscope assay of runx1 show that a vast majority of thymic cells do not express runx1 (our preliminary data), suggesting that the effect we observe would be an indirect one caused by upstream events rather than by direct interference with the endogenous expression of runx1 in thymic cells.

      The article referred to by the reviewer (Sato et al. 2005, PMID: 16177090) investigates on the role of runx1 during TCR selection for thymic cell maturation and shows that runx1 signaling lowers the apoptotic sensitivity of double-positive thymocytes when artificially activated, leading to a reduced number of single-positive thymic cells. Furthermore, this paper references another study from the same lab (Hayashi et al. 2000, PMID: 11120804) that used the same strategy to study the role of runx1 on the positive and negative selection steps of T lymphocytes maturation. This paper, although showing that runx1 is important for later stages of T lymphocytes differentiation — the double-positive to single-positive stage maturation —, also shows a relative increase in the amount of double-negative and double-positive thymocytes, that could be coherent with our observations. Indeed, in our case, although we show an increased number of thymic cells, we do not know the relative proportion of the different thymocyte subsets. We could explain the increased number of thymic cells by increased number of DN/DP thymocytes that would not preclude a decrease in single-positive thymocytes. Finally, the cells we observe in the thymus of our dt-runx1 mutants may also be different lymphoid populations, namely ILCs, that would react differently to runx1 interference.

      (7) Lines 154-155 refer to aquaporins but are missing a reference. This is a bit of speculation right in the results section and I struggled to understand what the point of it was.

      To clarify the argument and ease the flow of the text, as suggested by the reviewers, we transferred this paragraph (lines 149 to 156 of the initial manuscript) to the Discussion section lines 763-789). We additionally made sure to add the missing reference (Sato et al. 2023, see our Ref list).

      (8) Lines 173-175, indicating that both EHTpol+ and pol- express the CD41 transgenic marker - would be useful to show this data.

      We provide a new supplement Figure (Figure 1 – figure supplement 3), where, using an outcross of the CD41:eGFP and kdrl:mKate2-podxl2 transgenic lines, we show unambiguously and for multiple cells that both polarized EHT pol+ cells and non-polarized EHT pol- cells are CD41 positive. In addition, but not commented on in the main text, we can also see that an HE cell, characterized by its elongated morphology (in the middle of the field), its thickened nucleus and its position on the aortic floor, is also CD41 positive.

      (9) Lines 181-201 - it's not clear how HE cells were identified in the first place - was it just morphology? Or were they identified retrospectively?

      HE cells were identified solely on morphology and spatial criteria (as mentioned in the Methods section, lines 1073-1082 and 1108-1111 of the first manuscript). Furthermore, a recent investigation by the lab of Zilong Wen (Zhao et al. 2022, see our Ref list) questioning the common origin of HE cells and of endothelial cells as well as their respective capacity to extrude from the aorta to generate hematopoietic cells showed, by single-cell tracing, that 96% of floor cells are indeed hemogenic endothelial cells. Furthermore, as mentioned in the response to the 8th point, we show in Figure 1 – figure supplement 3 that all floor cells express CD41. Finally, we also used an alternative method to validate the true hemogenic identity of aortic floor cells and show, using RNAscope, that virtually 100% of floor cells that we consider as typical HE cells are indeed expressing an hematopoietic transcription factor upstream of Runx1, namely Gata2b (see Author response image 1).

      Author response image 1.

      All cells from the aortic floor, at 48hpf, express the hematopoietic marker Gata2b. 48 hpf Tg(Kdrl:eGFP) fixed embryos were used for RNAscope using a probe designed to detect Gata2b mRNAs. Subsequently, images were taken using spinning disk confocal microscopy. The image in the top panel is a z-projection of the entire aortic volume of one embryo and shows the full portion of the dorsal aorta from the anterior part (left side, at the limit of the balled yolk) down to the urogenital orifice (UGO, right side). The 4 boxes (1 - 4) delineate regions that have been magnified beneath (2X). The 2X images corresponding to each box are z-projections (top views) or z-sections (bottom views). The bottom views allow to visualize the aortic floor and to mark its position on top views). Pink arrows point at HE cells (elongated in the anteroposterior direction) and at EHT cells (ovoid/round cells; EHT pol+ cell morphology is not preserved after fixation and RNAscope; thus, it cannot be distinguished from ovoid/round EHT pol- cells). Pink dots = RNAscope spots of various sizes. The green cells in the subaortic space that are marked by RNAscope spots are newly born hematopoietic stem and progenitor cells (see for example box 1). This embryo is representative of n = 5 embryos treated and imaged.

      (1) Line 276 - the difference between the egfp-podxl2 and mKate-podxl2 - could that be due to the fluorophore used? Also, it would be good to label Fig 3 supplement 2 better and to see a control alongside the runt overexpression.

      Line 276 does not point at a difference in control conditions between eGFP-podxl2 and mKatepodxl2 (see in new Figure 1 – figure supplement 3, Figure 2 or in new Figure 3 - figure supplement 2 several examples of non-polarized HE cells in control conditions using both fluorophores) but between control and dt-runx1 conditions, both expressing the mKate2podxl2 transgene. Similarly, the new example that we provide now in the CD41 figure (Figure 1 – figure supplement 3) clearly shows that mKate-podxl2 is enriched at the apical/luminal membrane of EHT pol+ cells while no such enrichment is observed for EHT pol- cells. The Reviewer should be informed that EHT cells are not always the most typical in shape, in particular because cells can be squeezed by underlying tissues and for example the vein; or from the luminal side by flow and tensions on the aortic wall because of heart beat (the more we image up in the trunk, the more difficult the imaging and the stability of cell shape during long time-lapse sequences). To also take into account the reviewer’s comments, we added for the new Figure 3 – figure supplement 2A a control condition next to the dt-runx1 condition.

      (2) There is no quantitation data on the number of excess EHT pol+ cells in the DA, or in the thymus data (Figs 3 Supp1 and Fig 3 Supp 3). Can you quantify this data? This would better support the claim that tunin apico-basal polarity alters the morphology of the emerging HE cells.

      We added quantifications relative to both the emergence process itself, showing the accumulation of HE and EHT pol+ cells (new Figure 3B), and on hematopoiesis per se (new Figure 3 – figure supplement 1). Indeed, we show a diminution in the number of newly generated cmyb+ cells in the sub-aortic space. Furthermore, we improved our quantification of the later phenotype on the thymus (new Figure 3 – figure supplement 3), using improved segmentation methods, that indeed validate the increase number of thymic cells that we described.

      (3) The observed changes in pard3 isoforms are just reading out changes in their expression in the runt1 transgenics, rather than demonstrating a role in apico-basal polarity.

      We entirely revised our strategy regarding Pard3 expression analyses (see also the text at the beginning of this file, for the Public Review). But we wish to stress on the point that we did not intend initially to show directly a role of Pard3 proteins in controlling apico-basal polarity in the system, we just intended to provide correlative evidence supporting our observations with the polarity marker podxl2 (by interfering with their function, as written in the text, apico-basal polarity - which is essential for aortic lumenization and maintenance -, would have been impaired, blurring interpretations).

      During the revision, we obtained the unexpected finding, using RNAscope, that one Pard3 isoform, namely Pard3ba, is the one Pard3 that is expressed non-homogenously along the aortic axis and, in vast majority, by aortic cells and in the direct vicinity of emergence domains of the aortic floor (see the new Figure 4 and Figure 4 – figure supplements 2, 3).

      This correlative relation between expression of Pard3ba in aortic endothelial cells neighbouring HE/EHT cells suggests, as we propose, that a cross talk occurs between hemogenic and aortic cells, and that this cross talk relies, at least in part, on the expression of key components of apico-basal polarity and their associated functional features. In addition, we show that junctional recycling differs between both EHT types, based on our observations on the different dynamics in the turnover of JAM molecules, in the two EHT types. As JAM molecules are also required for the recruitment of Pard3, which initiates the establishment of apico-basal polarity, these different dynamics suggest that the control of apico-basal polarity is involved in supporting the morphodynamic complexity of EHT cell types.

      (4) There is a Fig 5, Supp 2 that is neither mentioned nor described anywhere in the manuscript.

      Figure 5 - figure Supplement 2 is mentioned lines 366-370 of the original manuscript, to describe the initial validation that was performed for our eGFP-JAM constructs in multiple cell types using an ubiquitous heat-shock promoter. We developed our description of this supplemental figure in the new manuscript (lines 504 to 514).

      (5) Lines 445-456 - these read like a bit of discussion, not results. There are other similar parts of the results section that also read like a discussion (e.g. 526-533)

      Although we decided to keep this paragraph in the Results section, as it justifies the rationale behind the choice of ArhGEF11/PDZ-RhoGEF, we took the reviewers comment into account and, as mentioned in the response to reviewer 1 6th comment, lightened the Results section by transferring some of the paragraphs to the Introduction or Discussion sections.

      (6) The description of Fig 7A (from line 505) is missing the stages at which the experiments were performed (also not labelled on the figure).

      The stages at which the experiments were performed is stated in the figure legend (line 1366) as well as in the Methods section of the original manuscript (line 1033). We added the information on top of the panels A and B for more clarity.

      (7) Some figures have multiple panels (e.g. Fig 7Aa'), so when referred to in the text, it remains unclear which panel is being referred to.

      We modified the text so as to refer more clearly to the different panels when mentioned in the text, particularly with regards to Figure 7 and 8 but also for all the other figures.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment

      This important study investigates the transcriptional changes in neurons that underlie loss of learning and memory with age in C. elegans, and how cognition is maintained in insulin/IGF-1-like signaling mutants. The presented evidence is convincing, utilizing a cutting-edge method to isolate neurons from worms for genomics that is clearly conveyed with a rigorous experimental approach. Overall, this study supports that older daf-2 worms maintain cognitive function via mechanisms that are unique from younger wild type worms, which will be of interest to neuroscientists and researchers studying ageing.

      Thank you, we appreciate the positive comments.

      Public Reviews: 

      Reviewer #1 (Public Review): 

      The authors perform RNA-seq on FACS-isolated neurons from adult worms at days 1 and 8 of adulthood to profile the gene expression changes that occur with cognitive decline. Supporting data are included indicating that by day 7 of adulthood, learning and memory are reduced, indicating that this time point or after represents cognitively aged worms. Neuronal identity genes are reduced in expression within cognitively aged worms, whereas genes involved in proteostasis, transcription/chromatin, and stress response are elevated. A number of specific examples are provided, representing markers of specific neuronal subtypes, and correlating expression changes to the erosion of particular functions (e.g. motor neurons, chemosensory neurons, aversive learning neurons, etc). 

      To investigate whether the upregulation of genes in neurons with age is compensatory or deleterious, the authors reduced the expression of a set of three significantly upregulated genes and performed behavioral assays in young adults. In each case, reduction of expression improved memory, consistent with a model in which age-associated increases impair neuronal function. This claim would be bolstered by an experiment elevating the expression of these genes in young neurons, which should reduce the learning index if the hypothesis is correct. 

      This is an interesting suggestion. Our long-term goal is to find ways to improve memory, and to better understand the “rules” that might govern changes with age. In this case, were interested in addressing the hypothesis that genes that rise with age must be compensatory, which is a frequently stated theory that is not often tested. Here we showed that knocking down three genes that are upregulated in aged animals improved memory; our results suggest that the wild-type functions of these genes are likely deleterious for learning and memory functions, and further, that their increased expression with age is not a compensatory function. Certainly for future work, it might be interesting to better understand how and why these specific genes have a deleterious function that increases with age, and whether that function is different in younger animals where they are not highly expressed.

      The authors then characterize learning and memory in wild-type, daf-2, and daf-2/daf-16 worms with age and find that daf-2 worms have an extended ability to learn for approximately 10 days longer than wild types. This was daf-16 dependent. Memory was extended in daf-2 as well, and strikingly, daf-2;daf-16 had no short-term memory even at day 1. Transcriptomic analysis of FACS-sorted neurons was performed on the three groups at day 8. The authors focus their analysis on daf-2 vs. daf-2;daf-16 and present evidence that daf-2 neurons express a stress-resistance gene program. One question that remains unanswered is how well the N2 and daf-2;daf-16 correlate overall, and are there differences? This may be informative as wild type and daf-2;daf-16 mutants are not phenotypically identical when it comes to memory, and there may be differences that can be detected despite the overlap in the PCA. This analysis could reveal the daf-16 targets involved in memory. 

      Re. daf-2;daf-16 vs N2: This is a good suggestion. Our analysis in Fig. S5 showed that the daf-2 vs N2 comparison shows similar results with the daf-2 vs daf-16;daf-2 comparison, but some additional genes are differentially expressed. Interestingly, the daf-2 vs N2 comparison shows that the bZip transcription factors are upregulated in daf-2 compared with N2 worms (Fig. S6f). This may indicate that additional transcription factors are controlled by the daf-2 mutation in the nervous system in addition to the DAF-16/FOXO transcription factor.

      Author response image 1.

      We also identified the differentially expressed genes in the Day 8 neuronal daf-16;daf-2 to N2 comparison, as the reviewer is asking about. The samples from different genotypes do separate from one another in the PCA plot, indicating there are differences between daf-16,daf-2 and N2 neurons. However, the difference is smaller and there are fewer genes differentially expressed between daf-16;daf-2 and N2: only 38 genes are significantly higher in daf-16;daf-2, and only 53 genes are significantly higher in N2 (log2FC > 0.5, p-adj<0.05). The genes higher in N2 are enriched in endopeptidase inhibitors, and the genes higher in daf-16;daf-2 are not enriched in any gene ontology terms. These results indicate that there are some differences between daf-16;daf-2 and N2 neurons, which correlates with the behavioral differences we see, but the difference is small compared to daf-2 neurons. We have added these data to the paper (Fig. S4e,f); thank you for the suggestion.

      The authors tested eight candidate genes that were more highly expressed in daf-2 neurons vs. daf-2;daf-16 and showed that reduction of 2 and 5 of these genes impaired learning and memory, respectively, in daf-2 worms. This finding implicates specific neuronal transcriptional targets of IIS in maintaining cognitive ability in daf-2 with age, which, importantly, are distinct from those in young wild type worms. 

      Reviewer #2 (Public Review): 

      Weng et al. perform a comprehensive study of gene expression changes in young and old animals, in wild-type and daf-2 insulin receptor mutants, in the whole animal, and specifically in the nervous system. Using this data, they identify gene families that are correlated with neuronal ageing, as well as a distinct set of genes that are upregulated in neurons of aged daf-2 mutants. This is particularly interesting as daf-2 mutants show both extended lifespans and healthier neurons in aged animals, reflected by better learning/memory in older animals compared with wild-type controls. Indeed, the knockdown of several of these upregulated genes resulted in poorer learning and memory. In addition, the authors showed that several genes upregulated during ageing in wild-type neurons also contribute to learning and memory; specifically knockdown of these genes in young animals resulted in improved memory. This indicates that (at least in this small number of cases), genes that show increased transcript levels with age in the nervous system somehow suppress memory, potentially by having damaging effects on neuronal health. 

      Finally, from a resource perspective, the neuronal transcriptome provided here will be very useful for C. elegans researchers as it adds to other existing datasets by providing the transcriptome of older animals (animals at day 8 of adulthood) and demonstrating the benefits of performing tissue-specific RNAseq instead of whole-animal sequencing. 

      Thank you!

      The work presented here is of high quality and the authors present convincing evidence supporting their conclusions.

      Thanks!

      I only have a few comments/suggestions: 

      (1) Do the genes identified to decrease learning/memory capacity in daf-2 animals (Figure 4d/e) also impact neuronal health? daf-2 mutant worms show delayed onset of age-related changes to neuron structure (Tank et al., 2011, J Neurosci). Does knockdown of the genes shown to affect learning also affect neuron structure during ageing, potentially one mechanism through which they modulate learning/memory? 

      Thank you for this suggestion, which would be good for a future direction, particularly for genes that might have some relationship to previously-identified cellular structural process. The genes we tested here include dod-24, alh-2, mtl-1, F08H9,4, C44B7.5, hsp-12.3, hsp-12.6, and cpi-1, which are related to stress response, proteolysis inhibitor, metabolic, and innate immunity GO categories, thus associated with stress resistance, proteolysis, lipid metabolism processes; none are obvious choices for morphological effects.

      However, it is worth noting that learning and memory decline much faster (Days 4-8) than morphological differences are observed (generally after Day 12-15). Moreover, those morphological differences have been studied primarily in mechanosensory neurons (touch neurons) rather than the chemosensory neurons that are involved in learning and memory, so additional genes may be required for those differences that we were not focusing on in thisi study.

      (2) The learning and memory assay data presented in this study uses the butanone olfactory learning paradigm, which is well established by the same group. Have the authors tried other learning assays when testing for learning/memory changes after the knockdown of candidate genes? Depending on the expression pattern of these genes, they may have more or less of an effect on olfactory learning versus for example gustatory or mechanosensory-based learning. 

      The reason that we use the butanone olfactory learning paradigm is because it is more similar to learning of information (neutral odorant association with positive cue (food)) – the kind of memory we would like to preserve in humans - rather than a stress-induced memory, such as starvation or pathogenesis-associated aversive learning paradigms, which are more like PTSD. (There is likely to be quite a bit of overlap in mechanism, however, including the role of genes such as magi-1 and casy-1, so it would not be surprising if many of these genes also were required for other learning paradigms.)

      (3) I have a comment on the 'compensatory vs dysregulatory' model as stated by the authors on page 7. I understand that this model presents the two main options, but perhaps this is slightly too simplistic: the gene expression that rises during ageing may be detrimental for memory (= dysregulatory), but at the same time may also be beneficial for other physiological roles in other tissues (=compensatory). 

      This is a good point, and we made the clarification that in the text: “There may be other scenarios in which a gene with multiple functions may be detrimental for some behaviors but beneficial for other physiological roles.”

      Reviewer #3 (Public Review): 

      Summary: 

      In this manuscript, Weng et al. detect a neuron-specific transcriptome that regulates aging. The authors first profile neuron-specific responses during aging at a time point where a loss in memory function is present. They discover signatures unique to neurons which validate their pipeline and reveal the loss of neuron identity with age. For example, old neurons reduce the expression of genes related to synaptic function and neuropeptide signaling and increase the expression of chromatin regulators, insulin peptides, and glycoproteins. The authors discover the detrimental effect of selected upregulated genes (utx-1, ins-19, and nmgp-1) by knocking them down in the whole body and detecting improvement of short memory functions. They then use their pipeline to test neuronal profiles of long-lived insulin/IGF mutants. They discover that genes related to stress response pathways are upregulated upon longevity (e.g. dod-24, F08H9.4) and that they are required for improved neuron function in long-lived individuals. 

      Strengths: 

      Overall, the manuscript is well-written, and the experiments are well-described. The authors take great care to explain their reasoning for performing experiments in a specific way and guide the reader through the interpretation of the results, which makes this manuscript an enjoyable and interesting read. Using neuron-specific transcriptomic analysis in aged animals the authors discover novel regulators of learning and memory, which underlines the importance of cell-specific deep sequencing. The time points of the transcriptomic profiling are elegantly chosen, as they coincide with the loss of memory and can be used to specifically reveal gene expression profiles related to neuron function. The authors showcase on the dod-24 example how powerful this approach is. In long-lived insulin/IGF-1 receptor mutants body-wide dod-24 expression differs from neuron-specific profiles. Importantly, the depletion of dod-24 has an opposing effect on lifespan and learning memory. The dataset will provide a useful resource for the C. elegans and aging community. 

      Thank you, we do hope people will find the data useful.

      Weaknesses: 

      While this study nicely describes the neuron-specific profiles, the authors do not test the relevance in a tissue-specific way. It remains unclear if modifying the responses only in neurons has implications for either memory or potentially for lifespan. The authors point to this in the text and refer to tissue-specific datasets. However, it is possible that the tissue-specific profile changes with age. The authors should consider mining publicly available cell-specific aging datasets and performing neuron-specific RNAi to test the functional relevance of the neuron-specific response. This would strengthen the importance of cell-specific profiling.

      Thank you for your suggestions. As we have mentioned in the text, our candidate genes are either (1) only expressed in the neurons (alh-2 and F08H9.4), or they are only more highly expressed in daf-2 compared to wild type only in the nervous system (C44B7.5 or dod-24). Thus, the effect we see from knocking down these genes in daf-2 are likely neuron-specific. Additionaly, we performed our assays with neuron-sensitive RNAi strain CQ745: daf-2(e1370) III; vIs69 [pCFJ90(Pmyo-2::mCherry + Punc-119::sid-1)] V. It has been previously shown that neuronal expression of sid-1 decreases non-neuronal RNAi, suggesting that neurons expressing transgenic sid-1(+) served as a sink for dsRNA (Calixto et al., 2010). Thus, this neuron-sensitive RNAi is likely neuron-specific and our results is unlikely from knocking down these genes in non-neuronal tissues. However, we do acknowledge this issue.

      To identify the expression pattern of these genes in a more cell-specific way in the adults, we examined the expression of our candidate genes that affected learning and memory, namely dod-24, F08H9.4, C44B7.9, alh-2, and mtl-1, in the Calico database (Roux et al., 2023). From that database, we can see that dod-24 is mainly expressed in the PHC and PVM neurons, and F08H9.4 is largely expressed in various neurons. Both have only slight expression outside the nervous system. C44B7.5 and mtl-1 are more broadly expressed, but C44B7.5 was not found to be differentially expressed in other tissues in daf-2, and mtl-1 only had a slight effect on learning and memory. Perhaps due to their sequencing depth and detection limit, Roux et al. didn’t detect alh-2 expression anywhere in their data.

      Thus, the neuron-specific expression and daf-2 differential expression pattern of these genes indicate that the learning and memory improvement in aged daf-2 is unlikely due to neuronal non-autonomous effects.

      To better address this concern (that for the genes that we found only expressed in the neurons, the neuron-confined expression may change with age) we examined the expression pattern change of these genes with age. As is shown below, from the Calico database, we can see that the expression in the nervous system persists, and even slightly increases, with age, thus age-related expression pattern change is not a concern to our analysis.

      Author response image 2.

      Author response image 3.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors): 

      Most of my comments are in the public section. A few additional recommendations for the authors regarding the formatting/presentation: 

      The presentation of Figure S6e-h in the introduction is somewhat confusing and feels out of order. If presented first, it should be S1. Otherwise, discussion of this figure should go at the end of the results section or in the discussion if appropriate. 

      Thank you for pointing this out. We have moved the discussion of this figure to the Discussion section.

      I do not see Figure S5 described in the text.

      Good catch, thank you. We have added the descriptions for Figure S5 in the text.

      In general, check the figures, figure legends, and how they are referenced in the text, particularly the supplemental figures and legends.

      Minor comments:

      There is a typo in the Figure 4 legend: Neuronal IIX should be IIS. 

      Thanks for pointing this out. We have corrected it in the text.

      Reviewer #2 (Recommendations For The Authors): 

      • There are multiple instances throughout the manuscript where there are statements in brackets that provide justification or explanation for some of the approaches used. There is no reason for 'side note' brackets to be used. I suggest removing them and incorporating these statements into the narrative.

      Thank you, we have now incorporated these points into the main text.

      • Introduction: page 4 "here we RNA-sequenced FACS-isolated neurons" should be "here we performed RNA sequencing on FACS-isolated neurons...".

      Thank you, we have changed the text accordingly.

      • Figure 2A: I do not understand the legend for this panel "Tissue Query for wild-type genes expressed at higher levels in aged worms show lower nervous system and neuron prediction score." Please clarify.

      We have clarified the Figure 2A legend:

      (A)  Tissue prediction score for wild-type genes expressed at higher levels in aged worms.

      • Page 8: "We previously observed that loss of single genes that play a role in complex behaviors like learning and memory can have a large impact on function 60, unlike the additive roles of longevity-promoting genes 11." - a large impact on what function?

      Thank you for noting, we have clarified it in the text accordingly:

      “We previously observed that for genes that play a role in complex behaviors like learning and memory, the loss of single genes can have a large impact on these complex behaviors 60, unlike the additive roles of longevity-promoting genes 11.”

      • Next line "Therefore, one mechanism by which wild-type worms lose their function with age..." - again, what function?

      Thank you for noting this, we have clarified the text to say we refer to the learning and memory functions.

      • Page 9: "Thus, daf-2 mutants maintain their higher cognitive quality of life longer than wild-type worms, while daf-16;daf-2 mutants spend their whole lives without memory ability (Figure 3d), in contrast to claims that daf-2 mutants are less healthy than wild-type or daf-16 worms23." - since ref 23 did not perform any learning/memory tests, the definition of 'health' in ref 23 is different to 'cognitive health' as studied here. So the findings in this study are not 'in contrast' to ref 23 but rather add to these findings.

      Learning and memory ability is an important function for a healthy individual, thus we would assert that indeed, cognitive health is an important part of the “health” of daf-2 worms. In ref 23, Bansal et al. claim that daf-2 worms are less healthy without assessing their learning and memory ability; their lack of data is an insufficient reason for us to remove our statement, as cognitive health is part of healthspan. Here we find that the “learning span” of daf-2 lasts at least proportionally if not longer than that of wild type. We have also previously shown that daf-2 worms also have longer maximum velocity span with age (Hahm et al., 2015), in direct contrast with Bansal et al.’s claim that daf-2 worms move less well and thus are less healthy – daf-2 worms simply stop sooner when presented with food and switch to feeding, due to their higher odr-10 levels. The Bansal paper continues to be frequently cited as finding that daf-2 mutants are less healthy than wild type, a claim for which we can still find no experimental evidence to support. Therefore, it is important that we make the point that daf-2 worms have extended cognitive health, which is part of health span.

      • Page 13: I feel like the sentence "Furthermore, memory maintenance with age might require additional functions that were not previously uncovered in analyses of young animals" is both vague (what functions are referred to?) and a little bit obvious (obvious that age-related changes would not be revealed in analyses of young animals). Perhaps rephrase to make the desired point clearer? 

      We have clarified the sentence in the text:

      “Furthermore, memory maintenance with age might require additional genes that function in promoting stress resistance and neuronal resilience, which were not previously uncovered in analyses of young animals.”

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary and Strengths:

      The ability of Wolbachia to be transmitted horizontally during parasitoid wasp infections is supported by phylogenetic data here and elsewhere. Experimental analyses have shown evidence of wasp-to-wasp transmission during coinfection (eg Huigins et al), host to wasp transmission (eg Heath et al), and mechanical ('dirty needle') transmission from host to host (Ahmed et al). To my knowledge this manuscript provides the first experimental evidence of wasp to host transmission. Given the strong phylogenetic pattern of host-parasitoid Wolbachia sharing, this may be of general importance in explaining the distribution of Wolbachia across arthropods. This is of interest as Wolbachia is extremely common in the natural world and influences many aspects of host biology.

      Weaknesses:

      The first observation of the manuscript is that the Wolbachia strains in hosts are more closely related to those in their parasitoids. This has been reported on multiple occasions before, dating back to the late 1990s. The introduction cites five such papers (the observation is made in other studies too that could be cited) but then dismisses them by stating "However, without quantitative tests, this observation could simply reflect a bias in research focus." As these studies include carefully collected datasets that were analysed appropriately, I felt this claim of novelty was rather strong. It is unclear why downloading every sequence in GenBank avoids any perceived biases, when presumably the authors are reanalysing the data in these papers.

      Thank you for bringing this to our attention. In this study, we downloaded all wsp sequences from GenBank and conducted a systematic analysis. We acknowledge that there could still be a bias in research focus, but a systematic analysis, compared to a limited dataset, may reduce this bias. We agree with the reviewer's point, and we have revised this statement to make it more accurate. Now the new sentence reads: "However, there is still a lack of systematic statistical analyses to support this hypothesis." (Lines 69–70 in the revised manuscript)

      I do not doubt the observation that host-parasitoid pairs tend to share related Wolbachia, as it is corroborated by other studies, the effect size is large, and the case study of whitefly is clearcut. It is also novel to do this analysis on such a large dataset. However, the statistical analysis used is incorrect as the observations are pseudo-replicated due to phylogenetic non-independence. When analysing comparative data like this it is essential to correct for the confounding effects of related species tending to be similar due to common ancestry. In this case, it is well-known that this is an issue as it is a repeated observation that related hosts are infected by related Wolbachia. However, the authors treat every pairwise combination of species (nearly a million pairs) as an independent observation. Addressing this issue is made more complex because there are both the host and symbiont trees to consider. The additional analysis in lines 123-124 (including shuffling species pairs) does not explicitly address this issue.

      We agree with your point about the non-independence of data due to phylogenetic relationships. In the analysis of species traits, a conventional phylogenetic correction assumes that traits follow a Brownian motion model (Felsenstein, 1985). The variance of the trait values for a species i is given by:

      Var[Yi]=σ2Ti,

      Where Ti represents the time from the root to the tip for species i. Consequently, the covariance between traits of species i and j is:

      Cov[Yij,Yj]=σ<sup>2</sup>Tii,

      where Tij is the time from the root to the most recent common ancestor (MRCA) of species i and j. Linear model analysis incorporates the covariance matrix to correct for the effects of non-independence. Mathematically, this method is equivalent to the independent contrasts approach (Felsenstein, 1985).

      In our analysis, we treat the minimum interspecific wsp distance between two species as a trait for the species pair (i, j). Similarly, for any two pairs of species (i, j) and (k, l), we postulate that the covariance between their traits is given by:

      Cov[Y<sub>ij</sub>,Y<sub>kl</sub>]=σ2⋅(T<sub>ik</sub>+T<sub>jl</sub>),

      where Tik denotes the time from the root to the MRCA of species i and k, and Tjl represents the time from the root to the MRCA of species j and l. This covariance matrix is then incorporated into our linear model analysis to account for the effects of phylogenetic non-independence.

      However, when extending trait analysis to pairs of species, the computational demands increase substantially. For instance, with a dataset of 1,377 species, forming all possible pairs yields 947,376 unique species combinations. Consequently, constructing a covariance matrix for these pairs would necessitate storing 897,521,285,376 entries, a requirement that far exceeds the memory capabilities of standard computing systems.

      To address this, we randomly sampled 1,000 pairs from the total of 947,376 species pairs within the 'Others' category, thereby reducing the computational load without compromising the representativeness of our analysis. Ultimately, even after accounting for phylogenetic correction using covariance, the effect of parasitism remains highly significant (p < 0.0001).

      We have added a “Phylogenetic correction” section to Materials and Methods (Lines 392–405 in the revised manuscript). The corresponding results are described on lines 120–121 and in supplementary Note 1. The data and scripts for this analysis are available at https://doi.org/10.6084/m9.figshare.24718119.

      REFERENCE

      Felsenstein J, 1985. Phylogenies and the comparative method. The American Naturalist, 125(1), 1-15.

      The sharing of Wolbachia between whitefly and their parasitoids is very striking, although this has been reported before (eg the authors recently published a paper entitled "Diversity and Phylogenetic Analyses Reveal Horizontal Transmission of Endosymbionts Between Whiteflies and Their Parasitoids"). In Lines 154-164 it is suggested that from the tree the direction of transfer between host and parasitoid can be inferred from the data. This is not obvious to me given the poor resolution of the tree due to low sequence divergence. There are established statistical approaches to test the direction of trait changes on a tree that could have been used (a common approach is to use the software BEAST).

      We thank the reviewer for this constructive feedback on our interpretation of Wolbachia transfer between whiteflies and their parasitoids. Inspired by the reviewer's comments, we have now incorporated a trait-based approach, using the taxonomic order of the source species of the wsp gene as a discrete trait for ancestral state reconstruction on the wsp tree. The estimated ancestral trait state for one clade, which clusters wsp sequences from whiteflies and parasitoids, is Hymenoptera, suggesting that within this clade, the direction of Wolbachia transfer may have been from parasitoids to hosts. Conversely, in another clade characterized by the ancestral trait state of Hemiptera, the inferred direction of transfer appears to be from hosts to parasitoids. We have added a “Ancestral state reconstruction” section to Materials and Methods (Lines 406–412 in the revised manuscript). The corresponding results are described on lines 159–163 and 167–168. The data and script for this analysis is available at https://doi.org/10.6084/m9.figshare.24718119.

      Reviewer #2 (Public Review):

      The paper by Yan et al. aims to provide evidence for horizontal transmission of the intracellular bacterial symbiont Wolbachia from parasitoid wasps to their whitefly hosts. In my opinion, the paper in its current form consists of major flaws.

      Weaknesses:

      The dogma in the field is that although horizontal transmission events of Wolbachia occur, in most systems they are so rare that the chances of observing them in the lab are very slim.

      For the idea of bacteria moving from a parasitoid to its host, the authors have rightfully cited the paper by Hughes, et al. (2001), which presents the main arguments against the possibility of documenting such transmissions. Thus, if the authors want to provide data that contradict the large volume of evidence showing the opposite, they should present a very strong case.

      In my opinion, the paper fails to provide such concrete evidence. Moreover, it seems the work presented does not meet the basic scientific standards.

      We are grateful for your critical perspective on our work. Nonetheless, we are confident in the credibility of our findings regarding the horizontal transmission of Wolbachia from En. formosa to B. tabaci. Our study has documented this phenomenon through phylogenetic tree analyses, and we have further substantiated our observations with rigorous experiments in both cages and petri dishes. The horizontal transfer of Wolbachia was confirmed via PCR, with the wsp sequences in B. tabaci showing complete concordance with those in En. formosa. Additionally, we utilized FISH, vertical transmission experiments, and phenotypic assays to demonstrate that the transferred Wolbachia could be vertically transmitted and induce significant fitness cost in B. tabaci. All experiments were conducted with strict negative controls and a sufficient number of replicates to ensure reliability, thereby meeting basic scientific standards. The collective evidence we present points to a definitive case of Wolbachia transmission from the parasitoid En. formosa to the whitefly B. tabaci.

      My main reservations are:

      - I think the distribution pattern of bacteria stained by the probes in the FISH pictures presented in Figure 4 looks very much like Portiera, the primary symbiont found in the bacterium of all whitefly species. In order to make a strong case, the authors need to include Portiera probes along with the Wolbachia ones.

      We thank you for your critical evaluation regarding the specificity of FISH in our study. We assure the reliability of our FISH results based on several reasons.

      (1) We implemented rigorous negative controls which exhibited no detectable signal, thereby affirming the specificity of our hybridization. (2) The central region of the whitefly nymphs is a typical oviposition site for En. formosa. Post-parasitism, we observed FISH signals around the introduced parasitoid eggs, distinct from bacteriocyte cells which are rich in endosymbionts including Portiera (Fig 3e-f). This observation supports the high specificity of our FISH method. (3) In the G3 whiteflies, we detected the presence of Wolbachia in bacteriocytes in nymphs and at the posterior end of eggs in adult females (Fig. 4). This distribution pattern aligns with previously reported localizations of Wolbachia in B. tabaci (Shi et al., 2016; Skaljac et al., 2013). Furthermore, the distribution of Wolbachia in the whiteflies does indeed exhibit some overlap with that of Portiera (Skaljac et al., 2013; Bing et al., 2014). 4) The primers used in our FISH assays have been widely cited (Heddi et al., 1999) and validated in studies on B. tabaci and other systems (Guo et al., 2018; Hegde et al., 2024; Krafsur et al., 2020; Rasgon et al., 2006; Uribe-Alvarez et al., 2019; Zhao et al., 2013).

      Taking all these points into consideration, we stand by the reliability of our FISH results.

      REFERENCES

      Bing XL, Xia WQ, Gui JD, et al., 2014. Diversity and evolution of the Wolbachia endosymbionts of Bemisia (Hemiptera: Aleyrodidae) whiteflies. Ecol Evol, 4(13):2714-37.

      Guo Y, Hoffmann AA, Xu XQ, et al., 2018. Wolbachia-induced apoptosis associated with increased fecundity in Laodelphax striatellus (Hemiptera: Delphacidae). Insect Mol Biol, 27:796-807.

      Heddi A, Grenier AM, Khatchadourian C, Charles H, Nardon P, 1999. Four intracellular genomes direct weevil biology: nuclear, mitochondrial, principal endosymbiont, and Wolbachia. Proc Natl Acad Sci USA, 96:6814-6819.

      Hegde S, Marriott AE, Pionnier N, et al., 2024. Combinations of the azaquinazoline anti-Wolbachia agent, AWZ1066S, with benzimidazole anthelmintics synergise to mediate sub-seven-day sterilising and curative efficacies in experimental models of filariasis. Front Microbiol, 15:1346068.

      Krafsur AM, Ghosh A, Brelsfoard CL, 2020. Phenotypic response of Wolbachia pipientis in a cell-free medium. Microorganisms, 8.

      Rasgon JL, Gamston CE, Ren X, 2006. Survival of Wolbachia pipientis in cell-free medium. Appl Environ Microbiol, 72:6934-6937.

      Shi P, He Z, Li S, et al., 2016. Wolbachia has two different localization patterns in whitefly Bemisia tabaci AsiaII7 species. PLoS One, 11: e0162558.

      Skaljac M, Zanić K, Hrnčić S, et al., 2013. Diversity and localization of bacterial symbionts in three whitefly species (Hemiptera: Aleyrodidae) from the east coast of the Adriatic Sea. Bull Entomol Res, 103(1):48-59.

      Uribe-Alvarez C, Chiquete-Félix N, Morales-García L, et al., 2019. Wolbachia pipientis grows in Saccharomyces cerevisiae evoking early death of the host and deregulation of mitochondrial metabolism. MicrobiologyOpen, 8: e00675.

      Zhao DX, Zhang XF, Chen DS, Zhang YK, Hong XY, 2013. Wolbachia-host interactions: Host mating patterns affect Wolbachia density dynamics. PLoS One, 8: e66373.

      - If I understand the methods correctly, the phylogeny presented in Figure 2a is supposed to be based on a wide search for Wolbachia wsp gene done on the NCBI dataset (p. 348). However, when I checked the origin of some of the sequences used in the tree to show the similarity of Wolbachia between Bemisia tabaci and its parasitoids, I found that most of them were deposited by the authors themselves in the course of the current study (I could not find this mentioned in the text), or originated in a couple of papers that in my opinion should not have been published to begin with.

      We appreciate your meticulous examination of the sources for our sequence data. All the sequences included in our phylogenetic analysis were indeed downloaded from the NCBI database as of July 2023. The sequences used to illustrate the similarity of Wolbachia between B. tabaci and its parasitoids include those from our previously published study (Qi et al., 2019), which were sequenced from field samples. Additionally, some sequences were also obtained from other laboratories (Ahmed et al., 2009; Baldo et al., 2006; Van Meer et al., 1999). We acknowledge that in our prior research (Qi et al., 2019), the sequences were directly submitted to NCBI and, regrettably, we did not update the corresponding publication information after the article were published. It is not uncommon for sequences on NCBI, with some never being followed by a published paper (e.g., FJ710487- FJ710511 and JF426137-JF426149), or not having their associated publication details updated post-publication (for instance, sequences MH918776-MH918794 from Qi et al., 2019, and KF017873-KF017878 from Fattah-Hosseini et al., 2018). We recognize that this practice can lead to confusion and apologize for the oversight in our work.

      REFERENCES

      Ahmed MZ, Shatters RG, Ren SX, Jin GH, Mandour NS, Qiu BL, 2009. Genetic distinctions among the Mediterranean and Chinese populations of Bemisia tabaci Q biotype and their endosymbiont Wolbachia populations. J Appl Entomol, 133:733-741.

      Baldo L, Dunning Hotopp JC, Jolley KA, et al., 2006. Multilocus sequence typing system for the endosymbiont Wolbachia pipientis. Appl Environ Microbiol. 72(11):7098-110.

      Fattah-Hosseini S, Karimi J, Allahyari H, 2014. Molecular characterization of Iranian Encarsia formosa Gahan populations with natural incidence of Wolbachia infection. J Entomol Res Soc, 20(1):85–100.

      Qi LD, Sun JT, Hong XY, Li YX, 2019. Diversity and phylogenetic analyses reveal horizontal transmission of endosymbionts between whiteflies and their parasitoids. J Econ Entomol, 112(2):894-905.

      Van Meer MM, Witteveldt J, Stouthamer R, 1999. Phylogeny of the arthropod endosymbiont Wolbachia based on the wsp gene. Insect Mol Biol, 8(3):399-408.

      - The authors fail to discuss or even acknowledge a number of published studies that specifically show no horizontal transmission, such as the one claimed to be detected in the study presented.

      Thank you for bringing this to our attention. We have made corresponding modifications to the discussion section (Lines 256271 in the revised manuscript) and have discussed the published studies that report no evidence of horizontal transmission (Lines 260263 in the revised manuscript). The added sentences read: “Experimental confirmations of Wolbachia horizontal transfer remain relatively rare, with only a limited number of documented cases (24, 27, 37, 38). Additionally, some experiments have found no evidence of horizontal transmission of Wolbachia (39-42).” (Lines 260263 in the revised manuscript)

      Reviewer #3 (Public Review):

      This is a very ordinary research paper. The horizontal of endosymbionts, including Wolbachia, Rickettsia etc. has been reported in detail in the last 10 years, and parasitoid vectored as well as plant vectored horizontal transmission is the mainstream of research. For example, Ahmed et al. 2013 PLoS One, 2015 PLoS Pathogens, Chiel et al. 2014 Enviromental Entomology, Ahmed et al. 2016 BMC Evolution Biology, Qi et al. 2019 JEE, Liu et al. 2023 Frontiers in Cellular and Infection Microbiology, all of these reported the parasitoid vectored horizontal transmission of endosymbiont. While Caspi-Fluger et al. 2012 Proc Roy Soc B, Chrostek et al. 2017 Frontiers in Microbiology, Li et al. 2017 ISME Journal, Li et al. 2017 FEMS, Shi et al. 2024 mBio, all of these reported the plant vectored horizontal transmission of endosymbiont. For the effects of endosymbiont on the biology of the host, Ahmed et al. 2015 PLoS Pathogens explained the effects in detail.

      Thank you for the insightful comments and for highlighting the relevant literature in the field of horizontal transmission of endosymbionts, including Wolbachia and Rickettsia. After careful consideration of the studies mentioned in the commences, we believe that our work presents significant novel contributions to the field. 1) Regarding the parasitoid-mediated horizontal transmission of Wolbachia, most of the cited articles, such as Ahmed et al. 2013 in PLoS One and Ahmed et al. 2016 in BMC Evolutionary Biology, propose hypotheses but do not provide definitive evidence. The transmission of Wolbachia within the whitefly cryptic species complex (Ahmed et al. 2013) or between moths and butterflies (Ahmed et al. 2016) could be mediated by parasitoids, plants, or other unknown pathways. 2) Chiel et al. 2014 in Environmental Entomology reported “no evidence for horizontal transmission of Wolbachia between and within trophic levels” in their study system. 3) The literature you mentioned about Rickettsia, rather than Wolbachia, indirectly reflects the relative scarcity of evidence for Wolbachia horizontal transmission. For example, the evidence for plant-mediated transmission of Wolbachia remains isolated, with Li et al. 2017 in the ISME Journal being one of the few reports supporting this mode of transmission. 4) While the effects of endosymbionts on their hosts are not the central focus of our study, the effects of transgenerational Wolbachia on whiteflies are primarily demonstrated to confirm the infection of Wolbachia into whiteflies. Furthermore, the effects we report of Wolbachia on whiteflies are notably different from those reported by Ahmed et al. 2015 in PLoS Pathogens, likely due to different whitefly species and Wolbachia strains. 6) More importantly, our study reveals a mechanism of parasitoid-mediated horizontal transmission of Wolbachia that is distinct from the mechanical transmission suggested by Ahmed et al. 2015 in PLoS Pathogens. Their study implies transmission primarily through dirty needle, without Wolbachia infection of the parasitoid, suggesting host-to-host transmission at the same trophic level, where parasitoids serve as phoretic vectors. In contrast, our findings demonstrate transmission from parasitoids to hosts through unsuccessful parasitism, which represents cross-trophic level transmission. To our knowledge, this is the first experimental evidence that Wolbachia can be transmitted from parasitoids to hosts. We believe these clarifications and the novel insights provided by our research contribute valuable knowledge to the field.

      REFERENCES

      Ahmed MZ, De Barro PJ, Ren SX, Greeff JM, Qiu BL, 2013. Evidence for horizontal transmission of secondary endosymbionts in the Bemisia tabaci cryptic species complex. PLoS One, 8(1):e53084.

      Ahmed MZ, Li SJ, Xue X, Yin XJ, Ren SX, Jiggins FM, Greeff JM, Qiu BL, 2015. The intracellular bacterium Wolbachia uses parasitoid wasps as phoretic vectors for efficient horizontal transmission. PLoS Pathog, 10(2):e1004672.

      Ahmed MZ, Breinholt JW, Kawahara AY, 2016. Evidence for common horizontal transmission of Wolbachia among butterflies and moths. BMC Evol Biol, 16(1):118.

      Caspi-Fluger A, Inbar M, Mozes-Daube N, Katzir N, Portnoy V, Belausov E, Hunter MS, Zchori-Fein E, 2012. Horizontal transmission of the insect symbiont Rickettsia is plant-mediated. Proc Biol Sci, 279(1734):1791-6.

      Chiel E, Kelly SE, Harris AM, Gebiola M, Li X, Zchori-Fein E, Hunter MS, 2014. Characteristics, phenotype, and transmission of Wolbachia in the sweet potato whitefly, Bemisia tabaci (Hemiptera: Aleyrodidae), and its parasitoid Eretmocerus sp. nr. emiratus (Hymenoptera: Aphelinidae). Environ Entomol, 43(2):353-62.

      Chrostek E, Pelz-Stelinski K, Hurst GDD, Hughes GL, 2017. Horizontal transmission of intracellular insect symbionts via plants. Front Microbiol, 8:2237.

      Li SJ, Ahmed MZ, Lv N, Shi PQ, Wang XM, Huang JL, Qiu BL, 2017. Plant-mediated horizontal transmission of Wolbachia between whiteflies. ISME J, 11(4):1019-1028.

      Li YH, Ahmed MZ, Li SJ, Lv N, Shi PQ, Chen XS, Qiu BL, 2017. Plant-mediated horizontal transmission of Rickettsia endosymbiont between different whitefly species. FEMS Microbiol Ecol, 93(12).

      Liu Y, He ZQ, Wen Q, Peng J, Zhou YT, Mandour N, McKenzie CL, Ahmed MZ, Qiu BL, 2023. Parasitoid-mediated horizontal transmission of Rickettsia between whiteflies. Front Cell Infect Microbiol, 12:1077494.

      Qi LD, Sun JT, Hong XY, Li YX, 2019. Diversity and phylogenetic analyses reveal horizontal transmission of endosymbionts between whiteflies and their parasitoids. J Econ Entomol, 112(2):894-905.

      Shi PQ, Wang L, Chen XY, Wang K, Wu QJ, Turlings TCJ, Zhang PJ, Qiu BL, 2024. Rickettsia transmission from whitefly to plants benefits herbivore insects but is detrimental to fungal and viral pathogens. mBio, 15(3):e0244823.

      Weaknesses:

      In the current study, the authors downloaded the MLST or wsp genes from a public database and analyzed the data using other methods, and I think the authors may not be familiar with the research progress in the field of insect symbiont transmission, and the current stage of this manuscript lacking sufficient novelty.

      We appreciate your critical perspective on our study. However, we respectfully disagree with the viewpoint that our manuscript lacks sufficient novelty.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      The data and scripts from the experimental section of the paper are not made publicly available. This would be good practice. It may well be a requirement for this journal too, but I have not read the journal policy on this matter.

      Thank you for the kind reminder, we have uploaded the data and scripts to the public database at https://doi.org/10.6084/m9.figshare.24718119.

      • Line 16 should read 'intertrophic' not 'intertropical'.

      Corrected.

      • Line 50 should not say 'the most infectious' as this is an incorrect use of the word 'infectious'. Maybe 'common'? Should also add something like 'likely' here.

      Corrected. The new sentence reads “Together, these characteristics make Wolbachia likely the most common microbe on Earth in terms of the number of species it infects (7, 8).” (Lines 47–49 in the revised manuscript).

      • Line 54 These references are all about mosquito disease vectors, not pests. More generally, in this paragraph, the research interest in Wolbachia relates overwhelmingly to blocking arbovirus transmission and not controlling pest populations.

      To enhance consistency with our statements, we have revised the supporting references as follows:

      X. Zheng et al., "Combined incompatible and sterile insect techniques eliminate mosquitoes," Nature 572, 56-61 (2019).

      A. A. Hoffmann et al., "Wolbachia establishment in Aedes populations to suppress dengue transmission," Nature 476, 454-457 (2011).

      J. T. Gong, T. P. Li, M. K. Wang, X. Y. Hong, "Prospects of Wolbachia in agricultural Pest Control," Current Opinion in Insect Science 57, 101039 (2023).J. T. Gong et al., "Stable integration of plant-virus-inhibiting Wolbachia into planthoppers for rice protection," Current Biology 30, 4837-4845.e4835 (2020).

      Regarding the content of the articles:

      Zheng et al. (2019) detail the successful suppression of wild mosquito populations through the release of male mosquitoes artificially infected with Wolbachia.

      Gong et al. (2020) present the potential of releasing Wolbachia-infected brown planthoppers to inhibit plant viruses and control pest populations.

      Gong et al. (2023) provide a comprehensive review on the application and future of Wolbachia in managing agricultural pests.

      • Line 60-61. This sentence seems poorly supported by theory or data. I suggest it is deleted. Why should CI cause extinction, and why would it have a major effect on genetic diversity beyond mtDNA?

      We have deleted the statements about extinction or genetic diversity. Now the sentence reads “It may also spread to nontarget organisms, potentially disrupting their population dynamics.” (Lines 57–58 in the revised manuscript)

      • Line 66. Reword to make clear these routes are not an exhaustive list.

      We have reworded these sentences. The new sentences now read “Similar to other symbionts, Wolbachia host shifts may occur through three main routes: parasitism, predation, and shared plant or other food sources (17). However, it is important to note that these are not the only routes through which transmission may occur, and the specific contributions of each to the overall process of host shift are not yet fully understood.” (Lines 62–66 in the revised manuscript).

      • Line 77-79. This could do with mentioning studies of parasitoid-to-host transmission like Ahmedd et al given that it is common knowledge that insects commonly survive parasitoid attacks.

      We have added sentences acknowledging the common occurrence of insects surviving parasitoid attacks and referenced and described the Ahmed et al. 2015 study. The added sentences read:

      “However, it is common in nature for hosts to survive parasitoid attacks (27-29). For example, whiteflies can survive after attacks of Eretmocerus parasitoids (27). These parasitoids can act as phoretic vectors, facilitating the spread of Wolbachia within whitefly populations through the contamination of their mouthparts and ovipositors with Wolbachia during the probing process (27).” (Lines 77–82 in the revised manuscript).

      • Line 173. Mention that there are three replicates of each cage. In Figures 2C and D, it is better to show each replicate as a separate line to see how consistent they are.

      In accordance with the reviewer's suggestion, we have included a statement highlighting the replication of our experiments: “Notably, each cage setup was replicated three times to ensure experimental rigor.” (Lines 179–180 in the revised manuscript).

      Regarding Figures 2C and D, we have revised the figures to display each replicate as a separate line, as suggested. However, we have encountered a visual clutter that may detract from the clarity of the figures. Additionally, in Figure C, the three black lines, all representing zero values, do not allow for the distinction of individual trends. Therefore, we recommend retaining the original figure format. In accordance with eLife's data policy, we have also provided the source data for all figures, ensuring that readers can access to the detailed data, thus balancing the need for visual simplicity with the provision of comprehensive data.

      Author response image 1.

      • The GloBI database is central to the phylogenetic analysis and it would be helpful to have a few words in the results stating where this information comes from.

      The revised sentence now reads: “To investigate potential horizontal transmission of Wolbachia, we retrieved 4685 wsp sequences from the NCBI database, and species interaction relationships were extracted from the GloBI database (for details, see Methods and Materials).” (Lines 94–96 in the revised manuscript).

      Reviewer #3 (Recommendations For The Authors):

      To improve the quality of this manuscript, I have some questions and suggestions.

      Introduction:

      Line 41-42, I don't agree with this statement, as mentioned above, the ways of insect symbiont transmission have been studied in the last 10 years.

      According to the reviewer’s suggestion, we have deleted this statement.

      Line 75-76, Again, the statement is not correct, many studies have clearly revealed and confirmed that Wolbachia CAN be transferred from parasitoid to their insect hosts including whitefly Bemisia tabaci.

      Thank you for your insightful comments. After careful consideration of the studies you have mentioned above, none of these articles provided definitive evidence supporting the transfer of Wolbachia from parasitoids to their insect hosts. A closely related study is Ahmed et al. (2015) in PLoS Pathogens. This article demonstrates that parasitoid wasps can act as phoretic vectors mediating the transmission of Wolbachia between whiteflies. However, Wolbachia did not infect the parasitoid wasps themselves. Therefore, this study does not provide evidence for intertrophic transmission of Wolbachia from parasitoids to their hosts. To avoid confusion, we have cited the Ahmed et al. (2015) reference following this statement and described its findings accordingly. (Lines 88-92 in revised manuscript).

      Results:

      Line 133-134, Ahmed et al. 2016 BMC Evolution Biology, clearly revealed and confirmed the "common horizontal transmission of Wolbachia between butterflies and moths".

      We thank you for guiding us to the relevant study. Ahmed et al. 2016 BMC Evolution Biology suggested common horizontal transmission of Wolbachia between butterflies and moths and proposed that this horizontal transmission might be caused by parasitoid wasps. Here, we present the potential Wolbachia transfer between Trichogramma and their lepidopteran hosts (Lines 135–136 in revised manuscript). Integrating the results from Ahmed et al. 2016, our result also suggests that Trichogramma wasps may be the vectors for horizontal transmission of Wolbachia among lepidopteran hosts. We have discussed this point in the discussion section and cited Ahmed et al. 2016 BMC Evolution Biology (Lines 239–246 in revised manuscript).

      Line 176-177, as we know Wolbachia in Encarsia formosa is a strain of parthenogenesis, why did it reduce the female ratio of whitefly progeny after it was transmitted to whitefly B. tabaci, it needs a convincing explanation.

      Wolbachia induces parthenogenesis in En. formosa. However, we observed that Wolbachia from En. formosa failed to induce parthenogenesis in B. tabaci, possibly due to the requirement for host gene compatibility. Additionally, we noted a reduced female ratio in B. tabaci infected with En. formosa Wolbachia. We speculate that this might result from the burden imposed by En. formosa Wolbachia on the new host, potentially reducing fertilization success rates and indirectly leading to a decrease in the female ratio. Similarly, we observed a decline in female fecundity, egg hatching rate, and immature survival rate in B. tabaci infected with En. formosa Wolbachia. The mechanisms underlying these fitness costs remain unclear and warrant further in-depth research.

      Line 189-190, do the authors have convincing evidence that the 60Gy irradiation only has effects on the reproduction of En. formosa, but does not have any negative effects on the activity of Wolbachia? I think there may be.

      We observed that after irradiation, the titer of Wolbachia within En. formosa significantly decreased (Fig S3). We agree that the irradiation may cause other negative effects on Wolbachia which is worth of close investigation. However, even with a significant reduction in Wolbachia titer, irradiation increased the infection rate of Wolbachia in surviving B. tabaci after wasp attacks (Fig 3C). We speculate that this may be due to irradiation of En. formosa increasing the rate of parasitic failure. While the full extent of the effects of irradiation on Wolbachia is not yet clear in our experiments, it does not alter our conclusion that Wolbachia can be transmitted from En. formosa to whitefly hosts through failed parasitism.

      Discussion:

      Line 289-290, I don't understand, why the authors think from parasitoid Eretmocerus to whitefly, and from Trichogramma to moth, are the same trophic level, they are indeed two different trophic levels.

      Thank you for your feedback. We have conducted a thorough search but were unable to locate the specific statement you are referring to. If there has been any ambiguity in our manuscript that has led to confusion, we sincerely apologize for any misunderstanding it may have caused. We agree with your perspective and have always considered the parasitoid Eretmocerus and whitefly, as well as Trichogramma and moth, to be at different trophic levels. However, in the context of specific references, such as Ahmed et al. 2015 in PLoS Pathogens, we believe that Wolbachia is transmitted within the same trophic level without infecting the parasitoid Eretmocerus, merely serving as a phoretic vector to facilitate the spread of Wolbachia among whitefly hosts. Similarly, in the case of Huigens et al. 2000 in Nature, Wolbachia uses lepidopteran hosts as vectors to promote its transmission among Trichogramma without the need to infect the lepidopteran hosts themselves.

      Materials and Methods

      Line 348, what is tblastn?

      We have corrected tblastn to TBLASTN. We are grateful to the reviewer for pointing this out. Here, we utilized TBLASTN instead of BLASTN, to avoid missing the rapidly evolving wsp sequences. Because alignment at the protein level is generally more sensitive than at the nucleotide level. TBLASTN is a bioinformatics tool within the BLAST (Basic Local Alignment Search Tool) suite used for comparing a protein query sequence against a nucleotide database. Specifically, TBLASTN aligns a given protein sequence with nucleotide sequences in a database by translating the nucleotide sequences into all possible protein sequences (considering different reading frames) and comparing them to the query protein sequence.

      Line 383, how was the Wolbachia-free line of B. tabaci established, by antibiotics? If so, how do we ensure the antibiotic does not have any negative to other symbionts in whitefly B. tabaci?

      The Wolbachia-free line of B. tabaci was collected from field, without the treatment of antibiotics. We have made revisions in the Materials and Methods section to clarify this, stating, "An iso-female line of B. tabaci, which is naturally Wolbachia-free and has not been treated with antibiotics, was established." (Lines 417–418 in the revised manuscript)

      Line 419-421 as I mentioned before, the irradiation may have negative effects on Wolbachia too, so change the biology of both Encarsia and whitefly host.

      We observed that after irradiation, the titer of Wolbachia within En. formosa significantly decreased (Fig S3). However, even with a significant reduction in Wolbachia titer, irradiation increased the infection rate of Wolbachia in surviving B. tabaci after wasp attacks (Fig 3C). We speculate that this may be due to irradiation of En. formosa increasing the rate of parasitic failure. While the full extent of the effects of irradiation on Wolbachia is not yet clear in our experiments, it does not alter our conclusion that Wolbachia can be transmitted from En. formosa to whitefly hosts through failed parasitism.

      Line 452-453, From egg to eclosion, it needs about 21 days to understand suitable temperature and other conditions, during this period, the egg and nymphs can not move, so how to keep the cut-leaf fresh enough in a Petri dish for 21 days?

      We apologize for not clearly describing the materials and methods. By using wet cotton to wrap the end of petiole of the leaf, we can keep the leaves fresh for up to a month. We have included this detail in the materials and methods to enhance the reproducibility of the experiment. “A single irradiated wasp was subsequently introduced into a Petri dish, which contained a tomato leaf infested with Wolbachia-free third or fourth instar whitefly nymphs, and wet cotton was used to wrap the end of the leaf petiole to keep the leaf fresh.” (Lines 455–458 in the revised manuscript)

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      The manuscript describes a series of experiments using human intracranial neural recordings designed to evaluate the processing of self-generated speech in the setting of feedback delays. Specifically, the authors aim to address the question about the relationship between speech-induced suppression and feedback sensitivity in the auditory cortex, whose relationship has been conflicting in the literature. They found a correlation between speech suppression and feedback delay sensitivity, suggesting a common process. Additional controls were done for possible forward suppression/adaptation, as well as controlling for other confounds due to amplification, etc.

      Strengths:

      The primary strength of the manuscript is the use of human intracranial recording, which is a valuable resource and gives better spatial and temporal resolution than many other approaches. The use of delayed auditory feedback is also novel and has seen less attention than other forms of shifted feedback during vocalization. Analyses are robust, and include demonstrating a scaling of neural activity with the degree of feedback delay, and more robust evidence for error encoding than simply using a single feedback perturbation.

      Weaknesses:

      Some of the analyses performed differ from those used in past work, which limits the ability to directly compare the results. Notably, past work has compared feedback effects between production and listening, which was not done here. There were also some unusual effects in the data, such as increased activity with no feedback delay when wearing headphones, that the authors attempted to control for with additional experiments, but remain unclear. Confounds by behavioral results of delayed feedback are also unclear.

      Overall the work is well done and clearly explained. The manuscript addresses an area of some controversy and does so in a rigorous fashion, namely the correlation between speech-induced suppression and feedback sensitivity (or lack thereof). While the data presented overlaps that collected and used for a previous paper, this is expected given the rare commodity these neural recordings represent. Contrasting these results to previous ones using pitch-shifted feedback should spawn additional discussion and research, including verification of the previous finding, looking at how the brain encodes feedback during speech over multiple acoustic dimensions, and how this information can be used in speech motor control.

      We thank the reviewer for their comments and have addressed the concerns point by point in the section “Recommendation for Authors”.

      Reviewer #2 (Public Review):

      Summary:

      "Speech-induced suppression and vocal feedback sensitivity in human cortex", Ozker and colleagues use intracranial EEG to understand audiomotor feedback during speech production using a speech production and delayed auditory feedback task. The purpose of the paper is to understand where and how speaker-induced suppression occurs, and whether this suppression might be related to feedback monitoring. First, they identified sites that showed auditory suppression during speech production using a single-word auditory repetition task and a visual reading task, then observed whether and how these electrodes show sensitivity to auditory feedback using a DAF paradigm. The stimuli were single words played auditorily or shown visually and repeated or read aloud by the participant. Neural data were recorded from regular- and high-density grids from the left and right hemispheres. The main findings were:

      • Speaker-induced suppression is strongest in the STG and MTG, and enhancement is generally seen in frontal/motor areas except for small regions of interest in the dorsal sensorimotor cortex and IFG, which can also show suppression.<br /> • Delayed auditory feedback, even when simultaneous, induces larger response amplitudes compared to the typical auditory word repetition and visual reading tasks. The authors presume this may be due to the effort and attention required to perform the DAF task.

      • The degree of speaker-induced suppression is correlated with sensitivity to delayed auditory feedback. • pSTG (behind TTS) is more strongly modulated by DAF than mid-anterior STG

      Strengths:

      Overall, I found the manuscript to be clear, the methodology and statistics to be solid, and the findings mostly quite robust. The large number of participants with high-density coverage over both the left and right lateral hemispheres allows for a greater dissection of the topography of speaker-induced suppression and changes due to audiomotor feedback. The tasks were well-designed and controlled for repetition suppression and other potential caveats.

      Weaknesses:

      (1) In Figure 1D, it would make more sense to align the results to the onset of articulation rather than the onset of the auditory or visual cue, since the point is to show that the responses during articulation are relatively similar. In this form, the more obvious difference is that there is an auditory response to the auditory stimulus, and none to the visual, which is expected, but not what I think the authors want to convey.

      We agree with the reviewer. We have updated Figure 1 accordingly.

      (2) The DAF paradigm includes playing auditory feedback at 0, 50, 100, and 200 ms lag, and it is expected that some of these lags are more likely to induce dysfluencies than others. It would be helpful to include some analysis of whether the degree of suppression or enhancement varies by performance on the task, since some participants may find some lags more interfering than others.

      We thank the reviewer for this suggestion. In the original analysis, we calculated a Sensitivity Index for each electrode by correlating the high gamma response with the delay condition across trials. To address the reviewer’s question, we now compared delay conditions in pairs (DAF0 vs DAF50, DAF0 vs DAF100, DAF0 vs DAF200, DAF50 vs DAF100, DAF50 vs DAF200 and DAF100 vs DAF200).

      Similar to our Suppression Index calculation, where we compared neural response to listening and speaking conditions (Listen-Speak/Listen+Speak), we now calculated the Sensitivity Index by comparing neural response to two delay conditions as follows:

      e.g.  Sensitivity Index = (DAF50 – DAF0) / (DAF50 + DAF0). We used the raw high gamma broadband signal power instead of percent signal change to ensure that the Sensitivity Index values varied between -1 to 1.

      As shown in the figure below, even when we break down the analysis by feedback delay, we still find a significant association between suppression and sensitivity (except for when we calculate sensitivity indices by comparing DAF50 and DAF100). Strongest correlation (Pearson’s correlation) was found when sensitivity indices were calculated by comparing DAF0 and DAF200.

      As the reviewer suggested, participants found DAF200 more interfering than the others and slowed down their speech the most (Articulation duration; DAF0: 0.698, DAF50: 0.726, DAF100: 0.737, and DAF200: 0.749 milliseconds; Ozker, Doyle et al. 2022).

      Author response image 1.

      (3) Figure 3 shows data from only two electrodes from one patient. An analysis of how amplitude changes as a function of the lag across all of the participants who performed this task would be helpful to see how replicable these patterns of activity are across patients. Is sensitivity to DAF always seen as a change in amplitude, or are there ever changes in latency as well? The analysis in Figure 4 gets at which electrodes are sensitive to DAF but does not give a sense of whether the temporal profile is similar to those shown in Figure 3.

      In Figure 4A, electrodes from all participants are color-coded to reflect the correlation between neural response amplitude and auditory feedback delay. A majority of auditory electrodes in the STG exhibit a positive correlation, indicating that response amplitude increases with increasing feedback delays. To demonstrate the replicability of the response patterns in Figure 3, here we show auditory responses averaged across 23 STG electrodes from 6 participants.

      Author response image 2.

      Response latency in auditory regions also increases with increasing auditory feedback delays. But this delayed auditory response to delayed auditory feedback is expected. In Figure 3, signals were aligned to the perceived auditory feedback onset, therefore we don’t see the latency differences. Below we replotted the same responses by aligning the signal to the onset of articulation. It is now clearer that responses are delayed as the auditory feedback delay increases. This is because participants start speaking at time=0, but they hear their voice with a lag so the response onset in these auditory regions are delayed.

      According to models of speech production, when there is a mismatch between expected and perceived auditory feedback, the auditory cortex encodes this mismatch with an enhanced response, reflecting an error signal. Therefore, we referred to changes in response amplitude as a measure of sensitivity to DAF.

      (4) While the sensitivity index helps to show whether increasing amounts of feedback delay are correlated with increased response enhancement, it is not sensitive to nonlinear changes as a function of feedback delay, and it is not clear from Figure 3 or 4 whether such relationships exist. A deeper investigation into the response types observed during DAF would help to clarify whether this is truly a linear relationship, dependent on behavioral errors, or something else.

      We compared responses to delay conditions in pairs in the analysis presented above (response #2). We hope these new results also clarifies this issue and address the reviewer’s concerns.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Major points:

      (1) While the correlation between SuppI and SensI is clear here (as opposed to Chang et al), it is unclear if this difference is a byproduct of how SensI was calculated (and not just different tasks). In that paper, the feedback sensitivity was calculated as a metric comparing feedback responses during production and listening, whereas here the SensI is a correlation coefficient during production only. If the data exists, it would be very helpful to also show an analysis similar to that used previously (i.e. comparing DAF effects in both production and playback, either in correlations or just the 200ms delay response). One could imagine that some differences are due to sensory properties, though it is certainly less clear what delay effects would be on listening compared to say pitch shift.

      We thank the reviewer for pointing this out. Indeed, the calculation of SensI is different in the two studies. In Chang et al. study, SensI was calculated by comparing perturbed feedback responses during production and passive listening. This is a very meticulous approach as it controls for the acoustic properties of the auditory stimuli under both conditions.

      In our study, we didn’t have a passive listening condition. This would require recording the participants’ voice as they were speaking with DAF and playing it back to them in a subsequent passive listening condition. Therefore, we can’t completely eliminate the possibility that some differences are due to sensory properties. However, to address the reviewer’s concern, we examined the voice recordings of 8 participants for acoustic differences. Specifically, we compared voice intensities for different auditory feedback delays (0,50,100 and 200ms) and found no significant differences (F=0, p=0.091).

      We think that the difference with the Chang et al. study is an important point to emphasize, therefore we now added in the Discussion:

      “In contrast, to replicate this finding in humans, a previous iEEG study by Chang et al. (Chang, Niziolek et al. 2013) used frequency-shifted feedback during vowel production and found that most suppressed auditory sites did not overlap with those sensitive to feedback alterations. Using DAF instead of frequency-shifted feedback, we demonstrated a significant overlap of two neural populations in the STG, along with a strong correlation between the degree of speech-induced suppression and sensitivity to auditory feedback. This discrepancy may be due to different methods of calculating sensitivity to altered feedback. In our study, sensitivity was determined by comparing responses to delayed and non-delayed feedback during production, whereas Chang et al. compared perturbed feedback responses during production and listening. One possibility is that our approach identifies a larger auditory neural population in the STG sensitive to altered feedback. Alternatively, it could indicate a larger population highly sensitive to temporal rather than spectral perturbations in auditory feedback. Thus, we observe a wide overlap of the two neural populations in the STG showing both speech-induced suppression and sensitivity to auditory feedback. Replaying a recording of the participants' own delayed voice back to them, which we were unable to complete in this study, would have made the results of the two studies more comparable while also completely eliminating the possibility of a sensory explanation for the observed response enhancement.”

      (2) I am still a bit unclear on how Experiment 4 is different than the no-delay condition in Experiment 3. Please clarify. Also, to be clear, in Experiments 1+2 the subjects were not wearing any headphones and had no additional sidetone?

      It is correct that participants were not wearing earphones in Experiments 1&2 (with no additional sidetone), and that they were wearing earphones in Experiments 3&4.

      For the “no delay” condition in the DAF experiment (Experiment 3), participants were wearing earphones and reading words with simultaneous auditory feedback. So, this condition was equivalent to visual word reading (Experiment 2), except participants were wearing earphones. Yet, neural responses were much larger for the “no delay” condition in the DAF experiment compared to visual word reading.

      We suspected that larger neural responses in the DAF experiment were caused by hearing auditory feedback through earphones. To test and control for this possibility, in a subset of participants, we ran an additional visual word reading experiment (Experiment 4) with earphones and used the same volume settings as in the DAF experiment. We found that response magnitudes were now similar in the two experiments (Experiment 3 and 4) and earphones (with the associated increased sound amplitude) were indeed the reason for larger neural responses. Thus, Experiment 4 differs from the no-delay condition in Experiment 3 only in the stimuli read aloud.

      (3) In Figure 3, why is the DAF200 condition activity so much bigger than the other conditions, even prior to the DAF onset? I worry this might bias the rest of the response differences.

      In Figure 3B and 3D, time=0 indicates the onset of the perceived auditory feedback. Below we replotted the responses in the same two electrodes but now time=0 indicates the onset of articulation. We see that the peaking time of the responses are delayed as the auditory feedback delay increases. This is because participants start speaking at time=0, but they hear their voice with a lag so the response onset in these auditory regions are delayed. However, like the reviewer pointed out, the response for the DAF200 condition in Electrode G54 is slightly larger even at the very beginning. We think that this small, early response might reflect a response to the bone-conducted auditory feedback, which might be more prominent for the DAF200 condition. Nevertheless, we still see that response amplitude increase with increasing feedback delays in Electrode 63.

      (4) Figure 4C, are the labeled recording sites limited to those with significant DAF and/or suppression?

      In Figure 4C, we show electrodes that had significant high-gamma broadband responses during all tasks. We write in the Methods: “Electrodes that showed significant response increase (p < 10−4) either before (−0.5 to 0 s) or after speech onset (0 to 0.5 s) with respect to a baseline period (−1 to −0.6 s) and at the same time had a large signal-to-noise ratio (μ/σ > 0.7) during either of these time windows were selected. Electrode selection was first performed for each task separately, then electrodes that were commonly selected were further analyzed.”

      (5) Were there any analyses done to control for the effects of vocal changes on the DAF neural responses? The authors' previous paper did note a behavioral effect. This is probably not trivial, as we may not know the 'onset time' of the response, in contrast to pitch shift where it is more regular. If the timing is unknown, one thing that could be tried is to only look early in DAF responses (first 50ms say) to make sure the DAF effects hold.

      DAF involves two different perturbations: the absence of feedback at speech onset and the introduction of delayed feedback during playback. The timing of the behavioral effect in response to these two perturbations remains unclear. Aligning the neural responses to the production onset and examining the first 50ms would only capture the response to the acoustic feedback for the no-delay condition within that time window. Conversely, aligning the responses to the playback onset might miss the onset of the behavioral effect, which likely starts earlier as a response to the lack of feedback. We acknowledge the reviewer's point that this is a limitation of the DAF paradigm, and the behavioral effect is not as straightforward as that of pitch perturbation. However, we believe there is no clear solution to this issue.

      Minor points:

      (1) Figure 3, it might be nice to show the SuppI and SensI on the plots to give the reader a better sense of what those values look like.

      We included SuppI and SensI values in the new version of Figure 3.

      Reviewer #2 (Recommendations For The Authors):

      Minor Comments:

      (1) In Figure 1, it is unclear whether the responses shown in B-D correspond to the ROIs shown in Figure A - I am guessing so, but the alignment of the labels makes this slightly unclear, so I suggest these be relabeled somehow for clarity.

      This is fixed in the updated version of Figure 1.

      (2) In Figure 1D the difference in colors between AWR and VWR is difficult to appreciate - I suggest using two contrasting colors.

      This is fixed in the updated version of Figure 1.

      (3) Please add y-axis labels for Fig 3B-D. (I believe these are % signal change, but it would be clearer if the label were included).

      This is fixed in the updated version of Figure 3.

      (4) Can the authors comment on whether the use of speakers for AWR and VWR versus earphones for DAF and VWF- AF may have had an influence on the increased response in this condition? If the AWR were rerun using the headphone setup, or if DAF with 0 ms feedback were run with no other trials including lags, would the large differences in response amplitude be observed?

      Participants were not wearing earphones in Experiments 1&2, and that they were wearing earphones in Experiments 3&4.

      For the “no delay” condition in the DAF experiment (Experiment 3), participants were wearing earphones and reading words with simultaneous auditory feedback. So, this condition was equivalent to VWR (Experiment 2), except participants were wearing earphones. Yet, neural responses were much larger for the “no delay” condition in the DAF experiment compared to VWR.

      Supporting the reviewer’s concerns, we suspected that larger neural responses in the DAF experiment were caused by hearing auditory feedback through earphones. To test and control for this possibility, in a subset of participants, we ran the VWR-AF experiment (Experiment 4) with earphones and used the same volume settings as in the DAF experiment. We found that response magnitudes were now similar in the two experiments (Experiment 3 and 4) and earphones were indeed the reason for larger neural responses.

      (5) No data or code were available, I did not see any statement about this nor any github link or OSF link to share their data and/or code.

      Data is available in the Github repository: flinkerlab/Sensitivity-Suppression

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      Here, the authors propose that changes in m6A levels may be predictable via a simple model that is based exclusively on mRNA metabolic events. Under this model, m6A mRNAs are "passive" victims of RNA metabolic events with no "active" regulatory events needed to modulate their levels by m6A writers, readers, or erasers; looking at changes in RNA transcription, RNA export, and RNA degradation dynamics is enough to explain how m6A levels change over time.

      The relevance of this study is extremely high at this stage of the epi transcriptome field. This compelling paper is in line with more and more recent studies showing how m6A is a constitutive mark reflecting overall RNA redistribution events. At the same time, it reminds every reader to carefully evaluate changes in m6A levels if observed in their experimental setup. It highlights the importance of performing extensive evaluations on how much RNA metabolic events could explain an observed m6A change.

      Weaknesses:

      It is essential to notice that m6ADyn does not exactly recapitulate the observed m6A changes. First, this can be due to m6ADyn's limitations. The authors do a great job in the Discussion highlighting these limitations. Indeed, they mention how m6ADyn cannot interpret m6A's implications on nuclear degradation or splicing and cannot model more complex scenario predictions (i.e., a scenario in which m6A both impacts export and degradation) or the contribution of single sites within a gene.

      Secondly, since predictions do not exactly recapitulate the observed m6A changes, "active" regulatory events may still play a partial role in regulating m6A changes. The authors themselves highlight situations in which data do not support m6ADyn predictions. Active mechanisms to control m6A degradation levels or mRNA export levels could exist and may still play an essential role.

      We are grateful for the reviewer’s appreciation of our findings and their implications, and are in full agreement with the reviewer regarding the limitations of our model, and the discrepancies in some cases - with our experimental measurements, potentially pointing at more complex biology than is captured by m6ADyn. We certainly cannot dismiss the possibility that active mechanisms may play a role in shaping m6A dynamics at some sites, or in some contexts. Our study aims to broaden the discussion in the field, and to introduce the possibility that passive models can explain a substantial extent of the variability observed in m6A levels.

      (1) "We next sought to assess whether alternative models could readily predict the positive correlation between m6A and nuclear localization and the negative correlations between m6A and mRNA stability. We assessed how nuclear decay might impact these associations by introducing nuclear decay as an additional rate, δ. We found that both associations were robust to this additional rate (Supplementary Figure 2a-c)."

      Based on the data, I would say that model 2 (m6A-dep + nuclear degradation) is better than model 1. The discussion of these findings in the Discussion could help clarify how to interpret this prediction. Is nuclear degradation playing a significant role, more than expected by previous studies?

      This is an important point, which we’ve now clarified in the discussion. Including nonspecific nuclear degradation in the m6ADyn framework provides a model that better aligns with the observed data, particularly by mitigating unrealistic predictions such as excessive nuclear accumulation for genes with very low sampled export rates. This adjustment addresses potential artifacts in nuclear abundance and half-life estimations. However, we continued to use the simpler version of m6ADyn for most analyses, as it captures the key dynamics and relationships effectively without introducing additional complexity. While including nuclear degradation enhances the model's robustness, it does not fundamentally alter the primary conclusions or outcomes. This balance allows for a more straightforward interpretation of the results.

      (2) The authors classify m6A levels as "low" or "high," and it is unclear how "low" differs from unmethylated mRNAs.

      We thank the reviewer for this observation. We analyzed gene methylation levels using the m6A-GI (m6A gene index) metric, which reflects the enrichment of the IP fraction across the entire gene body (CDS + 3UTR). While some genes may have minimal or no methylation, most genes likely exist along a spectrum from low to high methylation levels. Unlike earlier analyses that relied on arbitrary thresholds to classify sites as methylated, GLORI data highlight the presence of many low-stoichiometry sites that are typically overlooked. To capture this spectrum, we binned genes into equal-sized groups based on their m6A-GI values, allowing a more nuanced interpretation of methylation patterns as a continuum rather than a binary or discrete classification (e.g. no- , low- , high methylation).

      (3) The authors explore whether m6A changes could be linked with differences in mRNA subcellular localization. They tested this hypothesis by looking at mRNA changes during heat stress, a complex scenario to predict with m6ADyn. According to the collected data, heat shock is not associated with dramatic changes in m6A levels. However, the authors observe a redistribution of m6A mRNAs during the treatment and recovery time, with highly methylated mRNAs getting retained in the nucleus being associated with a shorter half-life, and being transcriptional induced by HSF1. Based on this observation, the authors use m6Adyn to predict the contribution of RNA export, RNA degradation, and RNA transcription to the observed m6A changes. However:

      (a) Do the authors have a comparison of m6ADyn predictions based on the assumption that RNA export and RNA transcription may change at the same time?

      We thank the reviewer for this point. Under the simple framework of m6ADyn in which RNA transcription and RNA export are independent of each other, the effect of simultaneously modulating two rates is additive. In Author response image 1, we simulate some scenarios wherein we simultaneously modulate two rates. For example, transcriptional upregulation and decreased export during heat shock could reinforce m6A increases, whereas transcriptional downregulation might counteract the effects of reduced export. Note that while production and export can act in similar or opposing directions, the former can only lead to temporary changes in m6A levels but without impacting steady-state levels, whereas the latter (changes in export) can alter steady-state levels. We have clarified this in the manuscript results to better contextualize how these dynamics interact.

      Author response image 1.

      m6ADyn predictions of m6A gene levels (left) and Nuc to Cyt ratio (right) upon varying perturbations of a sampled gene. The left panel depicts the simulated dynamics of log2-transformed m6A gene levels under varying conditions. The lines represent the following perturbations: (1) export is reduced to 10% (β), (2) production is increased 10-fold (α) while export is reduced to 10% (β), (3) export is reduced to 10% (β) and production is reduced to 10% (α), and (4) export is only decreased for methylated transcripts (β^m6A) to 10%. The right panel shows the corresponding nuclear:cytoplasmic (log2 Nuc:Cyt) ratios for perturbations 1 and 4.

      (b) They arbitrarily set the global reduction of export to 10%, but I'm not sure we can completely rule out whether m6A mRNAs have an export rate during heat shock similar to the non-methylated mRNAs. What happens if the authors simulate that the block in export could be preferential for m6A mRNAs only?

      We thank the reviewer for this interesting suggestion. While we cannot fully rule out such a scenario, we can identify arguments against it being an exclusive explanation. Specifically, an exclusive reduction in the export rate of methylated transcripts would be expected to increase the relationship between steady-state m6A levels (the ratio of methylated to unmethylated transcripts) and changes in localization, such that genes with higher m6A levels would exhibit a greater relative increase in the nuclear-to-cytoplasmic (Nuc:Cyt) ratio. However, the attached analysis shows only a weak association during heat stress, where genes with higher m6A-GI levels tend to increase just a little more in the Nuc:Cyt ratio, likely due to cytoplasmic depletion. A global reduction of export (β 10%) produces a similar association, while a scenario where only the export of methylated transcripts is reduced (β^m6A 10%) results in a significantly stronger association (Author response image 2). This supports the plausibility of a global export reduction. Additionally, genes with very low methylation levels in control conditions also show a significant increase in the Nuc:Cyt ratio, which is inconsistent with a scenario of preferential export reduction for methylated transcripts (data not shown).

      Author response image 2.

      Wild-type MEFs m6A-GIs (x-axis) vs. fold change nuclear:cytoplasmic localization heat shock 1.5 h and control (y-axis), Pearson’s correlation indicated (left panel). m6ADyn, rates sampled for 100 genes based on gamma distributions and simulation based on reducing the global export rate (β) to 10% (middle panel). m6ADyn simulation for reducing the export rate for m6A methylated transcripts (β^m6A) to 10% (right panel).

      (c) The dramatic increase in the nucleus: cytoplasmic ratio of mRNA upon heat stress may not reflect the overall m6A mRNA distribution upon heat stress. It would be interesting to repeat the same experiment in METTL3 KO cells. Of note, m6A mRNA granules have been observed within 30 minutes of heat shock. Thus, some m6A mRNAs may still be preferentially enriched in these granules for storage rather than being directly degraded. Overall, it would be interesting to understand the authors' position relative to previous studies of m6A during heat stress.

      The reviewer suggests that methylation is actively driving localization during heat shock, rather than being passively regulated. To address this question, we have now knocked down WTAP, an essential component of the methylation machinery, and monitored nuclear:cytoplasmic localization over the course of a heat shock response. Even with reduced m6A levels, high PC1 genes exhibit increased nuclear abundance during heat shock. Notably, the dynamics of this trend are altered, with the peak effect delayed from 1.5h heat shock in siCTRL samples to 4 hours in siWTAP samples (Supplementary Figure 4). This finding underscores that m6A is not the primary driver of these mRNA localization changes but rather reflects broader mRNA metabolic shifts during heat shock. These findings have been added as a panel e) to Supplementary Figure 4.

      (d) Gene Ontology analysis based on the top 1000 PC1 genes shows an enrichment of GOs involved in post-translational protein modification more than GOs involved in cellular response to stress, which is highlighted by the authors and used as justification to study RNA transcriptional events upon heat shock. How do the authors think that GOs involved in post-translational protein modification may contribute to the observed data?

      High PC1 genes exhibit increased methylation and a shift in nuclear-to-cytoplasmic localization during heat stress. While the enriched GO terms for these genes are not exclusively related to stress-response proteins, one could speculate that their nuclear retention reduces translation during heat stress. The heat stress response genes are of particular interest, which are massively transcriptionally induced and display increased methylation. This observation supports m6ADyn predictions that elevated methylation levels in these genes are driven by transcriptional induction rather than solely by decreased export rates.

      (e) Additionally, the authors first mention that there is no dramatic change in m6A levels upon heat shock, "subtle quantitative differences were apparent," but then mention a "systematic increase in m6A levels observed in heat stress". It is unclear to which systematic increase they are referring to. Are the authors referring to previous studies? It is confusing in the field what exactly is going on after heat stress. For instance, in some papers, a preferential increase of 5'UTR m6A has been proposed rather than a systematic and general increase.

      We thank the reviewer for raising this point. In our manuscript, we sought to emphasize, on the one hand, the fact that m6A profiles are - at first approximation - “constitutive”, as indicated by high Pearson correlations between conditions (Supplementary Figure 4a). On the other hand, we sought to emphasize that the above notwithstanding, subtle quantitative differences are apparent in heat shock, encompassing large numbers of genes, and these differences are coherent with time following heat shock (and in this sense ‘systematic’), rather than randomly fluctuating across time points. Based on our analysis, these changes do not appear to be preferentially enriched at 5′UTR sites but occur more broadly across gene bodies (potentially a slight 3’ bias). A quick analysis of the HSF1-induced heat stress response genes, focusing on their relative enrichment of methylation upon heat shock, shows that the 5'UTR regions exhibit a roughly similar increase in methylation after 1.5 hours of heat stress compared to the rest of the gene body (Author response image 3). A prominent previous publication (Zhou et al. 2015) suggested that m6A levels specifically increase in the 5'UTR of HSPA1A in a YTHDF2- and HSF1-dependent manner, and highlighted the role of 5'UTR m6A methylation in regulating cap-independent translation, our findings do not support a 5'UTR-specific enrichment. However, we do observe that the methylation changes are still HSF1-dependent. Off note, the m6A-GI (m6A gene level) as a metric that captures the m6A enrichment of gene body excluding the 5’UTR, due to an overlap of transcription start site associated m6Am derived signal.

      Author response image 3.

      Fold change of m6A enrichment (m6A-IP / input) comparing 1.5 h heat shock and control conditions for 5UTR region and the rest of the gene body (CDS and 3UTR) in the 10 HSF! dependent stress response genes.

      Reviewer #2 (Public review):

      Dierks et al. investigate the impact of m6A RNA modifications on the mRNA life cycle, exploring the links between transcription, cytoplasmic RNA degradation, and subcellular RNA localization. Using transcriptome-wide data and mechanistic modelling of RNA metabolism, the authors demonstrate that a simplified model of m6A primarily affecting cytoplasmic RNA stability is sufficient to explain the nuclear-cytoplasmic distribution of methylated RNAs and the dynamic changes in m6A levels upon perturbation. Based on multiple lines of evidence, they propose that passive mechanisms based on the restricted decay of methylated transcripts in the cytoplasm play a primary role in shaping condition-specific m6A patterns and m6A dynamics. The authors support their hypothesis with multiple large-scale datasets and targeted perturbation experiments. Overall, the authors present compelling evidence for their model which has the potential to explain and consolidate previous observations on different m6A functions, including m6A-mediated RNA export.

      We thank the reviewer for the spot-on suggestions and comments on this manuscript.

      Reviewer #3 (Public review):

      Summary:

      This manuscript works with a hypothesis where the overall m6A methylation levels in cells are influenced by mRNA metabolism (sub-cellular localization and decay). The basic assumption is that m6A causes mRNA decay and this happens in the cytoplasm. They go on to experimentally test their model to confirm its predictions. This is confirmed by sub-cellular fractionation experiments which show high m6A levels in the nuclear RNA. Nuclear localized RNAs have higher methylation. Using a heat shock model, they demonstrate that RNAs with increased nuclear localization or transcription, are methylated at higher levels. Their overall argument is that changes in m6A levels are rather determined by passive processes that are influenced by RNA processing/metabolism. However, it should be considered that erasers have their roles under specific environments (early embryos or germline) and are not modelled by the cell culture systems used here.

      Strengths:

      This is a thought-provoking series of experiments that challenge the idea that active mechanisms of recruitment or erasure are major determinants for m6A distribution and levels.

      We sincerely thank the reviewer for their thoughtful evaluation and constructive feedback.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      (1) Supplementary Figure 5A Data: Please double-check the label of the y-axis and the matching legend.

      We corrected this.

      (2) A better description of how the nuclear: cytoplasmic fractionation is performed.

      We added missing information to the Material & Methods section.

      (3) Rec 1hr or Rec 4hr instead of r1 and r4 to indicate the recovery.

      For brevity in Figure panels, we have chosen to stick with r1 and r4.

      (4) Figure 2D: are hours plotted?

      Plotted is the fold change (FC) of the calculated half-lives in hours (right). For the model (left) hours are the fold change of a dimension-less time-unit of the conditions with m6A facilitated degradation vs without. We have now clarified this in the legend.

      (5) How many genes do we have in each category? How many genes are you investigating each time?

      We thank the reviewer for this question. In all cases where we binned genes, we used equal-sized bins of genes that met the required coverage thresholds. We have reviewed the manuscript to ensure that the number of genes included in each analysis or the specific coverage thresholds used are clearly stated throughout the text.

      (6) Simulations on 1000 genes or 2000 genes?

      We thank the reviewer for this question and went over the text to correct for cases in which this was not clearly stated.

      Reviewer #2 (Recommendations for the authors):

      Specific comments:

      (1) The manuscript is very clear and well-written. However, some arguments are a bit difficult to understand. It would be helpful to clearly discriminate between active and passive events. For example, in the sentence: "For example, increasing the m6A deposition rate (⍺m6A) results in increased nuclear localization of a transcript, due to the increased cytoplasmic decay to which m6A-containing transcripts are subjected", I would directly write "increased relative nuclear localization" or "apparent increase in nuclear localization".

      We thank the reviewer for this careful observation. We have modified the quoted sentence, and also sought to correct additional instances of ambiguity in the text.

      Also, it is important to ensure that all relationships are described correctly. For example, in the sentence: "This model recovers the positive association between m6A and nuclear localization but gives rise to a positive association between m6A and decay", I think "decay" should be replaced with "stability". Similarly, the sentence: "Both the decrease in mRNA production rates and the reduction in export are predicted by m6ADyn to result in increasing m6A levels, ..." should it be "Both the increase in mRNA production and..."?

      We have corrected this.

      This sentence was difficult for me to understand: "Our findings raise the possibility that such changes could, at least in part, also be indirect and be mediated by the redistribution of mRNAs secondary to loss of cytoplasmic m6A-dependent decay." Please consider rephrasing it.

      We rephrased this sentence as suggested.

      (2) Figure 2d: "A final set of predictions of m6ADyn concerns m6A-dependent decay. m6ADyn predicts that (a) cytoplasmic genes will be more susceptible to increased m6A mediated decay, independent of their m6A levels, and (b) more methylated genes will undergo increased decay, independently of their relative localization (Figure 2d left) ... Strikingly, the experimental data supported the dual, independent impact of m6A levels and localization on mRNA stability (Figure 2d, right)."

      I do not understand, either from the text or from the figure, why the authors claim that m6A levels and localization independently affect mRNA stability. It is clear that "cytoplasmic genes will be more susceptible to increased m6A mediated decay", as they always show shorter half-lives (top-to-bottom perspective in Figure 2d). Nonetheless, as I understand it, the effect is not "independent of their m6A levels", as half-lives are clearly the shortest with the highest m6A levels (left-to-right perspective in each row).

      The two-dimensional heatmaps allow for exploring conditional independence between conditions. If an effect (in this case delta half-life) is a function of the X axis (in this case m6A levels), continuous increases should be seen going from one column to another. Conversely, if it is a function of the Y axis (in this case localization), a continuous effect should be observed from one row to another. Given that effects are generally observed both across rows and across columns, we concluded that the two act independently. The fact that half-life is shortest when genes are most cytoplasmic and have the highest m6A levels is therefore not necessarily inconsistent with two effects acting independently, but instead interpreted by us as the additive outcome of two independent effects. Having said this, a close inspection of this plot does reveal a very low impact of localization in contexts where m6A levels are very low, which could point at some degree of synergism between m6A levels and localization. We have therefore now revised the text to avoid describing the effects as "independent."

      (3) The methods part should be extended. For example, the description of the mRNA half-life estimation is far too short and lacks details. Also, information on the PCA analysis (Figure 4e & f) is completely missing. The code should be made available, at least for the differential model.

      We thank the reviewer for this point and expanded the methods section on mRNA stability analysis and PCA. Additionally, we added a supplementary file, providing R code for a basic m6ADyn simulation of m6A depleted to normal conditions (added Source Code 1).

      https://docs.google.com/spreadsheets/d/1Wy42QGDEPdfT-OAnmH01Bzq83hWVrYLsjy_B4n CJGFA/edit?usp=sharing

      (4) Figure 4e, f: The authors use a PCA analysis to achieve an unbiased ranking of genes based on their m6A level changes. From the present text and figures, it is unclear how this PCA was performed. Besides a description in the methods sections, the authors could show additional evidence that the PCA results in a meaningful clustering and that PC1 indeed captures induced/reduced m6A level changes for high/low-PC1 genes.

      We have added passages to the text, hoping to clarify the analysis approach.

      (5) In Figure 4i, I was surprised about the m6A dynamics for the HSF1-independent genes, with two clusters of increasing or decreasing m6A levels across the time course. Can the model explain these changes? Since expression does not seem to be systematically altered, are there differences in subcellular localization between the two clusters after heat shock?

      A general aspect of our manuscript is attributing changes in m6A levels during heat stress to alterations in mRNA metabolism, such as production or export. As shown in Supplementary Figure 4d, even in WT conditions, m6A level changes are not strictly associated with apparent changes in expression, but we try to show that these are a reflection of the decreased export rate. In the specific context of HSF1-dependent stress response genes, we observe a clear co-occurrence of increased m6A levels with increased expression levels, which we propose to be attributed to enhanced production rates during heat stress. This suggests that transcriptional induction can drive the apparent rise in m6A levels. We try to control this with the HSF1 KO cells, in which the m6A level changes, as the increased production rates are absent for the specific cluster of stress-induced genes, further supporting the role of transcriptional activation in shaping m6A levels for these genes. For HSF1-independent genes, the HSF-KO cells mirror the behavior of WT conditions when looking at 500 highest and lowest PC1 (based on the prior analysis in WT cells), suggesting that changes in m6A levels are primarily driven by altered export rates rather than changes in production.

      Among the HSF1 targets, Hspa1a seems to show an inverse behaviour, with the highest methylation in ctrl, even though expression strongly goes up after heat shock. Is this related to the subcellular localization of this particular transcript before and after heat shock?

      Upon reviewing the heat stress target genes, we identified an issue with the proper labeling of the gene symbols, which has now been corrected (Figure 4 panel i). The inverse behavior observed for Hspb1 and partially for Hsp90aa1 is not accounted for by the m6ADyn model, and is indeed an interesting exception with respect to all other induced genes. Further investigation will be required to understand the methylation dynamics of Hspb1 during the response to heat stress.

      Reviewer #3 (Recommendations for the authors):

      Page 4. Indicate reference for "a more recent study finding reduced m6A levels in chromatin-associated RNA.".

      We thank the reviewer for this point and added two publications with a very recent one, both showing that chromatin-associated nascent RNA has less m6A methylation

      The manuscript is perhaps a bit too long. It took me a long time to get to the end. The findings can be clearly presented in a more concise manner and that will ensure that anyone starting to read will finish it. This is not a weakness, but a hope that the authors can reduce the text.

      We have respectfully chosen to maintain the length of the manuscript. The model, its predictions and their relationship to experimental observations are somewhat complex, and we felt that further reduction of the text would come at the expense of clarity.

    1. Author response:

      The following is the authors’ response to the original reviews

      Public Reviews:

      Reviewer #1 (Public review):

      This manuscript presents an interesting new framework (VARX) for simultaneously quantifying effective connectivity in brain activity during sensory stimulation and how that brain activity is being driven by that sensory stimulation. The core idea is to combine the Vector Autoregressive model that is often used to infer Granger-causal connectivity in brain data with an encoding model that maps the features of a sensory stimulus to that brain data. The authors do a nice job of explaining the framework. And then they demonstrate its utility through some simulations and some analysis of real intracranial EEG data recorded from subjects as they watched movies. They infer from their analyses that the functional connectivity in these brain recordings is essentially unaltered during movie watching, that accounting for the driving movie stimulus can protect one against misidentifying brain responses to the stimulus as functional connectivity, and that recurrent brain activity enhances and prolongs the putative neural responses to a stimulus.

      This manuscript presents an interesting new framework (VARX) for simultaneously quantifying effective connectivity in brain activity during sensory stimulation and how that brain activity is being driven by that sensory stimulation. Overall, I thought this was an interesting manuscript with some rich and intriguing ideas. That said, I had some concerns also - one potentially major - with the inferences drawn by the authors on the analyses that they carried out.

      Main comments:

      (1) My primary concern with the way the manuscript is written right now relates to the inferences that can be drawn from the framework. In particular, the authors want to assert that, by incorporating an encoding model into their framework, they can do a better job of accounting for correlated stimulus-driven activity in different brain regions, allowing them to get a clearer view of the underlying innate functional connectivity of the brain. Indeed, the authors say that they want to ask "whether, after removing stimulus-induced correlations, the intrinsic dynamic itself is preserved". This seems a very attractive idea indeed. However, it seems to hinge critically on the idea of fitting an encoding model that fully explains all of the stimulus-driven activity. In other words, if one fits an encoding model that only explains some of the stimulus-driven response, then the rest of the stimulus-driven response still remains in the data and will be correlated across brain regions and will appear as functional connectivity in the ongoing brain dynamics - according to this framework. This residual activity would thus be misinterpreted. In the present work, the authors parameterize their stimulus using fixation onsets, film cuts, and the audio envelope. All of these features seem reasonable and valid. However, they surely do not come close to capturing the full richness of the stimuli, and, as such, there is surely a substantial amount of stimulus-driven brain activity that is not being accounted for by their "B" model and that is being absorbed into their "A" model and misinterpreted as intrinsic connectivity. This seems to me to be a major limitation of the framework. Indeed, the authors flag this concern themselves by (briefly) raising the issue in the first paragraph of their caveats section. But I think it warrants much more attention and discussion.

      We agree. One can never be sure that all stimulus induced correlation is accounted for. We now formulate our question more cautiously: 

      “We will ask here whether, after removing some of the stimulus-induced correlations, the intrinsic dynamic is similar between stimulus and rest conditions.”

      We also highlight that one may expect the opposite result of what we found: 

      “A general observation of these studies is that a portion of the functional connectivity is preserved between rest and stimulus conditions, while some aspects are altered by the perceptual task [12,16], sometimes showing increased connectivity during the stimulus.[15].” 

      We have added a number of additional features (acoustic edges, fixation novelty, and motion) and more carefully characterize how much “connectivity” each one explains in the neural data: 

      “Removing any of the input features increased the effect size of recurrent connections compared to a model with all features (Fig. S4). We then cumulatively added each feature to the VARX model. Effect size monotonically decreases with each feature added (Fig. 3F). Decreases of effect size are significant when adding film cuts (ΔR=-3.6*10<sup>-6</sup>, p<0.0001, N=26, FDR correction, α=0.05) and the sound envelope (ΔR=-3.59*10<sup>-6</sup>, p=0.002, N=26, FDR correction, α=0.05). Thus, adding more input features progressively reduces the strength of recurrent “connections”.”

      We also added more data to the analysis comparing movies vs rest. We now use 4 different movie segments instead of 1 and find reduced recurrent connectivity during movies: 

      “The number of significant recurrent connections in  were significantly reduced during  movie watching compared to rest (Fig. 4C, fixed effect of stimulus: beta = -3.8*10<sup>-3</sup>, t(17) = -3.9, p<0.001), as is the effect size R (Fig. 4D, fixed effect of stimulus: beta = -2.5*10<sup>-4</sup>, t(17) = -4.1, p<0.001).”

      The additional analysis is described in the Methods section:

      “To compare recurrent connectivity between movies and the resting-state, we compute VARX models in four different movie segments of 5 minutes length to match the length of the resting state recording. We use the first and second half of ‘Despicable Me English’, the first half of ‘Inscapes’ and one of the ‘Monkey’ movies. 18 patients include each of these recordings. For each recording in each patient we compute the fraction of significant channels (p<0.001) and average the effect size R across all channel pairs, excluding the diagonal. We test the difference between movies and resting-state with linear mixed-effect models with stimulus as fixed effect (movie vs rest), and patient as random effect, using matlab’s fitlme() routine.”

      We had already seen this trend of decreasing connectivity during movie watching before, and reported on it cautiously as “largely unaltered”. We updated the Abstract correspondingly from “largely unaltered” to “reduced”: 

      “We also find that the recurrent connectivity during rest is reduced during movie watching.”

      We mentioned this possibility in the Discussion before, namely, that additional input features may reduce recurrent connectivity in the model, and therefore show a difference. We discuss this result now as follows: 

      “The stimulus features we included in our model capture mostly low-level visual and auditory input. It is possible that regressing out a richer stimulus characterization would have removed additional stimulus-induced correlation. While we do not expect that this would change the overall effect of a reduced number of “connections” during movie watching compared to resting state, the interpretation of changes in specific connections will be affected by the choice of features. For example, in sensory cortices, higher recurrent connectivity in the LFP during rest would be consistent with the more synchronized state we saw in rest, as reflected by larger oscillatory activity. Synchronization in higher-order cortices, however, is expected to be more strongly influenced by semantic content of external input.”

      In the Discussion we expand on what might happen if additional stimulus features were to be included into the model:  

      “Previous literature does often not distinguish between intrinsic dynamics and extrinsic effects. By factoring out some of the linear effects of the external input we conclude here that recurrent connectivity is reduced in average. From our prior work49, we know that the stimulus features we included here capture a substantial amount of variance across the brain in intracranial EEG. Arguably, however, the video stimuli had rich semantic information that was not captured by the low-level features used here. Adding such semantic features could have further reduced shared variance, and consequently further reduced average recurrent connectivity in the model.”

      “Similarities and differences between rest and movie watching conditions reported previously, do not draw a firm conclusion as to whether overall “functional connectivity” is increased or reduced. Results seem to depend on the time scale of neural activity analyzed, and the specific brain networks [12,16,63]. However, in fMRI, the conclusion seems to be that functional connectivity during movies is stronger than during rest[15], which likely results from stimulus induced correlations. The VARX model can remove some of the effects of these stimuli, revealing that average recurrent connectivity may be reduced rather than increased during stimulus processing.”

      And in the conclusion we now write: 

      “The model revealed a small but significant decrease of recurrent connectivity when watching movies.”

      (2) Related to the previous comment, the authors make what seems to me to be a complex and important point on page 6 (of the pdf). Specifically, they say "Note that the extrinsic effects captured with filters B are specific (every stimulus dimension has a specific effect on each brain area), whereas the endogenous dynamic propagates this initial effect to all connected brain areas via matrix A, effectively mixing and adding the responses of all stimulus dimensions. Therefore, this factorization separates stimulus-specific effects from the shared endogenous dynamic." It seems to me that the interpretation of the filter B (which is analogous to the "TRF") for the envelope, say, will be affected by the fact that the matrix A is likely going to be influenced by all sorts of other stimulus features that are not included in the model. In other words, residual stimulus-driven correlations that are captured in A might also distort what is going on in B, perhaps. So, again, I worry about interpreting the framework unless one can guarantee a near-perfect encoding model that can fully account for the stimulus-driven activity. I'd love to hear the authors' thoughts on this. (On this issue - the word "dominates" on page 12 seems very strong.)

      This is an interesting point we had not thought about. After some theoretical considerations and some empirical testing we conclude that the effect of missing inputs is relevant, but can be easily anticipated. 

      We have added the following to the Results section explaining and demonstrated empirically the effects of adding features and signals to the model: 

      “As with conventional linear regression, the estimate in B for a particular input and output channel is not affected by which other signals are included in or , provided those other inputs are uncorrelated. We confirmed this here empirically by removing dimensions from (Fig. S11A), and by adding uncorrelated input to (Fig. S11B, adding fixation onset does not affect the estimate for auditory envelope responses). In other words, to estimate B, we do not require all possible stimulus features and all brain activity to be measured and included in the model. In contrast, B does vary when correlated inputs are added to (Fig. S11C, adding acoustic edges changes the auditory envelope response). Evidently the auditory envelope and acoustic edges are tightly coupled in time, whereas fixation onset is not. When a correlated input is missing (acoustic edges) then the other input (auditory envelope) absorbs the correlated variance, thus capturing the combined response of both.”

      (3) Regarding the interpretation of the analysis of connectivity between movies and rest... that concludes that the intrinsic connectivity pattern doesn't really differ. This is interesting. But it seems worth flagging that this analysis doesn't really account for the specific dynamics in the network that could differ quite substantially between movie watching and rest, right? At the moment, it is all correlational. But the dynamics within the network could be very different between stimulation and rest I would have thought.

      As discussed above, with more data and additional stimulus features we now see detectable changes in the connectivity. The example in Figure 4G also shows that specific connections may change in different directions, while overall the strength of connections slightly decreases during movie watching compared to rest. We added the following to the results:

      “While the effect size decreases on average, there is some variation across different brain areas (Fig. 4E-G).”

      But even if the connectivity were unchanged, the activity on this network can be different with varying inputs. We actually also saw that there were changes in the variability of activity (Figs. 6 and S13) that may point to non-linear effects. It seems that injecting the input will cause an overall change in power, which can be explained by a relatively simple non-linear gain adaptation. These effects are already discussed at some length in the paper. 

      (4) I didn't really understand the point of comparing the VARX connectivity estimate with the spare-inverse covariance method (Figure 2D). What was the point of this? What is a reader supposed to appreciate from it about the validity or otherwise of the VARX approach?

      We added the following motivation and clarification on this topic: 

      “To test the descriptive validity [43] of the VARX model we follow the approach of recovering structural connectivity from functional activity in simulation. [44] Specifically, we will compare the recurrent connectivity A derived from brain activity simulated assuming a given structural connectivity, i.e. we ask, can the VARX model recover the underlying structural connectivity, at least in a simulated whole-brian model with known connectivity? … For comparison, we also used the sparse-inverse covariance method to recover connectivity from the correlation matrix (functional connectivity). This method is considered state-of-the-art as it is more sensitive than other methods in detecting structural connections [48]”

      (5) I think the VARX model section could have benefitted a bit from putting some dimensions on some of the variables. In particular, I struggled a little to appreciate the dimensionality of A. I am assuming it has to involve both time lags AND electrode channels so that you can infer Granger causality (by including time) between channels. Including a bit more detail on the dimensionality and shape of A might be helpful for others who want to implement the VARX model.

      Your assumption is correct. We added the following to make this easier for readers: 

      “Therefore, A  has dimensions B has dimensions , where are the dimensions of and respectively.”

      (6) A second issue I had with the inferences drawn by the authors was a difficulty in reconciling certain statements in the manuscript. For example, in the abstract, the authors write "We find that the recurrent connectivity during rest is largely unaltered during movie watching." And they also write that "Failing to account for ... exogenous inputs, leads to spurious connections in the intrinsic "connectivity".

      Perhaps this segment of the abstract needed more explanation. To enhance clarity we have also changed the ordering of the findings. Hopefully this is more clear now: 

      “This model captures the extrinsic effect of the stimulus and separates that from the intrinsic effect of the recurrent brain dynamic. We find that the intrinsic dynamic enhances and prolongs the neural responses to scene cuts, eye movements, and sounds. Failing to account for these extrinsic inputs, leads to spurious recurrent connections that govern the intrinsic dynamic. We also find that the recurrent connectivity during rest is reduced during movie watching.”

      Reviewer #2 (Public review):

      Summary:

      The authors apply the recently developed VARX model, which explicitly models intrinsic dynamics and the effect of extrinsic inputs, to simulated data and intracranial EEG recordings. This method provides a directed method of 'intrinsic connectivity'. They argue this model is better suited to the analysis of task neuroimaging data because it separates the intrinsic and extrinsic activity. They show: that intrinsic connectivity is largely unaltered during a movie-watching task compared to eyes open rest; intrinsic noise is reduced in the task; and there is intrinsic directed connectivity from sensory to higher-order brain areas.

      Strengths:

      (1) The paper tackles an important issue with an appropriate method.

      (2) The authors validated their method on data simulated with a neural mass model.

      (3) They use intracranial EEG, which provides a direct measure of neuronal activity.

      (4) Code is made publicly available and the paper is written well.

      Weaknesses:

      It is unclear whether a linear model is adequate to describe brain data. To the author's credit, they discuss this in the manuscript. Also, the model presented still provides a useful and computationally efficient method for studying brain data - no model is 'the truth'.

      We fully agree and have nothing much to add to this, except to highlight the benefit of a linear model even as explanation for non-linear phenomena: 

      “The [noise-quenching] effect we found here can be explained by a VARX model with the addition of a divisive gain adaptation mechanism … The noise-quenching result and its explanation via gain adaptation shows the benefit of using a parsimonious linear model, which can suggest nonlinear mechanisms as simple corrections from linearity.”

      Appraisal of whether the authors achieve their aims:

      As a methodological advancement highlighting a limitation of existing approaches and presenting a new model to overcome it, the authors achieve their aim. Generally, the claims/conclusions are supported by the results.

      The wider neuroscience claims regarding the role of intrinsic dynamics and external inputs in affecting brain data could benefit from further replication with another independent dataset and in a variety of tasks - but I understand if the authors wanted to focus on the method rather than the neuroscientific claims in this manuscript.

      We fully agree. We added the following to the Discussion section:

      “Future studies should test if our findings replicate in an independent iEEG datasets, including active tasks and whether they generalize to other neuroimaging modalities.”

      Impact:

      The authors propose a useful new approach that solves an important problem in the analysis of task neuroimaging data. I believe the work can have a significant impact on the field.

      Recommendations for the authors:  

      Reviewer #1 (Recommendations for the authors):

      Minor comments:

      (1) Did you mean "less" or "fewer" in the following sentence "..larger values lead to overfitting, i.e. less significant connections..."?

      We mean fewer. Thanks for catching this. 

      (2) I didn't see any equations showing how the regularization parameter lambda is incorporated into the framework.

      We prefer the math and details of the algorithm to an earlier paper that has now been published. Instead we added the following clarification: 

      “The VARX models were fitted to data with the matlab version of the code31 using conventional L2-norm regularization. The corresponding regularization parameter was set to 𝜆=0.3.”

      (3) I think some readers of this might struggle to understand the paragraph beginning

      "Connectivity plots are created with nilearn's plot_connectome() function...". It's all quite opaque for the uninitiated.

      Agreed. We now write more simply: 

      “Connectivity plots in Fig. 4 were created with routines from the nilearn toolbox [51].”

      (4) The paragraph beginning "The length of responses for Figure 5..." is also very opaque and could do with being explained more fully. Or this text could be removed from the methods and incorporated into the relevant results section where you actually discuss this analysis.

      Thank you for flagging this. We expand on the details in the Methods as follows: 

      “The length of responses for each channel in B and H to external inputs in Fig. 5 is computed with Matlab's findpeaks() function. This function returns the full-width at half of the peak maximum minus baseline. Power in each channel is computed as the squares of the responses averaged over the time window that was analyzed (0-0.6s).”

      (5) I think adding some comments to the text or caption related to Figures 3C and 3D would be helpful so readers can understand these numbers a bit better. One seems to be the delta log p value and the other is the delta ratio. What does positive or negative mean? Readers might appreciate a little more help.

      We expanded it as follows, hopefully this helps: 

      “C) difference of log for VAX model without minus with inputs (panel A - B). Both models are fit to the same data. D) Thresholding panels A and B at p<0.0001 gives a fraction of significant connections. Here we show the fraction of significant channels for models with and without input. Each line is a patient with color indicating increase or decrease  E) Mean over all channels for VARX models with and without inputs. Each line is a patient.”

      (6) It is not clear what the colors mean in Figures 4 E, F, G.

      We updated the color scheme for those figure panels and carefully explained it in the caption. Please see the manuscript for updated figure 4.   

      (7) It might be nice to slightly unpack what you mean by the "variability of the internal dynamic" and why it can be equated with the power of the innovation process.

      In the methods we added the following clarification right after defining the VARX model: 

      “The innovation process captures the internal variability of the model. Without it, repeating the same input would always result in a fixed deterministic output .”

      In the results section we added the following: 

      “As a metric of internal variability we measured the power of the intrinsic innovation process , which captures the unobserved “random” brain activity which leads to variations in the responses.”

      (8) Typos etc.

      a) "... has been attributed to variability of ongoing dynamic"

      b) The manuscript refers to a Figure 3G, but there is no Figure 3G.

      c) n_a = n_a = 1. Is that a typo?

      d) fiction

      Thank you for catching these. We fixed them. 

      Reviewer #2 (Recommendations for the authors):

      (1) I'm curious about the authors' opinions on the conditions studied. Naively, eyes open rest and passive movie watching seem like similar conditions - were the authors expecting to see a difference with VARX? Do the authors expect that they would see bigger differences when there is a larger difference in sensory input, e.g. eyes closed rest vs movie watching? Given the authors are arguing the need to explicitly model external inputs, a real data example contrasting two very different external inputs might better demonstrate the model's utility.

      Thank you for this suggestion. We added an analysis of eyes-closed rest recordings, available in 8 patients (Fig. S8). The difference between movie and rest is indeed more pronounced than for eyes open rest. The result is described in the methods:

      “In a subset of patients with eyes-closed resting state we find the same effect, that is qualitatively more pronounced (Fig. S8).”

      This complements our updated finding of a difference between movie and eyes-open rest that does show a significant difference after adding more data to this analysis. The results have been updated as following

      “The number of significant recurrent connections in  were significantly reduced during  movie watching compared to rest (Fig. 4C, fixed effect of stimulus:

      beta = -3.8*10<sup>-3</sup>, t(17) = -3.9, p<0.001), as is the effect size R (Fig. 4D, fixed effect of stimulus: beta = -2.5*10<sup>-4</sup>, t(17) = -4.1, p<0.001).”

      The abstract has been updated accordingly:

      “We also find that the recurrent connectivity during rest is reduced during movie watching.”

      (2) It would also have been interesting to see how the proposed model compares to DCM - however, I understand if the authors wanted to focus on their model rather than a comparison with other models.

      We did not try the DCM for a number of reasons. 1) it does not allow for delays in the model dynamic (i.e. the entire time course of the response has to be captured by the recurrent dynamic of a single time step A). 2. It is computationally prohibitive and would not allow us to analyze large channel counts. 3. The available code is custom made for fMRI or EEG analysis with very specified signal generation models that do not obviously apply to iEEG. We added the following to the Discussion of the CDM:  

      “Similar to the VARX model, DCM includes intrinsic and extrinsic effects A and B. However, the modeling is limited to first-order dynamics (i.e. η<sub>a</sub>=η<sub>b</sub>=1). Thus, prolonged responses have to be entirely captured with a first-order recurrent A. … In contrast, here we have analyzed up to 300 channels per subject across the brain, which would be prohibitive with DCM. By analyzing a large number of recordings we were able to draw more general conclusions about whole-brain activity.”

      (3) I believe improving the consistency of the terminology used would improve the manuscript:

      a) Intrinsic dynamics vs intrinsic connectivity vs recurrent connectivity:

      - The term 'intrinsic dynamic' is first introduced in paragraph 3 of the introduction. An explicit definition of is meant by this term would benefit the manuscript.

      - Sometimes the terminology changes to 'intrinsic connectivity' or 'recurrent connectivity'. An explicit definition of these terms (if they refer to different things) would also benefit the manuscript.

      We had used the term “intrinsic” and “recurrent” interchangeably. We now try to mostly say “intrinsic dynamic” when we talk about the more general phenomenon or recurrent brain dynamic, while using “recurrent connectivity” when we refer to the model parameters A. 

      We provide now a definition already at the start of the Abstract: 

      “Sensory stimulation of the brain reverberates in its recurrent neural networks. However, current computational models of brain activity do not separate immediate sensory responses from this intrinsic dynamic. We apply a vector-autoregressive model with external input (VARX), combining the concepts of “functional connectivity” and “encoding models”, to intracranial recordings in humans. This model captures the extrinsic effect of the stimulus and separates that from the intrinsic effect of the recurrent brain dynamic.”

      And at the start of the introduction: 

      “The primate brain is highly interconnected between and within brain areas. … We will refer to the dynamic driven by this recurrent architecture as the intrinsic dynamic of the brain.”

      b) Intrinsic vs Endogenous and Extrinsic vs Exogenous:

      - Footnote 1 defines the 'intrinsic' and 'extrinsic' terminology.

      - However, there are instances where the authors switch back to endogenous/exogenous.

      - Methods section: "Overall system response", paragraph 2.

      - Results section: "Recurrent dynamic enhances and prolongs stimulus responses".

      - Conclusions section.

      With a foot in both neuroscience and systems identification, it’s a hard habit to break. Thanks for catching it. We searched and replaced all instances of endogenous and exogenous.  

      (4) Methods:

      a) The model equation would be clearer if the convolution was written out fully. (I had to read reference 1 to understand the model.).

      We now spell out the full equation and hope it's not too cumbersome to read:  

      “For the th signal channel the recurrence of the VARX model is given by: 

      b) How is an individual dimension omitted in the reduced model, are the values in the y, x set to zero?

      No, it is actually removed from the linear prediction. We added: 

      “… omitted from the prediction …”

      c) "The p-value quantifies the probability that a specific connection in A or B is zero" - for each of n_a/n_b filters?

      d) It should be clarified that D is a vector.

      We hope the following clarification addresses both these questions: 

      “The p-value quantifies the probability that a specific connection in either A or B is zero. Therefore, D,P and R<sup>2</sup> all have dimensions or for A or B  respectively.”

      (5) Results:

      a) Stimulus-induced reduction of noise in the intrinsic activity: would be good to define the frequency range for theta and beta in paragraph 2.

      Added. 

      b) Neural mass model simulation:

      - A brief description of what was simulated is needed.

      We basically ran the sample code of the neurolib library. With that in mind maybe the description we already provide is sufficient:  

      “We used the default model simulation of the neurolib python library (using their sample code for the “ALNModel”), which is a mean-field approximation of adaptive exponential integrate-and-fire neurons. This model can generate simulated mean firing rates in 80 brain areas based on connectivity and delay matrices determined with diffusion tensor imaging (DTI). We used 5 min of “resting state” activity (no added stimulus, simulated at 0.1ms resolution, subsequently downsampled to 100Hz).”

      - It's not clear to me why the A matrix should match the structural connectivity.

      We added the following introduction to make the purpose of this simulation clear:

      “To test the descriptive validity [43] of the VARX model we follow the approach of recovering structural connectivity from functional activity in simulation. [44] Specifically, we will compare the “connectivity” A derived from brain activity simulated assuming a given structural connectivity, i.e. we ask, can the VARX model recover the underlying structural connectivity, at least in a simulated whole-brian model with known connectivity?”

      - It would be interesting to see the inferred A matrix.

      We added a Supplement figure for this and the following: 

      “The VARX model was estimated with n<sub>a</sub>=2, and no input. The resulting estimate for A is dominated by the diagonal elements that capture the autocorrelation within brain areas (Fig. S1).”

      - How many filters were used here?

      No input filters were used for this simulation:

      We used 5 min of “resting state” activity (no added stimulus, simulated at 0.1ms resolution, subsequently downsampled to 100Hz). 

      c) Intracranial EEG:

      - It's not clear how overfitting was measured and how the selection of the number of filters (n_a and n_b) was done.

      We have removed the statement about overfitting. Mostly the word is used in the context of testing on a separate dataset, which we did not do here. So this “overfitting” can be confusing. Instead we used the analytic p-value as indication that a larger model order is not supported by the data. We write this now as follows: 

      “Increasing the number of delays n<sub>a</sub>, increases estimated effect size R (Fig. S3A,B), however, larger values lead to fewer significant connections (Fig. S3C). Significance (p-value) is computed analytically, i.e. non-parametrically, based on deviance. Values around n<sub>a</sub>=6 time delays appear to be the largest model order supported by this statistical analysis.”

      d) Figure 1:

      - Typo: "auto-regressive"

      Fixed. Thanks for catching that. 

      - LFP and BHA in C are defined much later in the text, would be useful to define these in the caption. o Shouldn't B (the VARX model parameter) be a 2x3 matrix for different time lags?

      Hopefully the following clarifications address both these points: 

      “C) Example of neural signal y(t) recorded at a single location in the brain. We will analyze local field potentials (LFP) and broad-band high frequency activity (BHA) in separate analyses.  D) Examples of filters B for individual feed-forward connections between an extrinsic input and a specific recording location in the brain.”

      (6) Discussion:

      I could not find Muller et al 2016 listed in the references.

      Added. Thanks for catching that omission. 

      Additional edits prompted by reviewers, but not in the context of any particular comment.

      While reviewers did not raise this following point, we felt the need clarify the terminology in the Methods to make sure there is not misunderstanding in the proposed interpretation of the model: 

      “We will refer to the filters in matrix A and B and as recurrent and feed-forward “connections”, but avoid the use of the word “causal” which can be misleading.”

      In addressing questions to Figure 4, we noticed that there is quite a bit of variability across patients, so the analysis for Figure 4 and 7 which combines data across patients now accounts for a random effect of patient (previously we have used mean values for repeated measures). We added the following to the Methods to explain this:

      “To compare recurrent connectivity between movies and the resting-state (in Fig. 4), we compute VARX models in four different movie segments of 5 minutes length to match the length of the resting state recording. We use the first and second half of ‘Despicable Me English’, the first half of ‘Inscapes’ and one of the ‘Monkey’ movies. 18 patients include each of these recordings. For each recording in each patient we compute the fraction of significant channels (p<0.001) and average the effect size R across all channel pairs, excluding the diagonal. We test the difference between movies and resting-state with linear mixed-effect models with stimulus as fixed effect (movie vs rest), and patient as random effect (to account for the repeated measures for the different video segments), using matlab’s fitlme() routine. For the analysis of asymmetry of recurrent connectivity (in Fig. 4) we also used a mixed-effect model with T1w/T2w ratio as fixed effect and patients as random effect (to account for the repeated measures in multiple brain locations).”

      All analyses were rerun with more data (eyes closed resting) and 2 additional patients that have become available since the first submission. Therefore all figures and statistics have been updated throughout the paper. Other than the difference between movies and resting state which was trending before and is now significant, no results changed.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer 1:

      Comment 0: In this paper, the authors develop a comprehensive program to investigate the organization of chromosome structures at 100 kb resolution. It is extremely well executed. The authors have thought through all aspects of the problem. The resulting software will be most useful to the community. Interestingly they capture many experimental observations accurately.

      I have very few complaints.

      We appreciate the reviewer’s strong assessment of the paper’s significance, novelty, and broad interest, and we thank them for the detailed suggestions and comments.

      Comment 1: The number of parameters in the energy function is very large. Is there any justification for this? Could they simplify the functions?

      We extend our gratitude to the reviewer for their insightful remarks. The parameters within our model can be categorized into two groups: those governing chromosome-chromosome interactions and those governing chromosome-nuclear landmark interactions.

      In terms of chromosome-chromosome interactions, the parameter count is relatively modest compared to the vast amount of Hi-C data available. For instance, while the whole-genome Hi-C matrix at the 100KB resolution encompasses approximately 303212 contacts, our model comprises merely six parameters for interactions among different compartments, along with 1000 parameters for the ideal potential. As outlined in the supporting information, the ideal potential is contingent upon sequence separation, with 1000 chosen to encompass bead separations of up to 100MB. While it is theoretically plausible to reduce the number of parameters by assuming interactions cease beyond a certain sequence separation, determining this scale a priori presents a challenge.

      During the parameterization process, we observed that interchromosomal contacts predicted solely based on compartmental interactions inadequately mirrored Hi-C data. Consequently, we introduced 231 additional parameters to more accurately capture interactions between distinct pairs of autosomes. These interactions may stem from factors such as non-coding RNA or proteins not explicable by simple, non-specific compartmental interactions.

      Regarding parameters concerning chromosome-nuclear landmark interactions, we have 30321 parameters for speckles and 30321 for the nuclear lamina. To streamline the model, we opted to assign a unique parameter to each chromatin bead. However, it is conceivable that many chromatin beads share a similar mechanism for interacting with nuclear lamina or speckles, potentially allowing for a common parameter assignment. Nonetheless, implementing such simplification necessitates a deeper mechanistic understanding of chromosome-nuclear landmark interactions, an aspect currently lacking.

      As our comprehension of nuclear organization progresses, the interpretability of parameter counts may improve, facilitating their reduction.

      Comment 2: What would the modification be if the resolution is increased?

      To increase the resolution of chromatin, we can in principle keep the same energy function as defined in Eq. S6. In this case, we only need to carry out further parameter optimization.

      However, transitioning to higher resolutions may unveil additional features not readily apparent at 100kb. Notably, chromatin loops with an average size of 200kb or smaller have been identified in high-resolution Hi-C data [1]. To effectively capture these loops, new terms in the energy function must be incorporated. For instance, Qi and Zhang [2] employed additional contact potentials between CTCF sites to account for loop formation. Alternatively, an explicit loop-extrusion process could be introduced to model loop formation more accurately.

      Comment 3: They should state that the extracted physical values are scale-dependent. For example, viscosity.

      We thank the reviewer for the comment and would like to clarify that our model does not predict the viscosity. The nucleoplasmic viscosity was set as 1Pa · s to produce a diffusion coefficient that reproduces experimental value. The exact value for the nucleoplasmic viscosity is still rather controversial, and our selected value falls in the range of reported experimental values from 10−1Pa·s to 102Pa · s.

      We have modified the main text to clarify the calculation of the diffusion coefficient.

      “The exponent and the diffusion coefficient Dα = (27±11)×10−4μm2 · s−α both match well with the experimental values [cite], upon setting the nucleoplasmic viscosity as 1Pa · s (see Supporting Information Section: Mapping the reduced time unit to real time for more details).”

      Reviewer 2:

      Comment 0: In this work, Lao et al. develop an open-source software (OpenNucleome) for GPU-accelerated molecular dynamics simulation of the human nucleus accounting for chromatin, nucleoli, nuclear speckles, etc. Using this, the authors investigate the steady-state organization and dynamics of many of the nuclear components.

      We thank the reviewer for summary of our work.

      Comment 1: The authors could introduce a table having every parameter and the optimal parameter value used. This would greatly help the reader.

      We would like to point out that model parameters are indeed provided in Table S1, S2, S3, S4, and Fig. S7. In these tables, we further provided details on how the parameters were determined.

      Given the large number of parameters for the ideal potential (1000), we opted to plot it rather than listing out all the numbers. We added three new figures to plot the interaction parameters between chromosomes, between chromosomes and speckles, and between chromosomes and the nuclear lamina. Numerical values can be found online in the GitHub repository (parameters).

      Comment 2: How many total beads are simulated? Do all beads have the same size?

      The total number of the coarse-grained beads is 70542, including 60642 chromatin beads, 300 nucleolus beads, 1600 speckle beads, and 8000 nuclear lamina beads. The radius of the chromatin, nucleolus, and speckle beads is 0.25, while that of the lamina bead is 0.5. More information of the size and number of the beads are discussed in the Section: Components of the whole nucleus model.

      Comment 3: In Equation S17, what is the 3rd and 4th powers mean? What necessitates it?

      The potential defined in Equation S17 follows the definition of class2 bond in the LAMMPS package (LAMMPS docs). Compared to a typical harmonic potential, the presence of higher order terms produces sharper increase in the energy at large distances (Author response image 1). This essentially reduces the flucatuation of bond length in simulations.

      Author response image 1.

      Comparison between the Class2 potential (defined in Eq. S17) and the Harmonic potential (K(r − r0)2, with K = 20 and r0 = 0.5).

      Comment 4: What do the X-axis and Y-axis numbers in Figure 5A and 5B mean? What are their units?

      We apologize for the lack of clarify in our original figure. In Fig. 5A, the X and Y axis depicts the simulated and experimental radius of gyration (Rg) for individual chromosomes, as indicated in the title of the figure. Similarly, in Fig. 5B, the X and Y axis depicts the simulated and experimental radial position of individual chromosomes.

      We have converted the chromosome Rg values into reduced units and labeled the corresponding axes in the updated figure (Fig. 5). The normalized radial position is unitless and its detailed definition is included in the supporting information Section: Computing simulated normalized chromosome radial positions. We updated the figure caption to provide an explicit reference to the SI text.

      Reviewer 3:

      Comment 0: In this work, the authors present the development of OpenNucleome, a software for simulating the structure and dynamics of the human nucleus. It provides a detailed model of nuclear components such as chromosomes and nuclear bodies, and uses GPU acceleration for better performance based on the OpenMM package. The work also shows the model’s accuracy in comparisons with experimental data and highlights the utility in the understanding of nuclear organization. While I consider this work a good tool for the genome architecture scientific community, I have some comments and questions that could further clarify the usage of this tool and help potential users. I also have a few questions that would help to clarify the technique and results and some suggestions for references.

      We appreciate the reviewer’s strong assessment of the paper’s significance, novelty, and broad interest, and we thank them for the detailed suggestions and comments.

      Comment 1: Could the authors elaborate on what they consider to be ’well-established and easily adoptable modeling tools’?

      By well established, we meant that models that have been extensively validated and verified, and are highly regarded by the community.

      By easily adoptable, we meant that tools that are well documented and can be relatively easily learned by new groups without help from the developers.

      We have revised the text to clarify our meaning.

      “Despite the progress made in computational modeling, the absence of well-documented software with easy-to-follow tutorials pose a challenge.”

      Comment 2: Recognizing the value of a diverse range of tools in the community, the Open-MiChroM tool is also an open-source platform built on top of OpenMM. The documentation shows various modeling approaches and many tutorials that contain different approaches besides the MiChroM energy function. How does OpenNucleome compare in terms of facilitating crossvalidation and user accessibility? The two tools seem to be complementary, which is a gain to the field. I recommend adding one or two sentences in the matter. Also, while navigating the OpenNucleome GitHub, I have not found the tutorials mentioned in the text. I also consider a barrier in the process of generating necessary input files. I would suggest expanding the tutorials and documentation to help potential users.

      We thank the reviewer for the excellent comments. We agree that while many of the tutorials were included in the original package, they were not as clearly documented. We have revised them extensively to to now present:

      • A tutorial for optimizing chromosome chromosome interactions.

      • A tutorial for optimizing chromosome nuclear landmark interactions.

      • A tutorial for building initial configurations.

      • A tutorial for relaxing the initial configurations.

      • A tutorial for selecting the initial configurations.

      • A tutorial for setting up performing Langevin dynamics simulations.

      • A tutorial for setting up performing Brownian dynamics simulations.

      • A tutorial for setting up performing simulations with deformed nucleus.

      • A tutorial for analyzing simulation trajectories.

      • A tutorial for introducing new features to the model.

      These tutorials and our well-documented and open source code (https://zhanggroup-mitchemistry.github.io/OpenNucleome) should significantly promote user accessibility. Our inclusion of python scripts for analyzing simulation trajectorials shall allow users to compute various quantities for evaluating and comparing model quality.

      We added a new paragraph in the Section: Conclusions and Dicussion of the main text to compare OpenNucleosome with existing software for genome modeling.

      “Our software enhances the capabilities of existing genome simulation tools [cite]. Specifically, OpenNucleome aligns with the design principles of Open-MiChroM [cite], prioritizing open-source accessibility while expanding simulation capabilities to the entire nucleus. Similar to software from the Alber lab [cite], OpenNucleome offers highresolution genome organization that faithfully reproduces a diverse range of experimental data. Furthermore, beyond static structures, OpenNucleome facilitates dynamic simulations with explicit representations of various nuclear condensates, akin to the model developed by [citet].”

      Comment 3: Lastly, I would appreciate it if the authors could expand their definition of ’standardized practices’.

      We apologize for any confusion caused. By ”standardized practices,” we refer to the fact that different groups often employ unique procedures for structural modeling. These procedures differ in the representation of chromosomes, the nucleus environment, and the algorithms for parameter optimization. This absence of a consensus on the optimal practices for genome modeling can be daunting for newcomers to the field.

      We have revised the text to the following to avoid confusion:

      “Many research groups develop their own independent software, which complicates crossvalidation and hinders the establishment of best practices for genome modeling [3–5].”

      Comment 4: On page 7, the authors refer to the SI Section: Components of the whole nucleus model for further details. Could the authors provide more information on the simulated density of nuclear bodies? Is there experimental data available that details the ratio of chromatin to other nuclear components, which was used as a reference in the simulation?

      We thank the reviewer for the comment. Imaging studies have provided quantitative measures about the size and number of various nuclear bodies. For example, there are 2 ∼ 5 nucleoli per nucleus, with the typical size RNo ≈ 0.5μm [6–10]. In the review by Spector and Lamond [11], the authors showed that there are 20 ∼ 50 speckles, with the typical size RSp ≈ 0.3μm. We used these numbers to guide our simulation of nuclear bodies. These information was mentioned in the Section: Chromosomes as beads on the string polymers of the supporting information.

      The chromatin density is fixed by the average size of chromatin bead and the nucleus size. We chose the size of chromatin based on imaging studies as detailed in the Subsection: Mapping chromatin bead size to real unit of the supporting information. Upon fixing the bead size, the chromatin volume is determined.

      Comment 5: In the statement, ’the ideal potential is only applied for beads from the same chromosome to approximate the effect of loop extrusion by Cohesin molecules for chromosome compaction and territory formation,’ it would be helpful if the authors could clarify the scope of this potential. Specifically, the code indicates that the variable ’dend ideal’ is set at 1000, suggesting an interaction along a 100Mb polymer chain at a resolution of 100Kb per bead. Could the authors elaborate on their motivation for the Cohesin complex’s activity having a significant effect over such long distances within the polymer chain?

      We thank the reviewer for the insight comment. They are correct that the ideal potential was introduced to capture chromosome folding beyond the interactions between compartments, including loop extrusion. Practically, we parameterized the ideal potential such that the simulated average contact probabilities as a function of sequence separation match the experimental values. The reviewer is correct that beyond a specific value of sequence separation, one would expect the impact of loop extrusion on chromosome folding should be negligible, due to Cohesin dissociation. Correspondingly, the interaction potential should be zero at large sequence separations.

      However, it is important to note that the precise separation scale cannot be known a priori. We chose 100Mb as a conservative estimation. However, as we can see from Fig. S7, our parameterization scheme indeed produced interaction parameters are mainly zero at large sequence separations. Interesting, the scale at which the potential approaches 0 (∼ 500KB), indeed agree with the estimated length traveled by Cohesin molecules before dissociation [12].

      Comment 6: On pages 8 and 9, the authors discuss the optimization process. However, in reviewing the code and documentation available on the GitHub page, I could not find specific sections related to the optimization procedure described in the paper. In this context, I have a few questions: Could the authors provide more details or direct me to the parts of the documentation and the text/SI that address the optimization procedure used in their study? Additional clarification on the cost/objective function employed during the optimization process would be highly beneficial, as this was not readily apparent in the text.

      We thank the reviewer for the comment. We revised the SI to include the definition of the cost function for the Adam optimizer.

      “During the optimization process, our aim was to minimize the disparity between experimental findings and simulated data. To achieve this, we defined the cost function as follows:

      where the index i iterates over all the constraints defined in Eq. S28.”

      The detailed optimization procedure was included in the SI as quoted below

      “The details of the algorithm for parameter optimization are as follows

      (1) Starting with a set of values for and we performed 50 independent 3-million-step long MD simulations to obtain an ensemble of nuclear configurations. The 500K steps of each trajectory are discarded

      as equilibration. We collected the configurations at every 2000 simulation steps from the rest of the simulation trajectories to compute the ensemble averages defined on the left-hand side of Eq. S13.

      (2) Check the convergence of the optimization by calculating the percentage of error

      defined as . The summation over i includes all the average contact probabilities defined in Eq. S28.

      (3) If the error is less than a tolerance value etol, the optimization has converged, and we stop the simulations. Otherwise, we update the parameters, α, using the Adam optimizer [13]. With the new parameter values, we return to step one and restart the iteration.”

      Previously, the optimization code was included as part of the analysis folder. To avoid confusion and improve readability, a separate folder named optimization has been created. This folder provides the Adam optimization of chromosome-chromosome interactions (chr-chr optimization) and chromosome-nuclear landmarks interactions (chr-NL optimization).

      Comment 7: What was the motivation for choosing the Adam algorithm for optimization? Adam is designed for training on stochastic objective functions. Could the authors elucidate on the ’stochastic’ aspect of their function to be optimized? Why the Adam algorithm was considered the most appropriate choice for this application?

      We thank the reviewer for the comment. As defined in Eq. R1, the cost function measures the difference between the simulated constraints with corresponding experimental values. The estimation of simulation values, by averaging over an ensemble of chromosome configurations, is inherently noisy and stochastic. Exact ensemble averages can only be achieved with unlimited samples obtained from infinite long simulations.

      In the past, we have used the Newton’s method for parameterization, and the detailed algorithm can be found in the SI of Ref. 14. However, we found that Adam is more efficient as it is a first-order approximation method. The Newton’s method, on the other hand, is second-order approximation method and requires estimation of the Hessian matrix. When the number of constraints is large, as is in our case, the computational cost for estimating the Hessian matrix can be significant. Another advantage of the Adam algorithm lies in its adjustment of the learning rate along the optimization to further speedup convergence.

      Comment 8: The authors mention that examples of setting up simulations, parameter optimization, and introducing new features are provided in the GitHub repository. However, I was unable to locate these examples. Could the authors guide me to these specific resources or consider adding them if they are not currently available?

      We thank the reviewer for the comment. We have improved the GitHub repository and all the tutorials can be found using the links provided in Response to Comment 2.

      Comment 9: Furthermore, the paper states that ’a configuration file that provides the position of individual particles in the PDB file format is needed to initialize the simulations.’ It would be beneficial for new users if the authors could elaborate on how this file is generated. And all other input files in general. Detailing the procedures for a new user to run their system using OpenNucleome would be helpful.

      We thank the reviewer for the comment. The procedure for generating initial configurations was explained in the SI Section: Initial configurations for simulations and quoted below.

      “We first created a total of 1000 configurations for the genome by sequentially generating the conformation of each one of the 46 chromosomes as follows. For a given chromosome, we start by placing the first bead at the center (origin) of the nucleus. The positions of the following beads, i, were determined from the (i − 1)-th bead as . v is a normalized random vector, and 0.5 was selected as the bond length between neighboring beads. To produce globular chromosome conformations, we rejected vectors, v, that led to bead positions with distance from the center larger than 4σ. Upon creating the conformation of a chromosome i, we shift its center of mass to a value ri com determined as follows. We first compute a mean radial distance, with the following equation

      where Di is the average value of Lamin B DamID profile for chromosome i. Dhi and Dlo represent the highest and lowest average DamID values of all chromosomes, and 6σ and 2σ represent the upper and lower bound in radial positions for chromosomes. As shown in Fig. S6, the average Lamin B DamID profiles are highly correlated with normalized chromosome radial positions as reported by DNA MERFISH [cite], supporting their use as a proxy for estimating normalized chromosome radial positions. We then select as a uniformly distributed random variable within the range . Without loss of generality, we randomly chose the directions for shifting all 46 chromosomes.

      We further relaxed the 1000 configurations to build more realistic genome structures. Following an energy minimization process, one-million-step molecular dynamics (MD) simulations were performed starting from each configuration. Simulations were performed with the following energy function

      where UGenome is defined as in Eq. S7. UG-La is the excluded volume potential between chromosomes and lamina, i.e, only the second term in Eq. S24. Parameters in UGenome were from a preliminary optimization. The end configurations of the MD simulations were collected to build the final configuration ensemble (FCE).”

      The tutorial for preparing initial configurations can be found at this link.

      Comment 10: In the section discussing the correlation between simulated and experimental contact maps, as referenced in Figure 4A and Figure S2, the authors mention a high degree of correlation. Could the authors specify the exact value of this correlation and explain the method used for its computation? Considering that comparing two Hi-C matrices involves a large number of data points, it would be helpful to know if all data points were included in this analysis.

      We have updated Fig 4A and S2 to include Pearson correlation coefficients next to the contact maps. The reviewer is correct in that all the non-redundant data points of the contact maps are included in computing the correlation coefficients.

      For improved clarity, we added a new section in the supporting information to detail the calculations. The section is titled Computing Pearson correlation coefficients between experimental and simulated contact maps, and the relevant text is quoted below.

      “We computed the Pearson correlation coefficients (PCC) between experimental and simulated contact maps in Fig. 4A and Fig. S2 as

      xi and yi represent the experimental and simulated contact probabilities, and n is the total number of data points. Only non-redundant data points, i.e., half of the pairwise contacts, are used in the PCC calculation.”

      Comment 11: In addition, the author said: ”Moreover, the simulated and experimental average contact probabilities between pairs of chromosomes agree well, and the Pearson correlation coefficient between the two datasets reaches 0.89.” How does this correlation behave when not accounting for polymer compaction or scaling? An analysis presenting the correlation as a function of genomic distance would be interesting.

      Author response image 2.

      Pearson correlation coefficient between experimental and simulated contact probabilities as a function of the sequence separation within specific chromosomes. For each chromosome, we first gathered a set of experimental contacts alongside a matching set of simulated ones for genomic pairs within a particular separation range. The Pearson correlation coefficient at the corresponding sequence separation was then determined using Equation R4. We limited the calculations to half of the chromosome length to ensure the availability of sufficient data.

      We thank the reviewer for the comment. The analysis presenting the correlation as a function of genomic distance (sequence separation) for each chromosome is shown in Figure S12 and also included in the SI. While the correlation coefficients decreases at larger separation, the values around 0.5 is quite reasonable and comparable to results obtained using Open-Michrom.

      We also computed the correlation of whole genome contact maps after excluding intra-chromosomal contacts. The PCC decreased from 0.89 to 0.4. Again, the correlation coefficient is quite reasonable considering that these contacts are purely predicted by the compartmental interactions and were not directly optimized.

      Comment 12: I recommend using the web-server that is familiar to the authors to benchmark the OpenNucleome tool/model: ”3DGenBench: A Web-Server to Benchmark Computational Models for 3D Genomics.” Nucleic Acids Research, vol. 50, no. W1, July 2022, pp. W4-12.

      We appreciate the reviewer’s suggestion. Unfortunately, the website is no longer active during the time of the revision. However, as detailed in Response to comment 11, we used the one of the popular metrics to exclude polymer compact effect and evaluate the agreement between simulation and experiments.

      Comment 13: Regarding the comparison of simulation results with microscopy data from reference 34. Given their different resolutions and data point/space groupings, how do the authors align these datasets? Could the authors describe how they performed this comparison? How were the radial positions calculated in both the simulations and experiments? Since the data from reference 34 indicates a non-globular shape of the nucleus; how did this factor into the calculation of radial distributions?

      We thank the reviewer for the comment and apologize for the confusion. First, the average properties we examined, including radial positions and interchromosomal contacts, were averaged over all genomic loci. Therefore, they are independent of data resolution.

      Secondly, instead of calculating the absolute radial positions, which are subject to variations in nucleus shape and size, we defined the normalized radial positions. They measure the ratio between the distance from the nucleus center to the chromosome center and the distance from the nucleus center to the lamina. This definition was frequently used in prior imaging studies to measure chromosome radial positions.

      The calculation of the simulated normalized radial positions and the experimental normalized radial positions are discussed in the Section: Computing simulated normalized chromosome radial positions

      “For a given chromosome i, we first determined its center of mass position denoted as Ci. Starting from the center of the nucleus, O, we extend the the vector vOC to identify the intersection point with the nuclear lamina as Pi. The normalized chromosome radial position i is then defined as , where ||·|| represents the L2 norm.

      and Section: Computing experimental normalized chromosome radial positions.

      “We followed the same procedure outlined in Section: Computing simulated normalized chromosome radial positions to compute the experimental values. To determine the center of the nucleus using DNA MERFISH data, we used the algorithm, minimum volume enclosing ellipsoid (MVEE)[15], to fit an ellipsoid for each genome structure. The optimal ellipsoid defined as is obtained by optimizing subjecting to the constraint that . xi correspond to the list of chromatin positions determined experimentally.”

      Comment 14: In the sentence: ”It is evident that telomeres exhibit anomalous subdiffusive motion.” I recommend mentioning the work ”Di Pierro, Michele, et al., ”Anomalous Diffusion, Spatial Coherence, and Viscoelasticity from the Energy Landscape of Human Chromosomes.” Proceedings of the National Academy of Sciences, vol. 115, no. 30, July 2018, pp. 7753-58.”.

      We have revised the sentence to include the citation as follows.

      “In line with previous research [cite], telomeres display anomalous subdiffusive motion. When fitted with the equation , these trajectories yield a spectrum of α values, with a peak around 0.59.”

      Comment 15: Regarding the observation that ’chromosomes appear arrested and no significant changes in their radial positions are observed over timescales comparable to the cell cycle,’ could the authors provide more details on the calculations or analyses that led to this conclusion? Specifically, information on the equilibration/relaxation time of chromosome territories relative to rearrangements within a cell cycle would be interesting.

      Our conclusion here was mostly based on the time trace of normalized radial positions shown in Figure 6A of the main text. Over the timescale of an entire cell cycle (24 hours), the relatively little to no changes in the radial positions supports glassy dynamics of chromosomes. We further determined the mean squared displacement (MSD) for chromosome center of masses. As shown in the left panel of Fig. S12, the MSDs are much smaller than the average size of chromosomes (see Rg values in Fig. 5A), supporting arrested dynamics.

      We further computed the auto-correlation function of the normalized chromosome radial position as

      where t indexes over the trajectory frames and ¯r is the mean position. As shown in Fig. S12, the positions are not completely decorrelated over 10 hours, again supporting slow dynamics. It would be interesting to examine the relaxation timescale more closely in future studies.

      Comment 16: The authors also comment on the SI ”Section: Initial configurations for simulations provides more details on preparing the 1000 initial configurations.” and related to reference 34 mentioning that ”the average Lamin B DamID profiles are highly correlated with chromosome radial positions as reported by DNA MERFISH”. How do the authors account for situations where homologous chromosomes are neighbors or have an interacting interface? Ref. 34 indicates that distinguishing between these scenarios can be challenging, potentially leading to ’invalid distributions’ that are filtered out. Clarification on how such cases were handled in the simulations would be helpful.

      We would like to first clarify that when comparing with experimental data, we averaged over the homologous chromosomes to obtain haploid data. We added the following text in the manuscript to emphasize this point

      “Given that the majority of experimental data were analyzed for the haploid genome, we adopted a similar approach by averaging over paternal and maternal chromosomes to facilitate direct comparison. More details on data analysis can be found in the Supporting Information Section: Details of simulation data analysis.”

      Furthermore, we used the processed DNA MERFISH data from the Zhuang lab, which unambiguously assigns a chromosome ID to each data point. Therefore, the issue mentioned by the reviewer is not present in the procssed data. In our simulations, since we keep track of the explicit connection between genomic segments, the trace of individual chromosomes can be determined for any configuration. Therefore, there is no ambiguity in terms of simulation data.

      Comment 17: When discussing the interaction with nuclear lamina and nuclear envelop deformation, I suggest mentioning the following studies: The already cited ref 52 and ”Contessoto, Vin´ıcius G., et al. ”Interphase Chromosomes of the Aedes Aegypti Mosquito Are Liquid Crystalline and Can Sense Mechanical Cues.” Nature Communications, vol. 14, no. 1, Jan. 2023, p. 326.”

      We updated the text to include the suggested reference.

      “Numerous studies have highlighted the remarkable influence of nuclear shape on the positioning of chromosomes and the regulation of gene expression [16, 17].”

      Comment 18: The authors state that ’Tutorials in the format of Python Scripts with extensive documentation are provided to facilitate the adoption of the model by the community.’ However, as I mentioned, the documentation appears to be limited, and the available tutorials could benefit from further expansion. I suggest that the authors consider enhancing these resources to better assist users in adopting and understanding the model.

      As detailed in the Response to Comment 2, we have updated the GitHub repository to better document the included Jupyter notebooks and tutorials.

      Comment 19: In the Methods section, the authors discuss using Langevin dynamics for certain simulations and Brownian dynamics for others. Could the authors provide more detailed reasoning behind the choice of these different dynamics for different aspects of the simulation? Furthermore, it would be insightful to know how the results might vary if only one of these dynamics was utilized throughout the study. Such clarification would help in understanding the implications of these methodological choices on the outcomes of the simulations.

      We thank the reviewer for the comment. As detailed in the supporting information Section: Mapping the Reduced Time Unit to Real Time, the Brownian dynamics simulations provide a rigorous mapping to the biological timescale. By choosing a specific value for the nucleoplasmic viscosity, we determined the time unit in simulations as τ = 0.65s. With this time conversion, the simulated diffusion coefficients of telomeres match well with experimental values. Therefore, Brownian dynamics simulations are recommended for computing time dependent quantities and the large damping coefficients mimics the complex nuclear environment well.

      On the other hand, the large damping coefficient slows down the configuration relaxation of the system significantly. For computing equilibrium statistical properties, it is useful to use a small coefficient and the Langevin integrator with large time steps to facilitate conformational relaxation.

      References

      [1] Rao, S. S.; Huntley, M. H.; Durand, N. C.; Stamenova, E. K.; Bochkov, I. D.; Robinson, J. T.; Sanborn, A. L.; Machol, I.; Omer, A. D.; Lander, E. S.; others A 3D map of the human genome at kilobase resolution reveals principles of chromatin looping. Cell 2014, 159, 1665–1680.

      [2] Qi, Y.; Zhang, B. Predicting three-dimensional genome organization with chromatin states. PLoS computational biology 2019, 15, e1007024.

      [3] Yildirim, A.; Hua, N.; Boninsegna, L.; Zhan, Y.; Polles, G.; Gong, K.; Hao, S.; Li, W.; Zhou, X. J.; Alber, F. Evaluating the role of the nuclear microenvironment in gene function by population-based modeling. Nature Structural & Molecular Biology 2023, 1–14.

      [4] Junior, A. B. O.; Contessoto, V. G.; Mello, M. F.; Onuchic, J. N. A scalable computational approach for simulating complexes of multiple chromosomes. Journal of molecular biology 2021, 433, 166700.

      [5] Fujishiro, S.; Sasai, M. Generation of dynamic three-dimensional genome structure through phase separation of chromatin. Proceedings of the National Academy of Sciences 2022, 119, e2109838119.

      [6] Caragine, C. M.; Haley, S. C.; Zidovska, A. Nucleolar dynamics and interactions with nucleoplasm in living cells. Elife 2019, 8, e47533.

      [7] Brangwynne, C. P.; Mitchison, T. J.; Hyman, A. A. Active liquid-like behavior of nucleoli determines their size and shape in Xenopus laevis oocytes. Proceedings of the National Academy of Sciences 2011, 108, 4334–4339.

      [8] Farley, K. I.; Surovtseva, Y.; Merkel, J.; Baserga, S. J. Determinants of mammalian nucleolar architecture. Chromosoma 2015, 124, 323–331.

      [9] Qi, Y.; Zhang, B. Chromatin network retards nucleoli coalescence. Nature Communications 2021, 12, 6824.

      [10] Caragine, C. M.; Haley, S. C.; Zidovska, A. Surface fluctuations and coalescence of nucleolar droplets in the human cell nucleus. Physical review letters 2018, 121, 148101.

      [11] Spector, D. L.; Lamond, A. I. Nuclear speckles. Cold Spring Harbor perspectives in biology 2011, 3, a000646.

      [12] Banigan, E. J.; Mirny, L. A. Loop extrusion: theory meets single-molecule experiments. Current opinion in cell biology 2020, 64, 124–138.

      [13] Kingma, D. P.; Ba, J. Adam: A method for stochastic optimization. arXiv preprint arXiv:1412.6980 2014,

      [14] Zhang, B.; Wolynes, P. G. Topology, structures, and energy landscapes of human chromosomes. Proceedings of the National Academy of Sciences 2015, 112, 6062–6067.

      [15] Moshtagh, N.; others Minimum volume enclosing ellipsoid. Convex optimization 2005, 111, 1–9.

      [16] Brahmachari, S.; Contessoto, V. G.; Di Pierro, M.; Onuchic, J. N. Shaping the genome via lengthwise compaction, phase separation, and lamina adhesion. Nucleic Acids Res. 2022, 50, 1–14.

      [17] Contessoto, V. G.; Dudchenko, O.; Aiden, E. L.; Wolynes, P. G.; Onuchic, J. N.; Di Pierro, M. Interphase chromosomes of the Aedes aegypti mosquito are liquid crystalline and can sense mechanical cues. Nature Communications 2023, 14, 326.

    1. Author response:

      The following is the authors’ response to the original reviews

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      Mackie and colleagues compare chemosensory preferences between C. elegans and P. pacificus, and the cellular and molecular mechanisms underlying them. The nematodes have overlapping and distinct preferences for different salts. Although P. pacificus lacks the lsy-6 miRNA important for establishing asymmetry of the left/right ASE salt-sensing neurons in C. elegans, the authors find that P. pacificus ASE homologs achieve molecular (receptor expression) and functional (calcium response) asymmetry by alternative means. This work contributes an important comparison of how these two nematodes sense salts and highlights that evolution can find different ways to establish asymmetry in small nervous systems to optimize the processing of chemosensory cues in the environment.

      Strengths:

      The authors use clear and established methods to record the response of neurons to chemosensory cues. They were able to show clearly that ASEL/R are functionally asymmetric in P. pacificus, and combined with genetic perturbation establish a role for che-1-dependent gcy-22.3 in in the asymmetric response to NH<sub>4</sub>Cl.

      Weaknesses:

      The mechanism of lsy-6-independent establishment of ASEL/R asymmetry in P. pacificus remains uncharacterized.

      We thank the reviewer for recognizing the novel contributions of our work in revealing the existence of alternative pathways for establishing neuronal lateral asymmetry without the lsy-6 miRNA in a divergent nematode species. We are certainly encouraged now to search for genetic factors that alter the exclusive asymmetric expression of gcy-22.3.

      Reviewer #2 (Public review):

      Summary:

      In this manuscript, Mackie et al. investigate gustatory behavior and the neural basis of gustation in the predatory nematode Pristionchus pacificus. First, they show that the behavioral preferences of P. pacificus for gustatory cues differ from those reported for C. elegans. Next, they investigate the molecular mechanisms of salt sensing in P. pacificus. They show that although the C. elegans transcription factor gene che-1 is expressed specifically in the ASE neurons, the P. pacificus che-1 gene is expressed in the Ppa-ASE and Ppa-AFD neurons. Moreover, che-1 plays a less critical role in salt chemotaxis in P. pacificus than C. elegans. Chemogenetic silencing of Ppa-ASE and Ppa-AFD neurons results in more severe chemotaxis defects. The authors then use calcium imaging to show that both Ppa-ASE and Ppa-AFD neurons respond to salt stimuli. Calcium imaging experiments also reveal that the left and right Ppa-ASE neurons respond differently to salts, despite the fact that P. pacificus lacks lsy-6, a microRNA that is important for ASE left/right asymmetry in C. elegans. Finally, the authors show that the receptor guanylate cyclase gene Ppa-gcy-23.3 is expressed in the right Ppa-ASE neuron (Ppa-ASER) but not the left Ppa-ASE neuron (Ppa-ASEL) and is required for some of the gustatory responses of Ppa-ASER, further confirming that the Ppa-ASE neurons are asymmetric and suggesting that Ppa-GCY-23.3 is a gustatory receptor. Overall, this work provides insight into the evolution of gustation across nematode species. It illustrates how sensory neuron response properties and molecular mechanisms of cell fate determination can evolve to mediate species-specific behaviors. However, the paper would be greatly strengthened by a direct comparison of calcium responses to gustatory cues in C. elegans and P. pacificus, since the comparison currently relies entirely on published data for C. elegans, where the imaging parameters likely differ. In addition, the conclusions regarding Ppa-AFD neuron function would benefit from additional confirmation of AFD neuron identity. Finally, how prior salt exposure influences gustatory behavior and neural activity in P. pacificus is not discussed.

      Strengths:

      (1) This study provides exciting new insights into how gustatory behaviors and mechanisms differ in nematode species with different lifestyles and ecological niches. The results from salt chemotaxis experiments suggest that P. pacificus shows distinct gustatory preferences from C. elegans. Calcium imaging from Ppa-ASE neurons suggests that the response properties of the ASE neurons differ between the two species. In addition, an analysis of the expression and function of the transcription factor Ppa-che-1 reveals that mechanisms of ASE cell fate determination differ in C. elegans and P. pacificus, although the ASE neurons play a critical role in salt sensing in both species. Thus, the authors identify several differences in gustatory system development and function across nematode species.

      (2) This is the first calcium imaging study of P. pacificus, and it offers some of the first insights into the evolution of gustatory neuron function across nematode species.

      (3) This study addresses the mechanisms that lead to left/right asymmetry in nematodes. It reveals that the ASER and ASEL neurons differ in their response properties, but this asymmetry is achieved by molecular mechanisms that are at least partly distinct from those that operate in C. elegans. Notably, ASEL/R asymmetry in P. pacificus is achieved despite the lack of a P. pacificus lsy-6 homolog.

      Weaknesses:

      (1) The authors observe only weak attraction of C. elegans to NaCl. These results raise the question of whether the weak attraction observed is the result of the prior salt environment experienced by the worms. More generally, this study does not address how prior exposure to gustatory cues shapes gustatory responses in P. pacificus. Is salt sensing in P. pacificus subject to the same type of experience-dependent modulation as salt sensing in C. elegans?

      We tested if starving animals in the presence of a certain salt will result in those animals avoiding it. However, under our experimental conditions we were unable to detect experiencedependent modulation either in P. pacificus or in C. elegans.

      Author response image 1.

      (2) A key finding of this paper is that the Ppa-CHE-1 transcription factor is expressed in the PpaAFD neurons as well as the Ppa-ASE neurons, despite the fact that Ce-CHE-1 is expressed specifically in Ce-ASE. However, additional verification of Ppa-AFD neuron identity is required. Based on the image shown in the manuscript, it is difficult to unequivocally identify the second pair of CHE-1-positive head neurons as the Ppa-AFD neurons. Ppa-AFD neuron identity could be verified by confocal imaging of the CHE-1-positive neurons, co-expression of Ppa-che1p::GFP with a likely AFD reporter, thermotaxis assays with Ppa-che-1 mutants, and/or calcium imaging from the putative Ppa-AFD neurons.

      In the revised manuscript, we provide additional and, we believe, conclusive evidence for our correct identification of Ppa-AFD neuron being another CHE-1 expressing neuron. Specifically, we have constructed and characterized 2 independent reporter strains of Ppa-ttx-1, a putative homolog of the AFD terminal selector in C. elegans. There are two pairs of ttx-1p::rfp expressing amphid neurons. The anterior neuronal pair have finger-like endings that are unique for AFD neurons compared to the dendritic endings of the 11 other amphid neuron pairs (no neuron type has a wing morphology in P. pacificus). Their cell bodies are detected in the newly tagged TTX-1::ALFA strain that co-localize with the anterior pair of che-1::gfp-expressing amphid neurons (n=15, J2-Adult).

      We note that the identity of the posterior pair of amphid neurons differs between the ttx-1p::rfp promoter fusion reporter and TTX-1::ALFA strains– the ttx-1p::rfp posterior amphid pair overlaps with the gcy-22.3p::gfp reporter (ASER) but the TTX-1::ALFA posterior amphid pair do not overlap with the posterior pair of che-1::gfp-expressing amphid neurons (n=15). Given that there are 4 splice forms detected by RNAseq (Transcriptome Assembly Trinity, 2016; www.pristionchus.org), this discrepancy between the Ppa-ttx-1 promoter fusion reporter and the endogenous expression of the Ppa-TTX-1 C-terminally tagged to the only splice form containing Exon 18 (ppa_stranded_DN30925_c0_g1_i5, the most 3’ exon) may be due to differential expression of different splice variants in AFD, ASE, and another unidentified amphid neuron types.  

      Although we also made reporter strains of two putative AFD markers, Ppa-gcy-8.1 (PPA24212)p::gfp; csuEx101 and Ppa-gcy-8.2 (PPA41407)p::gfp; csuEx100, neither reporter showed neuronal expression.

      (3) Loss of Ppa-che-1 causes a less severe phenotype than loss of Ce-che-1. However, the loss of Ppa-che-1::RFP expression in ASE but not AFD raises the question of whether there might be additional start sites in the Ppa-che-1 gene downstream of the mutation sites. It would be helpful to know whether there are multiple isoforms of Ppa-che-1, and if so, whether the exon with the introduced frameshift is present in all isoforms and results in complete loss of Ppa-CHE-1 protein.

      According to www.pristionchus.org (Transcriptome Assembly Trinity), there is only a single detectable splice form by RNAseq. Once we have a Ppa-AFD-specific marker, we would be able to determine how much of the AFD terminal effector identify (e.g. expression of gcy-8 paralogs) is effected by the loss of Ppa-che-1 function.

      (4) The authors show that silencing Ppa-ASE has a dramatic effect on salt chemotaxis behavior. However, these data lack control with histamine-treated wild-type animals, with the result that the phenotype of Ppa-ASE-silenced animals could result from exposure to histamine dihydrochloride. This is an especially important control in the context of salt sensing, where histamine dihydrochloride could alter behavioral responses to other salts.

      We have inadvertently left out this important control. Because the HisCl1 transgene is on a randomly segregating transgene array, we have scored worms with and without the transgene expressing the co-injection marker (Ppa-egl-20p::rfp, a marker in the tail) to show that the presence of the transgene is necessary for the histamine-dependent knockdown of NH<sub>4</sub>Br attraction. This control is added as Figure S2.

      (5) The calcium imaging data in the paper suggest that the Ppa-ASE and Ce-ASE neurons respond differently to salt solutions. However, to make this point, a direct comparison of calcium responses in C. elegans and P. pacificus using the same calcium indicator is required. By relying on previously published C. elegans data, it is difficult to know how differences in growth conditions or imaging conditions affect ASE responses. In addition, the paper would be strengthened by additional quantitative analysis of the calcium imaging data. For example, the paper states that 25 mM NH<sub>4</sub>Cl evokes a greater response in ASEL than 250 mM NH<sub>4</sub>Cl, but a quantitative comparison of the maximum responses to the two stimuli is not shown.

      We understand that side-by-side comparisons with C. elegans using the same calcium indicator would lend more credence to the differences we observed in P. pacificus versus published findings in C. elegans from the past decades, but are not currently in a position to conduct these experiments in parallel.

      (6) It would be helpful to examine, or at least discuss, the other P. pacificus paralogs of Ce-gcy22. Are they expressed in Ppa-ASER? How similar are the different paralogs? Additional discussion of the Ppa-gcy-22 gene expansion in P. pacificus would be especially helpful with respect to understanding the relatively minor phenotype of the Ppa-gcy-22.3 mutants.

      In P. pacificus, there are 5 gcy-22-like paralogs and 3 gcy-7-like paralogs, which together form a subclade that is clearly distinct from the 1-1 Cel-gcy-22, Cel-gcy-5, and Cel-gcy-7 orthologs in a phylogenetic tree containing all rGCs in P. pacificus, C. elegans, and C. briggssae (Hong et al, eLife, 2019). In Ortiz et al (2006 and 2009), Cel-gcy-22 stands out from other ASER-type gcy genes (gcy-1, gcy-4, gcy-5) in being located on a separate chromosome (Chr. V) as well as in having a wider range of defects in chemoattraction towards salt ions. Given that the 5 P. pacificus gcy-22-like paralogs are located on 3 separate chromosomes without clear synteny to their C. elegans counterparts, it is likely that the gcy-22 paralogs emerged from independent and repeated gene duplication events after the separation of these Caenorhabditis and Pristionchus lineages. Our reporter strains for two other P. pacificus gcy-22-like paralogs either did not exhibit expression in amphid neurons (Ppa-gcy-22.1p::GFP, ) or exhibited expression in multiple neuron types in addition to a putative ASE neuron (Ppa-gcy-22.4p::GFP). We have expanded the discussion on the other P. pacificus gcy-22 paralogs.

      (7) The calcium imaging data from Ppa-ASE is quite variable. It would be helpful to discuss this variability. It would also be helpful to clarify how the ASEL and ASER neurons are being conclusively identified during calcium imaging.

      For each animal, the orientation of the nose and vulva were recorded and used as a guide to determine the ventral and dorsal sides of the worm, and subsequently, the left and right sides of the worm. Accounting for the plane of focus of the neuron pairs as viewed through the microscope, it was then determined whether the imaged neuron was the worm’s left or right neuron of each pair. We added this explanation to the Methods.

      (8) More information about how the animals were treated prior to calcium imaging would be helpful. In particular, were they exposed to salt solutions prior to imaging? In addition, the animals are in an M9 buffer during imaging - does this affect calcium responses in Ppa-ASE and Ppa-AFD? More information about salt exposure, and how this affects neuron responses, would be very helpful.

      Prior to calcium imaging, animals were picked from their cultivation plates (using an eyelash pick to minimize bacteria transfer) and placed in loading solution (M9 buffer with 0.1% Tween20 and 1.5 mM tetramisole hydrochloride, as indicated in the Method) to immobilize the animals until they were visibly completely immobilized.

      (9) In Figure 6, the authors say that Ppa-gcy-22.3::GFP expression is absent in the Ppa-che1(ot5012) mutant. However, based on the figure, it looks like there is some expression remaining. Is there a residual expression of Ppa-gcy-22.3::GFP in ASE or possibly ectopic expression in AFD? Does Ppa-che-1 regulate rGC expression in AFD? It would be helpful to address the role of Ppa-che-1 in AFD neuron differentiation.

      In Figure 6C, the green signal is autofluorescence in the gut, and there is no GFP expression detected in any of the 55 che-1(-) animals we examined. We are currently developing AFDspecific rGC markers (gcy-8 homologs) to be able to examine the role of Ppa-CHE-1 in regulating AFD identity.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      (1) Abstract: 'how does sensory diversity prevail within this neuronal constraint?' - could be clearer as 'numerical constraint' or 'neuron number constraint'.

      We have clarified this passage as ‘…constraint in neuron number’.

      (2) 'Sensory neurons in the Pristionchus pacificus' - should get rid of the 'the'.

      We have removed the ‘the’.

      (3) Figure 2: We have had some good results with the ALFA tag using a similar approach (tagging endogenous loci using CRISPR). I'm not sure if it is a Pristionchus thing, or if it is a result of our different protocols, but our staining appears stronger with less background. We use an adaptation of the Finney-Ruvkin protocol, which includes MeOH in the primary fixation with PFA, and overcomes the cuticle barrier with some LN2 cracking, DTT, then H2O2. No collagenase. If you haven't tested it already it might be worth comparing the next time you have a need for immunostaining.

      We appreciate this suggestion. Our staining protocol uses paraformaldehyde fixation. We observed consistent and clear staining in only 4 neurons in CHE-1::ALFA animals but more background signals from TTX-1::ALFA in Figure 2I-J in that could benefit from improved immunostaining protocol.

      (4) Page 6: 'By crossing the che-1 reporter transgene into a che-1 mutant background (see below), we also found that che-1 autoregulates its own expression (Figure 2F), as it does in C. elegans' - it took me some effort to understand this. It might make it easier for future readers if this is explained more clearly.

      We understand this confusion and have changed the wording along with a supporting table with a more detailed account of che-1p::RFP expression in both ASE and AFD neurons in wildtype and che-1(-) backgrounds in the Results.

      (5) Line numbers would make it easier for reviewers to reference the text.

      We have added line numbers.

      (6) Page 7: is 250mM NH<sub>4</sub>Cl an ecologically relevant concentration? When does off-target/nonspecific activation of odorant receptors become an issue? Some discussion of this could help readers assess the relevance of the salt concentrations used.

      This is a great question but one that is difficult to reconcile between experimental conditions that often use 2.5M salt as point-source to establish salt gradients versus ecologically relevant concentrations that are very heterogenous in salinity. Efforts to show C. elegans can tolerate similar levels of salinity between 0.20-0.30 M without adverse effects have been recorded previously (Hu et al., Analytica Chimica Acta 2015; Mah et al. Expedition 2017).

      (7) It would be nice for readers to have a short orientation to the ecological relevance of the different salts - e.g. why Pristionchus has a particular taste for ammonium salts.

      Pristionchus species are entomophilic and most frequently found to be associated with beetles in a necromenic manner. Insect cadavers could thus represent sources of ammonium in the soil. Additionally, ammonium salts could represent a biological signature of other nematodes that the predatory morphs of P. pacificus could interpret as prey. We have added the possible ecological relevance of ammonium salts into the Discussion.

      (8) Page 11: 'multiple P. pacificus che-1p::GCaMP strains did not exhibit sufficient basal fluorescence to allow for image tracking and direct comparison'. 500ms exposure to get enough signal from RCaMP is slow, but based on the figures it still seems enough to capture things. If image tracking was the issue, then using GCaMP6s with SL2-RFP or similar in conjunction with a beam splitter enables tracking when the GCaMP signal is low. Might be an option for the future.

      These are very helpful suggestions and we hope to eventually develop an improved che1p::GCaMP strain for future studies.

      (9) Sometimes C. elegans genes are referred to as 'C. elegans [gene name]' and sometimes 'Cel [gene name]'. Should be consistent. Same with Pristionchus.

      We have now combed through and corrected the inconsistencies in nomenclature.

      (10) Pg 12 - '...supports the likelihood that AFD receives inputs, possibly neuropeptidergic, from other amphid neurons' - the neuropeptidergic part could do with some justification.

      Because the AFD neurons are not exposed directly to the environment through the amphid channel like the ASE and other amphid neurons, the calcium responses to salts detected in the AFD likely originate from sensory neurons connected to the AFD. However, because there is no synaptic connection from other amphid neurons to the AFD neurons in P. pacificus (unlike in C. elegans; Hong et al, eLife, 2019), it is likely that neuropeptides connect other sensory neurons to the AFDs. To avoid unnecessary confusion, we have removed “possibly neuropeptidergic.”

      (11) Pg16: the link to the Hallam lab codon adaptor has a space in the middle. Also, the paper should be cited along with the web address (Bryant and Hallam, 2021).

      We have now added the proper link, plus in-text citation. https://hallemlab.shinyapps.io/Wild_Worm_Codon_Adapter/ (Bryant and Hallem, 2021)

      Full citation:

      Astra S Bryant, Elissa A Hallem, The Wild Worm Codon Adapter: a web tool for automated codon adaptation of transgenes for expression in non-Caenorhabditis nematodes, G3 Genes|Genomes|Genetics, Volume 11, Issue 7, July 2021, jkab146, https://doi.org/10.1093/g3journal/jkab146

      Reviewer #2 (Recommendations for the authors):

      (1) In Figure 1, the legend states that the population tested was "J4/L4 larvae and young adult hermaphrodites," whereas in the main text, the population was described as "adult hermaphrodites." Please clarify which ages were tested.

      We have tested J4-Adult stage hermaphrodites and have made the appropriate corrections in the text.

      (2) The authors state that "in contrast to C. elegans, we find that P. pacificus is only moderately and weakly attracted to NaCl and LiCl, respectively." However, this statement does not reflect the data shown in Figure 1, where there is no significant difference between C. elegans and P. pacificus - both species show at most weak attraction to NaCl.

      Although there is no statistically significant difference in NaCl attraction between P. pacificus and C. elegans, NaCl attraction in P. pacificus is significantly lower than its attraction to all 3 ammonium salts when compared to C. elegans. We have rephrased this statement as relative differences in the Results and updated the Figure legend.

      (3) In Figure 1, the comparisons between C. elegans and P. pacificus should be made using a two-way ANOVA rather than multiple t-tests. Also, the sample sizes should be stated (so the reader does not need to count the circles) and the error bars should be defined.

      We performed the 2-way ANOVA to detect differences between C. elegans and P. pacificus for the same salt and between salts within each species. We also indicated the sample size on the figure and defined the error bars.

      Significance:

      For comparisons of different salt responses within the same species:

      - For C. elegans, NH<sub>4</sub>Br vs NH<sub>4</sub>Cl (**p<0.01), NH<sub>4</sub>Cl vs NH<sub>4</sub>I (* p<0.05), and NH<sub>4</sub>Cl vs NaCl (* p<0.05). All other comparisons are not significant.

      - For P. pacificus, all salts showed (****p<0.0001) when compared to NaAc and to NH<sub>4</sub>Ac, except for NH<sub>4</sub>Ac and NaAc compared to each other (ns). Also, NH<sub>4</sub>Cl showed (*p<0.05) and NH<sub>4</sub>I showed (***p<0.001) when compared with LiCl and NaCl. All other comparisons are not significant.

      For comparisons of salt responses between different species (N2 vs PS312):

      - NH<sub>4</sub>I and LiCl (*p<0.05); NaAc and NH<sub>4</sub>Ac (****p<0.0001)

      (4) It might be worth doing a power analysis on the data in Figure 3B. If the data are underpowered, this might explain why there is a difference in NH<sub>4</sub>Br response with one of the null mutants but not the other.

      For responses to NH<sub>4</sub>Cl, since both che-1 mutants (rather than just one) showed significant difference compared to wildtype, we conducted a power analysis based on the effect size of that difference (~1.2; large). Given this effect size, the sample size for future experiments should be 12 (ANOVA).

      For responses to NH<sub>4</sub>Br and given the effect size of the difference seen between wildtype (PS312) and ot5012 (~0.8; large), the sample size for future experiments should be 18 (ANOVA) for a power value of 0.8. Therefore, it is possible that the sample size of 12 for the current experiment was too small to detect a possible difference between the ot5013 alleles and wildtype.

      (5) It would be helpful to discuss why silencing Ppa-ASE might result in a switch from attractive to repulsive responses to some of the tested gustatory cues.

      For similar assays using Ppa-odr-3p::HisCl1, increasing histamine concentration led to decreasing C.I. for a given odorant (myristate, a P. pacificus-specific attractant). It is likely that the amount of histamine treatment for knockdown to zero (i.e. without a valence change) will differ depending on the attractant.

      (6) The statistical tests used in Figure 3 are not stated.

      Figure 3 used Two-way ANOVA with Dunnett’s post hoc test. We have now added the test in the figure legend.

      (7) It would be helpful to examine the responses of ASER to the full salt panel in the Ppa-gcy-22.3 vs. wild-type backgrounds.

      We understand that future experiments examining neuron responses to the full salt panel for wildtype and gcy-22.3 mutants would provide further information about the salts and specific ions associated with the GCY-22.3 receptor. However, we have tested a broader range of salts (although not yet the full panel) for behavioral assays in wildtype vs gcy-22.3 mutants, which we have included as part of an added Figure 8.

      (8) The controls shown in Figure S1 may not be adequate. Ideally, the same sample size would be used for the control, allowing differences between control worms and experimental worms to be quantified.

      Although we had not conducted an equal number of negative controls using green light without salt stimuli due to resource constraints (6 control vs ~10-19 test), we provided individual recordings with stimuli to show that conditions we interpreted as having responses rarely showed responses resembling the negative controls. Similarly, those we interpreted as having no responses to stimuli mostly resembled the no-stimuli controls (e.g. WT to 25 mM NH<sub>4</sub>Cl, gcy22.3 mutant to 250 mM NH<sub>4</sub>Cl).

      (9) An osmolarity control would be helpful for the calcium imaging experiments.

      We acknowledge that future calcium imaging experiments featuring different salt concentrations could benefit from osmolarity controls.

      (10) In Figure S7, more information about the microfluidic chip design is needed.

      The chip design features a U-shaped worm trap to facilitate loading the worm head-first, with a tapered opening to ensure the worm fits snugly and will not slide too far forward during recording. The outer two chip channels hold buffer solution and can be switched open (ON) or closed (OFF) by the Valvebank. The inner two chip channels hold experimental solutions. The inner channel closer to the worm trap holds the control solution, and the inner channel farther from the worm trap holds the stimulant solution.

      We have added an image of the chip in Figure S7 and further description in the legend.

      (11) Throughout the manuscript, the discussion of the salt stimuli focuses on the salts more than the ions. More discussion of which ions are eliciting responses (both behavioral and neuronal responses) would be helpful.

      In Figure 7, the gcy-22.3 defect resulted in a statistically significant reduction in response only towards NH<sub>4</sub>Cl but not towards NaCl, which suggests ASER is the primary neuron detecting NH<sub>4</sub><sup>+</sup> ions. To extend the description of the gcy-22.3 mutant defects to other ions, we have added a Figure 8: chemotaxis on various salt backgrounds. We found only a mild increase in attraction towards NH<sub>4</sub><sup>+</sup> by both gcy-22.3 mutant alleles, but wild-type in their responses toward Cl<sup>-</sup>, Na<sup>+</sup>, or I<sup>-</sup>. The switch in the direction of change between the behavioral (enhanced) and calcium imaging result (reduced) suggests the behavioral response to ammonium ions likely involves additional receptors and neurons.

      Minor comments:

      (1) The full species name of "C. elegans" should be written out upon first use.

      We have added ‘Caenorhabditis elegans’ to its first mention.

      (2) In the legend of Figure 1, "N2" should not be in italics.

      We have made the correction.

      (3) The "che-1" gene should be in lowercase, even when it is at the start of the sentence.

      We have made the correction.

      (4) Throughout the manuscript, "HisCl" should be "HisCl1."

      We have made these corrections to ‘HisCl1’.

      (5) Figure 3A would benefit from more context, such as the format seen in Figure 7A. It would also help to have more information in the legend (e.g., blue boxes are exons, etc.).

      (6) "Since NH<sub>4</sub>I sensation is affected by silencing of che-1(+) neurons but is unaffected in che-1 mutants, ASE differentiation may be more greatly impacted by the silencing of ASE than by the loss of che-1": I don't think this is exactly what the authors mean. I would say, "ASE function may be more greatly impacted...".

      We have changed ‘differentiation’ to ‘function’ in this passage.

      (7) In Figure 7F-G, the AFD neurons are referred to as AFD in the figure title but AM12 in the graph. This is confusing.

      Thank you for noticing this oversight. We have corrected “AM12” to “AFD”.

      (8) In Figure 7, the legend suggests that comparisons within the same genotype were analyzed. I do not see these comparisons in the figure. In which cases were comparisons within the same genotype made?

      Correct, we performed additional tests between ON and OFF states within the same genotypes (WT and mutant) but did not find significant differences. To avoid unnecessary confusion, we have removed this sentence.

      (9) The nomenclature used for the transgenic animals is unconventional. For example, normally the calcium imaging line would be listed as csuEx93[Ppa-che-1p::optRCaMP] instead of Ppache-1p::optRCaMP(csuEx93).

      We have made these corrections to the nomenclature.

      (10) Figure S6 appears to come out of order. Also, it would be nice to have more of a legend for this figure. The format of the figure could also be improved for clarity.

      We have corrected Figure S6 (now S8) and added more information to the legend.

      (11) Methods section, Chemotaxis assays: "Most assays lasted ~3.5 hours at room temperature in line with the speed of P. pacificus without food..." It's not clear what this means. Does it take the worms 3.5 hours to crawl across the surface of the plate?

      Correct, P. pacificus requires 3-4 hours to crawl across the surface of the plate, which is the standard time for chemotaxis assays for some odors and all salts. We have added this clarification to the Methods.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This study provides valuable insights into how the brain parses the syntactic structure of a spoken sentence. A unique contribution of the work is to use a large language model to quantify how the mental representation of syntactic structure updates as a sentence unfolds in time. Solid evidence is provided that distributive cortical networks are engaged for incremental parsing of a sentence, although the contribution could be further strengthened if the authors would further highlight the main results and clarify the benefit of using a large language model.

      We thank the editors for the overall positive assessment. We have revised our manuscript to further emphasize our main findings and highlight the advantages of using a large language model (LLM) over traditional behavioural and corpus-based data.

      This study aims to investigate the neural dynamics underlying the incremental construction of structured interpretation during speech comprehension. While syntactic cues play an important role, they alone do not define the essence of this parsing process. Instead, this incremental process is jointly determined by the interplay of syntax, semantics, and non-linguistic world knowledge, evoked by the specific words heard sequentially by listeners. To better capture these multifaceted constraints, we derived structural measures from BERT, which dynamically represent the evolving structured interpretation as a sentence unfolds word-by-word.

      Typically, the syntactic structure of a sentence can be represented by a context-free parse tree, such as a dependency parse tree or a constituency-based parse tree, which abstracts away from specific content, assigning a discrete parse depth to each word regardless of its semantics. However, this context-free parse tree merely represents the result rather than the process of sentence parsing and does not elucidate how a coherent structured interpretation is concurrently determined by multifaceted constraints. In contrast, BERT parse depth, trained to approach the context-free discrete dependency parse depth, is a continuous variable. Crucially, its deviation from the corresponding discrete parse depth indicates the preference for the syntactic structure represented by this context-free parse. As BERT processes a sentence delivered word-by-word, the dynamic change of BERT parse depth reflects the incremental nature of online speech comprehension.

      Our results reveal a behavioural alignment between BERT parse depth and human interpretative preference for the same set of sentences. In other words, BERT parse depth could represent a probabilistic interpretation of a sentence’s structure based on its specific contents, making it possible to quantify the preference for each grammatically correct syntactic structure during incremental speech comprehension. Furthermore, both BERT and human interpretations show correlations with linguistic knowledge, such as verb transitivity, and non-linguistic knowledge, like subject noun thematic role preference. Both types of knowledge are essential for achieving a coherent interpretation, in accordance with the “constraint-based hypothesis” of sentence processing.

      Motivated by the observed behavioural alignment between BERT and human listeners, we further investigated BERT structural measures in source-localized EEG/MEG using representational similarity analyses (RSA). This approach revealed the neural dynamics underlying incremental speech comprehension on millisecond scales. Our main findings include: (1) a shift from bi-hemispheric lateral frontal-temporal regions to left-lateralized regions in representing the current structured interpretation as a sentence unfolds, (2) a pattern of sequential activations in the left lateral temporal regions, updating the structured interpretation as syntactic ambiguity is resolved, and (3) the influence of lexical interpretative coherence activated in the right hemisphere over the resolved sentence structure represented in the left hemisphere.

      From our perspective, the advantages of using a LLM (or deep language model) like BERT are twofold. Conceptually, BERT structural measures offer a deep contextualized structural representation for any given sentence by integrating the multifaceted constraints unique to the specific contents described by the words within that sentence. Modelling this process on a word-by-word basis is challenging to achieve with behavioural or corpus-based metrics. Empirically, as demonstrated in our responses to the reviewers below, BERT measures show better performance compared to behavioural and corpus-based metrics in aligning with listeners’ neural activity. Moreover, when it comes to integrating multiple sources of constraints for achieving a coherent interpretation, BERT measures also show a better fit with the behavioural data of human listeners than corpus-based metrics.

      Taken together, we propose that LLMs, akin to other artificial neural networks (ANNs), can be considered as computational models for formulating and testing specific neuroscientific hypotheses, such as the “constraint-based hypothesis” of sentence processing in this study. However, we by no means overlook the importance of corpus-based and behavioural metrics. These metrics play a crucial role in interpreting and assessing whether and how ANNs stimulate human cognitive processes, a fundamental step in employing ANNs to gain new insights into the neural mechanisms of human cognition.

      Public Reviews:

      Reviewer #1 (Public Review):

      In this study, the authors investigate where and when brain activity is modulated by incoming linguistic cues during sentence comprehension. Sentence stimuli were designed such that incoming words had varying degrees of constraint on the sentence's structural interpretation as participants listened to them unfolding, i.e. due to varying degrees of verb transitivity and the noun's likelihood of assuming a specific thematic role. Word-by-word "online" structural interpretations for each sentence were extracted from a deep neural network model trained to reproduce language statistics. The authors relate the various metrics of word-by-word predicted sentence structure to brain data through a standard RSA approach at three distinct points of time throughout sentence presentation. The data provide convincing evidence that brain activity reflects preceding linguistic constraints as well as integration difficulty immediately after word onset of disambiguating material.

      We thank Reviewer #1 (hereinafter referred to as R1) for their recognition of the objectives of our study and the analytical approaches we have employed in this study.

      The authors confirm that their sentence stimuli vary in degree of constraint on sentence structure through independent behavioral data from a sentence continuation task. They also show a compelling correlation of these behavioral data with the online structure metric extracted from the deep neural network, which seems to pick up on the variation in constraints. In the introduction, the authors argue for the potential benefits of using deep neural networkderived metrics given that it has "historically been challenging to model the dynamic interplay between various types of linguistic and nonlinguistic information". Similarly, they later conclude that "future DLMs (...) may provide new insights into the neural implementation of the various incremental processing operations(...)".

      We appreciate R1’s positive comments on the design, quantitative modelling and behavioural validation of the sentence stimuli used in this experiment.

      By incorporating structural probing of a deep neural network, a technique developed in the field of natural language processing, into the analysis pipeline for investigating brain data, the authors indeed take an important step towards establishing advanced machine learning techniques for researching the neurobiology of language. However, given the popularity of deep neural networks, an argument for their utility should be carefully evidenced.

      We fully concur with R1 regarding the need for cautious evaluation and interpretation of deep neural networks’ utility. In fact, this perspective underpinned our decision to conduct extensive correlation analyses using both behavioural and corpus-based metrics to make sense of BERT metrics. These analyses were essential to interpret and validate BERT metrics before employing them to investigate listeners’ neural activity during speech comprehension. We do not in any way undermine the importance of behavioural or corpus-based data in studying language processing in the brain. On the contrary, as evidenced by our findings, these traditional metrics are instrumental in interpreting and guiding the use of metrics derived from LLMs.

      However, the data presented here don't directly test how large the benefit provided by this tool really is. In fact, the authors show compelling correlations of the neural network-derived metrics with both the behavioral cloze-test data as well as several (corpus-)derived metrics. While this is a convincing illustration of how deep language models can be made more interpretable, it is in itself not novel. The correlation with behavioral data and corpus statistics also raises the question of what is the additional benefit of the computational model? Is it simply saving us the step of not having to collect the behavioral data, not having to compute the corpus statistics or does the model potentially uncover a more nuanced representation of the online comprehension process? This remains unclear because we are lacking a direct comparison of how much variance in the neural data is explained by the neural network-derived metrics beyond those other metrics (for example the main verb probability or the corpusderived "active index" following the prepositional phrase).

      From our perspective, a primary advantage of using the neural network-derived metrics (or LLMs as computational models of language processing), compared to traditional behavioural and corpus-based metrics, lies in their ability to offer more nuanced, contextualized representations of natural language inputs. There seems no effective way of computationally capturing the distributed and multifaceted constraints within specific contexts until the current generation of LLMs came along. While it is feasible to quantify lexical properties or contextual effects based on the usage of specific words via corpora or behavioural tests, this method appears less effective in modelling the composition of meanings across more words on the sentence level. More critically, it struggles with capturing how various lexical constraints collectively yield a coherent structured interpretation.

      Accumulating evidence suggests that models designed for context prediction or next-word prediction, such as word2vec and LLMs, outperform classic count-based distributional semantic models (Baroni et al. 2014) in aligning with neural activity during language comprehension (Schrimpf et al. 2021; Caucheteux and King 2022). Relevant to this, we have conducted additional analyses to directly assess the additional variance of neural data explained by BERT metrics, over and above what traditional metrics account for. Specifically, using RSA, we re-tested model RDMs based on BERT metrics while controlling for the contribution from traditional metrics (via partial correlation).

      During the first verb (V1) epoch, we tested model RDMs of V1 transitivity based on data from either the behavioural pre-test (i.e., continuations following V1) or massive corpora. Contrasting sharply with the significant model fits observed for BERT V1 parse depth in bilateral frontal and temporal regions, the two metrics of V1 transitivity did not exhibit any significant effects (see Author response image 1).

      Author response image 1

      RSA model fits of BERT structural metrics and behavioural/corpus-based metrics in the V1 epoch. (upper) Model fits of BERT V1 parse depth (relevant to Appendix 1-figure 10A); (middle) Model fits of the V1 transitivity based on the continuation pre-rest conducted at the end of V1 (e.g., completing “The dog found …”); (bottom) Model fits of the V1 transitivity based on the corpus data (as described in Methods). Note that verb transitivity is quantified as the proportion of its transitive uses (i.e., followed by a direct object) relative to its intransitive uses.

      In the PP1 epoch, which was aligned to the onset of the preposition in the prepositional phrase (PP), we tested the probability of a PP continuation following V1 (e.g., the probability of a PP after “The dog found…”). While no significant results were found for PP probability, we have plotted the uncorrected results for PP probability (Author response image 2). These model fits have very limited overlap with those of BERT parse depth vector (up to PP1) in the left inferior frontal gyrus (approximately at 360 ms) and the left temporal regions (around 600 ms). It is noteworthy that the model fits of the BERT parse depth vector (up to PP1) remained largely unchanged even when PP probability was controlled for, indicating that the variance explained by BERT metrics cannot be effectively accounted for by the PP probability obtained from the human continuation pre-test.

      Author response image 2

      Comparison between the RSA model fits of BERT structural metrics and behavioural / corpusbased metrics in the PP1 epoch. (upper) Model fits of BERT parse depth vector up to PP1 (relevant to Figure 6B in the main text); (middle) Model fits of the probability of a PP continuation in the prerest conducted at the end of the first verb; (bottom) Model fits of BERT parse depth vector up to PP1 after partialling out the variance explained by PP probability.

      Finally, in the main verb (MV) epoch, we tested the model RDM based on the probability of a MV continuation following the PP (e.g., the probability after “The dog found in the park…”). When compared with the BERT parse depth vector (up to MV), we observed a similar effect in the left dorsal frontal regions (see Author response image 3). However, this effect did not survive after the whole-brain multiple comparison correction. Subsequent partial correlation analyses revealed that the MV probability accounted for only a small portion of the variance in neural data explained by the BERT metric, primarily the effect observed in the left dorsal frontal regions around 380 ms post MV onset. Meanwhile, the majority of the model fits of the BERT parse depth vector remained largely unchanged after controlling for the MV probability.

      Note that the probability of a PP/MV continuation reflect participants’ predictions based on speech input preceding the preposition (e.g., “The dog found…”) or the main verb (e.g., “The dog found in the park…”), respectively. In contrast, BERT parse depth vector is designed to represent the structure of the (partial) sentence in the speech already delivered to listeners, rather than to predict a continuation after it. Therefore, in the PP1 and MV epochs, we separately tested BERT parse depth vectors that included the preposition (e.g., “The dog found in…”) and the main verb (e.g., “The dog found in the park was…”) to accurately capture the sentence structure at these specific points in a sentence. Despite the differences in the nature of information captured by these two types of metrics, the behavioural metrics themselves did not exhibit significant model fits when tested against listeners’ neural activity.

      Author response image 3

      Comparison between the RSA model fits of BERT structural metrics and behavioural / corpusbased metrics in the MV epoch. (upper) Model fits of BERT parse depth vector up to MV (relevant to Figure 6C in the main text); (middle) Model fits of the probability of a MV continuation in the pre-rest conducted at the end of the prepositional phrase (e.g., “The dog found in the park …”); (bottom) Model fits of BERT parse depth vector up to MV after partialling out the variance explained by MV probability.

      Regarding the corpus-derived interpretative preference, we observed that neither the Active index nor the Passive index showed significant effects in the PP1 epoch. In the MV epoch, while significant model fits of the passive index were observed, which temporally overlapped with the BERT parse depth vector (up to MV) after the recognition point of the MV, the effects of these two model RDMs emerged in different hemispheres, as illustrated in Figures 6C and 8D in the main text. Consequently, we opted not to pursue further partial correlation analysis with the corpus-derived interpretative preference. Besides, as shown in Figure 8A, 8B and 8C, subject noun thematic role preference and non-directional index exhibit significant model fits in the PP1 or the MV epoch. Interesting, these effects lead corresponding effects of BERT metrics in the same epoch (see Figure 6B and 6C), suggesting that the overall structured interpretation emerges after the evaluation and integration of multifaceted lexical constraints.

      In summary, our findings indicate that, in comparison to corpus-derived or behavioural metrics, BERT structural metrics are more effective in explaining neural data, in terms of modelling both the unfolding sentence input (i.e., incremental BERT parse vector) and individual words (i.e., V1) within specific sentential contexts. This advantage of BERT metrics might be due to the hypothesized capacity of LLMs to capture more contextually rich representations. Such representations effectively integrate the diverse constraints present in a given sentence, thereby outperforming corpus-based metrics or behavioural metrics in this respect. Concurrently, it is important to recognize the significant role of corpus-based / behavioral metrics as explanatory variables. They are instrumental not only in interpreting BERT metrics but also in understanding their fit to listeners’ neural activity (by examining the temporal sequence and spatial distribution of model fits of these two types of metrics). Such an integrative approach allows for a more comprehensive understanding of the complex neural processes underpinning speech comprehension.

      With regards to the neural data, the authors show convincing evidence for early modulations of brain activity by linguistic constraints on sentence structure and importantly early modulation by the coherence between multiple constraints to be integrated. Those modulations can be observed across bilateral frontal and temporal areas as well as parts of the default mode network. The methods used are clear and rigorous and allow for a detailed exploration of how multiple linguistic cues are neurally encoded and dynamically shape the final representation of a sentence in the brain. However, at times the consequences of the RSA results remain somewhat vague with regard to the motivation behind different metrics and how they differ from each other. Therefore, some results seem surprising and warrant further discussion, for example: Why does the neural network-derived parse depth metric fit neural data before the V1 uniqueness point if the sentence pairs begin with the same noun phrase? This suggests that the lexical information preceding V1, is driving the results. However, given the additional results, we can already exclude an influence of subject likelihood for a specific thematic role as this did not model the neural data in the V1 epoch to a significant degree.

      As pointed out by R1, model fits of BERT parse depth vector (up to V1) and its mismatch for the active interpretation were observed before the V1 uniqueness point (Figures 6A and 6D). These early effects could be attributed to the inclusion of different subject nouns in the BERT parse depth vectors. In our MEG data analyses, RSA was performed using all LoTrans and HiTrans sentences. Each of the 60 sentence sets contained one LoTrans sentence and one HiTrans sentence, which resulted in a 120 x 120 neural data RDM for each searchlight ROI across the brain within each sliding time window. Although LoTrans and HiTrans sentences within the same sentence set shared the same subject noun, subject nouns varied across sentence sets. This variation was expected to be reflected in both the model RDM of BERT metrics and the data RDM, a point further clarified in the revised manuscript.

      In contrast, when employing a model RDM constructed solely from the BERT V1 parse depth, we observed model fits peaking precisely at the uniqueness point of V1 (see Appendix 1figure 10). It is important to note that BERT V1 parse depth is a contextualized metric influenced by the preceding subject noun, which could account for the effects of BERT V1 parse depth observed before the uniqueness point of V1.

      Relatedly, In Fig 2C it seems there are systematic differences between HiTrans and LoTrans sentences regarding the parse depth of determiner and subject noun according to the neural network model, while this is not expected according to the context-free parse.

      We thank R1 for pointing out this issue. Relevant to Figure 3D (Figure 2C in the original manuscript), we presented the distributions of BERT parse depth for individual words as the sentence unfolds in Appendix 1-figure 2. Our analysis revealed that the parse depth of the subject noun in high transitivity (HiTrans) and low transitivity (LoTrans) sentences did not significantly differ, except for the point at which the sentence reached V1 (two-tailed twosample t-test, P = 0.05).

      However, we observed a significant difference in the parse depth of the determiner between HiTrans and LoTrans sentences (two-tailed two-sample t-test, P < 0.05 for all results in Appendix 1-figure 2). Additionally, the parse depth of the determiner was found to covary with that of V1 as the input unfolded to different sentence positions (Pearson correlation, P < 0.05 for all plots in Appendix 1-figure 2). This difference, unexpected in terms of the contextfree (dependency) parse used for training the BERT structural probing model, might be indicative of a “leakage” of contextual information during the training of the structural probing model, given the co-variation between the determiner and V1 which was designed to be different in their transitivity in the two types of sentences.

      Despite such unexpected differences observed in the BERT parse depths of the determiner, we considered the two sentence types as one group with distributed features (e.g., V1 transitivity) in the RSA, and used the BERT parse depth vector including all words in the sentence input to construct the model RDMs. Moreover, as indicated in Appendix 1-figure 3, compared to the content words, the determiner contributed minimally to the incremental BERT parse depth vector. Consequently, the noted discrepancies in BERT parse depth of the determiner between HiTrans and LoTrans sentences are unlikely to significantly bias our RSA results.

      "The degree of this mismatch is proportional to the evidence for or against the two interpretations (...). Besides these two measures based on the entire incremental input, we also focused on Verb1 since the potential structural ambiguity lies in whether Verb1 is interpreted as a passive verb or the main verb." The neural data fits in V1 epoch differ in their temporal profile for the mismatch metrics and the Verb 1 depth respectively. I understand the "degree of mismatch" to be a measure of how strongly the neural network's hidden representations align with the parse depth of an active or passive sentence structure. If this is correct, then it is not clear from the text how far this measure differs from the Verb 1 depth alone, which is also indicating either an active or passive structure.

      Within the V1 epoch, we tested three distinct types of model RDMs based on BERT metrics: (1) The BERT parse depth vector, representing the neural network’s hidden representation of the incremental sentence structure including all words up to V1. (2) The mismatch metric for either the Active or Passive interpretation, calculated as the distance between the BERT parse depth vector and the context-free parse depth vector for each interpretation. (3) The BERT parse depth of V1, crucial in representing the preferred structural interpretation of the unfolding sentence given its syntactic role as either a passive verb or the main verb.

      While the BERT parse depth vector per se does not directly indicate a preferred interpretation, its mismatch with the context-free parse depth vectors of the two possible interpretations reveals the favoured interpretation, as significant neural fit is only anticipated for the mismatch with the interpretation being considered. The contextualized BERT depth of V1 is also indicative of the preferred structure given the context-free V1 parse depth corresponding to different syntactic roles, however, compared to the interpretative mismatch, it does not fully capture contributions from other words in the input. Consequently, we expected the interpretative mismatch and the BERT V1 depth to yield different results. Indeed, our analysis revealed that, although both metrics extracted from the same BERT layer (i.e., layer 13) demonstrated early RSA fits in the left fronto-temporal regions, the V1 depth showed relatively more prolonged effects with a notable peak occurring precisely at the uniqueness point of V1 (compare Figure 6C and Appendix 1-figure 10). These complementary results underscore the capability of BERT metrics to align with neural responses, in terms of both an incrementally unfolding sentence and a specific word within it.

      In previous studies, differences in neural activity related to distinct amounts of open nodes in the parse tree have been interpreted in terms of distinct working memory demands (Nelson et al. pnas 2017, Udden et al tics 2020). It seems that some of the metrics, for example the neural network-derived parse depth or the V1 depth may be similarly interpreted in the light of working memory demands. After all, during V1 epoch, the sentences do not only differ with respect to predicted sentence structure, but also in the amount of open nodes that need to be maintained. In the discussion, however, the authors interpret these results as "neural representations of an unfolding sentence's structure".

      We agree with the reviewer that the Active and Passive interpretations differ in terms of the number of open nodes before the actual main verb is heard. Given the syntactic ambiguity in our sentence stimuli (i.e., LoTrans and Hi Trans sentences), it is infeasible to determine the exact number of open nodes in each sentence as it unfolds. Nevertheless, the RSA fits observed in the dorsal lateral frontal regions could be indicative of the varying working memory demands involved in building the structured interpretations across sentences. We have added this perspective in the revised manuscript.

      Reviewer #2 (Public Review):

      This article is focused on investigating incremental speech processing, as it pertains to building higher-order syntactic structure. This is an important question because speech processing in general is lesser studied as compared to reading, and syntactic processes are lesser studied than lower-level sensory processes. The authors claim to shed light on the neural processes that build structured linguistic interpretations. The authors apply modern analysis techniques, and use state-of-the-art large language models in order to facilitate this investigation. They apply this to a cleverly designed experimental paradigm of EMEG data, and compare neural responses of human participants to the activation profiles in different layers of the BERT language model.

      We thank Reviewer #2 (hereinafter referred to as R2) for the overall positive remarks on our study.

      Strengths:

      (1) The study aims to investigate an under-explored aspect of language processing, namely syntactic operations during speech processing

      (2) The study is taking advantage of technological advancements in large language models, while also taking linguistic theory into account in building the hypothesis space

      (3) The data combine EEG and MEG, which provides a valuable spatio-temporally resolved dataset

      (4) The use of behavioural validation of high/low transitive was an elegant demonstration of the validity of their stimuli

      We thank R2 for recognizing and appreciating the motivation and the methodology employed in this study.

      Weaknesses:

      (1) The manuscript is quite hard to understand, even for someone well-versed in both linguistic theory and LLMs. The questions, design, analysis approach, and conclusions are all quite dense and not easy to follow.

      To address this issue, we have made dedicated efforts to clarify the key points in our study. We also added figures to visualize our experimental design and methods (see Figure 1, Figure 3C and Figure 5 in the revised main text). We hope that these revisions have made the manuscript more comprehensible and straightforward for the readers.

      (2) The analyses end up seeming overly complicated when the underlying difference between sentence types is a simple categorical distinction between high and low transitivity. I am not sure why tree depth and BERT are being used to evaluate the degree to which a sentence is being processed as active or passive. If this is necessary, it would be helpful for the authors to motivate this more clearly.

      Indeed, as pointed by R2, the only difference between LoTrans and HiTrans sentences is the first verb (V1), whose transitivity is crucial for establishing an initial preference for either an Active or a Passive interpretation as the sentence unfolds. Nonetheless, in line with the constraint-based approach to sentence processing and supported by previous research findings, a coherent structured interpretation of a sentence is determined by the combined constraints imposed by all words within that sentence. In our study, the transitivity of V1 alone is insufficient to fully explain the interpretative preference for the sentence structure. The overall sentence-level interpretation also depends on the thematic role preference of the subject noun – its likelihood of being an agent performing an action or a patient receiving the action.

      This was evident in our findings, as shown in Author response image 1 above, where the V1 transitivity based on corpus or behavioural data did not fit to the neural data during the V1 epoch. In contrast, BERT structural measures [e.g., BERT parse depth vector (up to V1) and BERT V1 parse depth] offered contextualized representations that are presumed to integrate various lexical constraints present in each sentence. These BERT metrics exhibited significant model fits for the same neural data in the V1 epoch. Besides, a notable feature of BERT is its bi-directional attention mechanism, which allows for the dynamic updating of an earlier word’s representation as more of the sentence is heard, which is also changeling to achieve with corpus or behavioural metrics. For instance, the parse depth of the word “found” in the BERT parse depth vector for “The dog found…” differs from its parse depth in the vector for “The dog found in…”. This feature of BERT is particularly advantageous for investigating the dynamic nature of structured interpretation during speech comprehension, as it stimulates the continual updating of interpretation that occurs as a sentence unfolds (as shown by Figure 7 in the main text). We have elaborated on the rationale for employing BERT parse depth in this regard in the revised manuscript.

      (3) The main data result figures comparing BERT and the EMEG brain data are hard to evaluate because only t-values are provided, and those, only for significant clusters. It would be helpful to see the full 600 ms time course of rho values, with error bars across subjects, to really be able to evaluate it visually. This is a summary statistic that is very far away from the input data

      We appreciate this suggestion from R2. In the Appendix 1 of the revised manuscript, we have provided individual participants’ Spearman’s rho time courses for every model RDM tested in all the three epochs (see Appendix 1-figures 8-10 & 14-15). Note that RSA was conducted in the source-localized E/MEG, it is infeasible to plot the rho time course for each searchlight at one of the 8196 vertices on the cortical surface mesh. Instead, we plotted the rho time course of each ROI reported in the original manuscript. These plots complement the time-resolved heatmap of peak t-value in Figures 6-8 in the main text.

      (4) Some details are omitted or not explained clearly. For example, how was BERT masked to give word-by-word predictions? In its default form, I believe that BERT takes in a set of words before and after the keyword that it is predicting. But I assume that here the model is not allowed to see linguistic information in the future.

      In our analyses, we utilized the pre-trained version of BERT (Devlin et al. 2019) as released by Hugging Face (https://github.com/huggingface). It is noteworthy that BERT, as described in the original paper, was initially trained using the Cloze task, involving the prediction of masked words within an input. In our study, however, we neither retrained nor fine-tuned the pre-trained BERT model, nor did we employ it for word-by-word prediction tasks. We used BERT to derive the incremental representation of a sentence’s structure as it unfolded word-by-word.

      Specifically, we sequentially input the text of each sentence into the BERT, akin to how a listener would receive the spoken words in a sentence (see Figure 3C in the main text). For each incremental input (such as “The dog found”), we extracted the hidden representations of each word from BERT. These representations were then transformed into their respective BERT parse depths using a structural probing model (which was trained using sentences with annotated dependency parse tress from the Penn Treebank Dataset). The resulting BERT parse depths were subsequently used to create model RDMs, which were then tested against neural data via RSA.

      Crucially, in our approach, BERT was not exposed to any future linguistic information in the sentence. We never tested BERT parse depth of a word in an epoch where this word had not been heard by the listener. For example, the three-dimensional BERT parse depth vector for “The dog found” was tested in the V1 epoch corresponding to “found”, while the fourdimensional BERT parse depth vector for “The dog found in” was tested in the PP1 epoch of “in”.

      How were the auditory stimuli recorded? Was it continuous speech or silences between each word? How was prosody controlled? Was it a natural speaker or a speech synthesiser?

      Consistent with our previous studies (Kocagoncu et al. 2017; Klimovich-Gray et al. 2019; Lyu et al. 2019; Choi et al. 2021), all auditory stimuli in this study were recorded by a female native British English speaker, ensuring a neutral intonation throughout. We have incorporated this detail into the revised version of our manuscript for clarity.

      It is difficult for me to fully assess the extent to which the authors achieved their aims, because I am missing important information about the setup of the experiment and the distribution of test statistics across subjects.

      We are sorry for the previously omitted details regarding the experimental setup and the results of individual participants. As detailed in our responses above, we have now included the necessary information in the revised manuscript.

      Reviewer #3 (Public Review):

      Syntactic parsing is a highly dynamic process: When an incoming word is inconsistent with the presumed syntactic structure, the brain has to reanalyze the sentence and construct an alternative syntactic structure. Since syntactic parsing is a hidden process, it is challenging to describe the syntactic structure a listener internally constructs at each time moment. Here, the authors overcome this problem by (1) asking listeners to complete a sentence at some break point to probe the syntactic structure mentally constructed at the break point, and (2) using a DNN model to extract the most likely structure a listener may extract at a time moment. After obtaining incremental syntactic features using the DNN model, the authors analyze how these syntactic features are represented in the brain using MEG.

      We extend our thanks to Reviewer #3 (referred to as R3 below) for recognizing the methods we used in this study.

      Although the analyses are detailed, the current conclusion needs to be further specified. For example, in the abstract, it is concluded that "Our results reveal a detailed picture of the neurobiological processes involved in building structured interpretations through the integration across multifaceted constraints". The readers may remain puzzled after reading this conclusion.

      Following R3’s suggestion, we have revised the abstract and refined our conclusions in the main text to explicitly highlight our principal findings. These include: (1) a shift from bihemispheric lateral frontal-temporal regions to left-lateralized regions in representing the current structured interpretation as a sentence unfolds, (2) a pattern of sequential activations in the left lateral temporal regions, updating the structured interpretation as syntactic ambiguity is resolved, and (3) the influence of lexical interpretative coherence activated in the right hemisphere over the resolved sentence structure represented in the left hemisphere.

      Similarly, for the second part of the conclusion, i.e., "including an extensive set of bilateral brain regions beyond the classical fronto-temporal language system, which sheds light on the distributed nature of language processing in the brain." The more extensive cortical activation may be attributed to the spatial resolution of MEG, and it is quite well acknowledged that language processing is quite distributive in the brain.

      We fully agree with R3 on the relatively low spatial resolution of MEG. Our emphasis was on the observed peak activations in specific regions outside the classical brain areas related to language processing, such as the precuneus in the default mode network, which are unlikely to be artifacts due to the spatial resolution of MEG. We have revised the relevant contents in the Abstract.

      The authors should also discuss:

      (1) individual differences (whether the BERT representation is a good enough approximation of the mental representation of individual listeners).

      To address the issue of individual differences which was also suggested by R2, we added individual participants’ model fits in ROIs with significant effects of BERT representations in Appendix 1 of the revised manuscript (see Appendix 1-figures 8-10 & 14-15).

      (2) parallel parsing (I think the framework here should allow the brain to maintain parallel representations of different syntactic structures but the analysis does not consider parallel representations).

      In the original manuscript, we did not discuss parallel parsing because the methods we used does not support a direct test for this hypothesis. In our analyses, we assessed the preference for one of two plausible syntactic structures (i.e., Active and Passive interpretations) based on the BERT parse vector of an incremental sentence input. This assessment was accomplished by calculating the mismatch between the BERT parse depth vector and the context-free dependency parse depth vector representing each of the two structures. However, we only observed one preferred interpretation in each epoch (see Figures 6D-6F) and did not find evidence supporting the maintenance of parallel representations of different syntactic structures in the brain. Nevertheless, in the revised manuscript, we have mentioned this possibility, which could be properly explored in future studies.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Consider fitting the behavioral data from the continuation pre-test to the brain data in order to illustrate the claimed advantage of using a computational model beyond more traditional methods.

      Following R1’s suggestion, we conducted additional RSA using more behavioural and corpusbased metrics. We then directly compared the fits of these traditional metrics to brain data with those of BERT metrics in the same epoch to provide empirical evidence for the advantage of using a computational model like BERT to explain listeners’ neural data (see Appendix 1figures 11-13).

      Clarify the use of "neural representations: For a clearer assessment of the results, please discuss your results (especially the fits with BERT parse depth) in terms of the potential effects of distinct sentence structure expectations on working memory demands and make clear where these can be disentangled from neural representations of an unfolding sentence's structure.

      In the revised manuscript, we have noted the working memory demands associated with the online construction of a structured interpretation during incremental speech comprehension. As mentioned in our response to the relevant comment by R1 above, our experimental paradigm is not suitable for quantitatively assessing working memory demands since it is difficult to determine the exact number of open nodes for our stimuli with syntactic ambiguity before the disambiguating point (i.e., the main verb) is reached. Therefore, while we can speculate the potential contribution of varying working memory demands (which might correlate with BERT V1 parse depth) to RSA model fits, we think it is not possible to disentangle their effects from the neural representation of an unfolding sentence’s structure modelled by BERT parse depths in our current study.

      Please add in methods a description of how the uniqueness point was determined.

      In this study, we defined the uniqueness point of a word as the earliest point in time when this word can be fully recognized after removing all of its phonological competitors. To determine the uniqueness point for each word of interest, we first identified the phoneme by which this word can be uniquely recognized according to CELEX (Baayen et al. 1993). Then, we manually labelled the offset of this phoneme in the auditory file of the spoken sentence in which this word occurred. We have added relevant description of how the uniqueness point was determined in the Methods section of the revised manuscript.

      I found the name "interpretative mismatch" very opaque. Maybe instead consider "preference".

      We chose to use the term “interpretative mismatch” rather than “preference” based on the operational definition of this metric, which is the distance between a BERT parse depth vector and one of the two context-free parse depth vectors representing the two possible syntactic structures, so that a smaller distance value (or mismatch) signifies a stronger preference for the corresponding interpretation.

      In the abstract, the authors describe the cognitive process under investigation as one of incremental combination subject to "multi-dimensional probabilistic constraint, including both linguistic and non-linguistic knowledge". The non-linguistic knowledge is later also referred to as "broad world knowledge". These terms lack specificity and across studies have been operationalized in distinct ways. In the current study, this "world knowledge" is operationalized as the likelihood of a subject noun being an agent or patient and the probability for a verb to be transitive, so here a more specific term may have been the "knowledge about statistical regularities in language".

      In this study, we specifically define “non-linguistic world knowledge” as the likelihood of a subject noun assuming the role of an agent or patient, which relates to its thematic role preference. This type of knowledge is primarily non-linguistic in nature, as exemplified by comparing nouns like “king” and “desk”. Although it could be reflected by statistical regularities in language, thematic role preference hinges more on world knowledge, plausibility, or real-world statistics. In contrast, “linguistic knowledge” in our study refers to verb transitivity, which focuses on the grammatically correct usage of a verb and is tied to statistical regularities within language itself. In the revised manuscript, we have provided clearer operational definitions for these two concepts and have ensured consistent usage throughout the text.

      Please spell out what exactly the "constraint-based hypothesis" is (even better, include an explicit description of the alternative hypothesis?).

      The “constraint-based hypothesis”, as summarized in a review (McRae and Matsuki 2013), posits that various sources of information, referred to as “constraints”, are simultaneously considered by listeners during incremental speech comprehension. These constraints encompass syntax, semantics, knowledge of common events, contextual pragmatic biases, and other forms of information gathered from both intra-sentential and extra-sentential context. Notably, there is no delay in the utilization of these multifaceted constraints once they become available, neither is a fixed priority assigned to one type of constraint over another. Instead, a diverse set of constraints is immediately brought into play for comprehension as soon as they become available as the relevant spoken word is recognized.

      An alternative hypothesis, proposed earlier, is the two-stage garden path model (Frazier and Rayner 1982; Frazier 1987). According to this model, there is an initial parsing stage that relies solely on syntax. This is followed by a second stage where all available information, including semantics and other knowledge, is used to assess the plausibility of the results obtained in the first-stage analysis and to conduct re-analysis if necessary (McRae and Matsuki 2013). In the Introduction of our revised manuscript, we have elaborated on the “constraint-based hypothesis” and mentioned this two-stage garden path model as its alternative.

      Fig1 B&C: In order to make the data more interpretable, could you estimate how many possible grammatical structural configurations there are / how many different grammatical structures were offered in the pretest, and based on this what would be the "chance probability" of choosing a random structure or for example show how many responded with a punctuation vs alternative continuations?

      In our analysis of the behavioural results, we categorized the continuations provided by participants in the pre-test at the offset of Verb1 (e.g., “The dog found/walked …”) into 6 categories, including DO (direct object), INTRANS (intransitive), PP (prepositional phrase), INF (infinitival complement), SC (sentential complement) and OTHER (gerund, phrasal verb, etc.).

      Author response table 1.

      Similarly, we categorized the continuations that followed the offset of the prepositional phrase (e.g., “The dog found/walked in the park …”) into 7 categories, including MV (main verb), END (i.e., full stop), PP (prepositional phrase), INF (infinitival complement), CONJ (conjunction), ADV (adverb) and OTHER (gerund, sentential complement, etc.).

      Author response table 2.

      It is important to note that the results of these two pre-tests, including the types of continuations and their probabilities, exhibited considerable variability between and within each sentence type (see also Figures 2B and 2C).

      Typo: "In addition, we found that BERT structural interpretations were also a correlation with the main verb probability" >> correlated instead of correlation.

      We apologize for this typo. We have conducted a thorough proofreading to identify and correct any other typos present in the revised manuscript.

      "In this regard, DLMs excel in a flexible combination of different types of features embedded in their rich internal representations". What are the "different types", spell out at least some examples for illustration.

      We have rephrased this sentence to give a more detailed description.

      Fig 2 caption: "Same color scheme as in (A)" >> should be 'as in (B)'?, and later A instead of B.

      We are sorry for this typo. We have corrected it in the revised manuscript.

      Reviewer #2 (Recommendations For The Authors):

      My biggest recommendation is to make the paper clearer in two ways: (i) writing style, by hand-holding the reader through each section, and the motivation for each step, in both simple and technical language; (ii) schematic visuals, of the experimental design and the analysis. A schematic of the main experimental manipulation would be helpful, rather than just listing two example sentences. It would also be helpful to provide a schematic of the experimental setup and the analysis approach, so that people can refer to a visual aid in addition to the written explanation. For example, it is not immediately clear what is being correlated with what - I needed to go to the methods to understand that you are doing RSA across all of the trials. Make sure that all of the relevant details are explained, and that you motivate each decision.

      We thank R2 for these suggestions. In the revised manuscript, we have enhanced the clarity of the main text by providing a more detailed explanation of the motivation behind each analysis and the interpretation of the corresponding results. Additionally, in response to R2’s recommendation, we have added a few figures, including the illustration of the experimental design (Figure 1) and methods (see Figure 3C and Figure 5).

      Different visualisation of neural results - The main data result figures comparing BERT and the EMEG brain data are hard to evaluate because only t-values are provided, and those, are only for significant clusters. It would be helpful to see the full 600 ms time course of rho values, with error bars across subjects, to really be able to evaluate it visually.

      In the original manuscript, we opted to present t-value time courses for the sake of simplicity in illustrating the fits of the 12 model RDMs tested in 3 epochs. Following R2’s suggestion, we have included the ROI model fit time courses of each model RDM for all individual participants, as well as the mean model fit time course with standard error in Appendix 1figures 8-10 & 14-15.

      How are the authors dealing with prosody differences that disambiguate syntactic structures, that BERT does not have access to?

      All spoken sentence stimuli were recorded by a female native British English speaker, ensuring a neutral intonation throughout. Therefore, prosody is unlikely to vary systematically between different sentence types or be utilized to disambiguate syntactic structures. Sample speech stimuli have been made available in the following repository: https://osf.io/7u8jp/.

      A few writing errors: "was kept updated every time"

      We are sorry for the typos. We have conducted proof-reading carefully to identify and correct typos throughout the revised manuscript.

      Explain why the syntactic trees have "in park the" rather than "in the park"?

      The dependency parse trees (e.g., Figure 3A) were generated according to the conventions of dependency parsing (de Marneffe et al. 2006).

      Why are there mentions of the multiple demand network in the results? I'm not sure where this comes from.

      The mention of the multiple demand network was made due to the significant RSA fits observed in the dorsal lateral prefrontal regions and the superior parietal regions, which are parts of the multiple demand network. This observation was particularly notable for the BERT parse depth vector in the main verb epoch when the potential syntactic ambiguity was being resolved. It is plausible that these effects observed are partly attributed to the varying working memory demands required to maintain the “opening nodes” in the different syntactic structures being considered by listeners at this point in the sentence.

      Reviewer #3 (Recommendations For The Authors):

      The study first asked human listeners to complete partial sentences, and incremental parsing of the partial sentences can be captured based on the completed sentences. This analysis is helpful and I wonder if the behavioral data here are enough to model the E/MEG responses. For example, if I understood it correctly, the parse depth up to V1 can be extracted based on the completed sentences and used for the E/MEG analysis.

      The behavioural data alone do not suffice to model the E/MEG data. As we elucidated in our responses to R1, we employed three behavioural metrics derived from the continuation pretests. These metrics include the V1 transitivity and the PP probability, given the continuations after V1 (e.g., after “The dog found…”), as well as the MV probability, given the continuations after the prepositional phrase (e.g., after “The dog found in the park…”). These metrics aimed to capture participants’ prediction based on their structured interpretations at various positions in the sentence. However, none of these behavioural metrics yielded significant model fits to the listeners’ neural activity, which sharply contrasts with the substantial model fits of the BERT metrics in the same epochs. Besides, we also tried to model V1 parse depth as a weighted average based on participants’ continuations. As shown in Figure 3A, V1 parse depth is 0 in the active interpretation, 2 in the passive interpretation, while the parse depth of the determiner and the subject noun does not differ. However, this continuation-based V1 parse depth [i.e., 0 × Probability(active interpretation) + 2 × Probability(passive interpretation)] did not show significant model fits.

      Related to this point, I wonder if the incremental parse extracted using BERT is consistent with the human results (i.e., parsing extracted based on the completed sentences) on a sentence-bysentence basis.

      In fact, we did provide evidence showing the alignment between the incremental parse extracted using BERT and the human interpretation for the same partial sentence input (see Figure 4 in the main text and Appendix 1-figures 4-6).

      Furthermore, in Fig 1d, is it possible to calculate how much variance of the 3 probabilities is explained by the 4 factors, e.g., using a linear model? If these factors can already explain most of the variance of human parsing, is it possible to just use these 4 factors to explain neural activity?

      Following R3’s suggestion, we have conducted additional linear modelling analyses to compare the extent to which human behavioural data can be explained by corpus metrics and BERT metrics separately. Specifically, for each of the three probabilities obtained in the pretests (i.e., DO, PP, and MV), we constructed two linear models. One model utilized the four corpus-based metrics as regressors (i.e., SN agenthood, V1 transitivity, Passive index, and Active index), while the other model used BERT metrics as regressors (i.e., BERT parse depth of each word up to V1 from layer 13 for DO/PP probability and BERT parse depth of each word up to the end of PP from layer 14 for MV probability, consistent with the BERT layers reported in Figure 6).

      As shown in the table below, corpus metrics demonstrate a more effective fit than BERT metrics for predicting the DO/PP probability. The likelihood of a DO/PP continuation is chiefly influenced by the lexical syntactic property of V1 (i.e., transitivity), and appears to rely less on contextual factors. Since V1 transitivity is explicitly included as one of the corpus metrics, it is thus expected to align more closely with the DO/PP probability compared to BERT metrics, primarily reflecting transitive versus intransitive verb usage.

      Author response table 3.

      Actually, BERT V1 parse depth was not correlated with V1 transitivity when the sentence only unfolds to V1 (see Appendix 1-figure 6). This lack of correlation may stem from the fact that the BERT probing model was designed to represent the structure of a (partially) unfolded sentence, rather than to generate a continuation or prediction. Moreover, V1 transitivity alone does not conclusively determine the Active or Passive interpretation by the end of V1. For instance, both transitive and intransitive continuations after V1 are compatible with an Active interpretation. Consequently, the initial preference for an Active interpretation (as depicted by the early effects before V1 was recognized in Figure 6D), might be predominantly driven by the animate subject noun (SN) at the beginning of the sentence, a word order cue in languages like English (Mahowald et al. 2023).

      In contrast, when assessing the probability of a MV following the PP (e.g., after “The dog found in the park ...”), BERT metrics significantly outperformed corpus metrics in terms of fitting the MV probability. Although SN thematic role preference and V1 transitivity were designed to be the primary factors constraining the structured interpretation in this experiment, we could only obtain their context-independent estimates from corpora (i.e., considering all contexts). Additionally, despite Active/Passive index (a product of these two factors) are correlated with the MV probability, it may oversimplify the task of capturing the specific context of a given sentence. Furthermore, the PP following V1 is also expected to influence the structured interpretation. For instance, whether “in the park” is a more plausible scenario for people to find a dog or for a dog to find something. Thus, this finding suggests that the corpus-based metrics are not as effective as BERT in representing contextualized structured interpretations (for a longer sentence input), which might require the integration of constraints from every word in the input.

      In summary, corpus-based metrics excel in explaining human language behaviour when it primarily relies on specific lexical properties. However, they significantly lag behind BERT metrics when more complex contextual factors come into play at the same time. Regarding their performance in fitting neural data, among the four corpus-based metrics, we only observed significant model fits for the Passive index in the MV epoch when the intended structure for a Passive interpretation was finally resolved, while the other three metrics did not exhibit significant model fits in any epoch. Note that subject noun thematic role preference did fit neural data in the PP and MV epochs (Figure 8A and 8B). In contrast, the incremental BERT parse depth vector exhibited significant model fits in all three epochs we tested (i.e., V1, PP1, and MV).

      To summarize, I feel that I'm not sure if the structural information BERT extracts reflect the human parsing of the sentences, especially when the known influencing factors are removed.

      Based on the results presented above and, in the manuscript, BERT metrics align closely with human structured interpretations in terms of both behavioural and neural data. Furthermore, they outperform corpus-based metrics when it comes to integrating multiple constraints within the context of a specific sentence as it unfolds.

      Minor issues:

      Six types of sentences were presented. Three types were not analyzed, but the results for the UNA sentences are not reported either.

      In this study, we only analysed two out of the six types of sentences, i.e., HiTrans and LoTrans sentences. The remaining four types of sentences were included to ensure a diverse range of sentence structures and avoid potential adaption the same syntactic structure.

      Fig 1b, If I understood it correctly, each count is a sentence. Providing examples of the sentences may help. Listing the sentences with the corresponding probabilities in the supplementary materials can also help.

      Yes, each count in Figure 2B (Figure 1B in the original manuscript) is a sentence. All sentence stimuli and results of pre-tests are available in the following repository https://osf.io/7u8jp/.

      "trajectories of individual HiTrans and LoTrans sentences are considerably distributed and intertwined (Fig. 2C, upper), suggesting that BERT structural interpretations are sensitive to the idiosyncratic contents in each sentence." It may also mean the trajectories are noisy.

      We agree with R3 that there might be unwanted noise underlying the distributed and intertwined BERT parse depth trajectories of individual sentences. Meanwhile, it is also important to note that the correlation between BERT parse depths and lexical constraints of different words at the same position across sentences is statistically supported.

      References

      Baayen RH, Piepenbrock R, van H R. 1993. The {CELEX} lexical data base on {CD-ROM}. Baroni M, Dinu G, Kruszewski G. 2014. Don't count, predict! A systematic comparison of contextcounting vs. context-predicting semantic vectors. Proceedings of the 52nd Annual Meeting of the Association for Computational Linguistics, Vol 1.238-247.

      Caucheteux C, King JR. 2022. Brains and algorithms partially converge in natural language processing. Communications Biology. 5:134.

      Choi HS, Marslen-Wilson WD, Lyu B, Randall B, Tyler LK. 2021. Decoding the Real-Time Neurobiological Properties of Incremental Semantic Interpretation. Cereb Cortex. 31:233-247.

      de Marneffe M-C, MacCartney B, Manning CD editors. Generating typed dependency parses from phrase structure parses, Proceedings of the 5th International Conference on Language Resources and Evaluation; 2006 May 22-28, 2006; Genoa, Italy:European Language Resources Association. 449-454 p.

      Devlin J, Chang M-W, Lee K, Toutanova K editors. BERT: Pre-training of Deep Bidirectional Transformers for Language Understanding, Proceedings of the 2019 Conference of the North American Chapter of the Association for Computational Linguistics: Human Language Technologies; 2019 June 2-7, 2019; Minneapolis, MN, USA:Association for Computational Linguistics. 4171-4186 p.

      Frazier L. 1987. Syntactic processing: evidence from Dutch. Natural Language & Linguistic Theory. 5:519-559.

      Frazier L, Rayner K. 1982. Making and correcting errors during sentence comprehension: Eye movements in the analysis of structurally ambiguous sentences. Cognitive Psychology. 14:178-210.

      Klimovich-Gray A, Tyler LK, Randall B, Kocagoncu E, Devereux B, Marslen-Wilson WD. 2019. Balancing Prediction and Sensory Input in Speech Comprehension: The Spatiotemporal Dynamics of Word Recognition in Context. Journal of Neuroscience. 39:519-527.

      Kocagoncu E, Clarke A, Devereux BJ, Tyler LK. 2017. Decoding the cortical dynamics of soundmeaning mapping. Journal of Neuroscience. 37:1312-1319.

      Lyu B, Choi HS, Marslen-Wilson WD, Clarke A, Randall B, Tyler LK. 2019. Neural dynamics of semantic composition. Proceedings of the National Academy of Sciences of the United States of America. 116:21318-21327.

      Mahowald K, Diachek E, Gibson E, Fedorenko E, Futrell R. 2023. Grammatical cues to subjecthood are redundant in a majority of simple clauses across languages. Cognition. 241:105543.

      McRae K, Matsuki K. 2013. Constraint-based models of sentence processing. Sentence processing. 519:51-77.

      Schrimpf M, Blank IA, Tuckute G, Kauf C, Hosseini EA, Kanwisher N, Tenenbaum JB, Fedorenko E. 2021. The neural architecture of language: Integrative modeling converges on predictive processing. Proceedings of the National Academy of Sciences of the United States of America. 118:e2105646118.

    1. Author response:

      The following is the authors’ response to the original reviews

      We thank the reviewers for their careful reading of our manuscript and their considered feedback. Please see our detailed response to reviewer comments inset below.

      In addition to requested modifications we have also uploaded the proteomics data from 2 of the experiments contained within the manuscript onto the Immunological Proteome Resource (ImmPRes) website: immpres.co.uk making the data available in an easy-to-use graphical format for interested readers to interrogate and explore. We have added the following text to the data availability section (lines 1085-1091) to indicate this:

      “An easy-to-use graphical interface for examining protein copy number expression from the 24-hour TCR WT and Pim dKO CD4 and CD8 T cell proteomics and IL-2 and IL-15 expanded WT and Pim dKO CD8 T cell proteomics datasets is also available on the Immunological Proteome Resource website: immpres.co.uk (Brenes et al., 2023) under the Cell type(s) selection: “T cell specific” and Dataset selection: “Pim1/2 regulated TCR proteomes” and “Pim1/2 regulated IL2 or IL15 CD8 T cell proteomes”.”

      As well as indicating in figure legends where proteomics datasets are first introduced in Figures 1, 2 and 4 with the text:

      “An interactive version of the proteomics expression data is available for exploration on the Immunological Proteome Resource website: immpres.co.uk

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary and Strengths:

      The study focuses on PIM1 and 2 in CD8 T cell activation and differentiation. These two serine/threonine kinases belong to a large network of Serine/Threonine kinases that acts following engagement of the TCR and of cytokine receptors and phosphorylates proteins that control transcriptional, translational and metabolic programs that result in effector and memory T cell differentiation. The expression of PIM1 and PIM2 is induced by the T-cell receptor and several cytokine receptors. The present study capitalized on high-resolution quantitative analysis of the proteomes and transcriptomes of Pim1/Pim2-deficient CD8 T cells to decipher how the PIM1/2 kinases control TCRdriven activation and IL-2/IL-15-driven proliferation, and differentiation into effector T cells.

      Quantitative mass spectrometry-based proteomics analysis of naïve OT1 CD8 T cell stimulated with their cognate peptide showed that the PIM1 protein was induced within 3 hours of TCR engagement, and its expression was sustained at least up to 24 hours. The kinetics of PIM2 expression was protracted as compared to that of PIM1. Such TCRdependent expression of PIM1/2 correlated with the analysis of both Pim1 and Pim2 mRNA. In contrast, Pim3 mRNA was only expressed at very low levels and the PIM3 protein was not detected by mass spectrometry. Therefore, PIM1 and 2 are the major PIM kinases in recently activated T cells. Pim1/Pim2 double knockout (Pim dKO) mice were generated on a B6 background and found to express a lower number of splenocytes. No difference in TCR/CD28-driven proliferation was observed between WT and Pim dKO T cells over 3 days in culture. Quantitative proteomics of >7000 proteins further revealed no substantial quantitative or qualitative differences in protein content or proteome composition. Therefore, other signaling pathways can compensate for the lack of PIM kinases downstream of TCR activation.

      Considering that PIM1 and PIM2 kinase expression is regulated by IL-2 and IL-15, antigen-primed CD8 T cells were expanded in IL-15 to generate memory phenotype CD8 T cells or expanded in IL-2 to generate effector cytotoxic T lymphocytes (CTL). Analysis of the survival, proliferation, proteome, and transcriptome of Pim dKO CD8 T cells kept for 6 days in IL-15 showed that PIM1 and PIM2 are dispensable to drive the IL-15mediated metabolic or differentiation programs of antigen-primed CD8 T cells. Moreover, Pim1/Pim2-deficiency had no impact on the ability of IL-2 to maintain CD8 T cell viability and proliferation. However, WT CTL downregulated the expression of CD62L whereas the Pim dKO CTL sustained higher CD62L expression. Pim dKO CTL was also smaller and less granular than WT CTL. Comparison of the proteome of day 6 IL-2 cultured WT and Pim dKO CTL showed that the latter expressed lower levels of the glucose transporters, SLC2A1 and SLC2A3, of a number of proteins involved in fatty acid and cholesterol biosynthesis, and CTL effector proteins such as granzymes, perforin, IFNg, and TNFa. Parallel transcriptomics analysis showed that the reduced expression of perforin and some granzymes correlated with a decrease in their mRNA whereas the decreased protein levels of granzymes B and A, and the glucose transporters SLC2A1 and SLC2A3 did not correspond with decreased mRNA expression. Therefore, PIM kinases are likely required for IL-2 to maximally control protein synthesis in CD8 CTL. Along that line, the translational repressor PDCD4 was increased in Pim dKO CTL and pan-PIM kinase inhibitors caused a reduction in protein synthesis rates in IL-2expanded CTL. Finally, the differences between Pim dKO and WT CTL in terms of CD62L expression resulted in Pim dKO CTL but not WT CTL retained the capacity to home to secondary lymphoid organs. In conclusion, this thorough and solid study showed that the PIM1/2 kinases shape the effector CD8 T cell proteomes rather than transcriptomes and are important mediators of IL2-signalling and CD8 T cell trafficking.

      Weaknesses:

      None identified by this reviewer.

      Reviewer #2 (Public Review):

      Summary:

      Using a suite of techniques (e.g., RNA seq, proteomics, and functional experiments ex vivo) this paper extensively focuses on the role of PIM1/2 kinases during CD8 T-cell activation and cytokine-driven (i.e., IL-2 or IL-15) differentiation. The authors' key finding is that PIM1/2 enhances protein synthesis in response to IL-2 stimulation, but not IL-15, in CD8+ T cells. Loss of PIM1/2 made T cells less 'effector-like', with lower granzyme and cytokine production, and a surface profile that maintained homing towards secondary lymphoid tissue. The cytokines the authors focus on are IL-15 and Il-2, which drive naïve CD8 T cells towards memory or effector states, respectively. Although PIM1/2 are upregulated in response to T-cell activation and cytokine stimulation (e.g., IL-15, and to a greater extent, IL-2), using T cells isolated from a global mouse genetic knockout background of PIM1/2, the authors find that PIM1/2 did not significantly influence T-cell activation, proliferation, or expression of anything in the proteome under anti-

      CD3/CD28 driven activation with/without cytokine (i.e., IL-15) stimulation ex vivo. This is perhaps somewhat surprising given PIM1/2 is upregulated, albeit to a small degree, in response to IL-15, and yet PIM1/2 did not seem to influence CD8+ T cell differentiation towards a memory state. Even more surprising is that IL-15 was previously shown to influence the metabolic programming of intestinal intraepithelial lymphocytes, suggesting cell-type specific effects from PIM kinases. What the authors went on to show, however, is that PIM1/2 KO altered CD8 T cell proteomes in response to IL-2. Using proteomics, they saw increased expression of homing receptors (i.e., L-selectin, CCR7), but reduced expression of metabolism-related proteins (e.g., GLUT1/3 & cholesterol biosynthesis) and effector-function related proteins (e.g., IFNy and granzymes). Rather neatly, by performing both RNA-seq and proteomics on the same IL2 stimulated WT vs. PIM1/2 KO cells, the authors found that changes at the proteome level were not corroborated by differences in RNA uncovering that PIM1/2 predominantly influence protein synthesis/translation. Effectively, PIM1/2 knockout reduced the differentiation of CD8+ T cells towards an effector state. In vivo adoptive transfer experiments showed that PIM1/2KO cells homed better to secondary lymphoid tissue, presumably owing to their heightened L-selectin expression (although this was not directly examined).

      Strengths:

      Overall, I think the paper is scientifically good, and I have no major qualms with the paper. The paper as it stands is solid, and while the experimental aim of this paper was quite specific/niche, it is overall a nice addition to our understanding of how serine/threonine kinases impact T cell state, tissue homing, and functionality. Of note, they hint towards a more general finding that kinases may have distinct behaviour in different T-cell subtypes/states. I particularly liked their use of matched RNA-seq and proteomics to first suggest that PIM1/2 kinases may predominantly influence translation (then going on to verify this via their protein translation experiment - although I must add this was only done using PIM kinase inhibitors, not the PIM1/2KO cells). I also liked that they used small molecule inhibitors to acutely reduce PIM1/2 activity, which corroborated some of their mouse knockout findings - this experiment helps resolve any findings resulting from potential adaptation issues from the PIM1/2 global knockout in mice but also gives it a more translational link given the potential use of PIM kinase inhibitors in the clinic. The proteomics and RNA seq dataset may be of general use to the community, particularly for analysis of IL-15 or IL-2 stimulated CD8+ T cells.

      We thank the reviewer for their comments supporting the robustness and usefulness of our data.

      Weaknesses:

      It would be good to perform some experiments in human T cells too, given the ease of e.g., the small molecule inhibitor experiment.

      The suggestions to check PIM inhibitor effects in human T cell is a good one. We think an ideal experiment would be to use naïve cord blood derived CD4 and CD8 cells as a model to avoid the impact of variability in adult PBMC and to really look at what PIM kinases do as T cells first respond to antigen and cytokines. In this context there is good evidence that the signalling pathways used by antigen receptors or the cytokines IL-2 and IL-15 are not substantially different in mouse and human. We have also previously compared proteomes of mouse and human IL-2 expanded cytotoxic T cells and they are remarkably similar. As such we feel that mature mouse CD8 T cells are a genetically tractable model to use to probe the signalling pathways that control cytotoxic T cell function. To repeat the full set of experiments observed within this study with human T cells would represent 1-year of work by an experienced postdoctoral fellow.

      Unfortunately, the funding for the project has come to an end and there is no capacity to complete this work.

      Would also be good for the authors to include a few experiments where PIM1/2 have been transduced back into the PIM1/2 KO T cells, to see if this reverts any differences observed in response to IL-2 - although the reviewer notes that the timeline for altering primary T cells via lentivirus/CRISPR may be on the cusp of being practical such that functional experiments can be performed on day 6 after first stimulating T cells.

      A rescue experiment could indeed be informative, though of course comes with challenges/caveats with re-expressing both proteins that have been deleted at once and ability to control the level of PIM kinase that is re-expressed. This work using the Pim dKO mice was performed from 2019-2021 and was seriously impacted by the work restrictions during the COVID19 pandemic. We had to curtail all mouse colonies to allow animal staff to work within the legal guidelines. We had to make choices and the Pim1/2 dKO colony was stopped because we felt we had generated very useful data from the work but could not justify continued maintenance of the colony at such a difficult time. As such we no longer have this mouse line to perform these rescue experiments.

      We have however, performed a limited number of retroviral overexpression studies in WT IL-2-expanded CTL, where T cells were transfected after 24 hours activation and phenotype measured on day 6 of culture. We chose to leave these out of the initial manuscript as these were overexpression under conditions where PIM expression was already high, rather than a true test of the ability of PIM1 or PIM2 to rescue the Pim dKO phenotype. A more robust test would also have required doing these overexpression experiments in IL-15 expanded or cytokine deprived CTL where PIM kinase expression is low, however, we ran out of time and funding to complete this work.

      We have provided Author response image 1 below from the experiments performed in the IL-2 CTL for interested readers. The limited experiments that were performed do support some key phenotypes observed with the Pim dKO mice or PIM inhibitors, finding that PIM1 or PIM2 overexpression was sufficient to increase S6 phosphorylation, and provided a small further increase in GzmB expression above the already very high levels in IL-2 expanded CTL.

      Author response image 1.

      PIM1 or PIM2 overexpression drives increased GzmB expression and S6 phosphorylation in WT IL-2 CTL. OT1 lymph node cell suspensions were activated for 24 hours with SIINFEKL peptide (10 ng/mL), IL-2 (20 ng/mL) and IL-12 (2 ng/mL) then transfected with retroviruses to drive expression of PIM1-GFP, PIM2-GFP fusion proteins or a GFP only control. T cells were split into fresh media and IL-2 daily and (A) GzmB expression and (B) S6 phosphorylation assessed by flow cytometry in GFP+ve vs GFP-ve CD8 T cells 5 days post-transfection (i.e. day 6 of culture). Histograms are representative of 2 independent experiments.

      Other experiments could also look at how PIM1/2 KO influences the differentiation of T cell populations/states during ex vivo stimulation of PBMCs or in vivo infection models using (high-dimensional) flow cytometry (rather than using bulk proteomics/RNA seq which only provide an overview of all cells combined).

      We did consider the idea of in vivo experiments with the Pim1/2 dKO mice but rejected this idea as the mice have lost PIM kinases in all tissues and so we would not be able to understand if any phenotype was CD8 T cell selective. To note the Pim1/2 dKO mice are smaller than normal wild type mice (discussed further below) and clearly have complex phenotypes. An ideal experiment would be to make mice with floxed Pim1 and Pim2 alleles so that one could use cre recombinase to make a T cell-specific deletion and then study the impact of this in in vivo models. We did not have the budget or ethical approval to make these mice. Moreover, this study was carried out during the COVID pandemic when all animal experiments in the UK were severely restricted. So our objective was to get a molecular understanding of the consequences of losing theses kinases for CD8 T cells focusing on using controlled in vitro systems. We felt that this would generate important data that would guide any subsequent experiments by other groups interested in these enzymes.

      We do accept the comment about bulk population proteomics. Unfortunately, single cell proteomics is still not an option at this point in time. High resolution multidimensional flow cytometry is a valuable technique but is limited to looking at only a few proteins for which good antibodies exist compared to the data one gets with high resolution proteomics.

      Alongside this, performing a PCA of bulk RNA seq/proteomes or Untreated vs. IL-2 vs. IL-15 of WT and PIM1/2 knockout T cells would help cement their argument in the discussion about PIM1/2 knockout cells being distinct from a memory phenotype.

      We thank the reviewer for this very good suggestion. We have now included PCAs for the RNAseq and proteomics datasets of IL-2 and IL-15 expanded WT vs Pim dKO CTL in Fig S5 and added the following text to the discussion section of the manuscript (lines 429-431):

      “… and PCA plots of IL-15 and IL-2 proteomics and RNAseq data show that Pim dKO IL-2 expanded CTL are still much more similar to IL-2 expanded WT CTL than to IL-15 expanded CTL (Fig S5)”.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      In panel B of Figure S1, are the smaller numbers of splenocytes found in dKO fully accounted for by a reduction in the numbers of T cells or also correspond to a reduction in B cell numbers? Are the thymus and lymph nodes showing the same trend?

      We’re happy to clarify on this.

      Since we were focused on T cell phenotypes in the paper this is what we have plotted in this figure, however there is also a reduction in total number of B, NK and NKT cells in the Pim dKO mice (see James et al, Nat Commun, 2021 for additional subset percentages). We find that all immune subsets we have measured make up the same % of the spleen in Pim dKO vs WT mice (we show this for T cell subsets in what was formerly Fig S1C and is now Fig S1A), the total splenocyte count is just lower in the Pim dKO mice (which we show in what was formerly Fig S1B and is now Fig S1C). To note, the Pim dKO mice were smaller than their WT counterparts (though we have not formally weighed and quantified this) and we think this is likely the major factor leading to lower total splenocyte numbers.

      We have not checked the thymus so can’t comment on this. We can confirm that lymph nodes from Pim dKO mice had the same number and % CD4 and CD8 T cells as in WT.

      For our in vitro studies we have made sure to either use co-cultures or for single WT and Pim dKO cultures to equalise starting cell densities between wells to account for the difference in total splenocyte number. We have now clarified this point in the methods section lines 682-684

      “For generation of memory-like or effector cytotoxic T lymphocytes (CTL) from mice with polyclonal T cell repertoires, LN or spleen single cell suspensions at an equal density for WT and Pim dKO cultures (~1-3 million live cells/mL)….”

      Reviewer #2 (Recommendations For The Authors):

      Line 89-99 - PIM kinase expression is elevated in T cells in autoimmunity and inhibiting therefore may make some sense if PIM is enhancing T cell activity. Why then would you use an inhibitor in cancer settings? This needs better clarification for readers, with reference to T cells, particularly given this is an important justification for looking at PIM kinases in T cells.

      We thank the reviewer for highlighting the lack of clarity in our explanation here.

      PIM kinase inhibitors alone are proposed as anti-tumour therapies for select cancers to block tumour growth. However so far these monotherapies haven’t been very effective in clinical trials and combination treatment options with a number of strategies are being explored. There are two lines of logic for why PIM kinase inhibitors might be a good combination with an e.g. anti-PD1 or adoptive T cell immunotherapy. 1) PIM kinase inhibition has been shown to reduce inhibitory/suppressive surface proteins (e.g. PDL1) and cytokine (e.g. TGFbeta) expression in tumour cells and macrophages in the tumour microenvironment. 2) Inhibiting glycolysis and increasing memory/stem-like phenotype has been identified as desirable for longer-lasting more potent anti-tumour T cell immunity. PIM kinase inhibition has been shown to reduce glycolytic function and increase several ‘stemness’ promoting transcription factors e.g. TCF7 in a previous study. Controlled murine cancer models have shown improvement in clearance with the combination of pan-Pim kinase inhibitors and anti-PD1/PDL1 treatments (Xin et al, Cancer Immunol Res, 2021 and Chatterjee et al, Clin Cancer Res 2019).

      It is worth noting, this is seemingly contradictory with other studies of Pim kinases in T cells that have generally found Pim1/2/3 deletion or inhibition in T cells to be suppressive of their function.

      We have clarified this reasoning/seeming conflict of results in the introductory text as follows (lines 90-101):

      “PIM kinase inhibitors have also entered clinical trials to treat some cancers (e.g. multiple myeloma, acute myeloid leukaemia, prostate cancer), and although they have not been effective as a monotherapy, there is interest in combining these with immunotherapies. This is due to studies showing PIM inhibition reducing expression of inhibitory molecules (e.g. PD-L1) on tumour cells and macrophages in the tumour microenvironment and a reported increase of stem-like properties in PIM-deficient T cells which could potentially drive longer lasting anti-cancer responses (Chatterjee et al., 2019; Xin et al., 2021; Clements and Warfel, 2022). However, PIM kinase inhibition has also generally been shown to be inhibitory for T cell activation, proliferation and effector activities (Fox et al., 2003; Mikkers et al., 2004; Jackson et al., 2021) and use of PIM kinase inhibitors could have the side effect of diminishing the anti-tumour T cell response.”  

      Line 93 - The use of 'some cancers' is rather vague and unscientific - please correct phrasing like this. The same goes for lines 54 and 77 (some kinases and some analyses).

      We have clarified the sentence in what is now Line 91 to include examples of some of the cancers that PIM kinase inhibitors have been explored for (see text correction in response to previous reviewer comment), which are predominantly haematological malignancies. The use of the phrase ‘some kinases’ and ‘some analyses’ in what are now Lines 52 and 75 is in our view appropriate as the subsequent sentence/(s) provide specific details on the kinases and analyses that are being referred to.

      Lines 146-147 - Could it be that rather than redundancies, PIM KO is simply not influential on TCR/CD28 signalling in general but influences other pathways in the T cell?

      We agree that the lack of PIM1/2 effect could also be because PIM targets downstream of TCR/CD28 are not influential and have clarified the text as follows (lines 156-161):

      “These experiments quantified expression of >7000 proteins but found no substantial quantitative or qualitative differences in protein content or proteome composition in activated WT versus Pim dKO CD4 and CD8 T cells (Fig 1G-H) (Table S1). Collectively these results indicate that PIM kinases do not play an important unique role in the signalling pathways used by the TCR and CD28 to control T cell activation.”

      Line 169 - Instead of specifying control - maybe put upregulate or downregulate for clarity.

      We have changed the text as per reviewer suggestion (see line 183)

      Line 182-183 - I would move the call out for Figure 2D to after the last call out for Figure 2C to make it more coherent for readers.

      We have changed the text as per reviewer suggestion (see lines 197-200)

      Line 190 - 14,000 RNA? total, unique? mRNA?

      These are predominantly mRNA since a polyA enrichment was performed as part of the standard TruSeq stranded mRNA sample preparation process, however, a small number of lncRNA etc were also detected in our RNA sequencing. We left the results in as part of the overall analysis since it may be of interest to others but don’t look into it further. We do mention the existence of the non-mRNA briefly in the subsequent sentence when discussing the total number of DE RNA that were classified as protein coding vs non-coding.

      We have edited this sentence as follows to more accurately reflect that the RNA being referred to is polyA+ (lines 205-207):

      “The RNAseq analysis quantified ~14,000 unique polyA+ mRNA and using a cut off of >1.5 fold-change and q-value <0.05 we saw that the abundance of 381 polyA+ RNA was modified by Pim1/Pim2-deficiency (Fig 2E) (Table S2A).

      Questions/points regarding figures:

      Figure 1 - Is PIM3 changed in expression with the knockout of PIM1/2 in mice? Although the RNA is low could there be some compensation here? The authors put a good amount of effort in to showing that mouse T cells do not exhibit differences from knocking out pim1/2 i.e., Efforts have been made to address this using activation markers and cell size, cytokines, and proliferation and proteomics of activated T cells. What do the resting T cells look like though? Although TCR signalling is not impacted, other pathways might be. Resting-state comparison may identify this.

      In all experiments Pim3 mRNA was only detected at very low levels and no PIM3 protein was detected by mass spectrometry in either wild type or PIM1/2 double KO TCR activated or cytokine expanded CD8 T cells (See Tables S1, S3, S4). There was similarly no change in Pim3 mRNA expression in RNAseq of IL-2 or IL-15 expanded CD8 T cells (See Tables S2, S6). While we have not confirmed this in resting state cells for all the conditions examined, there is no evidence that PIM3 compensates for PIM1/2deficiency or that PIM3 is substantially expressed in T cells.

      Figure 1A&B - Does PIM kinase stay elevated when removing TCR stimulus? During egress from lymph node and trafficking to infection/tumour/autoimmune site, T cells experience a period of 'rest' from T-cell activation so is PIM upregulation stabilized, or does it just coincide with activation? This could be a crucial control given the rest of the study focuses on day 6 after initial activation (which includes 4 days of 'rest' from TCR stimulation). Nice resolution on early time course though.

      This is an interesting question. Unfortunately, we do not know how sensitive PIM kinases are to TCR stimulus withdrawal, as we have not tried removing the TCR stimulus during early activation and measuring PIM expression.

      Based on the data in Fig 2A there is a hint that 4 hours withdrawal of peptide stimulus may be enough to lose PIM1/2 expression (after ~36 hrs of TCR activation), however, we did not include a control condition where peptide is retained within the culture. Therefore, we cannot resolve this question from the current experimental data, as this difference could also be due to a further increase in PIMs in the cytokine treated conditions rather than a reduction in expression in the no cytokine condition. This ~36-hour time point is also at a stage where T cells have become more dependent on cytokines for their sustained signalling compared to TCR stimulus.

      It is worth noting that PIM kinases are thought to have fairly short mRNA and protein half lives (~5-20 min for PIM1 in primary cells, ~10 min – 1 hr for PIM2). This is consistent with previous observations that cytotoxic T cells need sustained IL-2/Jak signalling to sustain PIM kinase expression, e.g. in Rollings et al (2018) Sci Signaling, DOI:10.1126/scisignal.aap8112 . We would therefore expect that sustained signalling from some external signalling receptor whether this is TCR, costimulatory receptors or cytokines is required to drive Pim1/2 mRNA and protein expression.

      Figure 1D - the CD4 WT and Pim dKO plots are identical - presumably a copying error - please correct.

      We apologise for the copying error and have amended the manuscript to show the correct data. We thank the reviewer for noticing this mistake.

      In Figure 1H - there is one protein found significant - would be nice to mention what this is - for example, if this is a protein that influences TCR levels this could be quite important.

      The protein is Phosphoribosyl Pyrophosphate synthase 1 like 1 (Prps1l1).

      This was a low confidence quantification (based on only 2 peptides) with no known function in T cells. Based on what is known, this gene is predominantly expressed in the testis (though also detected in spleen, lung, liver). A whole-body KO mouse found no difference in male fertility. No further phenotype has been reported in this mouse. See: Wang et al (2018) Mol Reprod Dev, DOI: 10.1002/mrd.23053

      We have added the following text to the legend of Figure 1H to address this protein:

      “Phosphoribosyl Pyrophosphate synthase 1 like 1 (Prps1l1), was found to be higher in Pim dKO CD8 T cells, but was a low confidence quantification (based on only 2 unique peptides) with no known function in T cells.”

      Figure S1 - In your mouse model the reduction in CD4 T cells is quite dramatic in the spleen - is this reduced homing or reduced production of T cells through development?

      Could you quantify the percentage of CD45+ cells that are T cells from blood too? Would be good to have a more thorough analysis of this new mouse model.

      We apologise for the lack of clarity around the Pim dKO mouse phenotype. Something we didn’t mention previously due to a lack of a formal measurement is that the Pim dKO mice were typically smaller than their WT counterparts. This is likely the main reason for total splenocytes being lower in the Pim dKO mice - every organ is smaller. It is not a phenotype reported in Pim1/2 dKO mice on an FVB background, though has been reported in the Pim1/2/3 triple KO mouse before (see Mikkers et al, Mol Cell Biol 2004 doi: 10.1128/MCB.24.13.6104-6115.2004).

      The % cell type composition of the spleen is equivalent between WT and Pim dKO mice and as mentioned above, was controlled for when setting up of our in vitro cultures.

      We have revised the main text and changed the order of the panels in Fig S1 to make this caveat clearer as follows (lines 138-144):

      “There were normal proportions of peripheral T cells in spleens of Pim dKO mice (Fig S1A) similar to what has been reported previously in Pim dKO mice on an FVB/N genetic background (Mikkers et al., 2004), though the total number of T cells and splenocytes was lower than in age/sex matched wild-type (WT) mouse spleens (Fig S1B-C). This was not attributable to any one cell type (Fig S1A)(James et al., 2021) but was instead likely the result of these mice being smaller in size, a phenotype that has previously been reported in Pim1/2/3 triple KO mice (Mikkers et al., 2004).”

      Figure S1C - why are only 10-15% of the cells alive? Please refer to this experiment in the main text if you are going to include it in the supplementary figure.

      With regards what was previously Fig S1C (now Fig S1A) we apologise for our confusing labelling. We were quoting these numbers as the percentage of live splenocytes (i.e. % of live cells). Typically ~80-90% of the total splenocytes were alive by the time we had processed, stained and analysed them by flow cytometry direct ex vivo. Of these CD4 and CD8 T cells made up ~%10-15 of the total live splenocytes (with most of the rest of the live cells being B cells).  

      We have modified the axis to say “% of splenocytes” to make it clearer that this is what we are plotting.

      Figure S1 - Would be good to show that the T cells are truly deficient in PIM1/2 in your mice to be absolutely sure. You could just make a supplementary plot from your mass spec data.

      This is a good suggestion and we have now included this data as supplementary figure 2.

      To note, due to the Pim1 knockout mouse design this is not as simple as showing presence or absence of total PIM1 protein detection in this instance.

      To elaborate: the Pim1/Pim2 whole body KO mice used in this study were originally made by Prof Anton Berns’ lab (Pim1 KO = Laird et al Nucleic Acids Res, 1993, doi: 10.1093/nar/21.20.4750, with more detail on deletion construct in te Riele, H. et al, Nature,1990, DOI: 10.1038/348649a0; Pim2 KO = Mikkers et al, Mol Cell Biol, 2004, DOI: 10.1128/MCB.24.13.6104-6115.2004). They were given to Prof Victor Tybulewicz on an FVB/N background. He then backcrossed them onto the C57BL/6 background for > 10 generations then gave them to us to intercross into Pim1/2 dKO mice on a C57BL/6 background.

      The strategy for Pim1 deletion was as follows:

      A neomycin cassette was recombined into the Pim1 gene in exon 4 deleting 296 Pim1 nucleotides. More specifically, the 98th pim-1 codon (counted from the ATG start site = the translational starting point for the 34 kDa isoform of PIM1) was fused in frame by two extra codons (Ser, Leu) to the 5th neo codon (pKM109-90 was used). The 3'-end of neo included a polyadenylation signal. The cassette also contains the PyF101 enhancer (from piiMo +PyF101) to ensure expression of neo on homologous recombination in ES cells.

      Collectively this means that the PIM1 polypeptide is made prior to amino acid 98 of the 34 kDa isoform but not after this point. This deletes functional kinase activity in both the 34 kDa and 44 kDa PIM1 isoforms. Ablation of PIM1 kinase function using this KO was verified via kinase activity assay in Laird et al. Nucelic Acids Res 1993.

      The strategy to delete Pim2 was as follows:

      “For the Pim2 targeting construct, genomic BamHI fragments encompassing Pim2 exons 1, 2, and 3 were replaced with the hygromycin resistance gene (Pgp) controlled by the human PGK promoter.” (Mikkers et al Mol Cell Biol, 2004)

      The DDA mass spectrometry data collected in Fig 1 G-H and supplementary table 1 confirmed we do not detect peptides from after amino acid residue 98 in PIM1 (though we do detect peptides prior to this deletion point) and we do not detect peptides from the PIM2 protein in the Pim dKO mice. Thus confirming that no catalytically active PIM1/PIM2 proteins were made in these mice.

      We have added a supplementary figure S2 showing this and the following text (Lines 155-156):

      “Proteomics analysis confirmed that no catalytically active PIM1 and PIM2 protein were made in Pim dKO mice (Fig S2).”

      Figure 2A - I found the multiple arrows a little confusing - would just use arrows to indicate predicted MW of protein and stars to indicate non-specific. Why are there 3 bands/arrows for PIM2?  

      The arrows have now been removed. We now mention the PIM1 and PIM2 isoform sizes in the figure legend and have left the ladder markings on the blots to give an indication of protein sizes. There are 2 isoforms for PIM1 (34 and 44 kDa) in addition to the nonspecific band and 3 isoforms of PIM2 (40, 37, 34 kDa, though two of these isoform bands are fairly faint in this instance). These are all created via ribosome use of different translational start sites from a single Pim1 or Pim2 mRNA transcript.

      The following text has been added to the legend of Fig 2A:

      “Western blots of PIM1 (two isoforms of 44 and 34 kDa, non-specific band indicated by *), PIM2 (three isoforms of 40, 37 and 34 kDa) or pSTAT5 Y694 expression.”

      Figure 2A - why are the bands so faint for PIM1/2 (almost non-existent for PIM2 under no cytokine stim) here yet the protein expression seems abundant in Figure 1B upon stim without cytokines? Is this a sensitivity issue with WB vs proteomics? My apologies if I have missed something in the methods but please explain this discrepancy if not.

      There is differing sensitivity of western blotting versus proteomics, but this is not the reason for the discrepancy between the data in Fig 1B versus 2A. These differences reflect that Fig1 B and Fig 2A contrast PIM levels in two different sets of conditions and that while proteomics allows for an estimate of ‘absolute abundance’ Western blotting only shows relative expression between the conditions assessed.  

      To expand on this… Fig 1B proteomics looks at naïve versus 24 hr aCD3/aCD28 TCR activated T cells. The western blot data in Fig 2A looks at T cells activated for 1.5 days with SIINFEKL peptide and then washed free of the media containing the TCR stimulus and cultured with no stimulus for 4 or 24 hrs hours and contrast this with cells cultured with IL-2 or IL-15 for 4 or 24 hours. All Fig 2A can tell us is that cytokine stimuli increases and/or sustains PIM1 and PIM2 protein above the level seen in TCR activated cells which have not been cultured with cytokine for a given time period. Overexposure of the blot does reveal detectable PIM1 and PIM2 protein in the no cytokine condition after 4 hrs. Whether this is equivalent to the PIM level in the 24 hr TCR activated cells in Fig 1B is not resolvable from this experiment as we have not included a sample from a naïve or 24 hr TCR activated T cell to act as a point of reference.

      Figure 4F - Your proteomics data shows substantial downregulation in proteomics data for granzymes and ifny- possibly from normalization to maximise the differences in the graph - and yet your flow suggests there are only modest differences. Can you explain why a discrepancy in proteomics and flow data - perhaps presenting in a more representative manner (e.g., protein counts)?

      The heatmaps are a scaled for ‘row max’ to ‘row min’ copy number comparison on a linear scale and do indeed visually maximise differences in expression between conditions. This feature of these heatmaps is also what makes the lack of difference in GzmB and GzmA at the mRNA heatmap in Fig 5C quite notable.

      We have now included bar graphs of Granzymes A and B and IFNg protein copy number in Figure 4 (see new Fig 4G-H) to make clearer the magnitude of the effect on the major effector proteins involved in CTL killing function. It is worth noting that flow cytometry histograms from what was formerly Fig 4G (now Fig 4I) are on a log-scale so the shift in fluorescence does generally correspond well with the ~1.7-2.75-fold reduction in protein expression observed.

      Figure 4G - did you use isotype controls for this flow experiment? Would help convince labelling has worked - particularly for low levels of IFNy production.

      We did not use isotype controls in these experiments but we are using a well validated interferon gamma antibody and very carefully colour panel/compensation controls to minimise background staining. The only ways to be 100% confident that an antibody is selective is to use an interferon gamma null T cell which we do not have. We do however know that the antibody we use gives flow cytometry data consistent with other orthogonal approaches to measure interferon gamma e.g. ELISA and mass spectrometry.

      Figure 5M - why perform this with just the PIM kinase inhibitors? Can you do this readout for the WT vs. PIM1/2KO cells too? This would really support your claims for the paper about PIM influencing translation given the off-target effects of SMIs.

      Regrettably we have not done this particular experiment with the Pim dKO T cells. As mentioned above, due to this work being performed predominantly during the COVID19 pandemic we ultimately had to make the difficult decision to cease colony maintenance. When work restrictions were lifted we could not ethically or economically justify resurrecting a mouse colony for what was effectively one experiment, which is why we chose to test this key biological question with small molecule inhibitors instead.

      We appreciate that SMIs have off target effects and this is why we used multiple panPIM kinase inhibitors for our SMI validation experiments. While the use of 2 different inhibitors still doesn’t completely negate the concern about possible off-target effects, our conclusions re: PIM kinases and impact on proteins synthesis are not solely based on the inhibitor work but also based on the decreased protein content of the PIM1/2 dKO T cells in the IL-2 CTL, and the data quantifying reductions in levels of many proteins but not their coding mRNA in PIM1/2dKO T cells compared to controls.

    1. Author Response

      The following is the authors’ response to the original reviews.

      We thank the reviewers for their positive and constructive evaluations. Based upon the reviewers’ helpful comments, we have performed complementary experiments. In particular, we additionally show that:

      • a complete analysis of CXCR1/2 binding chemokines in the secretions of tissular CD8+ T cells reinforces the key role of CXCL8 in CD8+ T cell-induced fibrocyte chemotaxis (new panel D in Figure 2)

      • a direct contact between fibrocytes and CD8+ T cells triggers CD8+ T cell cytotoxicity against primary basal bronchial epithelial cells (new Figure 6)

      • the interaction between CD8+ T cells and fibrocytes is bidirectional, with CD8+ T cells triggering the development of fibrocyte immune properties (new Figure 7)

      • the characteristic time to reach a stationary state reminiscent of a resolution of the COPD condition was estimated to be about 2.5 years using the simulations. Interfering with chemotaxis and adhesion processes by inhibiting CXCR1/2 and CD54, respectively was not sufficient to reverse the COPD condition, as predicted by the mathematical model (new Figure 9)

      • the massive proliferation effect induced by fibrocytes is specific to CD8+ T cells and not CD4+ T cells (new Figure 3-figure supplement 2), and that fibrocytes moderately promote the death of unactivated CD8+ T cells in direct co-culture (new Figure 3-figure supplement 3)

      We have graphically summarized our findings (new Figure 10) suggesting the existence of a positive feedback loop playing a role in the vicious cycle that promotes COPD. A new table describing patient characteristics for basal bronchial epithelial cell purification has also been added (new Supplementary File 9), the Supplementary Files 7 and S8 have been up-dated to take into account the new experiments.

      The mass spectrometry proteomics data have been deposited to the ProteomeXchange Consortium (http://proteomecentral.proteomexchange.org) via the PRIDE partner repository with the dataset identifier PXD041402.  

      Reviewer #1 (Recommendations For The Authors):

      The experimental approaches are all rationally designed and the data clearly presented, with appropriate analyses and sample sizes. I could find no technical or interpretative concerns. The interrelationship between the observational data (histology) with the quantitative live cell imaging and the follow-on functional investigations is especially laudable. The data nicely unifies several years of accumulated data regarding the (separate) participation of CD8 T cells and fibrocytes in COPD.

      We thank the reviewer for his/her comments.

      I have only minor comments:

      1) Line 79: The observation that T cells may influence fibrocyte differentiation/function was initially made some years earlier by Abe et al (J Immunol 2001; 7556), and should be cited in addition to the follow-on work of Niedermeyer.

      This reference has been added to acknowledge this seminal work.

      2) Line 632: Corticosteroids originate from the cortex of the adrenal gland. Budenoside and fluticasone are glucocorticoids, not corticosteroids.

      This mistake has been corrected in the discussion of the revised manuscript (see line 802 in the revised manuscript).

      3) Given the state of T cell immunotherapies, cytokine/chemokine antagonists, and emerging fibrocyte-targeted drugs, can the authors possibly speculate as to desired pathways to target therapeutically?

      Chemokine-receptor based therapies could be used to inhibit fibrocyte recruitment into the lungs, such as CXCR4 blockade. We have very recently shown that using the CXCR4 antagonist, plerixafor, alleviates bronchial obstruction and reduces peri-bronchial fibrocytes density (Dupin et al., 2023). Because CXCR4 expression in human fibrocytes is dependent on mTOR signaling and is inhibited by rapamycin in vitro (Mehrad et al., 2009), alternative strategies consisting of targeting fibrocytes via mTOR have been proposed. This target has proven effective in bronchiolitis obliterans, idiopathic pulmonary fibrosis, and thyroid-associated ophthalmopathy, using rapamycin (Gillen et al., 2013; Mehrad et al., 2009), sirolimus (Manjarres et al., 2023) or an insulin-like growth factor-1 (IGF-I) receptor blocking antibody (Douglas et al., 2020; Smith et al., 2017). Inhibiting mTOR is also expected to have effects on CD8+ T cells, ranging from an immunostimulatory effect by activation of memory CD8+ T-cell formation, to an immunosuppressive effect by inhibition of T cell proliferation (Araki et al., 2010). Last, chemokine-receptor base therapies could also include strategies to inhibit the CD8+-induced fibrocyte chemotaxis, such as dual CXCR1-CXCR2 blockade. We were able to test this latter strategy in our mathematical model, see response to point 6 of reviewer 2.

      Immunotherapies directly targeting the interaction between fibrocytes and CD8+ T cells could also be considered, such as CD86 or CD54 blockade. The use of abatacept and belatacept, that interfere with T cell co-stimulation, is effective in patients with rheumatoid arthritis (Pombo-Suarez & Gomez-Reino, 2019) and in kidney-transplant recipients (Vincenti et al., 2016), respectively. Targeting the IGF-I receptor by teprotumumab in the context of thyroid-associated ophthalmopathy also improved disease outcomes, possibly by altering fibrocyte-T cell interactions (Bucala, 2022; Fernando et al., 2021).

      We also tested this CD86 and CD54 blocking strategy for COPD treatment by simulations, see response to point 6 of reviewer 2.

      However, such therapies should be used with caution as they may favour adverse events such as infections, particularly in the COPD population (Rozelle & Genovese, 2007). Additionally, the fibrocytes-lymphocytes interaction has recently been shown to promote anti-tumoral immunity via the PD1-PDL1 immunological synapse (Afroj et al., 2021; Mitsuhashi et al., 2023). Therefore, care should be taken in the selection of patients to be treated and/or timing of treatment administration with regards to the increased risk of lung cancer in COPD patients.

      The discussion section has been altered accordingly.

      4) The authors may want to consider mentioning (and citing) recent insight into the immune-mediated fibrosis in thyroid-associated ophthalmopathy

      These important publications are now cited in a dedicated paragraph about the possible therapeutical interventions (see answer to point 3, and discussion in the revised manuscript).

      Reviewer #2 (Recommendations For The Authors):

      Specific comments

      1) The rationale for the selection of chemokines overexpressed by CD8+ T cells in COPD is based on literature data of n=2 patients per group. This is limited and risky. I am less concerned about false positives given the selection of chemokines and the available literature but am worried about the possibility that many chemokines may not have been selected based on insufficient power to do meaningful stats on this comparison. For example, many other CXCR1/2 binding CXCL chemokines exist and these could contribute to the migration effect in Fig 2C as well. Given the currently available single-cell resources it should be possible to extend these observations and to investigate CXCL chemokine expression in COPD CD8 T cells to the benefit of Fig 2A in full detail.

      We agree with the reviewer that the rationale for the selection of chemokines of interest could be reinforced by the analysis of supplementary single-cell resources. We used data from the COPD cell atlas (Gene Expression Omnibus GSE136831 (Sauler et al., 2022)) to perform such an analysis of chemokine expression by CD8+ CD103+ and CD8+ CD103- T cells. However, the expression level of all chemokines was globally very low, and was not different between control and COPD patients (see Author response image 1).

      Author response image 1.

      Expression of CXC chemokines in lung CD8+ CD103+ and CD8+ CD103- T cells from patients with COPD (n=18 independent samples) in comparison with healthy control subjects (n=29 independent samples) under resting conditions by Single-Cell RNA sequencing analysis (GEO accession GSE136831). The heatmaps show the normalized expression of genes (horizontal axes) encoding CXC chemokines. PF4=CXCL4, PPBP= CXCL7.

      The latter results are in discrepancy with those resulting from transcriptomic analysis of microarray data obtained on purified lung CD8+ CD103+ and CD8+ CD103- T cells, showing a significant level of chemokines expression (Hombrink et al., 2016), and a differential expression of CCL2, CCL26, CXCL2, CXCL8 and CCL3L1 between CD8+ T lymphocytes of control and COPD patients (Figure 2A in the revised manuscript). The reason for these differences is unclear, and could be attributed to biological differences (samples obtained from different patients) or, more likely, to differences in sample processing (cell sorting by flow cytometry for microarray analysis, that could activate minimally CD8+ cells) and/or methodological differences (differences of sensitivity between microarray and scRNA seq).

      Nevertheless, microarray data regarding CXCL8 expression are in good agreement with our in vitro experiments, showing an enhanced CXCL8 expression by CD8+ T cells purified from COPD lungs, in comparison with that of control subjects. In addition, the CXCL8 blocking antibody fully abrogates the increase of migration induced by secretion of COPD CD8+ T cells, to the same extent as the blocking of CXCR1/2 by reparixin. This suggests that this supplementary chemotaxis is mainly due to CXCL8 and not other CXCR1/2 binding CXCL chemokines, and correlates CXCL8 measurements to functional experiments. This precision has been now added in the results section of the revised version.

      2) Equally, it would strengthen the work if multiplex ELISA assays could be provided on the supernatants used in Fig 2D to provide a more comprehensive view of CXCR1/2 binding chemokines.

      In order to have a complete view of CXCR1/2 binding chemokines, we have now performed supplementary ELISA assays to measure the concentrations of CXCL1, 3, 5, 6 and 7, in addition of the measurements of CXCL2 and CXCL8 already presented in the previous version of the manuscript (Figure 2D). Results of these new assays are now presented in the revised version of Figure 2. Concentrations of CXCL1, 3, 5, 6 and 7 were unchanged between the control and COPD conditions.

      3) In the functional analyses, I missed information on the activation of the fibrocytes. Equally, the focus on CD8 T cells was mainly on proliferation in the functional work. RNAseq analyses on the cells, comparing CD8 T cells and fibrocytes, alone and in co-culture to each other would help to identify interaction patterns in comprehensive detail. Such an experiment would bolster the significance of the studies by providing impact analysis not only on the T cells beyond proliferation but by expanding on the effect of the interaction on the fibrocyte as well.

      Regarding the activation state of fibrocytes, we apologize if this was not clear: in our in vitro co-culture experiments, we chose not to activate the fibrocytes. This setting is in agreement with previous findings, demonstrating an antigen-independent T cell proliferation effect driven by fibrocytes (Nemzek et al., 2013), and it is now explicitly written in the results of the revised manuscript.

      Regarding the focus of the functional analyses:

      First, we have pushed forward the analysis of the consequences of the interaction beyond CD8+ T cells proliferation. In particular, having shown that fibrocytes promote CD8+ T cells expression of cytotoxic molecules such as granzyme B, we decided to investigate the cytotoxic capacity of CD8+ T cells against primary basal bronchial epithelial cells (see new Supplementary File 9 in the revised manuscript for patient characteristics).

      Direct co-culture with fibrocytes increased total and membrane expression of the cytotoxic degranulation marker CD107a, which was only significant in non-activated CD8+ T cells (see new Figure 6A-E in the revised manuscript). A parallel increase of cytotoxicity against primary epithelial cells was observed in the same condition (see new Figure 6F-H in the revised manuscript). This demonstrates that following direct interaction with fibrocytes, CD8+ T cells have the ability to kill target cells such as bronchial epithelial cells. This is now included in the results section of the revised manuscript.

      Second, we have now performed proteomic analyses on fibrocytes, alone or in co-culture during 6 days with CD8+ T cells either non-activated or activated (see new Figure 7A in the revised manuscript). Of the top ten pathways that were most significantly activated in co-cultured vs mono-cultured fibrocytes, largest upregulated genes were those of the dendritic cell maturation box, the multiple sclerosis signaling pathway, the neuroinflammation signaling pathway and the macrophage classical signaling pathway, irrespective of the activation state of CD8+ T cells (see new Figure 7B in the revised manuscript). The changes were globally identical in the two conditions of CD8+ T cell activation, with some upregulation more pronounced in the activated condition. They were mostly driven by up-regulation of a core set of Major Histocompatibility Complex class I (HLA-B, C, F) and II (HLA-DMB, DPA1, DPB1, DRA, DRB1, DRB3) molecules, co-simulatory and adhesion molecules (CD40, CD86 and CD54). Another notable proteomic signature was that of increased expression of IFN signaling-mediators IKBE and STAT1, and the IFN-responsive genes GBP2, GBP4 and RNF213. We also observed a strong downregulation of CD14, suggesting fibrocyte differentiation, and an upregulation of the matrix metalloproteinase-9 (MMP9) in the non-activated condition only. Altogether, these changes suggest that the interaction between CD8+ T cells and fibrocytes promotes the development of fibrocyte immune properties, which could subsequently impact the activation of CD4+ T cells activation.

      Up-regulated pathways identified in proteomic profile of fibrocytes co-cultured with CD8+ T cells are very consistent with a shift towards a proinflammatory phenotype rather than towards a reparative role. The activation of IFN-γ signaling could be triggered by CD8+ T cell secretion of IFN upon fibrocyte interaction, suggesting the existence of a positive feedback loop (see new Figure 10). Additionally, the priming of fibrocytes by CD8+ T cells could also induce CD4+ T cell activation.

      4) I suggest rewording the abstract to capture the main storyline and wording more. The abstract is good, but I see so many novelties in the paper that are not well sold in the abstract, particularly the modelling aspects.

      As suggested by the reviewer, we revised the abstract, as shown below and in the revised manuscript. The changes are indicated in red:

      Revised abstract:

      Bronchi of chronic obstructive pulmonary disease (COPD) are the site of extensive cell infiltration, allowing persistent contacts between resident cells and immune cells. Tissue fibrocytes interaction with CD8+ T cells and its consequences were investigated using a combination of in situ, in vitro experiments and mathematical modeling. We show that fibrocytes and CD8+ T cells are found in vicinity in distal airways and that potential interactions are more frequent in tissues from COPD patients compared to those of control subjects. Increased proximity and clusterization between CD8+ T cells and fibrocytes are associated with altered lung function. Tissular CD8+ T cells from COPD patients promote fibrocyte chemotaxis via the CXCL8-CXCR1/2 axis. Live imaging shows that CD8+ T cells establish short-term interactions with fibrocytes, that trigger CD8+ T cell proliferation in a CD54- and CD86-dependent manner, pro-inflammatory cytokines production, CD8+ T cell cytotoxic activity against bronchial epithelial cells and fibrocyte immunomodulatory properties. We defined a computational model describing these intercellular interactions and calibrated the parameters based on our experimental measurements. We show the model’s ability to reproduce histological ex vivo characteristics, and observe an important contribution of fibrocyte-mediated CD8+ T cell proliferation in COPD development. Using the model to test therapeutic scenarios, we predict a recovery time of several years, and the failure of targeting chemotaxis or interacting processes. Altogether, our study reveals that local interactions between fibrocytes and CD8+ T cells could jeopardize the balance between protective immunity and chronic inflammation in bronchi of COPD patients.

      5) The probabilistic model appears to suggest that reduced CD8 T cell death may also explain the increase in the pathology in COPD. Did the authors find that fibrocytes reduce cell death of the CD8 T cells?

      Taking advantage of the staining of CD8+ T cells with the death marker Zombie NIR™, we have quantified CD8+ T cell death in our co-culture assay. The presence of fibrocytes in the indirect co-culture assay did not affect CD8+ T cell death (see new Figure 3-figure supplement 3A-B in the revised manuscript). In direct co-culture, the death of CD8+ T cells was significantly increased in the non-activated condition but not in the activated condition (see new Figure 3-figure supplement 3C-D in the revised manuscript). Of note, these results are in agreement with a recent study showing the existence of CD8+ T cell-population-intrinsic mechanisms regulating cellular behavior, with induction of apoptosis to avoid an excessive increase in T cell population (Zenke et al., 2020). This is taken into account in our mathematical model by an increased probability p_(dC+) of dying when a CD8+ T cell is surrounded by many other T cells in its neighborhood. It also suggests that the reduced CD8+ T cell death evidenced in tissues from patients with COPD (Siena et al., 2011) might not be due to the specific interplay between fibrocyte and CD8+ T cells, but rather to a global pro-survival environment in COPD lungs.

      These new data have been described in the results section.

      6) Following the modeling in Figure 6, curiosity came to mind, which is how long it would take for the pathology to disappear if a drug would be applied to the patient. How much should the interactions be reduced and how long would it take to reach clinical benefit? Could such predictions be made? I understand that this may be outside the main message of the manuscript but perhaps this could be included in the discussion.

      This is a very interesting question, that we have addressed by performing additional simulations to investigate the outcomes of possible therapeutic interventions. First, we applied a COPD dynamics during 20 years, to generate the COPD state, that provide the basis for treatment implementation. Then, we applied a COPD dynamic during 7 years, that mimics the placebo condition (see new Figure 9A in the revised manuscript, and below), that we compared to a control dynamics (“Total inhibition”), that mimics an ideal treatment able to restore all cellular processes. As expected the populations of fibrocytes and CD8+ T cells, as well as the density of mixed clusters, decreased. These numbers reached levels similar of healthy subjects after approximately 2.5 years, and this time point can therefore be considered as the steady state (Figure 9B-E).

      Monitoring of the different processes revealed that these effects were mainly due to a reduction in fibrocyte-induced CD8+ T duplication, and a transient or more prolonged increase in basal fibrocyte and CD8+ T death (Figure 9C-D).

      Then, three possible realistic treatments were considered (Figure 9A). We tested the effect of directly inhibiting the interaction between fibrocytes and CD8+ T cells by blocking CD54. This was implemented in the model by altering the increased probability of a CD8+ T cell to divide when a fibrocyte is in its neighbourhood, as shown by the co-culture results (Figure 4). We also chose to reflect the effect of a dual CXCR1/2 inhibition by setting the displacement function of fibrocyte similar to that of control dynamics, in agreement with the in vitro experiments (Figure 2E). Blocking CD54 only slightly reduced the density of CD8+ T cells compared to the placebo condition, and had no effect on fibrocyte and mixed cluster densities (Figure 9B). CXCR1/2 inhibition was a little bit more potent on the reduction of CD8+ T cells than CD54 inhibition, and it also significantly decreased the density of mixed clusters (Figure 9B). As expected, this occurred through a reduction of fibrocyte-induced duplication, which was affected more strongly by CXCR1/2 blockage than by CD54 blockage (Figure 9C-E). Combining both therapies (CD54 and CXCR1/2 inhibition) did not strongly major the effects (Figure 9B-E). In all the conditions tested, the size of the fibrocyte population remained unchanged, suggesting that other processes such as fibrocyte death or infiltration should be targeted to expect broader effects.

      The results section has been altered accordingly.

      Using the simulations, we were also able to estimate the characteristic time to reach a stationary state reminiscent of a resolution of the COPD condition. This time of approximately 2.5 years was totally unpredictable by in vitro experiments, and indicates that a treatment aiming at restoring these cellular processes should be continued during several years to obtain significant changes.

      We have also investigated the outcomes of more realistic treatments, modifying specifically processes such as chemotaxis or targeting directly the intercellular interactions. The modification of parameters controlling these processes only slightly affected the final state, suggesting that such treatments may be more effective when used in combination with other drugs e.g. those affecting fibrocyte infiltration and/or death.

      The discussion section has been altered accordingly.

      Reviewer #3 (Recommendations For The Authors):

      1) Broader assessment of cell types in the lung: Staining for other cell types such as dendritic cells, CD4 cells, and interstitial macrophages, and comparing their proximity to fibrocytes with that of CD8 cells would better justify the CD8 focus.

      We agree with the reviewer that multiple stainings would have better justified the focus on CD8+ T cells. However, it is difficult to distinguish fibrocytes, dendritic cells and interstitial macrophages on the basis of immunohistochemistry, as we and others previously showed (Dupin et al., 2019; Mitsuhashi et al., 2015; Pilling et al., 2009). On the other hand, the study of Afroj et al. indicated the possible interaction between fibrocytes and CD8+ T cells in cancer context, with the induction of CD8+ T cell proliferation (Afroj et al., 2021). This T cell-costimulatory function of fibrocytes and CD8+ T cells was further confirmed in a very recent study, together with the antitumor effects of PD-L1 and VEGF blockade (Mitsuhashi et al., 2023). These data, along with the specific implication on CD8+ T cells in COPD, relying mainly on their abundance in COPD bronchi (O’Shaughnessy et al., 1997), their overactivation state (Roos-Engstrand et al., 2009), their cytotoxic phenotype (Freeman et al., 2010; Wang et al., 2020) and the protection against lung inflammation and emphysema induced by their depletion (Maeno et al., 2007) justified the CD8 focus.

      To further justify this focus, we have now performed co-culture between fibrocytes and CD4+ T cells, indicating that the massive fibrocyte-mediated proliferation was specific to CD8+ T cells (see answer to comment 3 below). This is in agreement with the results obtained with the simulations, showing that considering fibrocytes and CD8+ T cells only was sufficient to reproduce the spatial patterns in the bronchi of healthy and COPD patients. Altogether, we think that focusing on the CD8+ T cell-fibrocyte interplay was pertinent in the context of COPD. It does obviously not exclude the possibility of other interactions, that could be the focus of other studies.

      2) Transcriptomic analysis: Using n=2 and only showing the chemokines as well as selected adhesion receptor data narrows the focus but does not provide broader insights into the interactions. Using a more robust sample size and performing a comprehensive pathway analysis would represent an unbiased analysis to determine the most dysregulated pathways. Importantly, the authors could use a single-cell RNA-seq dataset to broadly assess the transcriptomes of several cell types in the lung (such as the data from (Sauler et al, Characterization of the COPD alveolar niche using single-cell RNA sequencing).

      This very pertinent suggestion has also been raised by reviewer 2, see our answer to comment 1 of reviewer 2, and below:

      We agree with the reviewer that the rationale for the selection of chemokines of interest could be reinforced by the analysis of supplementary single-cell resources. We used data from the COPD cell atlas (Gene Expression Omnibus GSE136831 (Sauler et al., 2022)) to perform such an analysis of chemokine expression by CD8+ CD103+ and CD8+ CD103- T cells. However, the expression level of all chemokines was globally very low, and was not different between control and COPD patients (see Figure scRNAseq, in the answer to comment 1 of reviewer 2).

      These latter results are in discrepancy with those resulting from transcriptomic analysis of microarray data obtained on purified lung CD8+ CD103+ and CD8+ CD103- T cells, showing a significant level of chemokines expression (Hombrink et al., 2016), and a differential expression of CCL2, CCL26, CXCL2, CXCL8 and CCL3L1 between CD8+ T lymphocytes of control and COPD patients (Figure 2A in the revised manuscript). The reason for these differences is unclear, and could be attributed to biological differences (samples obtained from different patients) or, more likely, to differences in sample processing (cell sorting by flow cytometry for microarray analysis, that could activate minimally CD8+ cells) and/or methodological differences (differences of sensitivity between microarray and scRNA seq).

      Nevertheless, microarray data regarding CXCL8 expression are in good agreement with our in vitro experiments, showing an enhanced CXCL8 expression by CD8+ T cells purified from COPD lungs, in comparison with that of control subjects. In addition, the CXCL8 blocking antibody fully abrogates the increase of migration induced by secretion of COPD CD8+ T cells, to the same extent as the blocking of CXCR1/2 by reparixin. This suggests that this supplementary chemotaxis is mainly due to CXCL8 and not other CXCR1/2 binding CXCL chemokines, and correlates CXCL8 measurements to functional experiments. This precision has been now added in the text of the revised version.

      3) Inclusion of control/comparison cell types in co-culture studies would help establish that CD8 cells are more relevant for interactions with fibrocytes than for example CD4 cells.

      We have now performed co-cultures between fibrocytes and CD4+ T cells, with the same settings than for CD8+ T cells. The results from these experiments show that fibrocytes did not have any significant effect of CD4+ T cells death, regardless of their activation state (see new Figure 3-figure supplement 2A-C in the revised manuscript, and below). Fibrocytes were able to promote CD4+ T cells proliferation in the activated condition but not in the non-activated condition (see new Figure 3-figure supplement 2A-D in the revised manuscript). Altogether this indicates that although fibrocyte-mediated effect on proliferation is not specific to CD8+ T cells, the amplitude of the effect is much larger on CD8+ T cells than on CD4+ T cells.

      These new data have been added in the results section.

      4) In vitro analysis of cells from non-COPD patients would also help assess whether the circulating cells from COPD patients have a level of baseline activation which promotes the vicious cycle but may not exist in healthy cells.

      Regarding circulating cells, the present study relies on the COBRA cohort (COhort of BRonchial obstruction and Asthma), which includes only asthma and COPD patients, and therefore does not grant access to healthy subjects’ blood samples (Pretolani et al., 2017). Unfortunately, we have no other ongoing study with healthy subjects that would allow us to retrieve blood for research, and fibrocytes can only be grown from freshly drawn blood samples. We agree with the reviewer that it is a limitation of our study, which is now acknowledged at the end of the discussion section.  

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    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      This important study investigated the role of oxytocin (OT) neurons in the paraventricular nucleus (PVN) and their projections to the medial prefrontal cortex (mPFC) in regulating pup care and infanticide behaviors in mandarin voles. The researchers used techniques like immunofluorescence, optogenetics, OT sensors, and peripheral OT administration. Activating OT neurons in the PVN reduced the time it took pup-caring male voles to approach and retrieve pups, facilitating pup-care behavior. However, this activation had no effect on females. Interestingly, this same PVN OT neuron activation also reduced the time for both male and female infanticidal voles to approach and attack pups, suggesting PVN OT neuron activity can promote pup care while inhibiting infanticide behavior. Inhibition of these neurons promoted infanticide. Stimulating PVN->mPFC OT projections facilitated pup care in males and in infanticide-prone voles, activation of these terminals prolonged latency to approach and attack. Inhibition of PVN->mPFC OT projections promoted infanticide. Peripheral OT administration increased pup care in males and reduced infanticide in both sexes. However, some results differed in females, suggesting other mechanisms may regulate female pup care.

      Strengths:

      This multi-faceted approach provides converging evidence, strengthens the conclusions drawn from the study, and makes them very convincing. Additionally, the study examines both pup care and infanticide behaviors, offering insights into the mechanisms underlying these contrasting behaviors. The inclusion of both male and female voles allows for the exploration of potential sex differences in the regulation of pup-directed behaviors. The peripheral OT administration experiments also provide valuable information for potential clinical applications and wildlife management strategies.

      Weaknesses:

      While the study presents exciting findings, there are several weaknesses that should be addressed. The sample sizes used in some experiments, such as the Fos study and optogenetic manipulations, appear to be small, which may limit the statistical power and generalizability of the results. Effect sizes are not reported, making it difficult to evaluate the practical significance of the findings. The imaging parameters and analysis details for the Fos study are not clearly described, hindering the interpretation of these results (i.e., was the entire PVN counted?). Also, does the Fos colocalization align with previous studies that look at PVN Fos and maternal/ paternal care? Additionally, the study lacks electrophysiological data to support the optogenetic findings, which could provide insights into the neural mechanisms underlying the observed behaviors. 

      In some previous studies (He et al., 2019; Mei, Yan, Yin, Sullivan, & Lin, 2023), the sample size in morphological studies is also small and may be representative. We agree with reviewer’s opinion that results from larger sample size may be more statistically powerful and generalizable. We will pay attention to this issue in the future study. As reviewer suggested, we have added effect size both in the source data and in the main text, including d, η2  and odds ratio. We have added the objective magnification used in the figure legend. The imaging parameters and analysis details for the Fos study have also been added in the revised manuscript. Brain slices of 40 µm thick were collected consecutively on 4 slides, each slide had 6 brain slices spaced 160 µm apart from each other. PVN area were determined based on the Allen Mouse Brain Atlas and our previous study, and Fos, OT and merged positive neurons were counted. Our result about Fos and OT colocalization is consistent with previous study. In a previous study on virgin male prairie voles, OT and Fos colabeled neurons in the PVN increased after exposure to conspecific pups and experiencing paternal care (Kenkel et al., 2012). In another study of prairie voles, OT and c-fos colabeled neurons in PVN significantly increased after becoming parents which may be due to a shift from virgin to parents (Kelly, Hiura, Saunders, & Ophir, 2017). To support the optogenetic findings, we used c-Fos expression as a marker of neuron activity and revealed significant increases/decreases of c-Fos positive neurons induced by optogenetic activation/inhibition (Supplementary Data Fig. 1), and additionally we found that optogenetic inhibition of OT neurons reduced levels of OT release using OT1.0 sensors. Based on these two experiments, we verified that optogenetic manipulation in the present study is validate and results of optogenetic experiment are reliable (Supplementary Data Fig. 5).

      The study has several limitations that warrant further discussion. Firstly, the potential effects of manipulating OT neurons on the release of other neurotransmitters (or the influence of other neurochemicals or brain regions) on pup-directed behaviors, especially in females, are not fully explored. Additionally, it is unclear whether back-propagation of action potentials during optogenetic manipulations causes the same behavioral effect as direct stimulation of PVN OT cells. Moreover, the authors do not address whether the observed changes in behavior could be explained by overall increases or decreases in locomotor activity.

      We agree with reviewer’s suggestion that several limitations should be discussed. Although we used a virus strategy to specifically activate or inhibit PVN OT neurons, other neurochemical may also be released during optogenetic manipulations because OT neurons may also release other neurochemicals. In one of our previous studies, activation of the OT neuron projections from the PVN to the VTA as well as to the Nac brain also altered pup-directed behaviors, which may also be accompanied by dopamine release (He et al., 2021). In addition, backpropagation of action potentials during optogenetic manipulations may also causes the same behavioral effect as direct stimulation of PVN OT cells. These effects on pup-directed behaviors should also be investigated further in the future study. For the optogenetics experiments, we have referred to some of the previous research (Mei et al., 2023; Murugan et al., 2017), and in our study we have also carried out the verification of the reliability of the methods. To exclude effects of locomotor activity on pup directed behaviors, we also investigated effect of optogenetic manipulations on the locomotor activity of experimental animals and found that optogenetic manipulation did not change levels of locomotor activity (Supplementary Data Fig. 6).

      The authors do not specify the percentage of PVN->mPFC neurons labeled that were OT-positive, nor do they directly compare the sexes in their behavioral analysis (or if they did, it is not clear statistically). While the authors propose that the sex difference in pup-directed behaviors is due to females having greater OT expression, they do not provide evidence to support this claim from their labeling data. It is also uncertain whether more OT neurons were manipulated in females compared to males. The study could benefit from a more comprehensive discussion of other factors that could influence the neural circuit under investigation, especially in females.

      AAV11-Ef1a-EGFP virus can infect fibers and retrogradely reach to cell body, thus this virus can be used to retrogradely trace neurons. We injected this virus (green, AAV11-Ef1a-EGFP) in the mPFC and observed virus infected and OT (red) positive neuron in the PVN (Yellow), and we also counted the OT neurons that project from PVN to mPFC and found that approximately 45.16% and 40.79% of cells projecting from PVN to the mPFC were OT-positive, and approximately 18.48% and 18.89% of OT cells in the PVN projected to the mPFC in females and males, respectively (Supplementary Data Fig. 4). In addition, as reviewers suggested, we compared the numbers of OT neurons, activated OT neurons (OT and Fos double-labeled neurons) and level of OT release between males and females. We found that females have more activated OT neurons (Figure1, d, g) and released higher levels of OT into the mPFC (Figure 4 d, e) than males. This part has been added in the result and discussion. We did not analyze whether more OT neurons were manipulated in females compared to males, which is indeed a limitation of this study that requires our attention. 

      As the reviewers suggested, we also discussed other factors that could influence the neural circuit under investigation. In addition to OT neurons, OTR neurons may also regulate behavioral responses to pups. In a study of virgin female mice, pup exposure was found to activate oxytocin and oxytocin receptor expressing neurons (Okabe et al., 2017). Other brain regions such as preoptic area (POA) may also be involved in parental behaviors. For example, virgin female mice repeatedly exposed to pups showed shorter retrieval latencies and greater c-Fos expression in the preoptic area (POA), concentrations of OT in the POA were also significantly increased, and the facilitation of alloparental behavior by repeated exposure to pups occurred through the organization of the OT system (Okabe et al., 2017). A recent study suggests that OT of the PVN is involved in the care of pups by male voles (He et al., 2021). This study suggests that PVN to ventral tegumental area (VTA) OT projections as well as VTA to nucleus accumbens (NAc) DA projections are involved in the care of pups by male voles. Inhibition of OT projections from the PVN to the VTA reduces DA release in the NAc during licking and grooming of pups (He et al., 2021). The effects of these factors on pup-directed responses should also be considered in the future study. 

      Reviewer #2 (Public Review):

      Summary:

      This series of experiments studied the involvement of PVN OT neurons and their projection to the mPFC in pup-care and attack behavior in virgin male and female Mandarin voles. Using Fos visualization, optogenetics, fiber photometry, and IP injection of OT the results converge on OT regulating caregiving and attacks on pups. Some sex differences were found in the effects of the manipulations.

      Strengths:

      Major strengths are the modern multi-method approaches and involving both sexes of Mandarin vole in every experiment.

      Weaknesses:

      Weaknesses include the lack of some specific details in the methods that would help readers interpret the results. These include:

      (1) No description of diffusion of centrally injected agents.

      Thanks for your professional consideration. Individuals with appropriate viral expression and optical fiber implant location were included in the statistical analysis, otherwise excluded. For optogenetic experiments, the virus (AAV2/9-mOXT-hCHR2(H134R)–mCherry-ER2-WPRE-pA or rAAV-mOXT-eNpHR3.0-mCherry-WPRE-hGH-pA) was designed and constructed to only infect OT neurons, which limited the diffusion of the virus. For fiber photometric experiments, the OT1.0 sensor was largely able to restrict expression within the mPFC brain region, and additionally individuals with incorrect optical fiber embedding position were not included in the statistical analysis. The diffusion of central optogenetic viruses and OT1.0 sensors are shown in the supplemental figure (Supplementary Data Fig. 7).

      (2) Whether all central targets were consistent across animals included in the data analyses. This includes that is not stated if the medial prelimbic mPFC target was in all optogenetic study animals as shown in Figure 4 and if that is the case, there is no discussion of that subregion's function compared to other mPFC subregions.

      As shown in Figure 4 and in the schematic diagram of the optogenetic experiment, the central targets of virus infection and fiber location remain consistent in the data analysis, otherwise the data would be excluded. In the present study, viruses were injected into the prelimbic (PrL). The PrL and infralimbic (IL) regions of the mPFC play different roles in different social interaction contexts (Bravo-Rivera, Roman-Ortiz, Brignoni-Perez, Sotres-Bayon, & Quirk, 2014; Moscarello & LeDoux, 2013). A study has shown that the PrL region of the mPFC contributes to active avoidance in situations where conflict needs to be mitigated, but also contributes to the retention of conflict responses for reward (Capuzzo & Floresco, 2020). This may reveal that the suppression of infanticide by PVN to mPFC OT projections is a behavioral consequence of active conflict avoidance. In a study on pain in rats, OT neurons projections from the PVN to the PrL were found to increase the responsiveness of cell populations in the PrL, suggesting that OT may act by altering the local excitation-inhibition (E/I) balance in the PrL (Liu et al., 2023). A study on anxiety-related behaviors in male rats suggests that the anxiolytic effects of OT in the mPFC are PrL-specific but not infralimbic or anterior cingulate and that this is achieved primarily through the engagement of GABAergic neurons, which ultimately modulate downstream anxiety-related brain regions, including the amygdala (Sabihi, Dong, Maurer, Post, & Leuner, 2017). This finding may provide possible downstream pathways for further research. 

      (3) How groups of pup-care and infanticidal animals were created since there was no obvious pretest mentioned so perhaps there was the testing of a large number of animals until getting enough subjects in each group.  

      Before the experiments, we exposed the animals to pups, and subjects may exhibit pup care, infanticide, or neglect; we grouped subjects according to their behavioral responses to pups, and individuals who neglected pups were excluded.

      (4) The apparent use of a 20-minute baseline data collection period for photometry that started right after the animals were stressed from handling and placement in the novel testing chamber.

      In fiber photometric experiments, all experimental animals were required to acclimatize to the environment for at least 20 minutes prior to the experiment as described in the Methods section. The time 0 in Fig. 4 represents the point in time when a behavior or a segment of behavior started and is not the actual time 0 at which the test was started.

      (5) A weakness in the results reporting is that it's unclear what statistics are reported (2 x 2 ANOVA main effect of interaction results, t-test results) and that the degrees of freedom expected for the 2 X 2 ANOVAs in some cases don't appear to match the numbers of subjects shown in the graphs; including sample sizes in each group would be helpful because the graph panels are very small and data points overlap.

      Thanks for your suggestion. We displayed analysis methods for the data statistics and the sample sizes for each group of experiments in the figure legends.

      The additional context that could help readers of this study is that the authors overlook some important mPFC and pup caregiving and infanticide studies in the introduction which would help put this work in better context in terms of what is known about the mPFC and these behaviors. These previous studies include Febo et al., 2010; Febo 2012; Peirera and Morrell, 2011 and 2020; and a very relevant study by Alsina-Llanes and Olazábal, 2021 on mPFC lesions and infanticide in virgin male and female mice. The introduction states that nothing is known about the mPFC and infanticide. In the introduction and discussion, stating the species and sex of the animals tested in all the previous studies mentioned would be useful. The authors also discuss PVN OT cell stimulation findings seen in other rodents, so the work seems less conceptually novel. Overall, the findings add to the knowledge about OT regulation of pup-directed behavior in male and female rodents, especially the PVN-mPFC OT projection.

      We appreciate you very much to provide so many valuable references. We have cited them in the introduction and discussion. We agree with the reviewer’s opinion that nothing is known about the mPFC and infanticide is incorrect. It should be whether mPFC OT projections are involved in paternal cares and infanticide remains unclear. A study in mother rats indicated that inactivation or inhibition of neuronal activity in the mPFC largely reduced pup retrieval and grouping (Febo, Felix-Ortiz, & Johnson, 2010). In a subsequent study on firing patterns in the mPFC of mother rats suggested that sensory-motor processing occurs in the mPFC that may affect decision making of maternal care to their pups (Febo, 2012). In a study on new mother rats examining different regions of the mPFC (anterior cingulate (Cg1), PrL, IL), they identified a involvement of the IL cortex in biased preference decision-making in favour of the offspring (Pereira & Morrell, 2020). A study on maternal motivation in rats suggests that in the early postpartum period, the IL and Cg1 subregion in mPFC, are the motivating circuits for pup-specific biases (Pereira & Morrell, 2011), while the PrL subregion, are recruited and contribute to the expression of maternal behaviors in the late postpartum period (Pereira & Morrell, 2011).

      Reviewer #3 (Public Review):

      Summary:

      Here Li et al. examine pup-directed behavior in virgin Mandarin voles. Some males and females tend towards infanticide, others tend towards pup care. c-Fos staining showed more oxytocin cells activated in the paraventricular nucleus (PVN) of the hypothalamus in animals expressing pup care behaviors than in infanticidal animals. Optogenetic stimulation of PVN oxytocin neurons (with an oxytocin-specific virus to express the opsin transgene) increased pup-care, or in infanticidal voles increased latency towards approach and attack.

      Suppressing the activity of PVN oxytocin neurons promoted infanticide. The use of a recent oxytocin GRAB sensor (OT1.0) showed changes in medial prefrontal cortex (mPFC) signals as measured with photometry in both sexes. Activating mPFC oxytocin projections increased latency to approach and attack in infanticidal females and males (similar to the effects of peripheral oxytocin injections), whereas in pup-caring animals only males showed a decrease in approach. Inhibiting these projections increased infanticidal behaviors in both females and males and had no effect on pup caretaking.

      Strengths:

      Adopting these methods for Mandarin voles is an impressive accomplishment, especially the valuable data provided by the oxytocin GRAB sensor. This is a major achievement and helps promote systems neuroscience in voles.

      Weaknesses:

      The study would be strengthened by an initial figure summarizing the behavioral phenotypes of voles expressing pup care vs infanticide: the percentages and behavioral scores of individual male and female nulliparous animals for the behaviors examined here. Do the authors have data about the housing or life history/experiences of these animals? How bimodal and robust are these behavioral tendencies in the population?

      As our response to reviewer 2, animals generally exhibit three types of behavioral responses toward pups, and data on the percentage of these different behavioral types occurring in the group will be included in another study in our lab. The reviewer's suggestion of scoring the behaviors is an inspiring idea that will help us to more fully parse these behaviors. Mandarin voles were captured from the wild in Henan, China. The experimental subjects were F2 generation voles reared in the Experimental Animal Centre of Shaanxi Normal University. In our observations, pup care and infanticide behaviors were conserved across several pup exposures, especially pup care behaviors, whereas for infanticide behaviors we did not conduct more pup exposures in order to protect the pups. 

      Optogenetics with the oxytocin promoter virus is a nice advance here. More details about their preparation and methods should be in the main text, and not simply relegated to the methods section. For optogenetic stimulation in Figure 2, how were the stimulation parameters chosen? There is a worry that oxytocin neurons can co-release other factors- are the authors sure that oxytocin is being released by optogenetic stimulation as opposed to other transmitters or peptides, and acting through the oxytocin receptor (as opposed to a vasopressin receptor)?

      As reviewer suggested, more detailed information about virus construction and choice of optogenetic stimulation parameter have been added in the revised manuscript. The details about the construction of CHR2 and mCherry viruses used in optogenetic manipulation can refer to a previous study in which they constructed an rAAV-expressing Venus from a 2.6 kb region upstream of OT exon 1, which is conserved in mammalian species (Knobloch et al., 2012). For details about construction of the eNpHR 3.0 virus, expression of the vector is driven by the mouse OXT promoter, a 1kb promoter upstream of exon 1 of the OXT gene, which has been shown to induce cell type-specific expression in OXT cells (Peñagarikano et al., 2015). Details about the construction of OT1.0 sensor can be referred to the research of Professor Li's group (Qian et al., 2023). The mapping of the viral vectors and OT1.0 sensor is shown below. 

      The optogenetic stimulation parameters were used based on a previous study (He et al., 2021). However, our description of the parameters in the experiment is still not in detail, so some information about optogenetic stimulation parameters has been added in the method. In pupdirected pup care behavioral test, light stimulation lasted for 11 min. Parameters used in optogenetic manipulation of PVN OT neurons were ~ 3 mW, 20 Hz, 20 ms, 8 s ON and 2 s OFF and parameters used in optogenetic manipulation of PVN OT neurons projecting to mPFC were ~ 10 mW, 20 Hz, 20 ms, 8 s ON and 2 s OFF to cover the entire interaction. We performed fiber photometric experiments to determine the role that OT plays in behavior, and these results were able to support each other with optogenetic experiments. In addition, we further confirmed the role of optogenetic manipulation on OT release in combination with optogenetic inhibition and OT1.0 sensors (Supplementary Data Fig. 2). It has been previously shown that OT is able to act specifically on OTR in mPFC-PL (Sabihi et al., 2017). Our study focuses on oxytocin neurons as well as oxytocin release, and more research is needed to construct a more complex and complete network regarding the involvement of the OTR and other factors in the mPFC in these behaviors.

      Author response image 1.

      Author response image 2.

       

      Given that they are studying changes in latency to approach/attack, having some controls for motion when oxytocin neurons are activated or suppressed might be nice. Oxytocin is reported to be an anxiolytic and a sedative at high levels.

      As our response to reviewer 1, to exclude effects of locomotor activity on pup directed behaviors, we also investigated effect of optogenetic manipulations on the locomotor activity of experimental animals and found that optogenetic manipulation did not change levels of locomotor activity (Supplementary Data Fig. 6).

      The OT1.0 sensor is also amazing, these data are quite remarkable. However, photometry is known to be susceptive to motion artifacts and I didn't see much in the methods about controls or correction for this. It's also surprising to see such dramatic, sudden, and large-scale suppression of oxytocin signaling in the mPFC in the infanticidal animals - does this mean there is a substantial tonic level of oxytocin release in the cortex under baseline conditions?

      The optical fiber recording system used in the present study can automatically exclude effects of motion artifacts by simultaneously recording signals stimulated by a 405nm light source. As shown in the formula below, the z-score data were calculated and presented, and the increase and decline of the OT signal is a trend relative to the baseline. For a smooth baseline, the decreasing signal is generally amplified after calculation. In our experiments combining optogenetic inhibition and OT1.0 sensors, we were able to find that there was a certain level of OT release at baseline, on which there was room for a decrease in the signal recorded by the OT1.0 sensor.

      Figure 5 is difficult to parse as-is, and relates to an important consideration for this study: how extensive is the oxytocin neuron projection from PVN to mPFC?

      AAV11-Ef1a-EGFP virus can infect fiber and retrogradely reach to cell body, thus this virus can be used to retrogradely trace neurons. We injected the this virus (green, AAV11-Ef1aEGFP) in the mPFC and observed virus infected and OT (red) positive neuron in the PVN (Yellow), and we also counted the OT neurons that project from PVN to mPFC and found that approximately 45.16% and 40.79% of cells projecting from PVN to the mPFC were OT-positive, and approximately 18.48% and 18.89% of OT cells in the PVN projected to the mPFC in females and males, respectively (Supplementary Data Fig. 4).  

      In Figures 6 and 7, the authors use the phrase 'projection terminals'; however, to my knowledge, there have not been terminals (i.e., presynaptic formations opposed to a target postsynaptic site) observed in oxytocin neuron projections into target central regions.

      According your suggestion, we replaced the ‘terminals’ with ‘fibers’ to describe it more accurately..

      Projection-based inhibition as in Figure 7 remains a controversial issue, as it is unclear if the opsin activation can be fast enough to reduce the fast axonal/terminal action potential. Do the authors have confirmation that this works, perhaps with the oxytocin GRAB OT sensor?

      Thanks for your suggestion. We measured the OT release using OT1.0 sensors when the OT neuron projections in the mPFC were optogenetically inhibited. The result showed that optogenetic inhibition of OT neuron fibers in the mPFC significantly reduced OT release that validate the method of projection-based inhibition (Supplementary Data Fig. 5).

      As females and males had similar GRAB OT1.0 responses in mPFC, why would the behavioral effects of increasing activity be different between the sexes?

      In the present study, females released higher levels of OT into the mPFC (Figure 4 d, e) than males upon occurrence of different behaviors. In addition, females already exhibited more rapid approach and retrieval of pups than male before the optogenetic activation this may be the reason no effects of this manipulation were found in female.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) Check for spelling and grammar errors throughout.

      Thanks to the reviewer's suggestion, we have checked and revised the article.

      (2) Report effect sizes for all significant findings to allow evaluation of practical significance.

      As reviewer suggested, we have added effect size both in the source data and in the main text, including d, η2  and odds ratio.

      (3) Provide detailed information on the imaging parameters and analysis methods used in the Fos study.

      The imaging parameters and analysis details for the Fos study have also been added in the revised manuscript. Brain slices of 40 µm thick were collected consecutively on 4 slides, each slide had 6 brain slices spaced 160 µm apart from each other. PVN area were determined based on the Allen Mouse Brain Atlas and our previous study, andFos, OT and merged positive neurons were counted.

      (4) Compare the Fos colocalization results with previous studies examining PVN Fos and maternal/paternal care to contextualize the findings.

      Our result about Fos and OT colocalization is consistent with previous study. In a previous study on virgin male prairie voles, OT and Fos colabeled neurons in the PVN increased after exposure to conspecific pups and experiencing paternal care (Kenkel et al., 2012). In another study of prairie voles, OT and c-fos colabeled neurons in PVN significantly increased after becoming parents which may be due to a shift from virgin to parents (Kelly et al., 2017).

      (5) Discuss the limitations of the study, such as the potential effects of manipulating OT neurons on the release of other transmitters or the influence of other neurochemicals or brain regions on pupdirected behaviors, especially in females.

      We agree with reviewer’s suggestion that several limitations should be discussed. Although we used a virus strategy to specifically activate or inhibit PVN OT neurons, other neurochemical may also be released during optogenetic manipulations because OT neurons may also release other neurochemicals. In one of our previous studies, activation of the OT neuron projections from the PVN to the VTA as well as to the Nac brain also altered pup-directed behaviors, which may also be accompanied by dopamine release (He et al., 2021). In addition, backpropagation of action potentials during optogenetic manipulations may also causes the same behavioral effect as direct stimulation of PVN OT cells. These effects on pup-directed behaviors should also be investigated further in the future study.

      (6) Address the possibility of back-propagation of action potentials in the optogenetic manipulations causing the same behavioral effects as PVN OT cell stimulation.

      We agree with the reviewer’s opinion hat optogenetic manipulation may possibly induce back-propagation of action potentials that may result in same behavioral effects as OT cell stimulation. We will pay attention to this issue in the future study.  

      (7) Investigate whether changes in locomotor behavior could explain the observed effects on pupdirected behaviors.

      To exclude effects of locomotor activity on pup directed behaviors, we also investigated effect of optogenetic manipulations on the locomotor activity of experimental animals and found that optogenetic manipulation did not change levels of locomotor activity (Supplementary Data Fig. 6).

      (8) Report the percentage of PVN->mPFC neurons labeled that were OT-positive.

      AAV11-Ef1a-EGFP virus can infect fiber and retrogradely reach to cell body, thus this virus can be used to retrogradely trace neurons. We injected this virus (green, AAV11-Ef1a-EGFP) in the mPFC and observed virus infected and OT (red) positive neuron in the PVN (Yellow), and we also counted the OT neurons that project from PVN to mPFC and found that approximately 45.16% and 40.79% of cells projecting from PVN to the mPFC were OT-positive, and approximately 18.48% and 18.89% of OT cells in the PVN projected to the mPFC in females and males, respectively (Supplementary Data Fig. 4).

      (9)  Directly compare the sexes in the behavioral analysis and discuss any potential sex differences.

      We agree with the reviewer's suggestion and have added comparisons between two sexes and discussion about relevant results. 

      (10) If available, report and discuss the OT expression levels and the number of OT neurons manipulated in each sex.

      In the present study, we have counted the number of OT cells, but did not measure the level of OT expression using WB or qPCR. In addition, the percentages of CHR2(H134R) and eNpHR3.0 virus infected neurons in total OT positive neurons were presented (Supplementary Data Fig. 7), but we did not know how many cells were actually manipulated during the optogenetic experiment.

      (11) Expand the discussion to include what could be regulating or interacting with the OT circuit under investigation, particularly in females where the effects were less pronounced.

      As the reviewers suggested, we have also added relevant discussion. In addition to OT neurons, OTR neurons may also regulate behavioral responses to pups. In a study of virgin female mice pup exposure was found to activate oxytocin and oxytocin receptor expressing neurons (Okabe et al., 2017). Other brain regions such as preoptic area (POA) may also be involved in parental behaviors. For example, virgin female mice repeatedly exposed to pups showed shorter retrieval latencies and greater c-Fos expression in the preoptic area (POA), concentrations of OT in the POA were also significantly increased, and the facilitation of alloparental behavior by repeated exposure to pups occurred through the organization of the OT system (Okabe et al., 2017). A recent study suggests that OT of the PVN is involved in the care of pups by male voles (He et al., 2021). This study suggests that PVN to ventral tegumental area (VTA) OT projections as well as VTA to nucleus accumbens (NAc) DA projections are involved in the care of pups by male voles. Inhibition of OT projections from the PVN to the VTA reduces DA release in the NAc during licking and grooming of pups (He et al., 2021).

      Reviewer #2 (Recommendations For The Authors):

      A few additional things the authors may want to consider:

      (1) I don't understand the subject numbers in the peripheral OT study data shown in Figure 8. Panels p and q have 69 females shown and 50 males. Was there a second, much larger, IP injection study conducted that was different than the subjects shown in panels a-o that had ~5 subjects per treatment group per sex?

      Sorry for the confusing. More animals were used to test effects of OT on infanticide behaviors in our pre-test. These data combined with data from formal pharmacological experiment were presented in Fig. 8p, q. After OT treatment, the changes in detailed and specific behaviors were only collected in several animals. We have clarified that in the revised manuscript. 

      (2) The authors suggest higher baseline OT release in the female mPFC, which makes sense and helps explain some of their results. It seems that the data in Figure 1 show what is probably no sex difference in OT cell numbers in the PVN of Mandarin voles, which is unlike the old studies in mice or rats. If readers look at the data in Figure 1 showing what seems to be no sex difference in OT cell number, the authors' argument in the discussion about mPFC OT release levels higher in females would be inconsistent with their own data shown. The authors have the brain sections they need to help support or undermine this argument in the discussion, so maybe it would be useful to analyze the OT cell numbers across the PVN and report it in this paper or briefly mention it in the discussion.

      We compared the numbers of OT neurons, activated OT neurons (OT and Fos doublelabeled neurons) and level of OT release between males and females. We found that females have more activated OT neurons (Figure1, d, g) and released higher levels of OT into the mPFC (Figure 4 d, e) than males. This part has been added in the result and discussion. The inconsistency of the OT cell numbers with previous studies may be due to the method of cell counting, as we did not count all slides consecutively.  

      (3) The discussion suggests visual cues are involved in mPFC OT release relevant for pup care or infanticide, but this is a very odd claim for nocturnal animals that live and nest with their pups in underground burrows.

      Sorry for the confusing. Here, we cited the finding in mice that activation of PVN OT neurons induced by visual stimulation promoted pup care to support our finding that the activity of OT cells of the PVN is involved in pup care, rather than to illustrate the role of visual stimulation in voles. We have clarified that in the revised manuscript.

      (4) The lack of decrease in mPFC OT release in the 2nd and 3rd approaches to pups is probably because the release was so high after the 1st approach that it didn't have time to drop before the subsequent approaches. The authors don't state how long those between-approach intervals were on average to help readers interpret this result.

      As described in our methods, we spaced about 60 s between each behavioral test to allow the signal return back to the baseline level.

      (5) Do PVN-mPFC OT somata collateralize to other brain sites? Could mPFC terminal stimulation activate entire PVN cells and every site they project to? A caveat could be mentioned in the discussion if there's support for this from other optogenetic and PVN OT cell projection studies.

      We verified the OT projections from PVN to mPFC, to validate the optogenetic manipulation of this pathway, but did not investigate whether the OT neurons projecting from PVN to mPFC also project collaterally to other brain regions. It is suggested that mPFC terminal stimulation only activate PVN OT cells projecting mPFC, whether other OT neurons were activated remains unclear. 

      (6) I don't see an ethics statement related to the experiments obviously having to involve pup injury or death. Nothing is said in methods about what happened after adult subjects attacked pups. I assumed the tests were quickly terminated and pups euthanized.

      In case the pups were attacked, we removed them immediately to avoid unnecessary injuries, and injured pups were euthanized.

      (7) The authors could be more specific about what psychological diseases they refer to in the abstract and elsewhere that are relevant to this study. Depression? Rare cases of psychosis? Even within the already rare parental psychosis, infanticide is tragic but rare.

      Infanticide is caused by a variety of factors, mental illness, especially depression and psychosis, is often a very high risk factor among them (Milia & Noonan, 2022; Naviaux, Janne, & Gourdin, 2020). In human, infanticide has been used to refer to the killing, neglect or abuse of newborn babies and older children (Jackson, 2006). Here, we believe that research on the neural mechanisms of infanticide can also contribute to the understanding and treatment of attacks on children, physical and verbal abuse, and direct killing of babies. 

      (8) Figure 8 - in one case the "*" is a chi-square result , correct?

      Thanks for your careful checking. In Figure 8p, q, we applied the chi-square test and  added it in the legend.

      Reviewer #3 (Recommendations For The Authors):

      The only other thing is a typo on line 135: the authors mean 'stimulation' instead of 'simulation'.

      Corrected.

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    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):  

      Summary:

      In this manuscript, Shao et al. investigate the contribution of different cortical areas to working memory maintenance and control processes, an important topic involving different ideas about how the human brain represents and uses information when it is no longer available to sensory systems. In two fMRI experiments, they demonstrate that the human frontal cortex (area sPCS) represents stimulus (orientation) information both during typical maintenance, but even more so when a categorical response demand is present. That is, when participants have to apply an added level of decision control to the WM stimulus, sPCS areas encode stimulus information more than conditions without this added demand. These effects are then expanded upon using multi-area neural network models, recapitulating the empirical gradient of memory vs control effects from visual to parietal and frontal cortices. In general, the experiments and analyses provide solid support for the authors' conclusions, and control experiments and analyses are provided to help interpret and isolate the frontal cortex effect of interest. However, I suggest some alternative explanations and important additional analyses that would help ensure an even stronger level of support for these results and interpretations.

      Strengths:

      -  The authors use an interesting and clever task design across two fMRI experiments that is able to parse out contributions of WM maintenance alone along with categorical, rule-based decisions. Importantly, the second experiment only uses one fixed rule, providing both an internal replication of Experiment 1's effects and extending them to a different situation when rule-switching effects are not involved across mini-blocks.

      - The reported analyses using both inverted encoding models (IEM) and decoders (SVM) demonstrate the stimulus reconstruction effects across different methods, which may be sensitive to different aspects of the relationship between patterns of brain activity and the experimental stimuli.

      - Linking the multivariate activity patterns to memory behavior is critical in thinking about the potential differential roles of cortical areas in sub-serving successful working memory. Figure 3 nicely shows a similar interaction to that of Figure 2 in the role of sPCS in the categorization vs. maintenance tasks.

      - The cross-decoding analysis in Figure 4 is a clever and interesting way to parse out how stimulus and rule/category information may be intertwined, which would have been one of the foremost potential questions or analyses requested by careful readers. However, I think more additional text in the Methods and Results to lay out the exact logic of this abstract category metric will help readers bet0ter interpret the potential importance of this analysis and result.

      We thank the reviewer for the positive assessment of our manuscript. Please see lines 366-372, 885-894 in the revised manuscript for a detailed description of the abstract category index, and see below for a detailed point-by-point response.

      Weaknesses:

      - Selection and presentation of regions of interest: I appreciate the authors' care in separating the sPCS region as "frontal cortex", which is not necessarily part of the prefrontal cortex, on which many ideas of working memory maintenance activity are based. However, to help myself and readers interpret these findings, at a minimum the boundaries of each ROI should be provided as part of the main text or extended data figures. Relatedly, the authors use a probabilistic visual atlas to define ROIs in the visual, parietal, and frontal cortices. But other regions of both lateral frontal and parietal cortices show retinotopic responses (Mackey and Curtis, eLife, 2017: https://elifesciences.org/articles/22974) and are perhaps worth considering. Do the inferior PCS regions or inferior frontal sulcus show a similar pattern of effects across tasks? And what about the middle frontal gyrus areas of the prefrontal cortex, which are most analogous to the findings in NHP studies that the authors mention in their discussion, but do not show retinotopic responses? Reporting the effects (or lack thereof) in other areas of the frontal cortex will be critical for readers to interpret the role of the frontal cortex in guiding WM behavior and supporting the strongly worded conclusions of broad frontal cortex functioning in the paper. For example, to what extent can sPCS results be explained by visual retinotopic responses? (Mackey and Curtis, eLife, 2017: https://elifesciences.org/articles/22974).

      We thank the reviewer for the suggestions. We have added a Supplemental Figure 1 to better illustrate the anatomical locations of ROIs.  

      Following the reviewer’s suggestion, we defined three additional subregions in the frontal cortex based on the HCP atlas [1], including the inferior precentral sulcus (iPCS, generated by merging 6v, 6r, and PEF), inferior frontal sulcus (IFS, generated by merging IFJp, IFJa, IFSp, IFSa, and p47r), and middle frontal gyrus (MFG, generated by merging 9-46d, 46, a9-46v, and p9-46v). We then performed the same analyses as in the main text using both mixed-model and within-condition IEMs. Overall, we found that none of the ROIs demonstrated significant orientation representation in Experiment 1, for either IEM analysis (Author response image 1A and 1C). In Experiment 2, however, the IFS and MFG (but not iPCS) demonstrated a similar pattern to sPCS for orientation representation, though these results did not persist in the within-condition IEM with lower SNR (Author response image 1B and 1D). Moreover, when we performed the abstract category decoding analysis in the three ROIs, only the MFG in Experiment 2 showed significant abstract category decoding results, with no significant difference between experiments (Author response image 1E). To summarize, the orientation and category results observed in sPCS in the original manuscript were largely absent in other frontal regions. There was some indication that the MFG might share some results for orientation representation and category decoding, although this pattern was weaker and was only observed in some analyses in Experiment 2. Therefore, although we did not perform retinotopic mapping and cannot obtain a direct measure of retinotopic responses in the frontal cortex, these results suggest that our findings are unlikely to be explained by visual retinotopic responses: the iPCS, which is another retinotopic region, did not show the observed pattern in any of the analyses. Notably, the iPCS results are consistent with our previous work demonstrating that orientation information cannot be decoded from iPCS during working memory delay [2]. We have included these results on lines 395-403, 563-572 in the revised manuscript to provide a more comprehensive understanding of the current findings. 

      Author response image 1.

      Orientation reconstruction and abstract category decoding results in iPCS, IFS, and MFG.

      - When looking at the time course of effects in Figure 2, for example, the sPCS maintenance vs categorization effects occur very late into the WM delay period. More information is needed to help separate this potential effect from that of the response period and potential premotor/motor-related influences. For example, are the timecourses shifted to account for hemodynamic lag, and if so, by how much? Do the sPCS effects blend into the response period? This is critical, too, for a task that does not use a jittered delay period, and potential response timing and planning can be conducted by participants near the end of the WM delay. For example, the authors say that " significant stimulus representation in EVC even when memoranda had been transformed into a motor format (24)". But, I *think* this paper shows the exact opposite interpretation - EVC stimulus information is only detectable when a motor response *cannot* be planned (https://elifesciences.org/articles/75688). Regardless, parsing out the timing and relationship to response planning is important, and an ROI for M1 or premotor cortex could also help as a control comparison point, as in reference (24).

      We thank the reviewer for raising this point. We agree that examining the contribution of response-related activity in our study is crucial, as we detail below:

      First, the time course results in the manuscript are presented without time shifting. The difference in orientation representation in Figure 2 emerged at around 7 s after task cue onset and 1 s before probe onset. Considering a 4-6 s hemodynamic response lag, the difference should occur around 1-3 s after task cue onset and 5-7 s prior to probe onset. This suggests that a substantial portion of the effect likely occurred during the delay rather than response period.

      Second, our experimental design makes it unlikely that response planning would have influenced our results, as participants were unable to plan their motor responses in advance due to randomized response mapping at the probe stage on a trial-by-trial basis. Moreover, even if response planning had impacted the results in sPCS, it would have affected both conditions similarly, which again, would not explain the observed differences between conditions.

      Third, following the reviewer’s suggestion, we defined an additional ROI (the primary motor cortex, M1) using the HCP atlas and repeated the IEM analysis. No significant orientation representation was observed in either condition in M1, even during the response period (Figure S3), further suggesting that our results are unlikely to be explained by motor responses or motor planning.

      Based on the evidence above, we believe motor responses or planning are unlikely to account for our current findings. We have included these results on lines 264-267 to further clarify this issue.

      Lastly, upon re-reading the Henderson et al. paper [3], we confirmed that stimulus information was still decodable in EVC when a motor response could be planned (Figure 2 of Henderson et al.). In fact, the authors also discussed this result in paragraph 5 of their discussion. This finding, together with our results in EVC, indicates that EVC maintains stimulus information in working memory even when the information is no longer task-relevant, the functional relevance of which warrants further investigation in future research.

      - Interpreting effect sizes of IEM and decoding analysis in different ROIs. Here, the authors are interested in the interaction effects across maintenance and categorization tasks (bar plots in Figure 2), but the effect sizes in even the categorization task (y-axes) are always larger in EVC and IPS than in the sPCS region... To what extent do the authors think this representational fidelity result can or cannot be compared across regions? For example, a reader may wonder how much the sPCS representation matters for the task, perhaps, if memory access is always there in EVC and IPS? Or perhaps late sPCS representations are borrowing/accessing these earlier representations? Giving the reader some more intuition for the effect sizes of representational fidelity will be important. Even in Figure 3 for the behavior, all effects are also seen in IPS as well. More detail or context at minimum is needed about the representational fidelity metric, which is cited in ref (35) but not given in detail. These considerations are important given the claims of the frontal cortex serving such an important for flexible control, here.

      We thank the reviewer for raising this point. We agree that the effect sizes are always larger in EVC and IPS. This is because the specific decoding method we adopted, IEM, is based on the concept of population-level feature-selective responses, and decoding results would be most robust in regions with strong feature-tuning responses, such as EVC and parts of IPS. Therefore, to minimize the impact of effect size on our results, we avoided direct comparisons of representational strength across ROIs, focusing instead on differences in representational strength between conditions within the same ROI. With this approach, we found that EVC and IPS showed high representational fidelity throughout the trial, but only in sPCS did we observe significant higher fidelity in categorization condition, where orientation was actually not a behavioral goal but was manipulated in working memory to achieve the goal. Moreover, although representational fidelity in the EVC was the highest, its behavioral predictability decreased during the delay period, unlike sPCS. These results suggest that the magnitude of fidelity alone is not the determining factor for the observed categorization vs. maintenance effect or for behavioral performance. We have included further discussion on this issue on lines 208-211 of the revised manuscript.

      The reviewer also raised a good point that IPS showed similar behavioral correlation results as sPCS. In the original manuscript, we discussed the functional similarities and distinctions between IPS and sPCS in the discussion. We have expanded on this point on lines 610-627 in the revised manuscript:

      “While many previous WM studies have focused on the functional distinction between sensory and frontoparietal cortex, it has remained less clear how frontal and parietal cortex might differ in terms of WM functions. Some studies have reported stimulus representations with similar functionality in frontal and parietal cortex [4, 5], while others have observed differential patterns [6-8]. We interpret the differential patterns as reflecting a difference in the potential origin of the corresponding cognitive functions. For example, in our study, sPCS demonstrated the most prominent effect for enhanced stimulus representation during categorization as well as the tradeoff between stimulus difference and category representation, suggesting that sPCS might serve as the source region for such effects. On the other hand, IPS did show visually similar patterns to sPCS in some analyses. For instance, stimulus representation in IPS was visually but not statistically higher in the categorization task. Additionally, stimulus representation in IPS also predicted behavioral performance in the categorization task. These results together support the view that our findings in sPCS do not occur in isolation, but rather reflect a dynamic reconfiguration of functional gradients along the cortical hierarchy from early visual to parietal and then to frontal cortex.”

      Lastly, following the reviewer’s suggestion, we have included more details on the representational fidelity metric on lines 201-206, 856-863 in the revised manuscript for clarity.

      Recommendations:

      Figure 3 layout - this result is very interesting and compelling, but I think could be presented to have the effect demonstrated more simply for readers. The scatter plots in the second and third rows take up a lot of space, and perhaps having a barplot as in Figure 2 showing the effects of brain-behavior correlations collapsed across the WM delay period timing would make the effect stand out more.

      We thank the reviewer for the suggestion. We have added a subplot (C) to Figure 3 to demonstrate the brain-behavior correlation collapsed across the late task epoch.

      When discussing the link between sPCS representations and behavior, I think this paper should likely be cited ([https://www.jneurosci.org/content/24/16/3944](https://www.jneurosci.org/content/24/ 16/3944)), which shows univariate relationships between sPCS delay activity and memory-guided saccade performance.

      We thank the reviewer for the suggestion and have included this citation on lines 278-279 in the revised manuscript.

      Interpretation of "control" versus categorization - the authors interpret that "It would be of interest to further investigate whether this active control in the frontal cortex could be generalized to tasks that require other types of WM control such as mental rotation." I think more discussion on the relationship between categorization and "control" is needed, especially given the claim of "flexible control" throughout. Is stimulus categorization a form of cognitive control, and if so, how?  

      We thank the reviewer for raising this point. Cognitive control is generally defined as the process by which behavior is flexibly adapted based on task context and goals, and most theories agree that this process occurs within working memory [9, 10]. With this definition, we consider stimulus categorization to be a form of cognitive control, because participants needed to adapt the stimulus based on the categorization rule in working memory for subsequent category judgements. With two categorization rules, the flexibility in cognitive control increased, because participants need to switch between the two rules multiple times throughout the experiment, instead of being fixed on one rule. We now clarify these two types of controls on lines 112-116 in the introduction.

      However, we agree that the latter form of control could be more related to rule switching that might not be specific to categorization per se. For instance, if participants perform rule switching in another type of WM task that requires WM control such as mental rotation, it remains to be tested whether similar results would be observed and/or whether same brain regions would be recruited. We have included further information on this issue on lines 572-575 in the revised manuscript.

      Reviewer #2 (Public Review):

      Summary:

      The authors provide evidence that helps resolve long-standing questions about the differential involvement of the frontal and posterior cortex in working memory. They show that whereas the early visual cortex shows stronger decoding of memory content in a memorization task vs a more complex categorization task, the frontal cortex shows stronger decoding during categorization tasks than memorization tasks. They find that task-optimized RNNs trained to reproduce the memorized orientations show some similarities in neural decoding to people. Together, this paper presents interesting evidence for differential responsibilities of brain areas in working memory.

      Strengths:

      This paper was strong overall. It had a well-designed task, best-practice decoding methods, and careful control analyses. The neural network modelling adds additional insight into the potential computational roles of different regions.

      We thank the reviewer for the positive assessment of our manuscript.

      Weaknesses:

      While the RNN model matches some of the properties of the task and decoding, its ability to reproduce the detailed findings of the paper was limited. Overall, the RRN model was not as well-motivated as the fMRI analyses.

      We are grateful for the reviewer’s suggestions on improving our RNN results. Please see below for a detailed point-by-point response.

      Recommendations:

      Overall, I thought that this paper was excellent. I have some conceptual concerns about the RNN model, and minor recommendations for visualization.

      (1) I think that the RNN modelling was certainly interesting and well-executed. However, it was not clear how much it contributed to the results. On the one hand, it wasn't clear why reproducing the stimulus was a critical objective of the task (ie could be more strongly motivated on biological grounds). On the other hand, the agreement between the model and the fMRI results is not that strong. The model does not reproduce stronger decoding in 'EVC' for maintenance vs categorization. Also, the pattern of abstract decoding is very different from the fMRI (eg the RNN has stronger categorical encoding in 'EVC' than 'PFC' and larger differences between fixed and flexible rules in earlier areas than is evident in the fMRI). Together, the RNN modelling comes across as a little ad hoc, without really nailing the performance.

      We thank the reviewer for prompting us to further elaborate on the rationale for our RNN analysis. In our fMRI results, we observed a tradeoff between maintaining stimulus information in more flexible tasks (Experiment 1) and maintaining abstract category information in less flexible tasks (Experiment 2). This led to the hypothesis that participants might have employed different coding strategies in the two experiments. Specifically, in flexible environments, stimulus information might be preserved in its original identity in the higher-order cortex, potentially reducing processing demands in each task and thereby facilitating efficiency and flexibility; whereas in less flexible tasks, participants might generate more abstract category representations based on task rules to facilitate learning. To directly test this idea, we examined whether explicitly placing a demand for the RNN to preserve stimulus representation would recapitulate our fMRI findings in frontal cortex by having stimulus information as an output, in comparison to a model that did not specify such a demand. Meanwhile, we totally agree with the reviewer that there are alternative ways to implement this objective in the model. For instance, changing the network encoding weights (lazy vs. rich regime) to make feedforward neural networks either produce high-dimensional stimulus or low-dimensional category representations [11]. However, we feel that exploring these alternatives may fall outside the scope of the current study.

      Regarding the alignment between the fMRI and RNN results: for the stimulus decoding results in EVC, we found that with an alternative decoding method (IEM), a similar maintenance > categorization pattern was observed in EVC-equivalent module, suggesting that our RNN was capable of reproducing EVC results, albeit in a weaker manner (please see our response to the reviewer’s next point). For the category decoding results, we would like to clarify that the category decoding results in EVC was not necessarily better than those in sPCS. Although category decoding accuracy was numerically higher in EVC, it was more variable compared to IPS and sPCS. To illustrate this point, we calculated the Bayes factor for the category decoding results of RNN2 in Figure 6C, and found that the amount of evidence for category decoding as well as for the decoding difference between RNNs in IPS and sPCS modules was high, whereas the evidence in the EVC was insufficient (Response Table 1).

      Author response table 1.

      Bayes factors for category decoding and decoding differences in Figure 6C lower panel.

      Nevertheless, we agree with the reviewer that all three modules demonstrated the category decoding difference between experiments, which differs from our fMRI results. This discrepancy may be partially due to differences in signal sensitivity. RNN signals typically have a higher SNR compared to fMRI signals, as fMRI aggregates signals from multiple neurons and single-neuron tuning effects can be reduced. We have acknowledged this point on lines 633-636 in the revised manuscript. Nonetheless, the current RNNs effectively captured our key fMRI findings, including increased stimulus representation in frontal cortex as well as the tradeoff in category representation with varying levels of flexible control. We believe the RNN results remain valuable in this regard.

      Honestly, I think the paper would have a very similar impact without the modelling results, but I appreciate that you put a lot of work into the modeling, and this is an interesting direction for future research. I have a few suggestions, but nothing that I feel too strongly about.

      - It might be informative to use IEM to better understand the RNN representations (and how similar they are to fMRI). For example, this could show whether any of the modules just encode categorical information. 

      - You could try providing the task and/or retro cue directly to the PFC units. This is a little unrealistic, but may encourage a stronger role for PFC.

      - You might adjust the ratio of feedforward/feedback connections, if you can find good anatomical guidance on what these should be.

      Obviously, I don't have much - it's a tricky problem!

      We thank the reviewer for the suggestions. To better align the fMRI and RNN results, we first performed the same IEM analyses used in the fMRI analyses on the RNN data. We found that with IEM, the orientation representation in the EVC module demonstrated a pattern similar to that in the fMRI data, showing a negative trend for the difference between categorization and maintenance, although the trend did not reach statistical significance (Author response image 2A). Meanwhile, the difference between categorization and maintenance remained a positive trend in the sPCS module.

      Second, following the reviewer’s suggestion, we adjusted the ratio of feedforward/feedback connections between modules to 1:2, such that between Modules 1 and 2 and between Modules 2 and 3, there were always more feedback than feedforward connections, consistent with recent theoretical proposals [12]. We found that, this change preserved the positive trend for orientation differences in the sPCS module, but in the meantime also made the orientation difference in the EVC and IPS modules more positive (Author response image 2B).

      To summarize, we found that the positive difference between categorization and maintenance in the sPCS module was robust across difference RNNs and analytical approaches, further supporting that RNNs with stimulus outputs can replicate our key fMRI findings in the frontal cortex. By contrast, the negative difference between categorization and maintenance in EVC was much weaker. It was weakly present using some analytical methods (i.e., the IEM) but not others (i.e., SVMs), and increasing the feedback ratio of the entire network further weakened this difference. We believe that this could be due to that the positive difference was mainly caused by top-down, feedback modulations from higher cortex during categorization, such that increasing the feedback connection strengthens this pattern across modules. We speculate that enhancing the negative difference in the EVC module might require additional modules or inputs to strengthen fine-grained stimulus representation in EVC, a mechanism that might be of interest to future research. We have added a paragraph to the discussion on the limitations of the RNN results on lines 629-644.

      Author response image 2.

      Stimulus difference across RNN modules.  (A). Results using IEM (p-values from Module 1 to 3: 0.10, 0.48, 0.01). (B). Results using modified RNN2 with changed connection ratio (p-values from Module 1 to 3: 0.12, 0.22, 0.08). All p-values remain uncorrected.

      (2) Can you rule out that during the categorization task, the orientation encoding in PFC isn't just category coding? You had good controls for category coding, but it would be nice to see something for orientation coding. e.g., fit your orientation encoding model after residualizing category encoding, or show that category encoding has worse CV prediction than orientation encoding.

      We thank the reviewer for raising this point. To decouple orientation and category representations, we performed representational similarity analysis (RSA) in combination with linear mixed-effects modeling (LMEM) on the fMRI data. Specifically, we constructed three hypothesized representational dissimilarity matrices (RDMs), one for graded stimulus (increasing distance between orientations as they move farther apart, corresponding to graded feature tuning responses), one for abstract category (0 for all orientations within the same category and 1 for different categories), and another for discrete stimulus (indicating equidistant orientation representations). We then fit the three model RDMs together using LMEM with subject as the random effect (Author response image 3A). This approach is intended to minimize the influence of collinearity between RDMs on the results [13].

      Overall, the LMEM results (Author response image 3B-D) replicated the decoding results in the main text, with significant stimulus but not category representation in sPCS in Experiment 1, and marginally significant category representation in the same brain region in Experiment 2. These results further support the validity of our main findings and emphasize the contribution of stimulus representation independent of category representation.

      Author response image 3.

      Delineating stimulus and category effects using LMEM.  (A) Schematic illustration of this method. (B) Results for late epoch in Experiment 1, showing the fit of each model RDM. (C) Results for early epoch in Experiment 2. (D) Results for late epoch in Experiment 2.

      (3) Is it possible that this region of PFC is involved in categorization in particular and not 'control-demanding working memory'? 

      We thank the reviewer for raising this possibility. Cognitive control is generally defined as the process by which behavior is flexibly adapted based on task context and goals, and most theories agree that this process occurs within working memory [9, 10]. With this definition, we consider stimulus categorization to be a form of cognitive control, because participants need to adapt the stimulus based on the categorization rule in working memory for subsequent category judgements.  However, in the current study we only used one type of control-demanding working memory task (categorization) to test our hypothesis, and therefore it remains unclear whether the current results in sPCS can generalize to other types of WM control tasks.

      We have included a discussion on this issue on lines 572-575 in the revised manuscript.

      (4) Some of the figures could be refined to make them more clear:

      a.  Figure 4 b/c should have informative titles and y-axis labels.

      b.  Figure 5, the flexible vs fixed rule isn't used a ton up to this point - it would help to (also include? Replace?) with something like exp1/exp2 in the legend. It would also help to show the true & orthogonal rule encoding in these different regions (in C, or in a separate panel), especially to the extent that this is a proxy for stimulus encoding.

      c.  Figure 6: B and C are very hard to parse right now. (i) The y-axis on B could use a better label. (ii) It would be useful to include an inset of the relevant data panel from fMRI that you are reproducing. (iii) Why aren't there fixed rules for RNN1?

      We thank the reviewer for the suggestions and have updated the figures accordingly as following:

      Overall I think this is excellent - my feedback is mostly on interpretation and presentation. I think the work itself is really well done, congrats!

      References

      (1) Glasser, M.F., et al., A multi-modal parcellation of human cerebral cortex. Nature, 2016. 536(7615): p. 171-178.

      (2) Yu, Q. and Shim, W.M., Occipital, parietal, and frontal cortices selectively maintain taskrelevant features of multi-feature objects in visual working memory. Neuroimage, 2017. 157: p. 97-107.

      (3) Henderson, M.M., Rademaker, R.L., and Serences, J.T., Flexible utilization of spatial- and motor-based codes for the storage of visuo-spatial information. Elife, 2022. 11.

      (4) Christophel, T.B., et al., Cortical specialization for attended versus unattended working memory. Nat Neurosci, 2018. 21(4): p. 494-496.

      (5) Yu, Q. and Shim, W.M., Temporal-Order-Based Attentional Priority Modulates Mnemonic Representations in Parietal and Frontal Cortices. Cereb Cortex, 2019. 29(7): p. 3182-3192.

      (6) Li, S., et al., Neural Representations in Visual and Parietal Cortex Differentiate between Imagined, Perceived, and Illusory Experiences. J Neurosci, 2023. 43(38): p. 6508-6524.

      (7) Hu, Y. and Yu, Q., Spatiotemporal dynamics of self-generated imagery reveal a reverse cortical hierarchy from cue-induced imagery. Cell Rep, 2023. 42(10): p. 113242.

      (8) Lee, S.H., Kravitz, D.J., and Baker, C.I., Goal-dependent dissociation of visual and prefrontal cortices during working memory. Nat Neurosci, 2013. 16(8): p. 997-9.

      (9) Miller, E.K. and Cohen, J.D., An integrative theory of prefrontal cortex function. Annu Rev Neurosci, 2001. 24: p. 167-202.

      (10) Badre, D., et al., The dimensionality of neural representations for control. Curr Opin Behav Sci, 2021. 38: p. 20-28.

      (11) Flesch, T., et al., Orthogonal representations for robust context-dependent task performance in brains and neural networks. Neuron, 2022. 110(7): p. 1258-1270 e11.

      (12) Wang, X.J., Theory of the Multiregional Neocortex: Large-Scale Neural Dynamics and Distributed Cognition. Annu Rev Neurosci, 2022. 45: p. 533-560.

      (13) Bellmund, J.L.S., et al., Mnemonic construction and representation of temporal structure in the hippocampal formation. Nat Commun, 2022. 13(1): p. 3395.

    1. Author response:

      The following is the authors’ response to the original reviews.

      The reviewers suggest a number of experiments and re-analyses to strengthen their claims and enhance the impact of the study. While a number of these are longer term, below is a summary of experiments and analyses recommended by the reviewers that can be accomplished in the shorter term:

      (1) Clarification of statistical approaches, quantification, data presentation and description of cerebellar anatomical nomenclature (e.gs. detailed statistical methods for the GEO dataset analysis, FDR correction, quantification in Figs 2-4)

      The revised manuscript will provide detailed statistical methods including FDR  correction for GEO dataset analyses and quantification. Please see specific responses to GEO dataset analyses below.

      (2) Improved quality of images for select immunostains and in situ hybridization

      The revised manuscript will address the quality of the images as indicated by the reviewers.

      (3) Include a control group of hGFAP-Cre mice with loxP sites but without Sufu deletion to assess the effects of Cre-induced double-strand breaks on phosphorylated H2AX-DSB signaling.

      The breeding scheme we used to generate homozygous SUFU conditional mutants will not generate pups carrying only hGFAP-Cre. Thus, we are unable to compare expression of gH2AX expression in littermates that do not carry loxP sites. The reviewer is correct in pointing out the possibility of Cre recombinase activity inducing double-strand breaks on its own. However, it is likely that any hGFAP-Cre induced double-strand breaks does not sufficiently cause the phenotypes we observed in homozygous mutants (Sufu-cKO) mice because the cerebellum of mice carry heterozygous SUFU mutations (hGFAP-Cre;Sufu-fl/+) do not display the profound cerebellar phenotypes observed in Sufu-cKO mice. We cannot rule out, however, any undetectable abnormalities that could be present which may require further analyses.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      SUFU modulates Sonic hedgehog (SHH) signaling and is frequently mutated in the B-subtype of SHH-driven medulloblastoma. The B-subtype occurs mostly in infants, is often metastatic, and lacks specific treatment. Yabut et al. found that Fgf5 was highly expressed in the B-subtype of SHH-driven medulloblastoma by examining a published microarray expression dataset. They then investigated how Fgf5 functions in the cerebellum of mice that have embryonic Sufu loss of function. This loss was induced using the hGFAP-cre transgene, which is expressed in multiple cell types in the developing cerebellum, including granule neuron precursors (GNPs) derived from the rhombic lip. By measuring the area of Pax6+ cells in the external granule cell layer (EGL) of Sufu-cKO mice at postnatal day 0, they find Pax6+ cells occupy a larger area in the posterior lobe adjacent to the secondary fissure, which is poorly defined. They show that Fgf5 RNA and phosphoErk1/2 immunostaining are also higher in the same disrupted region. Some of the phosphoErk1/2+ cells are proliferative in the Sufu-cKO. Western blot analysis of Gli proteins that modulate SHH signaling found reduced expression and absence of Gli1 activity in the region of cerebellar dysgenesis in Sufu-cKO mice. This suggests the GNP expansion in this region is independent of SHH signaling. Amazingly, intraventricular injection of the FGFR1-2 antagonist AZD4547 from P0-4 and examined histologically at P7 found the treatment restored cytoarchitecture in the cerebella of Sufu-cKO mice. This is further supported by NeuN immunostaining in the internal granule cell layer, which labels mature, non-diving neurons, and KI67 immunostaining, indicating dividing cells, and primarily found in the EGL. The mice were treated beginning at a timepoint when cerebellar cytoarchitecture was shown to be disrupted and it is indistinguishable from control following treatment. Figure 3 presents the most convincing and exciting data in this manuscript.

      Sufu-cKO do not readily develop cerebellar tumors. The authors detected phosphorylated H2AX immunostaining, which labels double-strand breaks, in some cells in the EGL in regions of cerebellar dysgenesis in the Sufu-cKO, as was cleaved Caspase 3, a marker of apoptosis. P53, downstream of the double-strand break pathway, the protein was reduced in Sufu-cKO cerebellum. Genetically removing p53 from the Sufu-cKO cerebellum resulted in cerebellar tumors in 2-month old mice. The Sufu;p53-dKO cerebella at P0 lacked clear foliation, and the secondary fissure, even more so than the Sufu-cKO. Fgf5 RNA and signaling (pERK1/2) were also expressed ectopically.

      The conclusions of the paper are largely supported by the data, but some data analysis need to be clarified and extended.

      (1) The rationale for examining Fgf5 in medulloblastoma is not sufficiently convincing. The authors previously reported that Fgf15 was upregulated in neocortical progenitors of mice with conditional loss of Sufu (PMID: 32737167). In Figure 1, the authors report FGF5 expression is higher in SHH-type medulloblastoma, especially the beta and gamma subtypes mostly found in infants. These data were derived from a genome-wide dataset and are shown without correction for multiple testing, including other Fgfs. Showing the expression of other Fgfs with FDR correction would better substantiate their choice or moving this figure to later in the manuscript as support for their mouse investigations would be more convincing.

      To assess FGF5 (ENSG00000138675) expression in MB tissues, we used Geo2R (Barrett et al., 2013) to analyze published human MB subtype expression arrays from accession no. GSE85217 (Cavalli et al., 2017). GEO2R is an interactive web tool that compares expression levels of genes of interest (GOI) between sample groups in the GEO series using original submitter-supplied processed data tables. We entered the GOI Ensembl ID and organized data sets according to age and MB subgroup or MB<sup>SHH</sup> subtype classifications. GEO2R results presented gene expression levels as a table ordered by FDR-adjusted (Benjamini & Hochberg) p-values, with significance level cut-off at 0.05, processed by GEO2R’s built-in limma statistical test. Resulting data were subsequently exported into Prism (GraphPad). We generated scatter plots presenting FGF5 expression levels across all MB subgroups (Figure 1A) and MB<sup>SHH</sup> subtypes (Figure 1D). We performed additional statistical analyses to compare FGF5 expression levels between MB subgroups and MB<sup>SHH</sup> subtypes and graphed these data as violin plots (Figure 1B, 1C, and 1E). For these analyses, we used one-way ANOVA with Holm-Sidak’s multiple comparisons test, single pooled variance. P value ≤0.05 was considered statistically significant. Graphs display the mean ± standard error of the mean (SEM).

      Author response image 1.

      Comparative expression of FGF ligands, FGF5, FGF10, FGF12, and FGF19, across all MB subgroups. FGF12 expression is not significantly different, while FGF5, FGF10, and FGF19, show distinct upregulation in MB<sup>SHH subgroup (MB<sup>WNT</sup> n=70, MB<sup>SHH</sup> n=224, MB<sup>GR3</sup> n=143, MB<sup>GR4</sup> n=326).

      Expression of the 21 known FGF ligands were also analyzed. Many FGFs did not exhibit differential expression levels in MB<sup>SHH</sup> compared to other MB subgroups, such as with FGF12 in Figure 1. FGF5, FGF10, and FGF19 (the human orthologue of mouse FGF15) all showed specific upregulation in MB<sup>SHH</sup> compared to other MB subgroups (Author response image 1), supporting our previous observations that FGF15 is a downstream target of SHH signaling (Yabut et al., 2020), as the reviewer pointed out. However, further stratification of MB<sup>SHH</sup> patient data revealed that only FGF5 specifically showed upregulation in infants with MBSHH (MB<sup>SHHβ</sup> and MB<sup>SHHγ</sup> Author response image 2) indicating a more prominent role for FGF5 in the developing cerebellum and driver of MB<sup>SHH</sup> tumorigenesis in this dynamic environment.

      Author response image 2.

      Comparative expression of FGF5, FGF10, and FGF19 in different MB<sup>SHH</sup> subtypes. FGF5 specifically show mRNA relative levels above 6 in 81% of MB<sup>SHH</sup> infant patient tumors (n=80 MB<sup>SHHα</sup> and MB<sup>SHHγ</sup> tumors) unlike 35% of MB<sup>SHHα</sup> (n=65) or 0% of MB<sup>SHHδ</sup>  (n=75) tumors.

      (2) The Sufu-cKO cerebellum lacks a clear anchor point at the secondary fissure and foliation is disrupted in the central and posterior lobes. It would be helpful for the authors to review Sudarov & Joyner (PMID: 18053187) for nomenclature specific to the developing cerebellum.

      The reviewers are correct that the cerebellar foliation is severely disrupted in central and posterior lobes, as per Sudarov and Joyner (Neural Development 2007). This nomenclature may be referred to describe the regions referred in this manuscript.

      (3) The metrics used to quantify cerebellar perimeter and immunostaining are not sufficiently described. It is unclear whether the individual points in the bar graph represent a single section from independent mice, or multiple sections from the same mice. For example, in Figures 2B-D. This also applies to Figure 3C-D.

      All quantification were performed from 2-3 20 um cerebellar sections of 3-6 independent mice per genotype analyzed. Individual points in the bar graphs represent the average cell number (quantified from 2-3 sections) from each mice. Figure 2B show data points from n=4 mice per genotype. Figure 2C show data from n=3 mice per genotype. Figure 2D show data from n=6 mice per genotype.  Figure 3C-D show data from n=3 mice per genotype.

      (4) The data on Fgf5 RNA expression presented in Figure 2E are not sufficiently convincing. The perimeter and cytoarchitecture of the cerebellum are difficult to see and the higher magnification shown in 2F should be indicated in 2E.

      The lack of foliation in Sufu-cKO cerebellum is clear particularly when visualizing the perimeter via DAPI labeling (Figure 2E). The expression area of FGF5 is also visibly larger, given that all images in Figure 2E are presented in the same scale (scale bars = 500 um). 

      (5) The data presented in Figure 3 are not sufficiently convincing. The number of cells double positive for pErk and KI67 (Figure 3B) are difficult to see and appear to be few, suggesting the quantification may be unreliable.

      We used KI67+ expression to provide a molecular marker of regions to be quantified in both WT and Sufu-cKO sections. Quantification of labeled cells were performed in images obtained by confocal microscopy, enabling imaging of 1-2 um optical slices since Ki67 or pERK expression might not localize within the same cellular compartments. We relied on continuous DAPI nuclear staining to distinguish individual cells in each optical slice and the colocalization of of Ki67 and pERK. All quantification were performed from 2-3 20 um cerebellar sections of 3-6 independent mice per genotype analyzed. Individual points in the bar graphs represent the average cell number (quantified from 2-3 sections) from each mice.

      (6) The data presented in Figure 4F-J would be more convincing with quantification. The Sufu;p53-dKO appears to have a thickened EGL across the entire vermis perimeter, and very little foliation, relative to control and single cKO cerebella. This is a more widespread effect than the more localized foliation disruption in the Sufu-cKO. 

      We agree with the reviewers that quantification of these phenotypes provide a solid measure of the defects. The phenotypes of Sufu:p53-dKO cerebellum are so profound requiring  in-depth characterization that will be the focus of future studies.

      (7) Figure 5 does not convincingly summarize the results. Blue and purple cells in sagittal cartoon are not defined. Which cells express Fgf5 (or other Fgfs) has not been determined. The yellow cells are not defined in relation to the initial cartoon on the left.

      The revised manuscript will address this confusion by clearly labeling the cells and their roles in the schematic diagram.

      Reviewer #2 (Public Review):

      Summary:

      Mutations in SUFU are implicated in SHH medulloblastoma (MB). SUFU modulates Shh signaling in a context-dependent manner, making its role in MB pathology complex and not fully understood. This study reports that elevated FGF5 levels are associated with a specific subtype of SHH MB, particularly in pediatric cases. The authors demonstrate that Sufu deletion in a mouse model leads to abnormal proliferation of granule cell precursors (GCPs) at the secondary fissure (region B), correlating with increased Fgf5 expression. Notably, pharmacological inhibition of FGFR restores normal cerebellar development in Sufu mutant mice.

      Strengths:

      The identification of increased FGF5 in subsets of MB is novel and a key strength of the paper.

      Weaknesses:

      The study appears incomplete despite the potential significance of these findings. The current paper does not fully establish the causal relationship between Fgf5 and abnormal cerebellar development, nor does it clarify its connection to SUFU-related MB. Some conclusions seem overstated, and the central question of whether FGFR inhibition can prevent tumor formation remains untested.

      Reviewer #3 (Public Review):

      Summary:

      The interaction between FGF signaling and SHH-mediated GNP expansion in MB, particularly in the context of Sufu LoF, has just begun to be understood. The manuscript by Yabut et al. establishes a connection between ectopic FGF5 expression and GNP over-expansion in a late-stage embryonic Sufu LoF model. The data provided links region-specific interaction between aberrant FGF5 signaling with the SHH subtype of medulloblastoma. New data from Yabut et al. suggest that ectopic FGF5 expression correlates with GNP expansion near the secondary fissure in Sufu LoF cerebella. Furthermore, pharmacological blockade of FGF signaling inhibits GNP proliferation. Interestingly, the data indicate that the timing of conditional Sufu deletion (E13.5 using the hGFAP-Cre line) results in different outcomes compared to later deletion (using Math1-cre line, Jiwani et al., 2020). This study provides significant insights into the molecular mechanisms driving GNP expansion in SHH subgroup MB, particularly in the context of Sufu LoF. It highlights the potential of targeting FGF5 signaling as a therapeutic strategy. Additionally, the research offers a model for better understanding MB subtypes and developing targeted treatments.

      Strengths:

      One notable strength of this study is the extraction and analysis of ectopic FGF5 expression from a subset of MB patient tumor samples. This translational aspect of the study enhances its relevance to human disease. By correlating findings from mouse models with patient data, the authors strengthen the validity of their conclusions and highlight the potential clinical implications of targeting FGF5 in MB therapy.

      The data convincingly show that FGFR signaling activation drives GNP proliferation in Sufu, conditional knockout models. This finding is supported by robust experimental evidence, including pharmacological blockade of FGF signaling, which effectively inhibits GNP proliferation. The clear demonstration of a functional link between FGFR signaling and GNP expansion underscores the potential of FGFR as a therapeutic target in SHH subgroup medulloblastoma.

      Previous studies have demonstrated the inhibitory effect of FGF2 on tumor cell proliferation in certain MB types, such as the ptc mutant (Fogarty et al., 2006)(Yaguchi et al., 2009). Findings in this manuscript provide additional support suggesting multiple roles for FGF signaling in cerebellar patterning and development.

      Weaknesses:

      In the GEO dataset analysis, where FGF5 expression is extracted, the reporting of the P-value lacks detail on the statistical methods used, such as whether an ANOVA or t-test was employed. Providing comprehensive statistical methodologies is crucial for assessing the rigor and reproducibility of the results. The absence of this information raises concerns about the robustness of the statistical analysis.

      The revised manuscript will include the following detailed explanation of the statistical analyses of the GEO dataset:

      For the analysis of expression values of FGF5 (ENSG00000138675), we obtained these values using Geo2R (Barrett et al., 2013), which directly analyze published human MB subtype expression arrays from accession no. GSE85217 (Cavalli et al., 2017). GEO2R is an interactive web tool that compares expression levels of genes of interest (GOI) between sample groups in the GEO series using original submitter-supplied processed data tables. We simply entered the GOI Ensembl ID and organized data sets according to age and MB subgroup or MBSHH subtype classifications. GEO2R results presented gene expression levels as a table ordered by FDR-adjusted (Benjamini & Hochberg) p-values, with significance level cut-off at 0.05, processed by GEO2R’s built-in limma statistical test. Resulting data were subsequently exported into Prism (GraphPad). We generated scatter plots presenting FGF5 expression levels across all MB subgroups (Figure 1A) and MBSHH subtypes (Figure 1D). We performed additional statistical analyses to compare FGF5 expression levels between MB subgroups and MBSHH subtypes and graphed these data as violin plots (Figure 1B, 1C, and 1E). For these analyses, we used one-way ANOVA with Holm-Sidak’s multiple comparisons test, single pooled variance. P value ≤0.05 was considered statistically significant. Graphs display the mean ± standard error of the mean (SEM). Sample sizes were:

      Author response table 1.

      Another concern is related to the controls used in the study. Cre recombinase induces double-strand DNA breaks within the loxP sites, and the control mice did not carry the Cre transgene (as stated in the Method section), while Sufu-cKO mice did. This discrepancy necessitates an additional control group to evaluate the effects of Cre-induced double-strand breaks on phosphorylated H2AX-DSB signaling. Including this control would strengthen the validity of the findings by ensuring that observed effects are not artifacts of Cre recombinase activity.

      The breeding scheme we used to generate homozygous SUFU conditional mutants will not generate pups carrying only hGFAP-Cre. Thus, we are unable to compare expression of gH2AX expression in littermates that do not carry loxP sites. The reviewer is correct in pointing out the possibility of Cre recombinase activity inducing double-strand breaks on its own. However, it is likely that any hGFAP-Cre induced double-strand breaks does not sufficiently cause the phenotypes we observed in homozygous mutants (Sufu-cKO) mice because the cerebellum of mice carry heterozygous SUFU mutations (hGFAP-Cre;Sufu-fl/+) do not display the profound cerebellar phenotypes observed in Sufu-cKO mice. We cannot rule out, however, any undetectable abnormalities that could be present which may require further analyses.

      Although the use of the hGFAP-Cre line allows genetic access to the late embryonic stage, this also targets multiple celltypes, including both GNPs and cerebellar glial cells. However, the authors focus primarily on GNPs without fully addressing the potential contributions of neuron-glial interaction. This oversight could limit the understanding of the broader cellular context in which FGF signaling influences tumor development. 

      The reviewer is correct in that hGFAP-Cre also targets other cell types, such as cerebellar glial cells, which are generated when Cre-expression has begun. It is possible that cerebellar glial cell development is also compromised in Sufu-cKO mice and may disrupt neuron-glial interaction, due to or independently of FGF signaling. In-depth studies are required to interrogate how loss of SUFU specifically affect development of cerebellar glial cells and influence their cellular interactions in the developing cerebellum.

      Recommendations for the authors:

      Editorial Comments:

      The reviewers suggest a number of steps to improve the manuscript that include additional experiments and a deeper analyses and re-evaluation of existing data. Short of significant new experiments, there appears to be number of straightforward analyses that can improve the study:

      (1) Reanalyses of statistical and quantitative approaches used (e.gs FDR correction, cerebellar deficits, GEO analyses.

      The revised manuscript will include detailed information on the statistical and quantitative approaches as addressed in our response to the reviewer’s comments.

      (2) More clear presentation of qualitative labeling approaches (immunohistochemistry and in situ hybridization).

      A detailed description of the protocols used will be included in  the methods section for labeling methods in the revised manuscript.

      Reviewer #1 (Recommendations For The Authors):

      AZD4547 treatment of the dKO mice would provide more convincing evidence that FGF-targeted treatments could curtail tumor growth in these mice or refute the suggestion that FGF-targeted treatment could prevent tumor growth.

      We agree that performing AZD4547 treatment on Sufu-dKO mice will strengthen these studies. However, we are unable to address since these mice are now unavailable. We hope that future studies will address these.

      Atoh1 is referred to as Math1 (older nomenclature) and should be corrected.

      The revised manuscript will include this change in nomenclature.

      Check verb tense throughout the manuscript.

      We will edit the manuscript further to check verb tenses prior to submission of the revised manuscript.

      Reviewer #2 (Recommendations For The Authors):

      Specific Comments:

      (1) The identification of increased FGF5 in subsets of MB is novel and a key strength of the paper. However, the causal relationship between FGF5 and MB remains unestablished. Based on the current data, FGF5 can only be considered a biomarker for stratifying MB.

      We agree with the reviewer that our studies do not provide direct evidence that FGF5 cause MB. Future investigation focusing on determining if FGF5 inhibition leads to phenotypic rescue will strongly establish the relationship between FGF5 and MB. The reviewer is also correct that our studies reveal that FGF5 acts as a potential biomarker, as we mentioned in the Discussion section.

      (2) The upregulation of Fgf5 in Sufu-deficient cerebella is crucial to this study, yet the presented data are unconvincing to support this conclusion. In comparing Fgf5 expression between WT and Sufu mutants (Figures 2E, F and 4I), the cerebellar sections differ significantly, with mutant sections seemingly from a more lateral position. The authors should provide images of mutant sections from more comparable positions to accurately assess the effect of Sufu deficiency on Fgf5 expression. Additionally, the signals in Figure 2F resemble non-specific backgrounds rather than specific RNAscope signals.

      The WT and mutant sections analyzed were carefully selected from comparable levels. The abnormal foliation in Sufu-cKO make the mutant sections look like they are from the lateral cerebellum.

      Figure 2F (enlarged regions) point to punctate RNAScope signals which is characteristic of this labeling method (see RBFOX3 or GFAP labeling in DAPI-labeled cells in the mouse brain at https://acdbio.com/science/applications/research-areas/neuroscience). The higher number of punctate signals in some, but not all, DAPI-labeled cells in Figure 2F indicate that the FGF5 RNAScope signal is specific.

      (3) Jiwani et al. (2020) reported that Fgf8 also expressed in region B of the EGL, is upregulated in Sufu-deficient cerebella and is necessary and sufficient for Sufu mutant GCP proliferation. The current study does not distinguish whether the FGFR inhibitor AZD4547 blocks Fgf5 and Fgf8 function in restoring cerebellar histology in Sufu mutants.

      AZD4547 potently inhibits FGFR1, FGFR2, and FGFR3 autophosphorylation (Gavine et al., Cancer Research, 2012). FGF8 is reported to bind to these receptors (Ornitz and Itoh, 2015). Thus, the reviewer is correct that the studies will not distinguish between FGF5 or FGF8 activity. Further investigation on FGF8 expression and the effects of its inhibition in the Sufu-cKO neonatal cerebellum will determine whether tumorigenic processes are driven by either FGF5 or FGF8. Nevertheless, we postulate that FGF5 is exerting a greater effect in activating FGF signaling in the developing cerebellum given that it is highly expressed along the external granule layers of the developing cerebellum (Author response image 3).

      Author response image 3.

      Expression of FGF5 and FGF8 in the P4 mouse cerebellum (Allen Brain Atlas, https://developingmouse.brain-map.org )

      (4) The authors should show whether AZD4547 treatment restores normal Fgf5 expression. Importantly, they need to test whether AZD4547 rescues the proliferation defect observed in Sufu;p53 double mutants.

      We agree that performing AZD4547 treatment on Sufu-dKO mice will strengthen these studies. However, we are unable to address since these mice are now unavailable. We hope that future studies will address these.

      (5) Jiwani et al. (2020) showed that deleting Sufu with Atoh1-Cre promotes Gli3R and suppresses Gli2 levels, leading to increased cell proliferation and delayed cell cycle exit in the central lobe. The findings of the current study (Supplementary Figure 1) seem to differ from this previous report, yet both studies conclude that Sufu-KO disrupts differentiation. The authors should provide an explanation for this discrepancy.

      Our results align completely with the findings by Jiwani et al. (2020). Both studies showed reduced levels of Gli3R, showing nearly 50% reduction, when Sufu is deleted (see Figure 4A-4D in Jiwani et al., 2020).

      (6) The hGFAP-Cre mouse line is used to delete Sufu from the cerebellum, but it is not commonly used for GCP-specific deletion. The authors need to provide a reference or more details on the temporal and spatial activity of the Cre line, as the cited paper describes its generation but offers little information on its activity in the developing cerebellum.

      We appreciate the reviewer’s reminder to include the reference for the Schuller et al. 2008 paper. This study characterized the hGFAP-Cre temporal and spatial expression in the developing cerebellum, including granule cell precursors. We will include this reference in the revised manuscript.

      (7) Based on the provided data, it is difficult to determine which cell types express Fgf5. Given that hGFAP-cre may delete Sufu in other cerebellar cell types, the authors should demonstrate that Fgf5 is expressed in granule cells or granule cell precursors.

      Future studies will focus on further characterization of the role of FGF5 in cerebellar development, including the identity cells expressing FGF5. The reviewer is correct in that hGFAP-Cre also targets other cell types and that Sufu deletion in these cells induced ectopic FGF5 expression.

      (8) The provided data show an increase in pERK+ cells in GCPs at the secondary fissure. This increase may simply reflect an accumulation of GCPs. It is unconvincing that there is an increase in pERK due to the loss of Sufu.

      The reviewer is correct that the increase in GCPs will also result increase the number of pERK+ cells. To control for this, our quantification reflects the number of cells per unit area where Ki67+ cells. With these parameters, we found that there is an increased density of pERK+ cells in a given Ki67+ region. All quantification were performed from 2-3 20 um cerebellar sections of 3-6 independent mice per genotype analyzed. Individual points in the bar graphs represent the average cell number (quantified from 2-3 sections) from each mice.

      (9) No data are provided on MB formation in Sufu-cKO; p53- mutants, and it is unknown whether FGFR inhibitors block tumor formation.

      We agree that performing AZD4547 treatment on Sufu-dKO mice will strengthen these studies. However, we are unable to address since these mice are now unavailable. We hope that future studies will address these.

      (10) The authors frequently mention "preneoplastic lesions" of GCPs in Sufu mutant mice. What evidence supports this claim?

      Preneoplastic lesions are defined as cells carrying genetic and phenotypic alterations that show higher risk of malignancy (such as MB) but lack the capacity to grow autonomously in the absence of a secondary factor (Feo et al., 2011). In Sufu-cKO mice, we see abnormally proliferating and behaving granule precursor cells that do not grow autonomously, in the absence of a p53 LOF. The combined deletion of Sufu and p53 transforms these cells to become neoplastic.

      (11) Fgf5 is normally expressed in region B. What is its potential function? Does AZD4547 affect normal development? 

      Future studies will focus on further characterization of the role of FGF5 in cerebellar development, including the identity cells expressing FGF5. Regarding AZD4547, we did not observe any obvious difference between AZD4547-treated and vehicle-treated cerebelli. These indicate that AZD4547 inhibition of FGFRs under physiologic conditions does not significantly disrupt normal cerebellar development.

      (12) Figure 3G: It is unclear which specimens were treated with AZD4547. The authors mention treatment in line 281 but contradict themselves in the figure legend.

      We thank the reviewer for pointing out this typo. Cerebellar tissues shown in Figure 3G were all treated with AZD4547. The figure legend will be corrected in the revised manuscript.

      (13) Figure 4J: The higher magnification images of the pERK/Ki67 staining appear identical in the control and Sufu;p53-dKO. The authors need to correct the mistake.

      We thank the reviewer for pointing this out. We will correct this figure in the revised manuscript.

      Minor Comments:

      (1) Whenever possible, images comparing WT and mutants should be presented at the same scale within a figure. For example, readers might easily conclude that mutant brains are smaller than controls in Figure 4G.

      Unfortunately, because the cerebellum of Sufu;p53-dKO mice are significantly bigger, we are unable to show the whole cerebellum in the same scale in Figure 4G. We wanted to emphasize the significant and abnormal cerebellar growth in this figure.

      (2) The figure legend for Supplementary Figure 2 is missing.

      Thank you for pointing this out. We will add a figure legend in this Supplementary data in the revised manuscript.

      (3) The authors state that the expansion of Pax6+ GNPs in the newborn Sufu-cKO cerebellum (Figure 2) occurs in similar anatomical subregions where infantile MB tumors typically arise (Tan et al., 2018). The cited paper describes more abundant SHH MB in the cerebellar hemisphere. The authors need to elaborate on their statement to clarify this point.

      The reviewer is correct in that Tan et al., 2018 observed tumors arising from the cerebellar hemisphere. More specifically, these tumors arise in the posterior/ventral regions of the cerebellar hemispheres (Figure 2 in Tan et al., 2018). Similarly, Sufu-cKO mice have more severe defects in the posterior/ventral regions of the cerebellar hemisphere (Figures 2A and 3F) and therefore corroborate the findings by Tan et al., that abnormal SHH signaling in these regions results in increased sensitivity to MB formation.

      Reviewer #3 (Recommendations For The Authors):

      Figure1 [Upregulated FGF5 expression in MBS-HH tumors]

      - Statistical analysis from the Geo expression dataset does not provide enough detail. At least, the authors should mention whether they have made any adjustments from the default settings and how they extracted/plotted the FGF5 expression (Figure 1BCE).

      For the analysis of expression values of FGF5 (ENSG00000138675), we obtained these values using Geo2R (Barrett et al., 2013), which directly analyze published human MB subtype expression arrays from accession no. GSE85217 (Cavalli et al., 2017). GEO2R is an interactive web tool that compares expression levels of genes of interest (GOI) between sample groups in the GEO series using original submitter-supplied processed data tables. We simply entered the GOI Ensembl ID and organized data sets according to age and MB subgroup or MBSHH subtype classifications. GEO2R results presented gene expression levels as a table ordered by FDR-adjusted (Benjamini & Hochberg) p-values, with significance level cut-off at 0.05, processed by GEO2R’s built-in limma statistical test. Resulting data were subsequently exported into Prism (GraphPad). We generated scatter plots presenting FGF5 expression levels across all MB subgroups (Figure 1A) and MB<sup>SHH</sup> subtypes (Figure 1D). We performed additional statistical analyses to compare FGF5 expression levels between MB subgroups and MB<sup>SHH</sup> subtypes and graphed these data as violin plots (Figure 1B, 1C, and 1E). For these analyses, we used one-way ANOVA with Holm-Sidak’s multiple comparisons test, single pooled variance. P value ≤0.05 was considered statistically significant. Graphs display the mean ± standard error of the mean (SEM). See Author response table 1 for sample sizes.

      Figure 3 [Ectopic activation of FGF signaling in the EGL of P0 Sufu-cKO cerebellum]

      - Gil1-lz mice reference wrong. Correct Bai CB, et al. 2002

      - Generation of Sufu-cKO;Gli1-LacZ triple transgenic mice not described 

      - Veh vs. treated not labelled (Figure 3F)

      We will address these minor text changes in the revised manuscript. A more detailed description of the generation of Sufu-cKO;Gli1-LacZ triple transgenic will also be included in the Methods section.

      Figure 5 [Proposed model]

      - In the text, Figure 5 is mistaken for Figure 8. 

      We will address these minor text changes in the revised manuscript.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This valuable study reports comprehensive multi-omic data on the changes induced in young and aged male mouse tail fibroblasts after treatment with chemical reprogramming factors. The authors claim that chemical reprogramming factors induce changes consistent with a reduction of cellular 'biological' age (e.g., correlations with established aging markers in whole tissues). However, the study relies on previously identified aging markers (instead of aging in the tail fibroblast system itself), and thus, at this stage, the evidence in support of the observed molecular changes truly reflecting changes in biological age in the study system is still incomplete.

      Essential revisions

      After discussion with reviewers, we believe that the conclusions of the manuscript would be significantly strengthened with the following revisions:

      (1) Rather than basing the analysis of age-related markers on public tissue data, it is recommended that authors use their own data on pre-reprogramming fibroblasts to define molecular aging-related markers/signatures specifically for male tail fibroblasts at 4 vs 20 months. This should also always be included in figures as reference points.

      We appreciate these helpful comments. Please refer to our responses to Reviewers #1 and #2 concerning these suggestions and the corresponding changes we have made in the revised manuscript.

      (2) In general, the methods as written lack the details necessary to fully understand the study/reproduce it independently, notably in terms of data analysis choices (e.g. use of FWER/FDR type correction for multiple testing, use of raw vs normalized RNA counts for PCA, etc).

      Thank you for this feedback. We have modified our text to address this issue. Please refer to our responses to Reviewer #1 for the specific changes we have made.

      (3) More generally, the authors should better outline the limitations/caveats of their experimental design in the discussion and/or abstract, including the specific cell type and the choice of using only male data (since aging itself is very sex-dimorphic, and the impact of partial reprogramming on aging phenotypes may also be sex-dimorphic).

      Thank you for this important feedback. We have now added a section to our Discussion in which we directly address potential limitations of our study concerning sex-specific differences and the cell type used.

      Public Reviews:

      Reviewer #1:

      Summary:

      The investigators employed multi-omics approach to show the functional impact of partial chemical reprogramming in fibroblasts from young and aged mice.

      Strengths:

      Multi-omics data was collected, including epigenome, transcriptome, proteome, phosphoproteome, and metabolome. Different analyses were conducted accordingly, including differential expression analysis, gene set enrichment analysis, transcriptomic and epigenetic clock-based analyses. The impact of partial chemical reprogramming on aging was supported by these multi-source results.

      We appreciate the reviewer noting the strength and comprehensiveness of our approach.

      Weaknesses:

      More experimental data may be needed to further validate current findings.

      We thank the reviewer for this suggestion. To further validate our findings, we have proceeded as follows: (1) First, we have investigated the role of Prkaca activation during partial chemical reprogramming with 7c (see updated Fig. 5C, Fig. 5 – figure supplement 1B). By confocal microscopy, we show that partial chemical reprogramming with 7c does not cause Prkaca to localize to mitochondria; rather, its cellular distribution is altered to favor nuclear localization. We also use RNAi to knockdown Prkaca and find that Prkaca is not necessary for mediating the increase in mitochondrial membrane potential upon partial chemical reprogramming with 7c.

      (2) We have determined the effect of partial chemical reprogramming with 7c on apoptosis using Annexin V assay (see updated Fig. 5 – figure supplement 1C). We show that during the course of partial chemical reprogramming, the proportion of apoptotic cells steadily increases to about 20 percent.

      (3) We have re-analyzed our multi-omics data to determine the molecular differences (e.g. at the epigenome, transcriptome, proteome, and metabolome levels) between fibroblasts isolated from young and old mice (see updated Fig. 2 – figure supplement 1, Fig. 6 – figure supplement 1, and Fig. 7 – figure supplement 2). Additionally, we have updated Fig. 7A to include statistical comparisons of transcriptomic age of 4-month-old and 20-month-old fibroblasts. Finally, we have updated Fig. 3D to include functional enrichment of gene and protein expression levels of aged fibroblasts.

      (4) We have more thoroughly characterized the effects of partial chemical reprogramming on the epigenome (see Fig. 7 – figure supplement 3).

      (5) Julie Y. Chen was added on as an additional co-author for producing the analyses shown in Fig. 7 – figure supplement 2, and Fig. 7 – figure supplement 3.

      Reviewer #2:

      The short-term administration of reprogramming factors to partially reprogram cells has gained traction in recent years as a potential strategy to reverse aging in cells and organisms. Early studies used Yamanaka factors in transgenic mice to reverse aging phenotypes, but chemical cocktails could present a more feasible approach for in vivo delivery. In this study, Mitchell et al sought to determine the effects that short-term administration of chemical reprogramming cocktails have on biological age and function. To address this question, they treated young and old mouse fibroblasts with chemical reprogramming cocktails and performed transcriptome, proteome, metabolome, and DNA methylation profiling pre- and post-treatment. For each of these datasets, they identified changes associated with treatment, showing downregulation of some previously identified molecular signatures of aging in both young and old cells. From these data, the authors conclude that partial chemical reprogramming can rejuvenate both young and old fibroblasts.

      The main strength of this study is the comprehensive profiling of cells pre- and post-treatment with the reprogramming cocktails, which will be a valuable resource for better understanding the molecular changes induced by chemical reprogramming. The authors highlighted consistent changes across the different datasets that are thought to be associated with aging phenotypes, showing reduction of age-associated signatures previously identified in various tissues. However, from the findings, it remains unclear which changes are functionally relevant in the specific fibroblast system being used. Specifically:

      (1) The 4 month and 20 month mouse fibroblasts are designated "young" vs "old" in this study. An important analysis that was not shown for each of the profiled modalities was a comparison of untreated young vs old fibroblasts to determine age-associated molecular changes in this specific model of aging. Then, rather than using aging signatures defined in other tissues, it would be more appropriate to determine whether the chemical cocktails reverted old fibroblasts to a younger state based on the age-associated changes identified in this comparison.

      In our study, we have used 4 biological samples per group for young and old untreated fibroblasts, and these samples have been used to calculate the effect of 7c and 2c cocktails on gene expression in each age group. Therefore, the correlation between logFC induced by 7c/2c treatment and logFC between young and old fibroblasts would be biased, since the same untreated samples would be used in both calculations: estimates B-A and C-B will be, on average, negatively correlated even if A, B and C are independent random variables. For this reason, to investigate the effect of cocktails on biological age, we utilized gene expression signatures of aging, estimated based on more than 2,600 samples of different ages from 25 data sources (PMID: 37269831). Notably, our multi-tissue signatures of aging were identified based on data from 17 tissues, including skin. Therefore, these biomarkers seem to represent more reliable and universal molecular mechanisms of aging. Since they have been identified using independent data, the signatures also don’t introduce the statistical bias described above. For these reasons, we think that they are more applicable for the current analysis. To demonstrate that the utilized aging signatures are overall consistent with the changes observed in studied fibroblasts, we performed GSEA-based analysis, testing association between logFC in aged fibroblasts and various signatures of aging and reprogramming (similar to our analysis in Fig. 2E). We found that the changes in aged fibroblasts from the current study demonstrated positive association with the majority of aging signatures (kidney, liver and multi-tissue signatures in mouse and rat) (Fig. 2 – figure supplement 1A) and were negatively associated with signatures of reprogramming. In addition, we characterized functional changes perturbed in untreated aged fibroblasts at the level of gene expression and protein concentrations and observed multiple changes consistent with the aging signatures, such as upregulation of genes and proteins involved in inflammatory response and interferon signaling (Fig. 3D, Fig. 2 – figure supplement 1C). Therefore, changes observed in untreated aged fibroblasts seem to agree with age-related molecular changes identified across mammalian tissues in our previous studies.

      We would also like to mention that the epigenetic clocks used in this study consistently show that the fibroblasts from 20-month-old fibroblasts are significantly older than the fibroblasts from 4-month-old mice (Fig. 7B). Moreover, we have revised the manuscript to show that these epigenetic differences between young and old untreated fibroblasts are not due to overall changes in mean DNA methylation (Fig. 7 – figure supplement 2). In contrast, in the revised manuscript, we observe that 7c treatment is reducing the epigenetic age of cells by decreasing mean DNA methylation levels (Fig. 7 – figure supplement 3).

      (2) Across all datasets, it appears that the global profiles of young vs old mouse fibroblasts are fairly similar compared to treated fibroblasts, suggesting that the chemical cocktails are not reverting the fibroblasts to a younger state but instead driving them to a different cell state. Similarly, in most cases where specific age-related processes/genes are being compared across untreated and treated samples, no significant differences are observed between young and old fibroblasts.

      We agree that our data shows that partial chemical reprogramming seems to induce a similar effect on young and old fibroblasts. In Fig. 2 – figure supplement 1B, the Spearman correlation coefficients for the effects on gene expression in young and old fibroblasts are 0.80 and 0.85 for 2c and 7c, respectively. It is important to note that the effect of partial chemical reprogramming is a magnitude higher (say in terms of number of differentially expressed genes) than the effect of aging in the untreated fibroblasts. Partial chemical reprogramming with 7c, we believe, is pushing the cells to a younger state as a byproduct of producing a different cellular metabolic state with a strong increase in OXPHOS capacity.

      (3) Functional validation experiments to confirm that specific changes observed after partial reprogramming are indeed reducing biological age is limited.

      Functional validation of rejuvenating interventions is limited in vitro, as cells do not completely maintain their “aged” phenotype once isolated and cultured, and pursuing partial chemical reprogramming in vivo in naturally-aged mice was beyond the scope of the study. One of the best reporters of biological age that are preserved in primary cells in vitro are epigenetic and transcriptomic clocks, which were both utilized in this manuscript to show that 7c treatment, but not 2c, reduces biological age. We show that splicing-related damage is marginally elevated in old fibroblasts compared to young, and that 7c reduces splicing damage by reducing intron retention. Moreover, the epigenetic clocks used in this study show that the 20-month-old fibroblasts are significantly older than the 4-month-old fibroblasts, indicating that the “aged” phenotype is at least partially preserved. Furthermore, according to previous studies (PMIDs: 37269831, 31353263), one of the strongest functional biomarkers of aging is downregulation of mitochondrial function and energy metabolism, including oxidative phosphorylation, while upregulation of these functions is usually associated with extended lifespan in mice. For this reason, we have focused on these pathways in our study and assessed them with functional assays.

      (4) Partial reprogramming appears to substantially reduce biological age of the young (4 month) fibroblasts based on the aging signatures used. It is unclear how this result should be interpreted.

      This is a caveat of all reprogramming strategies/”anti-aging” interventions developed and tested to date. Currently, there are no genetic or pharmacological methods that target only the “aged” state and not the “young” state as well (i.e. an intervention that would only cause a change in old cells and revert them to a younger state). However, “young” cells in our study and many other studies are still the cells of an intermediate age, as aging appears to begin early during development. Therefore, perhaps unsurprisingly, partial chemical reprogramming seemed to have similar effects on fibroblasts isolated from young and old mice, which is in line with OSK/OSKM reprogramming. These results should be interpreted as follows: partial chemical reprogramming does not depend on the epigenetic state (biological age) of adult cells to induce rejuvenation. We have updated the discussion section of our manuscript accordingly.

      Recommendations for the authors:

      Reviewer #1:

      (1) How was the PCA conducted for RNA-seq data? Were the raw or normalized counts used for PCA?

      Normalized counts were used for PCA of the RNA-seq data.

      (2) Supplementary Fig 3c, why was the correlation between the red rows and red columns low? Was the color of group messed up? Why was the Pearson correlation used instead of Spearman correlation? Most of the correlation analyses in the manuscript used Spearman correlation.

      We thank the reviewer for noticing this mistake. The colors of the groups have now been corrected. Furthermore, to be consistent with the rest of the manuscript, we have performed a Spearman correlation analysis on the normalized proteomics data to evaluate sample-to-sample similarities and updated Fig. 3 – figure supplement 1 accordingly. Overall, the results are similar to those obtained by Pearson correlation.

      (3) Were the significant metabolites tested by one-way ANOVA adjusted for family-wise type I error rate? It is surprising that over 50% metabolites were significant.

      Yes, the significant metabolites were adjusted for family-wise type I error rate (with a 5% significance threshold) in Fig. 6B.

      (4) Missing full names of several abbreviations, such as NIA, RLE, PSI, etc.

      Thank you for noticing the missing abbreviations. We have corrected this by writing out the full term in the first instance in which each abbreviation appears.

      (5) Methods section may be too long. Some paragraphs could be moved to supplementary text.

      eLife does not have a limit to the number of figures or amount of text. Therefore, we have kept the methods section largely unaltered as we feel that they would be helpful to the scientific community.

      Reviewer #2:

      (1) As discussed in the public review, I would recommend first establishing what differences exist between 4 month and 20 month fibroblasts to identify potential age-related changes in these fibroblasts.

      We thank the reviewer for this suggestion. We have now thoroughly characterized the molecular differences between fibroblasts taken from young and old mice at the epigenome, transcriptome, proteome, and metabolome levels. Please refer to previous responses for more specific details.

      We have also attempted to establish aging-related differences at the phosphoproteome level, particularly in regards to mitochondrial processes (see figure below), but only GOcc: mitochondrion and GObp: mitochondrial transport come close to being statistically significant (raw p-values of 0.05 and 0.08, respectively) in the control comparison.

      Author response image 1.

      (2) While the global changes currently highlighted in the study are informative and should remain in the revised manuscript, additional analyses to show which age-related changes identified in point 1 are reverted upon 2c or 7c treatment would better address the question of whether these cocktails revert age-related changes seen in fibroblasts. These analyses should be performed for each dataset (i.e transcriptomic, proteomic, epigenomic, metabolomic) generated.

      Thank you for this comment. We have now evaluated the effects of partial chemical reprogramming on the specific molecular differences between fibroblasts isolated from young and old mice (see updated Fig. 2 – figure supplement 1, Fig. 6 – figure supplement 1, Fig. 7 – figure supplement 2, and Fig. 7 – figure supplement 3). For functional enrichment of aged fibroblasts at the gene and protein level, please refer to updated Fig. 3D.

      (3) Comparisons between partial reprogramming and OSKM reprogramming signatures are repeatedly made in the paper, but it is not clear from the text whether similarity to OSKM reprogramming signatures is a desired or undesired feature. Since there are likely both rejuvenating and oncogenic aspects of the OSKM signatures, it is unclear what conclusions can be made from these comparisons.

      Two central questions of this study were (1) if partial chemical reprogramming could induce cellular rejuvenation, and (2) if so, would it do so by merely chemically activating expression of Yamanaka factors. In this study, we find that 7c, the cocktail that demonstrated the most profound effect on biological age, only minorly upregulates Klf4, downregulates c-Myc, and has no effect on Sox2 or Oct4 expression. Thus, partial chemical reprogramming seems to operate through a mechanism independent of upregulating OSK/OSKM gene expression. This is crucial as it suggests that there are other transcription factors outside of OSKM that can be targeted to induce cellular rejuvenation and reversal of biological age. However, the direct transcriptional targets of partial chemical reprogramming are currently unknown and require further investigation.

      Partial reprogramming with OSK/OSKM has several limitations, including low efficiency, oncogenic risk, and differences in the speed of reprogramming according to cell/tissue type. These risks could be inherently tied to the transcription factors OSKM themselves; thus, partial chemical reprogramming, by avoiding strong activation of these genes, could potentially avoid these risks and provide a safer means for reversing biological age in vivo. However, extensive follow-up studies beyond the scope of this manuscript are certainly required to determine this.

      We have addressed this comment by modifying the discussion to include these points.

      (4) When analyzing the phospho-proteomics data, results are discussed as general changes in phosphorylation of proteins involved in different cellular processes. However, phosphorylation can either activate or inhibit a specific protein, and can depend on the specific residue in a protein that is modified. Different proteins in a cellular process can also respond in opposite directions to phosphorylation. Treating activating and inactivating phosphorylation events separately in describing these results would be more informative.

      We agree that an analysis that considers for each specific phosphosite whether it activates or inactivates a particular pathway would in principle be preferable over our current enrichment analysis that only accounts for the increase or decrease in phosphorylation of each site without knowing its biological meaning. However, unfortunately, we think it is currently practically not possible to conduct such an analysis. The proposed analysis would require a database with information on which residues are (de-)phosphorylated when a certain pathway is activated. However, as far as we know, there are currently no databases that link activation or inactivation of specific phosphosites to pathways in repositories like KEGG, HALLMARK, GObp, GOcc, GOmf, Reactome, etc.

      Some databases link phosphosites to drugs, diseases and kinases (e.g. PTMsigDB (PMID: 30563849)). However, these authors explicitly state: “We note that we do not capture functional annotations of PTM sites in PTMsigDB, such as activating or inactivating effect on the modified protein.” Furthermore, even in these databases, for the vast majority of the registered phosphosites, the responsible kinases are unknown, especially in mice. In our work, we made use of PhosphoSitePlus for kinase substrate enrichment analysis (see Fig. 5B). Such analyses, where kinase activity is inferred based on activated phosphosites are indeed commonly performed (see PMIDs: 34663829, 37269289, 37585503).

      In the absence of a repository that assigns activity to phosphosites, if enrichment analysis is being done for biological pathways, it is standard practice to so without accounting for whether phosphosites are activating or inactivating (see PMID: 34663829), as we have done in our manuscript (Fig. 5A).

      Despite the drawbacks, we believe our analysis is relevant, as it demonstrates important biological activity in these pathways uopn 2c/7c treatments as compared to controls. For example, the observed increase in abundance in mitochondrial OXPHOS complexes (Fig. 3E) combined with an increase in general phosphorylation of mitochondrial proteins (Fig. 5A) likely points to an increase mitochondrial activity, although one cannot exclude that some individual phosphorylation events might have inhibitory effects on certain mitochondrial proteins, while others might indicate increases in activity.

      (5) For the transcriptomic and epigenetic aging clocks used in Fig 7, significance tests need to be included for untreated 4 month vs 20 month fibroblasts. Particularly for the transcriptional clock, the differences are small and suggest that it may not be a strong aging signature.

      We have updated our clock analysis with the most recent versions of the clocks and added statistical significance between 4-month-old and 20-month-old untreated fibroblasts there (Fig. 7A). The difference is statistically significant for the chronological clock. However, when the lifespan-adjusted clock was applied, no statistical significance was observed, suggesting that 20-month-old fibroblasts do not exhibit substantial changes in gene expression associated with decreased healthspan and increased mortality.

      (6) For heatmaps shown in Figure 3D and Figure 4, please include untreated 4 month and 20 month fibroblasts as well to determine if pathways being compared are different between young and old fibroblasts.

      We have updated Figure 3D with functional enrichment results for aged fibroblasts at gene and protein expression levels, as requested. As for Fig. 4, we explained in our reply to point 1 of Reviewer #2 in the public review why addition of aged fibroblasts there would be biased there. Instead, we have performed GSEA-based association analysis for changes observed in aged fibroblasts and signatures of aging (Fig. 2 – figure supplement 1), confirming that our signatures are overall consistent with patterns of 20-month-old fibroblasts from the current study.

    1. Author response

      The following is the authors’ response to the current reviews.

      We thank the editor for the eLife assessment and reviewers for their remaining comments. We will address them in this response.

      First, we thank eLife for the positive assessment. Regarding the point of visual acuity that is mentioned in this assessment, we understand that this comment is made. It is not an uncommon comment when rodent vision is discussed. However, we emphasize that we took the lower visual acuity of rats and the higher visual acuity of humans into account when designing the human study, by using a fast and eccentric stimulus presentation for humans. As a result, we do not expect a higher discriminability of stimuli in humans. We have described this in detail in our Methods section when describing the procedure in the human experiment:

      “We used this fast and eccentric stimulus presentation with a mask to resemble the stimulus perception more closely to that of rats. Vermaercke & Op de Beeck (2012) have found that human visual acuity in these fast and eccentric presentations is not significantly better than the reported visual acuity of rats. By using this approach we avoid that differences in strategies between humans and rats would be explained by such a difference in acuity”

      Second, regarding the remaining comment of Reviewer #2 about our use of AlexNet:

      While it is indeed relevant to further look into different computational architectures, we chose to not do this within the current study. First, it is a central characteristic of the study procedure that the computational approach and chosen network is chosen early on as it is used to generate the experimental design that animals are tested with. We cannot decide after data collection to use a different network to select the stimuli with which these data were collected. Second, as mentioned in our first response, using AlexNet is not a random choice. It has been used in many previously published vision studies that were relatively positive about the correspondence with biological vision (Cadieu et al., 2014; Groen et al., 2018; Kalfas et al., 2018; Nayebi et al., 2023; Zeman et al., 2020). Third, our aim was not to find a best DNN model for rat vision, but instead examining the visual features that play a role in our complex discrimination task with a model that was hopefully a good enough starting point. The fact that the designs based upon AlexNet resulted in differential and interpretable effects in rats as well as in humans suggests that this computational model was a good start. Comparing the outcomes of different networks would be an interesting next step, and we expect that our approach could work even better when using a network that is more specifically tailored to mimic rat visual processing.

      Finally, regarding the choice to specifically chose alignment and concavity as baseline properties, this choice is probably not crucial for the current study. We have no reason to expect rats to have an explicit notion about how a shape is built up in terms of a part-based structure, where alignment relates to the relative position of the parts and concavity is a property of the main base. For human vision it might be different, but we did not focus on such questions in this study.


      The following is the authors’ response to the original reviews.

      We would like to thank you for giving us the opportunity to submit a revised draft our manuscript. We appreciate the time and effort that you dedicated to providing insightful feedback on our manuscript and are grateful for the valuable comments and improvements on our paper. It helped us to improve our manuscript. We have carefully considered the comments and tried our best to address every one of them. We have added clarifications in the Discussion concerning the type of neural network that we used, about which visual features might play a role in our results as well as clarified the experimental setup and protocol in the Methods section as these two sections were lacking key information points.

      Below we provide a response to the public comments and concerns of the reviewers.

      Several key points were addressed by at least two reviewers, and we will respond to them first.

      A first point concerns the type of network we used. In our study, we used AlexNet to simulate the ventral visual stream and to further examine rat and human performance. While other, more complex neural networks might lead to other results, we chose to work with AlexNet because it has been used in many other vision studies that are published in high impact journals ((Cadieu et al., 2014; Groen et al., 2018; Kalfas et al., 2018; Nayebi et al., 2023; Zeman et al., 2020). We did not try to find a best DNN model for rat vision but instead, we were looking for an explanation of which visual features play a role in our complex discrimination task. We added a consideration to our Discussion addressing why we worked with AlexNet. Since our data will be published on OSF, we encourage to researchers to use our data with other, more complex neural networks and to further investigate this issue.

      A second point that was addressed by multiple reviewers concerns the visual acuity of the animals and its impact on their performance. The position of the rat was not monitored in the setup. In a previous study in our lab (Crijns & Op de Beeck, 2019), we investigated the visual acuity of rats in the touchscreen setups by presenting gratings with different cycles per screen to see how it affects their performance in orientation discrimination. With the results from this study and general knowledge about rat visual acuity, we derived that the decision distance of rats lies around 12.5cm from the screen. We have added this paragraph to the Discussion.

      A third key point that needs to be addressed as a general point involves which visual features could explain rat and human performance. We reported marked differences between rat and human data in how performance varied across image trials, and we concluded through our computationally informed tests and analyses that rat performance was explained better by lower levels of processing. Yet, we did not investigate which exact features might underlie rat performance. As a starter, we have focused on taking a closer look at pixel similarity and brightness and calculating the correlation between rat/human performance and these two visual features.

      We calculated the correlation between the rat performances and image brightness of the transformations. We did this by calculating the difference in brightness of the base pair (brightness base target – brightness base distractor), and subtracting the difference in brightness of every test target-distractor pair for each test protocol (brightness test target – brightness test distractor for each test pair). We then correlated these 287 brightness values (1 for each test image pair) with the average rat performance for each test image pair. This resulted in a correlation of 0.39, suggesting that there is an influence of brightness in the test protocols. If we perform the same correlation with the human performances, we get a correlation of -0.12, suggesting a negative influence of brightness in the human study.

      We calculated the correlation between pixel similarity of the test stimuli in relation to the base stimuli with the average performance of the animals on all nine test protocols. We did this by calculating the pixel similarity between the base target with every other testing distractor (A), the pixel similarity between the base target with every other testing target (B), the pixel similarity between the base distractor with every other testing distractor (C) and the pixel similarity between the base distractor with every other testing target (D). For each test image pair, we then calculated the average of (A) and (D), and subtracted the average of (C) and (B) from it. We correlated these 287 values (one for each image pair) with the average rat performance on all test image pairs, which resulted in a correlation of 0.34, suggesting an influence of pixel similarity in rat behaviour. Performing the same correlation analysis with the human performances results in a correlation of 0.12.

      We have also addressed this in the Discussion of the revised manuscript. Note that the reliability of the rat data was 0.58, clearly higher than the correlations with brightness and pixel similarity, thus these features capture only part of the strategies used by rats.

      We have also responded to all other insightful suggestions and comments of the reviewers, and a point-by-point response to the more major comments will follow now.  

      Reviewer #1, general comments:

      The authors should also discuss the potential reason for the human-rat differences too, and importantly discuss whether these differences are coming from the rather unusual approach of training used in rats (i.e. to identify one item among a single pair of images), or perhaps due to the visual differences in the stimuli used (what were the image sizes used in rats and humans?). Can they address whether rats trained on more generic visual tasks (e.g. same-different, or category matching tasks) would show similar performance as humans?

      The task that we used is typically referred to as a two-alternative forced choice (2AFC). This is a simple task to learn. A same-different task is cognitively much more demanding, also for artificial neural networks (see e.g. Puebla & Bowers, 2022, J. Vision). A one-stimulus choice task (probably what the reviewer refers to with category matching) is known to be more difficult compared to 2AFC, with a sensitivity that is predicted to be Sqrt(2) lower according to signal detection theory (MacMillan & Creelman, 1991). We confirmed this prediction empirically in our lab (unpublished observations). Thus, we predict that rats perform less good in the suggested alternatives, potentially even (in case of same-different) resulting in a wider performance gap with humans.

      I also found that a lot of essential information is not conveyed clearly in the manuscript. Perhaps it is there in earlier studies but it is very tedious for a reader to go back to some other studies to understand this one. For instance, the exact number of image pairs used for training and testing for rats and humans was either missing or hard to find out. The task used on rats was also extremely difficult to understand. An image of the experimental setup or a timeline graphic showing the entire trial with screenshots would have helped greatly.

      All the image pairs used for training and testing for rats and humans are depicted in Figure 1 (for rats) and Supplemental Figure 6 (for humans). For the first training protocol (Training), only one image pair was shown, with the target being the concave object with horizontal alignment of the spheres. For the second training protocol (Dimension learning), three image pairs were shown, consisting of the base pair, a pair which differs only in concavity, and a pair which differs only in alignment. For the third training protocol (Transformations) and all testing protocols, all combination of targets and distractors were presented. For example, in the Rotation X protocol, the stimuli consisted of 6 targets and 6 distractors, resulting in a total of 36 image pairs for this protocol. The task used on rats is exactly as shown in Figure 1. A trial started with two blank screens. Once the animal initiated a trial by sticking its head in the reward tray, one stimulus was presented on each screen. There was no time limit and so the stimuli remained on the screen until the animal made a decision. If the animal touched the target, it received a sugar pellet as reward and a ITI of 20s started. If the animal touched the distractor, it did not receive a sugar pellet and a time-out of 5s started in addition to the 20s ITI.

      We have clarified this in the manuscript.

      The authors state that the rats received random reward on 80% of the trials, but is that on 80% of the correctly responded trials or on 80% of trials regardless of the correctness of the response? If these are free choice experiments, then the task demands are quite different. This needs to be clarified. Similarly, the authors mention that 1/3 of the trials in a given test block contained the old base pair - are these included in the accuracy calculations?

      The animals receive random reward on 80% on all testing trials with new stimuli, regardless of the correctness of the response. This was done to ensure that we can measure true generalization based upon learning in the training phase, and that the animals do not learn/are not trained in these testing stimuli. For the trials with the old stimuli (base pair), the animals always received real reward (reward when correct; no reward in case of error).

      The 1/3rd trials with old stimuli are not included in the accuracy calculations but were used as a quality check/control to investigate which sessions have to be excluded and to assure that the rats were still doing the task properly. We have added this in the manuscript.

      The authors were injecting noise with stimuli to cDNN to match its accuracy to rat. However, that noise potentially can interacted with the signal in cDNN and further influence the results. That could generate hidden confound in the results. Can they acknowledge/discuss this possibility?

      Yes, adding noise can potentially interact with the signal and further influence the results. Without noise, the average training data of the network would lie around 100% which would be unrealistic, given the performances of the animals. To match the training performance of the neural networks with that of the rats, we added noise 100 times and averaged over these iterations (cfr. (Schnell et al., 2023; Vinken & Op de Beeck, 2021)).  

      Reviewer #2, weaknesses:

      1) There are a few inconsistencies in the number of subjects reported. Sometimes 45 humans are mentioned and sometimes 50. Probably they are just typos, but it's unclear.

      Thank you for your feedback. We have doublechecked this and changed the number of subjects where necessary. We collected data from 50 human participants, but had to exclude 5 of them due to low performance during the quality check (Dimension learning) protocols. Similarly, we collected data from 12 rats but had to exclude one animal because of health issues. All these data exclusion steps were mentioned in the Methods section of the original version of the manuscript, but the subject numbers were not always properly adjusted in the description in the Results section. This is now corrected.

      2) A few aspects mentioned in the introduction and results are only defined in the Methods thus making the manuscript a bit hard to follow (e.g. the alignment dimension), thus I had to jump often from the main text to the methods to get a sense of their meaning.

      Thank you for your feedback. We have clarified some aspects in the Introduction, such as the alignment dimension.

      4) Many important aspects of the task are not fully described in the Methods (e.g. size of the stimuli, reaction times and basic statistics on the responses).

      We have added the size of the stimuli to the Methods section and clarified that the stimuli remained on the screen until the animals made a choice. Reaction time in our task would not be interpretable given that stimuli come on the screen when the animal initiates a trial with its back to the screen. Therefore we do not have this kind of information.

      Reviewer #1

      • Can the authors show all the high vs zero and zero vs high stimulus pairs either in the main or supplementary figures? It would be instructive to know if some other simple property covaried between these two sets.

      In Figure 1, all images of all protocols are shown. For the High vs. Zero and Zero vs. High protocols, we used a deep neural network to select a total of 7 targets and 7 distractors. This results in 49 image pairs (every combination of target-distractor).

      • Are there individual differences across animals? It would be useful for the authors to show individual accuracy for each animal where possible.

      We now added individual rat data for all test protocols – 1 colour per rat, black circle = average. We have added this picture to the Supplementary material (Supplementary Figure 1).

      • Figure 1 - it was not truly clear to me how many image pairs were used in the actual experiment. Also, it was very confusing to me what was the target for the test trials. Additionally, authors reported their task as a categorisation task, but it is a discrimination task.

      Figure 1 shows all the images that were used in this study. Every combination of every target-distractor in each protocol (except for Dimension learning) was presented to the animals. For example in Rotation X, the test stimuli as shown in Fig. 1 consisted of 6 targets and 6 distractors, resulting in a total of 36 image pairs for this test protocol.

      In each test protocol, the target corresponded to the concave object with horizontally attached spheres, or the object from the pair that in the stimulus space was closed to this object. We have added this clarification in the Introduction: “We started by training the animals in a base stimulus pair, with the target being the concave object with horizontally aligned spheres. Once the animals were trained in this base stimulus pair, we used the identity-preserving transformations to test for generalization.” as well as in the caption of Figure 1. We have changed the term “categorisation task” to “discrimination task” throughout the manuscript.

      • Figure 2 - what are the red and black lines? How many new pairs are being tested here? Panel labels are missing (a/b/c etc)

      We have changed this figure by adding panel labels, and clarifying the missing information in the caption. All images that were shown to the animals are presented on this figure. For Dimension Learning, only three image pairs were shown (base pair, concavity pair, alignment pair) and for the Transformations protocol, every combination of every target and distractor were shown, i.e. 25 image pairs in total.

      • Figure 3 - last panel: the 1st and 2nd distractor look identical.

      We understand your concern as these two distractors indeed look quite similar. They are different however in terms of how they are rotated along the x, y and z axes (see Author response image 1 for a bigger image of these two distractors). The similarity is due to the existence of near-symmetry in the object shape which causes high self-similarity for some large rotations.

      Author response image 1.

      • Line 542 – authors say they have ‘concatenated’ the performance of the animals, but do they mean they are taking the average across animals?

      It is both. In this specific analysis we calculated the performance of the animals, which was indeed averaged across animals, per test protocol, per stimulus pair. This resulted in 9 arrays (one for each test protocol) of several performances (1 for each stimulus pair). These 9 arrays were concatenated by linking them together in one big array (i.e. placing them one after the other). We did the same concatenation with the distance to hyperplane of the network on all nine test protocols. These two concatenated arrays with 287 values each (one with the animal performance and one with the DNN performance) were correlated.

      • Line 164 - What are these 287 image pairs - this is not clear.

      The 287 image pairs correspond to all image pairs of all 9 test protocols: 36 (Rotation X) + 36 (Rotation Y) + 36 (Rotation Z) + 4 (Size) + 25 (Position) + 16 (Light location) + 36 (Combination Rotation) + 49 (Zero vs. high) + 49 (High vs. zero) = 287 image pairs in total. We have clarified this in the manuscript.

      • Line 215 - Human rat correlation (0.18) was comparable to the best cDNN layer correlation. What does this mean?

      The human rat correlation (0.18) was closest to the best cDNN layer - rat correlation (about 0.15). In the manuscript we emphasize that rat performance is not well captured by individual cDNN layers.  

      Reviewer #2

      Major comments

      • In l.23 (and in the methods) the authors mention 50 humans, but in l.87 they are 45. Also, both in l.95 and in the Methods the authors mention "twelve animals" but they wrote 11 elsewhere (e.g. abstract and first paragraph of the results).

      In our human study design, we introduced several Dimension learning protocols. These were later used as a quality check to indicate which participants were outliers, using outlier detection in R. This resulted in 5 outlying human participants, and thus we ended with a pool of 45 human participants that were included in the analyses. This information was given in the Methods section of the original manuscript, but we did not mention the correct numbers everywhere. We have corrected this in the manuscript. We also changed the number of participants (humans and rats) to the correct one throughout the entire manuscript.

      • At l.95 when I first met the "4x4 stimulus grid" I had to guess its meaning. It would be really useful to see the stimulus grid as a panel in Figure 1 (in general Figures S1 and S4 could be integrated as panels of Figure 1). Also, even if the description of the stimulus generation in the Methods is probably clear enough, the authors might want to consider adding a simple schematic in Figure 1 as well (e.g. show the base, either concave or convex, and then how the 3 spheres are added to control alignment).

      We have added the 4x4 stimulus grid in the main text.

      • There is also another important point related to the choice of the network. As I wrote, I find the overall approach very interesting and powerful, but I'm actually worried that AlexNet might not be a good choice. I have experience trying to model neuronal responses from IT in monkeys, and there even the higher layers of AlexNet aren't that helpful. I need to use much deeper networks (e.g. ResNet or GoogleNet) to get decent fits. So I'm afraid that what is deemed as "high" in AlexNet might not be as high as the authors think. It would be helpful, as a sanity check, to see if the authors get the same sort of stimulus categories when using a different, deeper network.

      We added a consideration to the manuscript about which network to use (see the Discussion): “We chose to work with Alexnet, as this is a network that has been used as a benchmark in many previous studies (e.g. (Cadieu et al., 2014; Groen et al., 2018; Kalfas et al., 2018; Nayebi et al., 2023; Zeman et al., 2020)), including studies that used more complex stimuli than the stimulus space in our current study. […] . It is in line with the literature that a typical deep neural network, AlexNet and also more complex ones, can explain human and animal behaviour to a certain extent but not fully. The explained variance might differ among DNNs, and there might be DNNs that can explain a higher proportion of rat or human behaviour. Most relevant for our current study is that DNNs tend to agree in terms of how representations change from lower to higher hierarchical layers, because this is the transformation that we have targeted in the Zero vs. high and High vs. zero testing protocols. (Pinto et al., 2008) already revealed that a simple V1-like model can sometimes result in surprisingly good object recognition performance. This aspect of our findings is also in line with the observation of Vinken & Op de Beeck (2021) that the performance of rats in many previous tasks might not be indicative of highly complex representations. Nevertheless, there is still a relative difference in complexity between lower and higher levels in the hierarchy. That is what we capitalize upon with the Zero vs. high and High vs. zero protocols. Thus, it might be more fruitful to explicitly contrast different levels of processing in a relative way rather than trying to pinpoint behaviour to specific levels of processing.”

      • The task description needs way more detail. For how long were the stimuli presented? What was their size? Were the positions of the stimuli randomized? Was it a reaction time task? Was the time-out used as a negative feedback? In case, when (e.g. mistakes or slow responses)? Also, it is important to report some statistics about the basic responses. What was the average response time, what was the performance of individual animals (over days)? Did they show any bias for a particular dimension (either the 2 baseline dimensions or the identity preserving ones) or side of response? Was there a correlation within animals between performance on the baseline task and performance on the more complex tasks?

      Thank you for your feedback. We have added more details to the task description in the manuscript.

      The stimuli were presented on the screens until the animals reacted to one of the two screens. The size of the stimuli was 100 x 100 pixel. The position of the stimuli was always centred/full screen on the touchscreens. It was not a reaction time task and we also did not measure reaction time.

      • Related to my previous comment, I wonder if the relative size/position of the stimulus with respect to the position of the animal in the setup might have had an impact on the performance, also given the impact of size shown in Figure 2. Was the position of the rat in the setup monitored (e.g. with DeepLabCut)? I guess that on average any effect of the animal position might be averaged away, but was this actually checked and/or controlled for?

      The position of the rat was not monitored in the setup. In a previous study from our lab (Crijns & Op de Beeck, 2019), we investigated the visual acuity of rats in the touchscreen setups by presenting gratings with different cycles per screen to see how it affects their performance in orientation discrimination. With the results from this study and general knowledge about rat visual acuity, we derived that the decision distance of rats lies around 12.5cm from the screen. We have added this to the discussion.

      Minor comments

      • l.33 The sentence mentions humans, but the references are about monkeys. I believe that this concept is universal enough not to require any citation to support it.

      Thank you for your feedback. We have removed the citations.

      • This is very minor and totally negligible. The acronymous cDNN is not that common for convents (and it's kind of similar to cuDNN), it might help clarity to stick to a more popular acronymous, e.g. CNN or ANN. Also, given that the "high" layers used for stimulus selection where not convolutional layers after all (if I'm not mistaken).

      Thank you for your feedback. We have changed the acronym to ‘CNN’ in the entire manuscript.

      • In l.107-109 the authors identified a few potential biases in their stimuli, and they claim these biases cannot explain the results. However, the explanation is given only in the next pages. It might help to mention that before or to move that paragraph later, as I was just wondering about it until I finally got to the part on the brightness bias.

      We expanded the analysis of these dimensions (e.g. brightness) throughout the manuscript.

      • It would help a lot the readability to put also a label close to each dimension in Figures 2 and 3. I had to go and look at Figure S4 to figure that out.

      Figures 2 and 3 have been updated, also including changes related to other comments.

      • In Figure 2A, please specify what the red dashed line means.

      We have edited the caption of Figure 2: “Figure 2 (a) Results of the Dimension learning training protocol. The black dashed horizontal line indicates chance level performance and the red dashed line represents the 80% performance threshold. The blue circles on top of each bar represent individual rat performances. The three bars represent the average performance of all animals on the old pair (Old), the pair that differs only in concavity (Conc) and on the pair that differs only in alignment (Align). (b) Results of the Transformations training protocol. Each cell of the matrix indicates the average performance per stimulus pair, pooled over all animals. The columns represent the distractors, whereas the rows separate the targets. The colour bar indicates the performance correct. ”

      • Related to that, why performing a binomial test on 80%? It sounds arbitrary.

      We performed the binomial test on 80% as 80% is our performance threshold for the animals

      • The way the cDNN methods are introduced makes it sound like the authors actually fine-tuned the weights of AlexNet, while (if I'm not mistaken), they trained a classifier on the activations of a pre-trained AlexNet with frozen weights. It might be a bit confusing to readers. The rest of the paragraph instead is very clear and easy to follow.

      We think the most confusing sentence was “ Figure 7 shows the performance of the network after training the network on our training stimuli for all test protocols. “ We changed this sentence to “ Figure 8 shows the performance of the network for each of the test protocols after training classifiers on the training stimuli using the different DNN layers.“

      Reviewer #3

      Main recommendations:

      Although it may not fully explain the entire pattern of visual behavior, it is important to discuss rat visual acuity and its impact on the perception of visual features in the stimulus set.

      We have added a paragraph to the Discussion that discusses the visual acuity of rats and its impact on perceiving the visual features of the stimuli.

      The authors observed a potential influence of image brightness on behavior during the dimension learning protocol. Was there a correlation between image brightness and the subsequent image transformations?

      We have added this to the Discussion: “To further investigate to which visual features the rat performance and human performance correlates best with, we calculated the correlation between rat performance and pixel similarity of the test image pairs, as well as the correlation between rat performance and brightness in the test image pairs. Here we found a correlation of 0.34 for pixel similarity and 0.39 for brightness, suggesting that these two visual features partly explain our results when compared to the full-set reliability of rat performance (0.58). If we perform the same correlation with the human performances, we get a correlation of 0.12 for pixel similarity and -0.12 for brightness. With the full-set reliability of 0.58 (rats) and 0.63 (humans) in mind, this suggests that even pixel similarity and brightness only partly explain the performances of rats and humans.”

      Did the rats rely on consistent visual features to perform the tasks? I assume the split-half analysis was on data pooled across rats. What was the average correlation between rats? Were rats more internally consistent (split-half within rat) than consistent with other rats?

      The split-half analysis was indeed performed on data pooled across rats. We checked whether rats are more internally consistent by comparing the split-half within correlations with the split-half between correlations. For the split-half within correlations, we split the data for each rat in two subsets and calculated the performance vectors (performance across all image pairs). We then calculated the correlation between these two vectors for each animal. To get the split-half between correlation, we calculated the correlation between the performance vector of every subset data of every rat with every other subset data from the other rats. Finally, we compared for each animal its split-half within correlation with the split-half between correlations involving that animal. The result of this paired t-test (p = 0.93, 95%CI [-0.09; 0.08]) suggests that rats were not internally more consistent.

      Discussion of the cDNN performance and its relation to rat behavior could be expanded and clarified in several ways:

      • The paper would benefit from further discussion regarding the low correlations between rat behavior and cDNN layers. Is the main message that cDNNs are not a suitable model for rat vision? Or can we conclude that the peak in mid layers indicates that rat behavior reflects mid-level visual processing? It would be valuable to explore what we currently know about the organization of the rat visual cortex and how applicable these models are to their visual system in terms of architecture and hierarchy.

      We added a consideration to the manuscript about which network to use (see Discussion).

      • The cDNN exhibited above chance performance in various early layers for several test protocols (e.g., rotations, light location, combination rotation). Does this limit the interpretation of the complexity of visual behavior required to perform these tasks?

      This is not uncommon to find. Pinto et al. (2008) already revealed that a simple V1-like model can sometimes result in surprisingly good object recognition performance. This aspect of our findings is also in line with the observation of Vinken & Op de Beeck (2021) that the performance of rats in many previous tasks might not be indicative of highly complex representations. Nevertheless, there is still a relative difference in complexity between lower and higher levels in the hierarchy. That is what we capitalize upon with the High vs zero and the Zero vs high protocols. Thus, it might be more fruitful to explicitly contrast different levels of processing in a relative way rather than trying to pinpoint behavior to specific levels of processing. This argumentation is added to the Discussion section.

      • How representative is the correlation profile between cDNN layers and behavior across protocols? Pooling stimuli across protocols may be necessary to obtain stable correlations due to relatively modest sample numbers. However, the authors could address how much each individual protocol influences the overall correlations in leave-one-out analyses. Are there protocols where rat behavior correlates more strongly with higher layers (e.g., when excluding zero vs. high)?

      We prefer to base our conclusions mostly on the pooled analyses rather than individual protocols. As the reviewer also mentions, we can expect that the pooled analyses will provide the most stable results. For information, we included leave-one-out analyses in the supplemental material. Excluding the Zero vs. High protocol did not result in a stronger correlation with the higher layers. It was rare to see correlations with higher layers, and in the one case that we did (when excluding High versus zero) the correlations were still higher in several mid-level layers.

      Author response image 2.

      • The authors hypothesize that the cDNN results indicate that rats rely on visual features such as contrast. Can this link be established more firmly? e.g., what are the receptive fields in the layers that correlate with rat behavior sensitive to?

      This hypothesis was made based on previous in-lab research ((Schnell et al., 2023) where we found rats indeed rely on contrast features. In this study, we performed a face categorization task, parameterized on contrast features, and we investigated to what extent rats use contrast features to perform in a face categorization task. Similarly as in the current study, we used a DNN that as trained and tested on the same stimuli as the animals to investigate the representations of the animals. There, we found that the animals use contrast features to some extent and that this correlated best with the lower layers of the network. Hence, we would say that the lower layers correlate best with rat behaviour that is sensitive to contrast. Earlier layers of the network include local filters that simulate V1-like receptive fields. Higher layers of the network, on the other hand, are used for object selectivity.

      • There seems to be a disconnect between rat behavior and the selection of stimuli for the high (zero) vs. zero (high) protocols. Specifically, rat behavior correlated best with mid layers, whereas the image selection process relied on earlier layers. What is the interpretation when rat behavior correlates with higher layers than those used to select the stimuli?

      We agree that it is difficult to pinpoint a particular level of processing, and it might be better to use relative terms: lower/higher than. This is addressed in the manuscript by the edit in response to three comments back.

      • To what extent can we attribute the performance below the ceiling for many protocols to sensory/perceptual limitations as opposed to other factors such as task structure, motivation, or distractibility?

      We agree that these factors play a role in the overall performance difference. In Figure 5, the most right bar shows the percentage of all animals (light blue) vs all humans (dark blue) on the old pair that was presented during the testing protocol. Even here, the performance of the animals was lower than humans, and this pattern extended to the testing protocols as well. This was most likely due to motivation and/or distractibility which we know can happen in both humans and rats but affects the rat results more with our methodology.

      Minor recommendations:

      • What was the trial-to-trial variability in the distance and position of the rat's head relative to the stimuli displayed on the screen? Can this variability be taken into account in the size and position protocols? How meaningful is the cDNN modelling of these protocols considering that the training and testing of the model does not incorporate this trial-to-trial variability?

      We have no information on this trial-to-trial variability. We have information though on what rats typically do overall from an earlier paper that was mentioned in response to an earlier comment (Crijns et al.).

      We have added a disclaimer in the Discussion on our lack of information on trial-to-trial variability.

      • Several of the protocols varied a visual feature dimension (e.g., concavity & alignment) relative to the base pair. Did rat performance correlate with these manipulations? How did rat behavior relate to pixel dissimilarity, either between target and distractor or in relation to the trained base pair?

      We have added this to the Discussion. See also our general comments in the Public responses.

      • What could be the underlying factor(s) contributing to the difference in accuracy between the "small transformations" depicted in Figure 2 and some of the transformations displayed in Figure 3? In particular, it seems that the variability of targets and distractors is greater for the "small transformations" in Figure 2 compared to the rotation along the y-axis shown in Figure 3.

      There are several differences between these protocols. Before considering the stimulus properties, we should take into account other factors. The Transformations protocol was a training protocol, meaning that the animals underwent several sessions in this protocol, always receiving real reward during the trials, and only stopping once a high enough performance was reached. For the protocols in Figure 3, the animals were also placed in these protocols for multiple sessions in order to obtain enough trials, however, the difference here is that they did not receive real reward and testing was also stopped if performance was still low.

      • In Figure 3, it is unclear which pairwise transformation accuracies were above chance. It would be helpful if the authors could indicate significant cells with an asterisk. The scale for percentage correct is cut off at 50%. Were there any instances where the behaviors were below 50%? Specifically, did the rats consistently choose the wrong option for any of the pairs? It would be helpful to add "old pair", "concavity" and "alignment" to x-axis labels in Fig 2A .

      We have added “old”, “conc” and “align” to the x-axis labels in Figure 2A.

      • Considering the overall performance across protocols, it seems overstated to claim that the rats were able to "master the task."

      When talking about “mastering the task”, we talk about the training protocols where we aimed that the animals would perform at 80% and not significantly less. We checked this throughout the testing protocols as well, where we also presented the old pair as quality control, and their performance was never significantly lower than our 80% performance threshold on this pair, suggesting that they mastered the task in which they were trained. To avoid discussion on semantics, we also rephrased “master the task” into “learn the task”.

      • What are the criteria for the claim that the "animal model of choice for vision studies has become the rodent model"? It is likely that researchers in primate vision may hold a different viewpoint, and data such as yearly total publication counts might not align with this claim.

      Primate vision is important for investigating complex visual aspects. With the advancements in experimental techniques for rodent vision, e.g. genetics and imaging techniques as well as behavioural tasks, the rodent model has become an important model as well. It is not necessarily an “either” or “or” question (primates or rodents), but more a complementary issue: using both primates and rodents to unravel the full picture of vision.

      We have changed this part in the introduction to “Lately, the rodent model has become an important model in vision studies, motivated by the applicability of molecular and genetic tools rather than by the visual capabilities of rodents”.

      • The correspondence between the list of layers in Supplementary Tables 8 and 9 and the layers shown in Figures 4 and 6 could be clarified.

      We have clarified this in the caption of Figure 7

      • The titles in Figures 4 and 6 could be updated from "DNN" to "cDNN" to ensure consistency with the rest of the manuscript.

      Thank you for your feedback. We have changed the titles in Figures 4 and 6 such that they are consistent with the rest of the manuscript.

    1. Author response:

      The following is the authors’ response to the original reviews

      Reviewer #1 (Public review):

      (1) Potential bleed-over across frequencies in the spectral domain is a major concern for all of the results in this paper. The fact that alpha power, 36Hz and 40Hz frequency-tagged amplitude and 4Hz intermodulation frequency power is generally correlated with one another amplifies this concern. The authors are attaching specific meaning to each of these frequencies, but perhaps there is simply a broadband increase in neural activity when anticipating an auditory target compared to a visual target?

      We appreciate the reviewer’s insightful comment regarding the potential bleed-over across frequencies in the spectral domain. We fully acknowledge that the trade-off between temporal and frequency resolution is a challenge, particularly given the proximity of the frequencies we are examining.

      To address this concern, we performed additional analyses to investigate whether there is indeed a broadband increase in neural activity when anticipating an auditory target as compared to a visual target, as opposed to distinct frequency-specific effects. Our results show that the bleed-over between frequencies is minimal and does not significantly affect our findings. Specifically, we repeated the analyses using the same filter and processing steps for the 44 Hz frequency. At this frequency, we did not observe any significant differences between conditions.

      These findings suggest that the effects we report are indeed specific to the 40 Hz frequency band and not due to a general broadband increase in neural activity. We hope this addresses the reviewer’s concern and strengthens the validity of our frequency-specific results. We have now added this analysis to the methods section of our manuscript.

      Line 730: To confirm that 4 Hz is a sufficient distance between tagging frequencies, we repeated to analysis for 43.5 to 44.5. We found no indication of frequency-bleeding over, as the effects observed at 40 Hz, were not present at 44 Hz (see SUPPL Fig. 11).

      We do, however, not specifically argue against the possibility of a broadband increase in sensory processing when anticipating an auditory compared to a visual target. But even a broadband-increase would directly contradict the alpha inhibition hypothesis, which poses that an increase in alpha completely disengage the whole cortex. We have made this clearer in the text now.

      Line 491: As auditory targets were significantly more difficult than visual targets in our first study and of comparable difficulty in our second study, these results strongly speak to a vigilance increase of sensory processing independent of modality and an inability to selectively disengage one sensory modality in anticipation of a demanding task. This view is consistent with previous work in which visual SSEPs elicited by irrelevant background stimulation increased with task load in an auditory discrimination task (Jacoby et al., 2012).

      (2) Moreover, 36Hz visual and 40Hz auditory signals are expected to be filtered in the neocortex. Applying standard filters and Hilbert transform to estimate sensory evoked potentials appears to rely on huge assumptions that are not fully substantiated in this paper. In Figure 4, 36Hz "visual" and 40Hz "auditory" signals seem largely indistinguishable from one another, suggesting that the analysis failed to fully demix these signals.

      We appreciate the reviewer’s insightful concern regarding the filtering and demixing of the 36 Hz visual and 40 Hz auditory signals, and we share the same reservations about the reliance on standard filters and the Hilbert transform method.

      To address this, we would like to draw attention to SUPPL Fig. 11, which demonstrates that a 4 Hz difference is sufficient to effectively demix the signals using our chosen filtering and Hilbert transform approach. We argue that the reason the 36 Hz visual and 40 Hz auditory signals show similar topographies lies not in incomplete demixing but rather in the possibility that this condition difference reflects sensory integration, rather than signal contamination.

      This interpretation is further supported by our findings with the intermodulation frequency at 4 Hz, which also suggests cross-modal integration. Furthermore, source localization analysis revealed that the strongest condition differences were observed in the precuneus, an area frequently associated with sensory integration processes. We have now expanded on this in the discussion section to better clarify this point.

      Line 578: Previous research has shown that simultaneous frequency-tagging at multiple frequencies can evoke a response at the intermodulation frequency (f1 – f2), which in multimodal settings is thought to reflect cross-modal integration (Drijvers et al., 2021). This concept aligns closely with our findings, where increased vigilance in the sensory system, prompted by anticipation of a difficult auditory target, resulted in an increase in the intermodulation frequency. Similarly, our data shows that visual signal enhancement was localized in the precuneus, further supporting the role of this region in sensory integration (Al-Ramadhani et al., 2021; Xie et al., 2019).

      (3) The asymmetric results in the visual and auditory modalities preclude a modality-general conclusion about the function of alpha. However, much of the language seems to generalize across sensory modalities (e.g., use of the term 'sensory' rather than 'visual').

      We agree that in some cases we have not made a sufficient distinction between visual and sensory. We have now made sure, that when using ‘sensory’, we either describe overall theories, which are not visual-exclusive or refer to the possibility of a broad sensory increase. However, when directly discussing our results and the interpretation thereof, we now use ‘visual’.

      (4) In this vein, some of the conclusions would be far more convincing if there was at least a trend towards symmetry in source-localized analyses of MEG signals. For example, how does alpha power in primary auditory cortex (A1) compare when anticipating auditory vs visual target? What do the frequency tagged visual and auditory responses look like when just looking at primary visual cortex (V1) or A1?

      We thank the reviewer for this important suggestion and have added a virtual channel analysis. We were however, not interested in alpha power in primary auditory cortex, as we were specifically interested in the posterior alpha, which is usually increased when expecting an auditory compared to a visual target (and used to be interpreted as a blanket inhibition of the visual cortex). We have now improved upon the clarity concerning this point in the manuscript.

      We have however, followed the reviewer’s suggestion of a virtual channel analysis, showing that the condition differences are not observable in primary visual cortex for the 36 Hz visual signal and in primary auditory cortex for the 40 Hz auditory signal. Our data clearly shows that there is an alpha condition difference in V1, while there no condition difference for 36 Hz in V1 and for 40 Hz in Heschl’s Gyrus.

      Line 356: Additionally, we replicated this effect with a virtual channel analysis in V1 (see SUPPL Fig. 12)

      Line 403: Furthermore, a virtual channel analysis in V1 and Heschl’s gyrus confirmed that there were no condition differences in primary visual and auditory areas (see SUPPL Fig. 12).

      (5) Blinking would have a huge impact on the subject's ability to ignore the visual distractor. The best thing to do would be to exclude from analysis all trials where the subjects blinked during the cue-to-target interval. The authors mention that in the MEG experiment, "To remove blinks, trials with very large eye-movements (> 10 degrees of visual angle) were removed from the data (See supplement Fig. 5)." This sentence needs to be clarified, since eye-movements cannot be measured during blinking. In addition, it seems possible to remove putative blink trials from EEG experiments as well, since blinks can be detected in the EEG signals.

      We agree with the reviewer that this point has been phrased in a confusing way. From the MEG-data, we removed eyeblinks using ICA. Along for the supplementary Fig. 5 analysis, we used the eye-tracking data to make sure that participants were in fact fixating the centre of the screen. For this analysis, we removed trials with blinks (which can be seen in the eye-tracker as huge amplitude movements or as large eye-movements in degrees of visual angle; see figure below to show a blink in the MEG data and the according eye-tracker data in degrees of visual angle). We have now clarified this in the methods section.

      As for the concern closed eyes to ignore visual distractors, in both experiments we can observe highly significant distractor cost in accuracy for visual distractors, which we hope will convince the reviewer that our visual distractors were working as intended.

      Author response image 1.

      Illustration of eye-tracker data for a trial without and a trial with a blink. All data points recorded during this trial are plottet. A, ICA component 1, which reflects blinks and its according data trace in a trial. No blink is visible. B, eye-tracker data transformed into degrees of visual angle for the trial depicted in A. C, ICA component 1, which reflects blinks and its according data trace in a trial. A clear blink is visible. D, eye-tracker data transformed into degrees of visual angle for the trial depicted in C.

      Line 676: To confirm that participants had focused on the fixation cross during the cue-to-target interval, we incorporated eye-tracking into our MEG-experiment (EyeLink 1000 Plus). Correct trials of the second block were analysed for vertical and horizontal eye-movements. To exclude blinks from this analysis, trials with very large eye-movements (> 10 degrees of visual angle) were removed from the eye-tracking data (See suppl Fig. 5).

      (6) It would be interesting to examine the neutral cue trials in this task. For example, comparing auditory vs visual vs neutral cue conditions would be indicative of whether alpha was actively recruited or actively suppressed. In addition, comparing spectral activity during cue-to-target period on neutral-cue auditory correct vs incorrect trials should mimic the comparison of auditory-cue vs visual-cue trials. Likewise, neutral-cue visual correct vs incorrect trials should mimic the attention-related differences in visual-cue vs auditory-cue trials.

      We have analysed the neutral cue trials in the EEG dataset (see suppl. Fig. 1). There were no significant differences to auditory or visual cues, but descriptively alpha power was higher for neutral cues compared to visual cues and lower for neutral cues compared to auditory cues. While this may suggest that for visual trials alpha is actively suppressed and for auditory trials actively recruited, we do not feel comfortable to make this claim, as the neutral condition may not reflect a completely neutral state. The neutral task can still be difficult, especially because of the uncertainty of the target modality.

      As for the analysis of incorrect versus correct trials, we appreciate the idea, but unfortunately the accuracy rate was quite high so that the number of incorrect trials is insufficient to perform a reliable analysis.

      (7) In the abstract, the authors state that "This implies that alpha modulation does not solely regulate 'gain control' in early sensory areas but rather orchestrates signal transmission to later stages of the processing stream." However, I don't see any supporting evidence for the latter claim, that alpha orchestrates signal transmission to later stages of the processing stream. If the authors are claiming an alternative function to alpha, this claim should be strongly substantiated.

      We thank the reviewer for pointing out, that we have not sufficiently explained our case. The first point refers to gain control as elucidated by the alpha inhibition hypothesis, which claims that increases in alpha disengage an entire cortical area. Since we have confirmed the alpha increase in our data to originate from primary visual cortex through source analysis, this should lead to decreased visual processing. The increase in 36 Hz visual processing therefore directly contradicts the alpha inhibition hypothesis. We propose an alternative explanation for the functionality of alpha activity in this task. Through pulsed inhibition, information packages of relevant visual information could be transmitted down the processing stream, thereby enhancing relevant visual signal transmission. We argue the fact that the enhanced visual 36 Hz signal we found correlated with visual alpha power on a trial-by-trial basis, and did not originate from primary visual cortex, but from areas known for sensory integration supports our claim.

      We have now tried to make this point clearer by rephrasing our manuscript. Additionally, we have also now further clarified this point in our discussion.

      Line 527: Our data provides evidence in favour of this view, as we can show that early sensory alpha activity covaries over trials with SSEP magnitude in higher order sensory areas. If alpha activity exerted gain control in early visual regions, increased alpha activity would have to lead to a decrease in SSEP responses. In contrast, we observe that increased alpha activity originating from early visual cortex is related to enhanced visual processing. Source localization confirmed that this enhancement was not originating from early visual areas, but from areas associated with later stages of the processing stream such as the precuneus, which has been connected to sensory integration (Al-Ramadhani et al., 2021; Xie et al., 2019). While we cannot completely rule out alternative explanations, it seems plausible to assume that inhibition of other task-irrelevant communication pathways leads to prioritised and thereby enhanced processing over relevant pathways. In line with previous literature (Morrow et al., 2023; Peylo et al., 2021; Zhigalov & Jensen, 2020b), we therefore suggest that alpha activity limits task-irrelevant feedforward communication, thereby enhancing processing capabilities in relevant downstream areas (see Fig. 1A).

      Reviewer #1 (Recommendations for the authors):Minor Concerns:

      (1) I suggest adding more details about the task in the Results and/or Figure 1 legend. Specifically, when describing the task, I think it would help the readers if the authors specified what the participants had to do to get a trial correct (e.g., press left / down / right arrow if the tone pitch was low (500Hz) / medium (1000Hz) / high (2000Hz).)

      (2) Please clarify whether Gaboar patch was drifting.

      (3) Figure 2C-D: I suggest clarifying in the X-tick labels that + and - trials are in separate blocks (e.g., put 'Block1 visual-' instead of 'visual-').

      We followed the suggestions of the reviewer detailed in point 1-3, which indeed greatly improves the clarity and readability of these parts.

      (4) "Interestingly, auditory distractors reduced reaction times to visual targets, which could be explained by a generally faster processing of auditory targets (Jain et al., 2015), possibly probing faster responses in visual tasks (Naue et al., 2011)." - Please elaborate on how faster processing of auditory targets could lead to the probing of faster responses in visual tasks. Further, if I understand correctly, this should result in a speed-accuracy trade-off, which is not observed in the MEG experiments. If there is a learning effect due to the blocked structure in the MEG experiments, why is it not observed on auditory trials?

      We thank the reviewer for suggesting clarifying this paragraph. We have now rephrased this part and added additional information.

      Concerning the reviewer’s theory, intersensory facilitation can occur in the absence of a speed-accuracy trade-off, as it can affect the motor execution after a decision has been made. Nevertheless, learning effects could also have led to this result in the MEG experiment. Our difficulty calibration did not lead to comparable accuracies in block 1, where auditory targets wetre now less difficult than visual targets. Whith the addition of distractors in block 2, accuracy for auditory targets decreased, while it increased for visual targets. Indeed, one interpretation could be that there was a learning effect for visual targets, which was not prevalent for auditory targets. However, the speed increase when visual targets are coupled with auditory distractors is prevalent in both experiments. Accordingly, we find the intersensory facilitation account more likely.

      line 148: Interestingly, auditory distractors reduced reaction times to visual targets, which could be explained by a generally faster processing of auditory targets (Jain et al., 2015). As such, the auditory distractor possibly caused intersensory facilitation (Nickerson., 1973), whereby reaction times to a target can be facilitated when accompanied by stimuli of other sensory modalities, even if they are irrelevant or distracting.

      (5) Please briefly describe the cluster permutation analysis in the results section.

      We have now added a brief description of the cluster permutation analysis we performed in the results section.

      Line 166: We then applied cluster permutation analysis, whereby real condition differences were tested against coincidental findings by randomly permutating the condition labels to the data and testing for condition differences 1000 times (Maris & Oostenveld, 2007).

      (6) Figure 4A legend: "auditory steady-state evoked potential (ASSEP) averaged over 6 central electrodes displaying the highest 40 Hz power (Fz, FC1, FC2, F11, F2, FCz)." - I suggest marking these 6 electrodes in the scalp map on the figure panel.

      We have followed the suggestion of the reviewer and marked the electrodes/sensors used to illustrate the steady-state responses.

      (7) Lines 281-283: "It was highly significant for the visual 36 Hz response (Fig. 5A, middle columns, p = .033; t(19) = 2.29; BF(10) = 1.91) but did not reach significance for the visual 40 Hz response (Fig. 5B, middle column; p = 0.20; t(19) = 1.32; BF(10) = 0.49)." - Was "visual 40Hz response" a typo? I believe 40Hz pertains to auditory, not visual?

      We thank the reviewer for pointing out this error and agree that the phrasing was sometimes confusing. We have now used the terms VSSEP and ASSEP to make things clearer throughout the manuscript.

      L. 224-229: The median split was highly significant for the 36 Hz VSSEP response (Fig. 5A, middle columns, p \= .033; t<sub>(19)</sub> = 2.29; BF<sub>(10)</sub> = 1.91) but did not reach significance for the 40 Hz ASSEP response (Fig. 5B, middle column; p = 0.20; t<sub>(19)</sub> = 1.32; BF<sub>(10)</sub> = 0.49).

      Reviewer #2 (Public review):

      Brickwedde et al. investigate the role of alpha oscillations in allocating intermodal attention. A first EEG study is followed up with an MEG study that largely replicates the pattern of results (with small to be expected differences). They conclude that a brief increase in the amplitude of auditory and visual stimulus-driven continuous (steady-state) brain responses prior to the presentation of an auditory - but not visual - target speaks to the modulating role of alpha that leads them to revise a prevalent model of gating-by-inhibition.

      Overall, this is an interesting study on a timely question, conducted with methods and analysis that are state-of-the-art. I am particularly impressed by the author's decision to replicate the earlier EEG experiment in MEG following the reviewer's comments on the original submission. Evidently, great care was taken to accommodate the reviewers suggestions.

      We thank the reviewer for the positive feedback and expression of interest in the topic of our manuscript.

      Nevertheless, I am struggling with the report for two main reasons: It is difficult to follow the rationale of the study, due to structural issues with the narrative and missing information or justifications for design and analysis decisions, and I am not convinced that the evidence is strong, or even relevant enough for revising the mentioned alpha inhibition theory. Both points are detailed further below.

      We have now revised major parts of the introduction and results in line with the reviewer’s suggestions, hoping that our rationale is now easier to follow and that our evidence will now be more convincing. We have separated our results section into the first study (EEG) and to second study (MEG), to enhance the rationale of our design choices and readability. We have clarified all mentioned ambiguous parts in our methods section. Additionally, we have revised the introduction to now explain more clearly what results to expect under the alpha inhibition theory in contrast to our alternative account.

      Strength/relevance of evidence for model revision: The main argument rests on 1) a rather sustained alpha effect following the modality cue, 2) a rather transient effect on steady-state responses just before the expected presentation of a stimulus, and 3) a correlation between those two. Wouldn't the authors expect a sustained effect on sensory processing, as measured by steady-state amplitude irrespective of which of the scenarios described in Figure 1A (original vs revised alpha inhibition theory) applies? Also, doesn't this speak to the role of expectation effects due to consistent stimulus timing? An alternative explanation for the results may look like this: Modality-general increased steady-state responses prior to the expected audio stimulus onset are due to increased attention/vigilance. This effect may be exclusive (or more pronounced) in the attend-audio condition due to higher precision in temporal processing in the auditory sense or, vice versa, too smeared in time due to the inferior temporal resolution of visual processing for the attend-vision condition to be picked up consistently. As expectation effects will build up over the course of the experiment, i.e., while the participant is learning about the consistent stimulus timing, the correlation with alpha power may then be explained by a similar but potentially unrelated increase in alpha power over time.

      We thank the reviewer for raising these insightful questions and suggestions.

      It is true that our argument rests on a rather sustained alpha effect and a rather transient effect on steady-state responses ,and a correlation between the two. However, this connection would not be expected under the alpha inhibition hypothesis, which states that alpha activity would inhibit a whole cortical area (when irrelevant to the task), exerting “gain control”. This notion directly contradicts our results of the “irrelevant” visual information a) being transmitted at all and b) increasing.

      However, it has been shown in various reports (see for instance Dugué et al., 2011; Haegens et al., 2011; Spaak et al., 2012) that alpha activity exerts pulsed inhibition, so we proposed an alternative theory of an involvement in signal transmission. In this case, the cyclic inhibition would serve as an ordering system, which only allows for high-priority information to pass, resulting in higher signal-to-noise ratio. We do not make a claim about how fast or when these signals are transmitted in relation to alpha power. For instance, it could be that alpha power increases as a preparatory state even before signal is actually transmitted.  Zhigalov (2020 Hum. Brain M.) has shown that in V1, frequency-tagging responses were up-and down regulated with attention – independent of alpha activity.

      However, we do believe that visual alpha power correlates on a trial-by-trial level with visual 36 Hz frequency-tagging increases (see Fig. 5 and 10 in our manuscript) - a relationship which has not been found in V1 by us and others (see SUPPL Fig. 12 and Zhigalov 2020, Hum. Brain Mapp.) suggest a strong connection. Furthermore, the fact that the alpha modulation originates from early visual areas and occurs prior to any frequency-tagging changes, while the increase in frequency-tagging can be observed in areas which are later in the processing stream (such as the precuneus) is strongly indicative for an involvement of alpha power in the transmission of this signal. We cannot fully exclude alternative accounts and mechanisms which effect both alpha power and frequency-tagging responses.  

      The alternative account described by the reviewer does not contradict our theory, as we argue that the alpha power modulation reflects an expectation effect (and the idea that it could be related to the resolution of auditory versus visual processing is very interesting!). It is also possible that this expectation is, as the reviewer suggests, related to attention/vigilance and might result in a modality-general signal increase. By way of support, we observed an increase in the frequency-tagging response in sensory integration areas. Accordingly, we argue that the alternative explanation provided by the reviewer contradicts the alpha inhibition hypothesis, but not necessarily our alternative theory.

      We have now revised the discussion and are confident our case is now stronger and easier to follow. Additionally, we mentioned the possibility for alternative explanations as well as the possibility, that alpha networks fulfil different roles in different locations/task environments.

      Line 523: Here we propose that alpha activity, rather than modulating early primary sensory processing, exhibits its inhibitory effects at later stages of the processing stream (Antonov et al., 2020; Gundlach et al., 2020; Zhigalov & Jensen, 2020a; Zumer et al., 2014), gating feedforward or feedback communication between sensory areas (Bauer et al., 2020; Haegens et al., 2015; Uemura et al., 2021). Our data provides evidence in favour of this view, as we can show that early sensory alpha activity covaries over trials with SSEP magnitude in higher order sensory areas. If alpha activity exerted gain control in early visual regions, increased alpha activity would have to lead to a decrease in SSEP responses. In contrast, we observe that increased alpha activity originating from early visual cortex is related to enhanced visual processing. Source localization confirmed that this enhancement was not originating from early visual areas, but from areas associated with later stages of the processing stream such as the precuneus, which has been connected to sensory integration (Al-Ramadhani et al., 2021; Xie et al., 2019). While we cannot completely rule out alternative explanations, it seems plausible to assume that inhibition of other task-irrelevant communication pathways leads to prioritised and thereby enhanced processing over relevant pathways. In line with previous literature (Morrow et al., 2023; Peylo et al., 2021; Zhigalov & Jensen, 2020b), we therefore suggest that alpha activity limits task-irrelevant feedforward communication, thereby enhancing processing capabilities in relevant downstream areas (see Fig. 1A).

      References:

      Dugué, L., Marque, P., & VanRullen, R. (2011). The phase of ongoing oscillations mediates the causal relation between brain excitation and visual perception. Journal of Neuroscience, 31(33), 11889–11893. https://doi.org/10.1523/JNEUROSCI.1161-11.2011

      Haegens, S., Nácher, V., Luna, R., Romo, R., & Jensen, O. (2011). α-Oscillations in the monkey sensorimotor network influence discrimination performance by rhythmical inhibition of neuronal spiking. Proceedings of the National Academy of Sciences, 108(48), 19377–19382. https://doi.org/10.1073/PNAS.1117190108

      Spaak, E., Bonnefond, M., Maier, A., Leopold, D. A., & Jensen, O. (2012). Layer-Specific Entrainment of Gamma-Band Neural Activity by the Alpha Rhythm in Monkey Visual Cortex. Current Biology, 22(24), 2313–2318. https://doi.org/10.1016/J.CUB.2012.10.020

      Zhigalov, A., & Jensen, O. (2020). Alpha oscillations do not implement gain control in early visual cortex but rather gating in parieto-occipital regions. Human Brain Mapping, 41(18), 5176–5186. https://doi.org/10.1002/hbm.25183

      Structural issues with the narrative and missing information: Here, I am mostly concerned with how this makes the research difficult to access for the reader. I list the some major, followed by more specific points below:

      In the introduction the authors pit the original idea about alpha's role in gating against some recent contradictory results. If it's the aim of the study to provide evidence for either/or, predictions for the results from each perspective are missing. Also, it remains unclear how this relates to the distinction between original vs revised alpha inhibition theory (Fig. 1A). Relatedly, if this revision is an outcome rather than a postulation for this study, it shouldn't be featured in the first figure.

      We agree with the reviewer that we have not sufficiently clarified our goal as well as how different functionalities of alpha oscillations would lead to different outcomes. We have revised the introduction and restructured the results part and hope that it is now easier to follow. The results part now follows study 1 (EEG) and study 2 (MEG) chronologically, so that results can more easily be differentiated and our design choices for the second study can be explained better.

      Line 50: Recent evidence challenged a direct connection between alpha activity and visual information processing in early visual cortex. As such, both visual steady-state responses and alpha power were modulated by attention, but did not covary when investigating individual trials (Zhigalov & Jensen, 2020). Unfortunately, very few studies have investigated direct connections between alpha activity, attention and sensory signals, especially over trials. Furthermore, results seem to depend on timing of alpha activity in relation to sensory responses as well as stimulus type and outcome measure (Morrow et al., 2023).

      Accordingly, the objective of the current study is to test the alpha inhibition hypothesis compared to an alternative theory. Based on the alpha inhibition hypothesis, alpha modulation is connected to ‘gain control’ in early visual areas through modulation of excitability (Foxe & Snyder, 2011; Jensen & Mazaheri, 2010; Van Diepen et al., 2019).  In contrast, we propose that inhibitory effects of alpha modulation are exhibited at later stages of the processing stream (Peylo et al., 2021; Yang et al., 2023; Zhigalov & Jensen, 2020a; Zumer et al., 2014), gating feedforward or feedback communication between sensory areas (see Fig. 1B; Bauer et al., 2020; Haegens et al., 2015; Uemura et al., 2021).

      Line 80: The aim of our study was to directly test the alpha inhibition hypothesis by investigating if cue-induced modulation of alpha activity coincides with the suppression of frequency-tagging responses in task-irrelevant modalities.

      Line 99: In brief, while we observed the expected cue-induced early-visual alpha modulation, the amplitude of auditory and visual SSEP/SSEFs as well as their intermodulation frequency increased just prior to the onset of the auditory target, contradicting the alpha inhibition hypothesis. The difference between conditions of visual SSEP/SSEFs originated from sensory integration areas and correlated with early sensory alpha activity on a trial-by-trial basis, speaking to an effect of alpha modulation on signal transmission rather than inhibition of early visual areas.

      The analysis of the intermodulation frequency makes a surprise entrance at the end of the Results section without an introduction as to its relevance for the study. This is provided only in the discussion, but with reference to multisensory integration, whereas the main focus of the study is focussed attention on one sense. (Relatedly, the reference to "theta oscillations" in this sections seems unclear without a reference to the overlapping frequency range, and potentially more explanation.) Overall, if there's no immediate relevance to this analysis, I would suggest removing it.

      We thank the reviewer for pointing this out and have now added information about this frequency to the introduction. We believe that the intermodulation frequency analysis is important, as it potentially supports the notion that condition differences in the visual-frequency tagging response are related to downstream processing rather than overall visual information processing in V1. We would therefore prefer to leave this analysis in the manuscript.

      Line 75: Furthermore, when applying two different frequencies for two different sensory modalities, their intermodulation frequency (f1-f2) has been suggested to reflect cross-modal integration (Drijvers et al., 2021). Due to distinct responses, localisation and attention-dependence, frequency-tagging provides an optimal tool to study sensory signal processing and integration over time.

      Reviewer #2 (Recommendations for the authors):

      As detailed in several points below, I found that I didn't get the information I needed to fully understand design/analysis decisions. In some cases, this may just be a case of re-organising the manuscript, in others crucial info should be added:

      Specific issues:

      Page 2, line 51: How does recent evidence contradict this? Please explain.

      We have added a section that describes the results contradicting the alpha inhibition hypothesis.

      Line 50: Recent evidence challenged a direct connection between alpha activity and visual information processing in early visual cortex. As such, both visual steady-state responses and alpha power were modulated by attention, but did not covary when investigating individual trials (Zhigalov & Jensen, 2020).

      Page 3, line 78-80: "... also interested in relationships [...] on a trial-by-trial basis" - why? Please motivate.

      We thank the reviewer for highlighting this section, which we feel was not very well phrased. We have rewritten this whole paragraph and hope that our motivation for this study is now clear.

      Line 50: Recent evidence challenged a direct connection between alpha activity and visual information processing in early visual cortex. As such, both visual steady-state responses and alpha power were modulated by attention, but did not covary when investigating individual trials (Zhigalov & Jensen, 2020). Unfortunately, very few studies have investigated direct connections between alpha activity, attention and sensory signals, especially over trials. Furthermore, results seem to depend on timing of alpha activity in relation to sensory responses as well as stimulus type and outcome measure (Morrow et al., 2023).

      Page 4, line 88-92: "... implementing a blocked design" - unclear why? This is explained to some extent in the next few lines but remains unclear without knowing outcomes of the EEG experiment with more detail. Overall, it seems like this methodological detail may be better suited for a narrative in the Results section, that follows a more chronological order from the findings of the EEG experiment to the design of the MEG study.

      More generally, and maybe I missed it, I couldn't find a full account of why a block design was chosen and what the added value was. I believe that re-organising the Results section would allow precisely stating how that was an improvement over the EEG experiment.

      In line with the reviewer’s suggestion, we have now restructured the results section. The first section of the study 2 results now explains our design choices with direct reference to the results of the EEG experiment.

      Line 298: To test the robustness of our results and to employ additional control analyses, we replicated our experiment using MEG (see Fig. 7A). While an increase in visual information processing parallel to an increase in alpha modulation already contradicts the notion of alpha inhibition exerting “gain control”, affecting the whole visual cortex, our claim that alpha modulation instead affects visual information at later processing stages still required further validation. As such, our goal was to perform source analyses showing alpha modulation originating from primary visual areas affected visual information at later processing stages (e.g. not in primary visual cortex). Additionally, to exclude that the uncertainty over possible distractors affected our results, we employed a block design, where block 1 consisted only of trials without distractors and in block 2 targets were always accompanied by a distractor. Furthermore, we aligned the visual and auditory task to be more similar, both of them now featuring frequency-discrimination, which related to sound pitch (frequency) in the auditory condition and stripe-frequency of the Gabor patch in the visual condition. Lastly, to make sure our effects were driven by sensory modality-differences rather than task-difficulty differences, we included a short calibration phase. Prior to the experiment, difficulty of pitch sounds, and Gabor patch frequency were calibrated for each individual, ascertaining a success rate between 55% to 75%.

      The point above also applies to lines 95-97 where it's unclear what "aligning the visual with the auditory task" means. Also, what would be the predictions for "more nuanced interactions [...]"

      We agree that this phrasing was more than confusing and in the process of restructuring our results section, we have now revised this passage (see cited text from our manuscript to the point just above).

      Page 9, line 207-209: One of the few mentions of the "ambivalent" condition (attention to audio+vision?). To what end was that condition added to the experiment originally? The explanation that this condition was dropped from analysis because it did not show significant results does not seem methodologically sound.

      We thank the reviewer for pointing this out, as we had changed the name from ambivalent to non-specific, but this word had slipped our attention. The condition was added to the experiment as a control, which enables us to verify that our cues as well as our distractors work as intended. While interesting to analyse (and we did not drop it completely, the condition comparisons are in the supplementary material), we felt that further analysis of this condition would not contribute to addressing our research question. To be specific, the prerequisite to analysing the effect of alpha modulation is a significant effect of alpha modulation in the first place. We have now clarified the rationale for this condition, as well as our reasoning for omitting it from correlation and source analysis.

      Line 173 When presenting unspecified cues, alpha power changes were not significant, but descriptively larger compared to visual target conditions and lower compared to auditory target conditions (see suppl Fig. 2). However as significant alpha modulation was a prerequisite to test our hypotheses, we excluded this condition from further analysis.

      Page 9, line 209-212: "condition differences in alpha were only significant in block 2 [...] therefore we performed the [...] analysis [...] only for the second half of the experiment." This sounds like double-dipping. Maybe just an issue of phrasing?

      We thank the reviewer for pointing out that it may appear like ‘double dipping’. The reasoning was the same as the point above, we require a significant alpha modulation to test the effect of alpha modulation on further processing. We have revised this part to be clearer.

      Line 345: In line with previous studies (van Diepen & Mazaheri, 2017), condition differences in alpha activity were only significant in block 2, where distractors were present. As alpha modulation was a prerequisite to test our hypotheses, we performed the following analyses solely with data from block 2 (see Fig. 8).

      Page 12, line 281: Bayes factors are used here (and elsewhere), in addition to NHST. May be worthwhile to mention that briefly before use and give an intro sentence on its use, value and interpretation, and why these are added sometimes but not for all tests reported.

      We agree that we did not introduce this at all and have now added a section, which explains the inclusion as well as the interpretation of the Bayes factor.

      Line 218: To estimate the robustness of these results, we additionally conducted median split analyses between trials with high and low alpha power for each participant, as well as averaged the correlation coefficient of each participant and calculated a one-sample t-test against 0. For each analysis we provided the Bayes Factor, which estimates the strength of support for or against the null hypothesis (BF > 3.2 is considered as substantial evidence and BF > 10 is considered as strong evidence; Kass & Raftery, 1995).

      Throughout the Results section, it's not always clear which results are from the EEG or from the MEG study. Adopting the recommendation in point c) may help with that.

      According to the reviewer’s recommendation, we have restructured our results section and first present the EEG study and afterwards the MEG study.

      Similarly, it seems pivotal to add "visual" and "auditory" when mentioning the 36/40-Hz steady-state responses (or stimulation) to help the reader.

      We agree that visual/auditory 36 Hz / 40 Hz frequency-tagging responses, expecting visual/auditory target becomes lengthy and confusing very quickly. We therefore decided to introduce the abbreviation of visual steady-state evoked potentials/fields (VSSEP/VSSEF) and auditory steady-state evoked potentials/fields (ASSEP/ASSEF).

      Figure 5 - showing the same cluster as "early" and "late" in the margin for the MEG data is potentially confusing.

      We thank the reviewer for pointing this out and have now adapted the figure to just show one cluster, as we only found this one cluster in our MEG analysis.

      Reviewer #3 (Public review):

      This paper seems very strong, particularly given that the follow-up MEG study both (a) clarifies the task design and separates the effect of distractor stimuli into other experimental blocks, and (b) provides source-localization data to more concretely address whether alpha inhibition is occurring at or after the level of sensory processing, and (c) replicates most of the EEG study's key findings.

      We thank the reviewer for their positive feedback and evaluation of our work.

      There are some points that would be helpful to address to bolster the paper. First, the introduction would benefit from a somewhat deeper review of the literature, not just reviewing when the effects of alpha seem to occur, but also addressing how the effect can change depending on task and stimulus design (see review by Morrow, Elias & Samaha (2023).

      We thank the reviewer for this suggestion and agree. We have now added a paragraph to the introduction that refers to missing correlation studies and the impact of task design.

      Line 53: Unfortunately, very few studies have investigated direct connections between alpha activity, attention and sensory signals, especially over trials. Furthermore, results seem to depend on timing of alpha activity in relation to sensory responses as well as stimulus type and outcome measure (Morrow et al., 2023).

      Additionally, the discussion could benefit from more cautionary language around the revision of the alpha inhibition account. For example, it would be helpful to address some of the possible discrepancies between alpha and SSEP measures in terms of temporal specificity, SNR, etc. (see Peylo, Hilla, & Sauseng, 2021). The authors do a good job speculating as to why they found differing results from previous cross-modal attention studies, but I'm also curious whether the authors think that alpha inhibition/modulation of sensory signals would have been different had the distractors been within the same modality or whether the cues indicated target location, rather than just modality, as has been the case in so much prior work?

      We thank the reviewer for suggesting these interesting discussion points and have included a paragraph in our discussion that clarifies these issues.

      Line 543: It should be noted, the comparison between modulation in alpha activity and in SSEP/SSEFs is difficult, especially concerning timing. This is largely owed to differences in signal-to-noise due to trial averaging in the frequency versus the time domain and temporal and frequency lag in the estimation of alpha activity (Peylo et al., 2021). It is further noteworthy, that the majority of evidence for the alpha inhibition hypothesis focused on the effect of pre-target alpha modulation on behaviour and target-related potentials (Morrow et al., 2023). However, in our data alpha modulation occurs clearly ahead of SSVEP/SSVEF modulation on a scale that could not be simply explained by temporal or frequency smearing. Additionally, significant trial-by-trial correlations, which occur in the frequency domain for both signal types, underline the strong relationship between both measurements.

      Interestingly, we could show that the magnitude of the correlation between alpha power and visual information processing varied between conditions, suggesting a dynamic and adaptive regime. This notion supports the view that alpha oscillations represent a mechanism rather than a specific function, which can fulfil different roles depending on task demand and network location, which has been confirmed in a recent study revealing functionally distinct alpha networks (Clausner et al., 2024). As such, it is conceivable that alpha oscillations can in some cases inhibit local processing, while in other cases, depending on network location, connectivity and demand, alpha oscillation can facilitate signal transmission. In different contexts, utilizing unimodal targets and distractors, spatial cueing, or covert attention, different functional processes could be involved (Morrow et al., 2023). Future research should intensify efforts to disentangle these effects, investigating localized alpha networks intracranially or through combinations of fMRI, EEG and MEG, to clearly measure their effects on sensory processing and behaviour.

      Overall, the analyses and discussion are quite comprehensive, and I believe this paper to be an excellent contribution to the alpha-inhibition literature.

      Reviewer #3 (Recommendations for the authors):

      Overall, the paper is well-written, and the analyses and interpretations are strong. I think that the end of the introduction would feel more complete and more read more easily if you outlined all of your main hypotheses (not just trials signaling an auditory stimulus, but visual trials too, and what about distractor trials? This could help justify changes to task design in the MEG study), and then the key findings that motivated the follow-up design, which you then discuss (as opposed to introducing a new aim in this paragraph).

      We thank the reviewer for this positive evaluation. Based on feedback und suggestions from all reviewers, we have revised the structure of the manuscript. The introduction now states more clearly which results would be expected under the alpha inhibition theory and how our results contradict this. The results section has now been divided into two studies, which will make the rationale for our follow-up design easier to follow.

      Line 80: The aim of our study was to directly test the alpha inhibition hypothesis by investigating if cue-induced modulation of alpha activity coincides with the suppression of frequency-tagging responses in task-irrelevant modalities.

      Line 96: In brief, while we observed the expected cue-induced early-visual alpha modulation, the amplitude of auditory and visual SSEP/SSEFs as well as their intermodulation frequency increased just prior to the onset of the auditory target, contradicting the alpha inhibition hypothesis. The difference between conditions of visual SSEP/SSEFs originated from sensory integration areas and correlated with early sensory alpha activity on a trial-by-trial basis, speaking to an effect of alpha modulation on signal transmission rather than inhibition of early visual areas.

      Minor issues:

      L84 - "is" should be "was"

      L93 - "allows" should be "allowed"

      L113 - I think "changed" would suffice

      Fig 1A (text within figure on top) - "erea" should be "area" and caption title should include "of" (Illustration of the...)

      L213 - time window could be clarified

      Fig 4 -captions inconsistently capitalize words and use ) and , following the caption letters

      L253-255 - give you are looking at condition differences, do you mean the response was larger before an auditory target than before a visual target? It currently reads as if you mean that it was larger in that window right before the target as opposed to other time windows

      L368 - "behaviorally" should be "behavioral"

      L407-408 - I think auditory SSEP/SSVEFs should be auditory or visual SSEP/SSEFs, unless you are specifically only talking about auditory SSEPs and visual SSEFs

      L411 - also uses SSVEFs

      L413 - "frequently, or in the case of..."

      L555 - "predicting" should be predicted? Or do you mean only cues that correctly predicted the target?

      We are very grateful for the reviewer for pointing out these mistakes, all of which we have remedied in our manuscript.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This study presents potentially valuable results on glutamine-rich motifs in relation to protein expression and alternative genetic codes. The author's interpretation of the results is so far only supported by incomplete evidence, due to a lack of acknowledgment of alternative explanations, missing controls and statistical analysis and writing unclear to non experts in the field. These shortcomings could be at least partially overcome by additional experiments, thorough rewriting, or both.

      We thank both the Reviewing Editor and Senior Editor for handling this manuscript.

      Based on your suggestions, we have provided controls, performed statistical analysis, and rewrote our manuscript. The revised manuscript is significantly improved and more accessible to non-experts in the field.

      Reviewer #1 (Public Review):

      Summary

      This work contains 3 sections. The first section describes how protein domains with SQ motifs can increase the abundance of a lacZ reporter in yeast. The authors call this phenomenon autonomous protein expression-enhancing activity, and this finding is well supported. The authors show evidence that this increase in protein abundance and enzymatic activity is not due to changes in plasmid copy number or mRNA abundance, and that this phenomenon is not affected by mutants in translational quality control. It was not completely clear whether the increased protein abundance is due to increased translation or to increased protein stability.

      In section 2, the authors performed mutagenesis of three N-terminal domains to study how protein sequence changes protein stability and enzymatic activity of the fusions. These data are very interesting, but this section needs more interpretation. It is not clear if the effect is due to the number of S/T/Q/N amino acids or due to the number of phosphorylation sites.

      In section 3, the authors undertake an extensive computational analysis of amino acid runs in 27 species. Many aspects of this section are fascinating to an expert reader. They identify regions with poly-X tracks. These data were not normalized correctly: I think that a null expectation for how often poly-X track occur should be built for each species based on the underlying prevalence of amino acids in that species. As a result, I believe that the claim is not well supported by the data.

      Strengths

      This work is about an interesting topic and contains stimulating bioinformatics analysis. The first two sections, where the authors investigate how S/T/Q/N abundance modulates protein expression level, is well supported by the data. The bioinformatics analysis of Q abundance in ciliate proteomes is fascinating. There are some ciliates that have repurposed stop codons to code for Q. The authors find that in these proteomes, Q-runs are greatly expanded. They offer interesting speculations on how this expansion might impact protein function.

      Weakness

      At this time, the manuscript is disorganized and difficult to read. An expert in the field, who will not be distracted by the disorganization, will find some very interesting results included. In particular, the order of the introduction does not match the rest of the paper.

      In the first and second sections, where the authors investigate how S/T/Q/N abundance modulates protein expression levels, it is unclear if the effect is due to the number of phosphorylation sites or the number of S/T/Q/N residues.

      There are three reasons why the number of phosphorylation sites in the Q-rich motifs is not relevant to their autonomous protein expression-enhancing (PEE) activities:

      First, we have reported previously that phosphorylation-defective Rad51-NTD (Rad51-3SA) and wild-type Rad51-NTD exhibit similar autonomous PEE activity. Mec1/Tel1-dependent phosphorylation of Rad51-NTD antagonizes the proteasomal degradation pathway, increasing the half-life of Rad51 from ∼30 min to ≥180 min (1). (page 1, lines 11-14)

      Second, in our preprint manuscript, we have already shown that phosphorylation-defective Rad53-SCD1 (Rad51-SCD1-5STA) also exhibits autonomous PEE activity similar to that of wild-type Rad53-SCD (Figure 2D, Figure 4A and Figure 4C). We have highlighted this point in our revised manuscript (page 9, lines 19-21).

      Third, as revealed by the results of Figure 4, it is the percentages, and not the numbers, of S/T/Q/N residues that are correlated with the PEE activities of Q-rich motifs.

      The authors also do not discuss if the N-end rule for protein stability applies to the lacZ reporter or the fusion proteins.

      The autonomous PEE function of S/T/Q-rich NTDs is unlikely to be relevant to the N-end rule. The N-end rule links the in vivo half-life of a protein to the identity of its N-terminal residues. In S. cerevisiae, the N-end rule operates as part of the ubiquitin system and comprises two pathways. First, the Arg/N-end rule pathway, involving a single N-terminal amidohydrolase Nta1, mediates deamidation of N-terminal asparagine (N) and glutamine (Q) into aspartate (D) and glutamate (E), which in turn are arginylated by a single Ate1 R-transferase, generating the Arg/N degron. N-terminal R and other primary degrons are recognized by a single N-recognin Ubr1 in concert with ubiquitin-conjugating Ubc2/Rad6. Ubr1 can also recognize several other N-terminal residues, including lysine (K), histidine (H), phenylalanine (F), tryptophan (W), leucine (L) and isoleucine (I) (68-70). Second, the Ac/N-end rule pathway targets proteins containing N-terminally acetylated (Ac) residues. Prior to acetylation, the first amino acid methionine (M) is catalytically removed by Met-aminopeptidases (MetAPs), unless a residue at position 2 is non-permissive (too large) for MetAPs. If a retained N-terminal M or otherwise a valine (V), cysteine (C), alanine (A), serine (S) or threonine (T) residue is followed by residues that allow N-terminal acetylation, the proteins containing these AcN degrons are targeted for ubiquitylation and proteasome-mediated degradation by the Doa10 E3 ligase (71).

      The PEE activities of these S/T/Q-rich domains are unlikely to arise from counteracting the N-end rule for two reasons. First, the first two amino acid residues of Rad51-NTD, Hop1-SCD, Rad53-SCD1, Sup35-PND, Rad51-ΔN, and LacZ-NVH are MS, ME, ME, MS, ME, and MI, respectively, where M is methionine, S is serine, E is glutamic acid and I is isoleucine. Second, Sml1-NTD behaves similarly to these N-terminal fusion tags, despite its methionine and glutamine (MQ) amino acid signature at the N-terminus. (Page 12, line 3 to page 13, line 2)

      The most interesting part of the paper is an exploration of S/T/Q/N-rich regions and other repetitive AA runs in 27 proteomes, particularly ciliates. However, this analysis is missing a critical control that makes it nearly impossible to evaluate the importance of the findings. The authors find the abundance of different amino acid runs in various proteomes. They also report the background abundance of each amino acid. They do not use this background abundance to normalize the runs of amino acids to create a null expectation from each proteome. For example, it has been clear for some time (Ruff, 2017; Ruff et al., 2016) that Drosophila contains a very high background of Q's in the proteome and it is necessary to control for this background abundance when finding runs of Q's.

      We apologize for not explaining sufficiently well the topic eliciting this reviewer’s concern in our preprint manuscript. In the second paragraph of page 14, we cite six references to highlight that SCDs are overrepresented in yeast and human proteins involved in several biological processes (5, 43) and that polyX prevalence differs among species (79-82).

      We will cite a reference by Kiersten M. Ruff in our revised manuscript (38).

      K. M. Ruff, J. B. Warner, A. Posey and P. S. Tan (2017) Polyglutamine length dependent structural properties and phase behavior of huntingtin exon1. Biophysical Journal 112, 511a.

      The authors could easily address this problem with the data and analysis they have already collected. However, at this time, without this normalization, I am hesitant to trust the lists of proteins with long runs of amino acid and the ensuing GO enrichment analysis. Ruff KM. 2017. Washington University in St.

      Ruff KM, Holehouse AS, Richardson MGO, Pappu RV. 2016. Proteomic and Biophysical Analysis of Polar Tracts. Biophys J 110:556a.

      We thank Reviewer #1 for this helpful suggestion and now address this issue by means of a different approach described below.

      Based on a previous study (43), we applied seven different thresholds to seek both short and long, as well as pure and impure, polyX strings in 20 different representative near-complete proteomes, including 4X (4/4), 5X (4/5-5/5), 6X (4/6-6/6), 7X (4/7-7/7), 8-10X (≥50%X), 11-10X (≥50%X) and ≥21X (≥50%X).

      To normalize the runs of amino acids and create a null expectation from each proteome, we determined the ratios of the overall number of X residues for each of the seven polyX motifs relative to those in the entire proteome of each species, respectively. The results of four different polyX motifs are shown in our revised manuscript, i.e., polyQ (Figure 7), polyN (Figure 8), polyS (Figure 9) and polyT (Figure 10). Thus, polyX prevalence differs among species and the overall X contents of polyX motifs often but not always correlate with the X usage frequency in entire proteomes (43).

      Most importantly, our results reveal that, compared to Stentor coeruleus or several non-ciliate eukaryotic organisms (e.g., Plasmodium falciparum, Caenorhabditis elegans, Danio rerio, Mus musculus and Homo sapiens), the five ciliates with reassigned TAAQ and TAGQ codons not only have higher Q usage frequencies, but also more polyQ motifs in their proteomes (Figure 7). In contrast, polyQ motifs prevail in Candida albicans, Candida tropicalis, Dictyostelium discoideum, Chlamydomonas reinhardtii, Drosophila melanogaster and Aedes aegypti, though the Q usage frequencies in their entire proteomes are not significantly higher than those of other eukaryotes (Figure 1). Due to their higher N usage frequencies, Dictyostelium discoideum, Plasmodium falciparum and Pseudocohnilembus persalinus have more polyN motifs than the other 23 eukaryotes we examined here (Figure 8). Generally speaking, all 26 eukaryotes we assessed have similar S usage frequencies and percentages of S contents in polyS motifs (Figure 9). Among these 26 eukaryotes, Dictyostelium discoideum possesses many more polyT motifs, though its T usage frequency is similar to that of the other 25 eukaryotes (Figure 10).

      In conclusion, these new normalized results confirm that the reassignment of stop codons to Q indeed results in both higher Q usage frequencies and more polyQ motifs in ciliates.  

      Reviewer #2 (Public Review):

      Summary:

      This study seeks to understand the connection between protein sequence and function in disordered regions enriched in polar amino acids (specifically Q, N, S and T). While the authors suggest that specific motifs facilitate protein-enhancing activities, their findings are correlative, and the evidence is incomplete. Similarly, the authors propose that the re-assignment of stop codons to glutamine-encoding codons underlies the greater user of glutamine in a subset of ciliates, but again, the conclusions here are, at best, correlative. The authors perform extensive bioinformatic analysis, with detailed (albeit somewhat ad hoc) discussion on a number of proteins. Overall, the results presented here are interesting, but are unable to exclude competing hypotheses.

      Strengths:

      Following up on previous work, the authors wish to uncover a mechanism associated with poly-Q and SCD motifs explaining proposed protein expression-enhancing activities. They note that these motifs often occur IDRs and hypothesize that structural plasticity could be capitalized upon as a mechanism of diversification in evolution. To investigate this further, they employ bioinformatics to investigate the sequence features of proteomes of 27 eukaryotes. They deepen their sequence space exploration uncovering sub-phylum-specific features associated with species in which a stop-codon substitution has occurred. The authors propose this stop-codon substitution underlies an expansion of ploy-Q repeats and increased glutamine distribution.

      Weaknesses:

      The preprint provides extensive, detailed, and entirely unnecessary background information throughout, hampering reading and making it difficult to understand the ideas being proposed.

      The introduction provides a large amount of detailed background that appears entirely irrelevant for the paper. Many places detailed discussions on specific proteins that are likely of interest to the authors occur, yet without context, this does not enhance the paper for the reader.

      The paper uses many unnecessary, new, or redefined acronyms which makes reading difficult. As examples:

      1) Prion forming domains (PFDs). Do the authors mean prion-like domains (PLDs), an established term with an empirical definition from the PLAAC algorithm? If yes, they should say this. If not, they must define what a prion-forming domain is formally.

      The N-terminal domain (1-123 amino acids) of S. cerevisiae Sup35 was already referred to as a “prion forming domain (PFD)” in 2006 (48). Since then, PFD has also been employed as an acronym in other yeast prion papers (Cox, B.S. et al. 2007; Toombs, T. et al. 2011).

      B. S. Cox, L. Byrne, M. F., Tuite, Protein Stability. Prion 1, 170-178 (2007). J. A. Toombs, N. M. Liss, K. R. Cobble, Z. Ben-Musa, E. D. Ross, [PSI+] maintenance is dependent on the composition, not primary sequence, of the oligopeptide repeat domain. PLoS One 6, e21953 (2011).

      2) SCD is already an acronym in the IDP field (meaning sequence charge decoration) - the authors should avoid this as their chosen acronym for Serine(S) / threonine (T)-glutamine (Q) cluster domains. Moreover, do we really need another acronym here (we do not).

      SCD was first used in 2005 as an acronym for the Serine (S)/threonine (T)-glutamine (Q) cluster domain in the DNA damage checkpoint field (4). Almost a decade later, SCD became an acronym for “sequence charge decoration” (Sawle, L. et al. 2015; Firman, T. et al. 2018).

      L. Sawle and K, Ghosh, A theoretical method to compute sequence dependent configurational properties in charged polymers and proteins. J. Chem Phys. 143, 085101(2015).

      T. Firman and Ghosh, K. Sequence charge decoration dictates coil-globule transition in intrinsically disordered proteins. J. Chem Phys. 148, 123305 (2018).

      3) Protein expression-enhancing (PEE) - just say expression-enhancing, there is no need for an acronym here.

      Thank you. Since we have shown that the addition of Q-rich motifs to LacZ affects protein expression rather than transcription, we think it is better to use the “PEE” acronym.

      The results suggest autonomous protein expression-enhancing activities of regions of multiple proteins containing Q-rich and SCD motifs. Their definition of expression-enhancing activities is vague and the evidence they provide to support the claim is weak. While their previous work may support their claim with more evidence, it should be explained in more detail. The assay they choose is a fusion reporter measuring beta-galactosidase activity and tracking expression levels. Given the presented data they have shown that they can drive the expression of their reporters and that beta gal remains active, in addition to the increase in expression of fusion reporter during the stress response. They have not detailed what their control and mock treatment is, which makes complete understanding of their experimental approach difficult. Furthermore, their nuclear localization signal on the tag could be influencing the degradation kinetics or sequestering the reporter, leading to its accumulation and the appearance of enhanced expression. Their evidence refuting ubiquitin-mediated degradation does not have a convincing control.

      Although this reviewer’s concern regarding our use of a nuclear localization signal on the tag is understandable, we are confident that this signal does not bias our findings for two reasons. First, the negative control LacZ-NV also possesses the same nuclear localization signal (Figure 1A, lane 2). Second, another fusion target, Rad51-ΔN, does not harbor the NVH tag (Figure 1D, lanes 3-4). Compared to wild-type Rad51, Rad51-ΔN is highly labile. In our previous study, removal of the NTD from Rad51 reduced by ~97% the protein levels of corresponding Rad51-ΔN proteins relative to wild-type (1).

      Based on the experimental results, the authors then go on to perform bioinformatic analysis of SCD proteins and polyX proteins. Unfortunately, there is no clear hypothesis for what is being tested; there is a vague sense of investigating polyX/SCD regions, but I did not find the connection between the first and section compelling (especially given polar-rich regions have been shown to engage in many different functions). As such, this bioinformatic analysis largely presents as many lists of percentages without any meaningful interpretation. The bioinformatics analysis lacks any kind of rigorous statistical tests, making it difficult to evaluate the conclusions drawn. The methods section is severely lacking. Specifically, many of the methods require the reader to read many other papers. While referencing prior work is of course, important, the authors should ensure the methods in this paper provide the details needed to allow a reader to evaluate the work being presented. As it stands, this is not the case.

      Thank you. As described in detail below, we have now performed rigorous statistical testing using the GofuncR package (Figure 11, Figure 12 and DS7-DS32).

      Overall, my major concern with this work is that the authors make two central claims in this paper (as per the Discussion). The authors claim that Q-rich motifs enhance protein expression. The implication here is that Q-rich motif IDRs are special, but this is not tested. As such, they cannot exclude the competing hypothesis ("N-terminal disordered regions enhance expression").

      In fact, “N-terminal disordered regions enhance expression” exactly summarizes our hypothesis.

      On pages 12-13 and Figure 4 of our preprint manuscript, we explained our hypothesis in the paragraph entitled “The relationship between PEE function, amino acid contents, and structural flexibility”.

      The authors also do not explore the possibility that this effect is in part/entirely driven by mRNA-level effects (see Verma Na Comms 2019).

      As pointed out by the first reviewer, we present evidence that the increase in protein abundance and enzymatic activity is not due to changes in plasmid copy number or mRNA abundance (Figure 2), and that this phenomenon is not affected in translational quality control mutants (Figure 3).

      As such, while these observations are interesting, they feel preliminary and, in my opinion, cannot be used to draw hard conclusions on how N-terminal IDR sequence features influence protein expression. This does not mean the authors are necessarily wrong, but from the data presented here, I do not believe strong conclusions can be drawn. That re-assignment of stop codons to Q increases proteome-wide Q usage. I was unable to understand what result led the authors to this conclusion.

      My reading of the results is that a subset of ciliates has re-assigned UAA and UAG from the stop codon to Q. Those ciliates have more polyQ-containing proteins. However, they also have more polyN-containing proteins and proteins enriched in S/T-Q clusters. Surely if this were a stop-codon-dependent effect, we'd ONLY see an enhancement in Q-richness, not a corresponding enhancement in all polar-rich IDR frequencies? It seems the better working hypothesis is that free-floating climate proteomes are enriched in polar amino acids compared to sessile ciliates.

      We thank this reviewer for raising this point, however her/his comments are not supported by the results in Figure 7.

      Regardless, the absence of any kind of statistical analysis makes it hard to draw strong conclusions here.

      We apologize for not explaining more clearly the results of Tables 5-7 in our preprint manuscript.

      To address the concerns about our GO enrichment analysis by both reviewers, we have now performed rigorous statistical testing for SCD and polyQ protein overrepresentation using the GOfuncR package (https://bioconductor.org/packages/release/bioc/html/GOfuncR.html). GOfuncR is an R package program that conducts standard candidate vs. background enrichment analysis by means of the hypergeometric test. We then adjusted the raw p-values according to the Family-wise error rate (FWER). The same method had been applied to GO enrichment analysis of human genomes (89).

      The results presented in Figure 11 and Figure 12 (DS7-DS32) support our hypothesis that Q-rich motifs prevail in proteins involved in specialized biological processes, including Saccharomyces cerevisiae RNA-mediated transposition, Candida albicans filamentous growth, peptidyl-glutamic acid modification in ciliates with reassigned stop codons (TAAQ and TAGQ), Tetrahymena thermophila xylan catabolism, Dictyostelium discoideum sexual reproduction, Plasmodium falciparum infection, as well as the nervous systems of Drosophila melanogaster, Mus musculus, and Homo sapiens (78). In contrast, peptidyl-glutamic acid modification and microtubule-based movement are not overrepresented with Q-rich proteins in Stentor coeruleus, a ciliate with standard stop codons.

      Recommendations for the authors:

      Please note that you control which revisions to undertake from the public reviews and recommendations for the authors.

      Reviewer #1 (Recommendations For The Authors):

      The order of paragraphs in the introduction was very difficult to follow. Each paragraph was clear and easy to understand, but the order of paragraphs did not make sense to this reader. The order of events in the abstract matches the order of events in the results section. However, the order of paragraphs in the introduction is completely different and this was very confusing. This disordered list of facts might make sense to an expert reader but makes it hard for a non-expert reader to understand.

      Apologies. We endeavored to improve the flow of our revised manuscript to make it more readable.

      The section beginning on pg 12 focused on figures 4 and 5 was very interesting and highly promising. However, it was initially hard for me to tell from the main text what the experiment was. Please add to the text an explanation of the experiment, because it is hard to figure out what was going on from the figures alone. Figure 4 is fantastic, but would be improved by adding error bars and scaling the x-axis to be the same in panels B,C,D.

      Thank you for this recommendation. We have now scaled both the x-axis and y-axis equivalently in panels B, C and D of Figure 4. Error bars are too small to be included.

      It is hard to tell if the key variable is the number of S/T/Q/N residues or the number of phosphosites. I think a good control would be to add a regression against the number of putative phosphosites. The sequences are well designed. I loved this part but as a reader, I need more interpretation about why it matters and how it explains the PEE.

      As described above, we have shown that the number of phosphorylation sites in the Q-rich motifs is not relevant to their autonomous protein expression-enhancing (PEE) activities.

      I believe that the prevalence of polyX runs is not meaningful without normalizing for the background abundance of each amino acid. The proteome-wide abundance and the assumption that amino acids occur independently can be used to form a baseline expectation for which runs are longer than expected by chance. I think Figures 6 and 7 should go into the supplement and be replaced in the main text with a figure where Figure 6 is normalized by Figure 7. For example in P. falciparum, there are many N-runs (Figure 6), but the proteome has the highest fraction of N’s (Figure 7).

      Thank you for these suggestions. The three figures in our preprint manuscript (Figures 6-8) have been moved into the supplementary information (Figures S1-S3). For normalization, we have provided four new figures (Figures 7-10) in our revised manuscript.

      The analysis of ciliate proteomes was fascinating. I am particularly interested in the GO enrichment for “peptidyl-glutamic acid modification” (pg 20) because these enzymes might be modifying some of Q’s in the Q-runs. I might be wrong about this idea or confused about the chemistry. Do these ciliates live in Q-rich environments? Or nitrogen rich environments?

      Polymeric modifications (polymodifications) are a hallmark of C-terminal tubulin tails, whereas secondary peptide chains of glutamic acids (polyglutamylation) and glycines (polyglycylation) are catalyzed from the γ-carboxyl group of primary chain glutamic acids. It is not clear if these enzymes can modify some of the Q’s in the Q-runs.

      To our knowledge, ciliates are abundant in almost every liquid water environment, i.e., oceans/seas, marine sediments, lakes, ponds, and rivers, and even soils.

      I think you should include more discussion about how the codons that code for Q’s are prone to slippage during DNA replication, and thus many Q-runs are unstable and expand (e.g. Huntington’s Disease). The end of pg 24 or pg 25 would be good places.

      We thank the reviewer for these comments.

      PolyQ motifs have a particular length-dependent codon usage that relates to strand slippage in CAG/CTG trinucleotide repeat regions during DNA replication. In most organisms having standard genetic codons, Q is encoded by CAGQ and CAAQ. Here, we have determined and compared proteome-wide Q contents, as well as the CAGQ usage frequencies (i.e., the ratio between CAGQ and the sum of CAGQ, CAGQ, TAAQ, and TAGQ).

      Our results reveal that the likelihood of forming long CAG/CTG trinucleotide repeats are higher in five eukaryotes due to their higher CAGQ usage frequencies, including Drosophila melanogaster (86.6% Q), Danio rerio (74.0% Q), Mus musculus (74.0% Q), Homo sapiens (73.5% Q), and Chlamydomonas reinhardtii (87.3% Q) (orange background, Table 2). In contrast, another five eukaryotes that possess high numbers of polyQ motifs (i.e., Dictyostelium discoideum, Candida albicans, Candida tropicalis, Plasmodium falciparum and Stentor coeruleus) (Figure 1) utilize more CAAQ (96.2%, 84.6%, 84.5%, 86.7% and 75.7%) than CAAQ (3.8%, 15.4%, 15.5%, 13.3% and 24.3%), respectively, to avoid the formation of long CAG/CTG trinucleotide repeats (green background, Table 2). Similarly, all five ciliates with reassigned stop codons (TAAQ and TAGQ) have low CAGQ usage frequencies (i.e., from 3.8% Q in Pseudocohnilembus persalinus to 12.6% Q in Oxytricha trifallax) (red font, Table 2). Accordingly, the CAG-slippage mechanism might operate more frequently in Chlamydomonas reinhardtii, Drosophila melanogaster, Danio rerio, Mus musculus and Homo sapiens than in Dictyostelium discoideum, Candida albicans, Candida tropicalis, Plasmodium falciparum, Stentor coeruleus and the five ciliates with reassigned stop codons (TAAQ and TAGQ).

      Author response table 1.

      Usage frequencies of TAA, TAG, TAAQ, TAGQ, CAAQ and CAGQ codons in the entire proteomes of 20 different organisms.

      Pg 7, paragraph 2 has no direction. Please add the conclusion of the paragraph to the first sentence.

      This paragraph has been moved to the “Introduction” section” of the revised manuscript.

      Pg 8, I suggest only mentioning the PFDs used in the experiments. The rest are distracting.

      We have addressed this concern above.

      Pg 12. Please revise the "The relationship...." text to explain the experiment.

      We apologize for not explaining this topic sufficiently well in our preprint manuscript.

      SCDs are often structurally flexible sequences (4) or even IDRs. Using IUPred2A (https://iupred2a.elte.hu/plot_new), a web-server for identifying disordered protein regions (88), we found that Rad51-NTD (1-66 a.a.) (1), Rad53-SCD1 (1-29 a.a.) and Sup35-NPD (1-39 a.a.) are highly structurally flexible. Since a high content of serine (S), threonine (T), glutamine (Q), asparanine (N) is a common feature of IDRs (17-20), we applied alanine scanning mutagenesis approach to reduce the percentages of S, T, Q or N in Rad51-NTD, Rad53-SCD1 or Sup35-NPD, respectively. As shown in Figure 4 and Figure 5, there is a very strong positive relationship between STQ and STQN amino acid percentages and β-galactosidase activities. (Page 13, lines 5-10)

      Pg 13, first full paragraph, "Futionally, IDRs..." I think this paragraph belongs in the Discussion.

      This paragraph is now in the “Introduction” section (Page 5, Lines 11-15).

      Pg. 15, I think the order of paragraphs should be swapped.

      These paragraphs have been removed or rewritten in the “Introduction section” of our revised manuscript.

      Pg 17 (and other parts) I found the lists of numbers and percentages hard to read and I think you should refer readers to the tables.

      Thank you. In the revised manuscript, we have avoided using lists of numbers and percentages, unless we feel they are absolutely essential.

      Pg. 19 please add more interpretation to the last paragraph. It is very cool but I need help understanding the result. Are these proteins diverging rapidly? Perhaps this is a place to include the idea of codon slippage during DNA replication.

      Thank you. The new results in Table 2 indicate that the CAG-slippage mechanism is unlikely to operate in ciliates with reassigned stop codons (TAAQ and TAGQ).

      Pg 24. "Based on our findings from this study, we suggest that Q-rich motifs are useful toolkits for generating novel diversity during protein evolution, including by enabling greater protein expression, protein-protein interactions, posttranslational modifications, increased solubility, and tunable stability, among other important traits." This idea needs to be cited. Keith Dunker has written extensively about this idea as have others. Perhaps also discuss why Poly Q rich regions are different from other IDRs and different from other IDRs that phase-separate.

      Agreed, we have cited two of Keith Dunker’s papers in our revised manuscript (73, 74).

      Minor notes:

      Please define Borg genomes (pg 25).

      Borgs are long extrachromosomal DNA sequences in methane-oxidizing Methanoperedens archaea, which display the potential to augment methane oxidation (101). They are now described in our revised manuscript. (Page 15, lines 12-14)

      Reviewer #2 (Recommendations For The Authors):

      The authors dance around disorder but never really quantify or show data. This seems like a strange blindspot.

      We apologize for not explaining this topic sufficiently well in our preprint manuscript. We have endeavored to do so in our revised manuscript.

      The authors claim the expression enhancement is "autonomous," but they have not ruled things out that would make it not autonomous.

      Evidence of the “autonomous” nature of expression enhancement is presented in Figure 1, Figure 4, and Figure 5 of the preprint manuscript.

      Recommendations for improving the writing and presentation.

      The title does not recapitulate the entire body of work. The first 5 figures are not represented by the title in any way, and indeed, I have serious misgivings as to whether the conclusion stated in the title is supported by the work. I would strongly suggest the authors change the title.

      Figure 2 could be supplemental.

      Thank you. We think it is important to keep Figure 2 in the text.

      Figures 4 and 5 are not discussed much or particularly well.

      This reviewer’s opinion of Figure 4 and Figure 5 is in stark contrast to those of the first reviewer.

      The introduction, while very thorough, takes away from the main findings of the paper. It is more suited to a review and not a tailored set of minimal information necessary to set up the question and findings of the paper. The question that the authors are after is also not very clear.

      Thank you. The entire “Introduction” section has been extensively rewritten in the revised manuscript.

      Schematics of their fusion constructs and changes to the sequence would be nice, even if supplemental.

      Schematics of the fusion constructs are provided in Figure 1A.

      The methods section should be substantially expanded.

      The method section in the revised manuscript has been rewritten and expanded. The six Javascript programs used in this work are listed in Table S4.

      The text is not always suited to the general audience and readership of eLife.

      We have now rewritten parts of our manuscript to make it more accessible to the broad readership of eLife.

      In some cases, section headers really don't match what is presented, or there is no evidence to back the claim.

      The section headers in the revised manuscript have been corrected.

      A lot of the listed results in the back half of the paper could be a supplemental table, listing %s in a paragraph (several of them in a row) is never nice

      Acknowledged. In the revised manuscript, we have removed almost all sentences listing %s.

      Minor corrections to the text and figures.

      There is a reference to table 1 multiple times, and it seems that there is a missing table. The current table 1 does not seem to be the same table referred to in some places throughout the text.

      Apologies for this mistake, which we have now corrected in our revised manuscript.

      In some places its not clear where new work is and where previous work is mentioned. It would help if the authors clearly stated "In previous work...."

      Acknowledged. We have corrected this oversight in our revised manuscript.

      Not all strains are listed in the strain table (KO's in figure 3 are not included)

      Apologies, we have now corrected Table S2, as suggested by this reviewer.

      Author response table 2.

      S. cerevisiae strains used in this study

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      This study by Sokač et al. entitled "GENIUS: GEnome traNsformatIon and spatial representation of mUltiomicS data" presents an integrative multi-omics approach which maps several genomic data sources onto an image structure on which established deep-learning methods are trained with the purpose of classifying samples by their metastatic disease progression signatures. Using published samples from the Cancer Genome Atlas the authors characterize the classification performance of their method which only seems to yield results when mapped onto one out of four tested image-layouts.

      Major recommendations:

      • In its current form, GENIUS analysis is neither computationally reproducible nor are the presented scripts on GitHub generic enough for varied applications with other data. The GENIUS GitHub repository provides a collection of analysis scripts and not a finished software solution (e.g. command line tool or other user interface) (the presented scripts do not even suffice for a software prototype). In detail, the README on their GitHub repository is largely incomplete and reads analogous to an incomplete and poorly documented analysis script and is far from serving as a manual for a generic software solution (this claim was made in the manuscript).

      We apologize for this oversight, and we have now invested considerable resources into making the documentation more detailed and accurate. We have created a new GitHub repository (https://github.com/mxs3203/GENIUS) that contains a small set of example data and all the necessary scripts to run GENIUS. The README file guides the user through each step of the GENIUS framework but it also contains a bash script that runs all the steps at once. When a user would like to use it on their own data, they need to replace the input data with their data but in the same format as the example input data. This is now fully documented in the README file. All scripts have arguments that can be used to point to custom data. The entire pipeline using example data can be run using run_genius.sh script. This script will produce CSV files and PNG files inside the ExtractWithIG folder containing attribution scores for every cancer type tested.

      The authors should invest substantially into adding more details on how data can be retrieved (with example code) from the cited databases and how such data should then be curated alongside the input genome to generically create the "genomic image".

      Data for analysis can be sourced from multiple locations, what we have used in our examples and for development was based on data from the TCGA. It can be retrieved from the official TCGA data hub or through Xena Browser (https://xenabrowser.net/). However, the data formats are generic, and similar data types (mutation, expression, methylation, copy number) can be obtained from multiple sources. We have added example data to demonstrate the layout, and we have a script included that creates the layout from standard mutation, expression, methylation and copy number data formats. We have substantially improved the annotations, including detailed descriptions of the data layout along with examples, and we have, as part of our validation, had an independent person test run the scripts using TCGA example data we provided on the new GitHub page.

      In addition, when looking at the source code, parameter configurations for training and running various modules of GENIUS were hard-coded into the source code and users would have to manually change them in the source code rather than as command line flags in the software call. Furthermore, file paths to the local machine of the author are hard-coded in the source code, suggesting that images are sourced from a local folder and won't work when other users wish to replicate the analysis with other data. I would strongly recommend building a comprehensive command line tool where parameter and threshold configurations can be generically altered by the user via command line flags.

      Apologies, we have changed the code and removed all hard-coded paths. All paths are now relative to the script using them. Furthermore, we made the config file more visible and easier to use. The example run can be found on the new github repository we linked in the previous comment.

      We also inserted the following text in the manuscript

      The GitHub repository contains example data and instructions on how to use the GENIUS framework.

      A comprehensive manual would need to be provided to ensure that users can easily run GENIUS with other types of input data (since this is the claim of the manuscript). Overall, due to the lack of documentation and hard-coded local-machine folder paths it was impossible to computationally reproduce this study or run GENIUS in general.

      Apologies, we have completely reworked the code base, and extensively annotated the code. We have also made highly detailed step-by-step instructions that should enable any user to run GENIUS on their own or public data.

      • In the Introduction the authors write: "To correct for such multiple hypothesis testing, drastic adjustments of p-values are often applied which ultimately leads to the rejection of all but the most significant results, likely eliminating a large number of weaker but true associations.". While this is surely true for any method attempting to separate noise from signal, their argument fails to substantiate how their data transformation will solve this issue. Data transformation and projection onto an image for deep-learning processing will only shift the noise-to-signal evaluation process to the postprocessing steps and won't "magically" solve it during training.

      The data transformation does not solve the problem of multiple hypothesis testing but it facilitates the use of computer vision algorithms and frameworks on rich multi-omics data. Importantly, transforming the data into genome images, training the model, and inspecting it with integrated gradients can be interpreted as running a single test on all of the data.

      Analyzing multiomics data using classical statistical methods typically means that we perform extensive filtering of the data, removing genes with poor expression/methylation/mutation scores, and then e.g. perform logistic regression against a desired outcome, or alternatively, perform multiple statistical tests comparing each genomic feature independently against a desired outcome. Either way, information is lost during initial filtering and we must correct the analysis for each statistical test performed. While this increases confidence in whichever observation remains significant, it also undoubtedly means that we discard true positives. Additionally, classical statistical methods such as those mentioned here do not assume a spatial connection between data points, thus any relevant information relating to spatial organization is lost.

      Instead, we propose the use of the GENIUS framework for multiomics analysis. The GENIUS framework is based on deep neural nets and relies on Convolutions and their ability to extract interactions between the data points. This particularly considers spatial information, which is not possible using classical statistical methods such as logistic regression where the most similar approach to this would include creating many models with many interactions.

      Furthermore, integrated gradients is a non-parametric approach that simply evaluates the trained model relative to input data and output label, resulting in attribution for each input with respect to the output label. In other words, integrated gradients represent the integral of gradients with respect to inputs along the path from a given baseline to input. The integral is described in Author response image 1:

      Author response image 1.

      More about integrated gradients can be read on the Captum webpage (https://captum.ai/docs/introduction) or in original paper https://arxiv.org/abs/1703.01365.

      Since we transformed the data into a data structure (genome image) that assumes a spatial connection between genes, trained the model using convolutional neural networks and analyzed the model using integrated gradients, we can treat the results without any parametric assumption. As a particular novelty, we can sort the list based on attribution score and take top N genes as our candidate biomarkers for the variable of interest and proceed with downstream analysis or potentially functional validation in an in vitro setting. In this manner, the reviewer is correct that the signal-to-noise evaluation is shifted to the post-processing steps. However, the benefit of the GENIUS framework is particularly that it enables integration of multiple data sources without any filtering, and with constructing a novel data structure that facilitates investigation of spatial dependency between data points, thus potentially revealing novel genes or biomarkers that were previously removed through filtering steps. However, further downstream validation of these hits remains critical.

      We added the following paragraph to make this more clear

      "Integrated Gradients is a non-parametric approach that evaluates the trained model relative to input data and output label, resulting in attribution scores for each input with respect to the output label. In other words, Integrated Gradients represent the integral of gradients with respect to inputs along the path from a given baseline. By using Integrated Gradients, we provide an alternative solution to the problem posed by performing multiple independent statistical tests. Here, instead of performing multiple tests, a single analysis is performed by transforming multiomics data into genome images, training a model, and inspecting it with Integrated Gradients. Integrated Gradients will output an attribution score for every gene included in the genome image and those can be ranked in order to retrieve a subset of the most associated genes relative to the output variable."

      In addition, multiple-testing correction is usually done based on one particular data source (e.g. expression data), while their approach claims to integrate five very different genomic data sources with different levels and structures of technical noise. How are these applications comparable and how is the training procedure able to account for these different structures of technical noise? Please provide sufficient evidence for making this claim (especially in the postprocessing steps after classification).

      The reviewer is correct that there will be different technical noise for each data source. However, each data source is already processed by standardized pipelines used for interpreting sequence-level data into gene expression, mutations, copy number alterations and methylation levels. Thus, sequence-level technical noise is not evaluated as part of the GENIUS analysis. Nevertheless, the reviewer is correct that sample-level technical noise, such as low tumor purity or poor quality sequencing, undoubtedly can affect the GENIUS predictions, as is true for all types of sequence analysis. As part of GENIUS, an initial data preprocessing step (which is performed automatically as part of the image generation), is that each data source is normalized within that source and linearly scaled in range zero to one (min-max scaling). This normalization step means that the impact of different events within and between data sources are comparable since the largest/smallest value from one data source will be comparable to the largest/smallest value from another data source.

      Additionally, deep neural networks, particularly convolutional networks, have been shown to be very robust to different levels of technical noise (Jang, McCormack, and Tong 2021; Du et al. 2022). In the manuscript we show the attribution scores for different cancer types in figure 3B of the paper. Here, the top genes include established cancer genes such as P53, VHL, PTEN, APC and PIK3CA, indicating that the attribution scores based on GENIUS analysis is a valid tool to identify potential genes of interest. Furthermore, when focusing the analysis on predicting metastatic bladder cancer, we were able to show that of the top 10 genes with the highest attribution scores, 7 showed significant association with poor outcome in an independent validation cohort of mostly metastatic patients (shown in figure 4).

      • I didn't find any computational benchmark of GENIUS. What are the computational run times, hardware requirements (e.g. memory usage) etc that a user will have to deal with when running an analogous experiment, but with different input data sources? What kind of hardware is required GPUs/CPUs/Cluster?

      We apologize for not including this information in the manuscript. We added the following section in to the manuscript:

      "Computational Requirements

      In order to train the model, we used the following hardware configuration: Nvidia RTX3090 GPU, AMD Ryzen 9 5950X 16 core CPU, and 32Gb of RAM memory. In our study, we used a batch size of 256, which occupied around 60% of GPU memory. Training of the model was dependent on the output variable. For metastatic disease prediction, we trained the model for approximately 4 hours. This could be changed since we used early stopping in order to prevent overfitting. By reducing the batch size to smaller numbers, the technical requirements are reduced making it possible to run GENIUS on most modern laptops."

      • A general comment about the Methods section: Models, training, and validation are very vaguely described and the source code on GitHub is very poorly documented so that parameter choices, model validation, test and validation frameworks and parameter choices are neither clear nor reproducible.

      Apologies, we have updated the methods section with more details on models, training and validation. Additionally, we have moved the section on evaluating model performance from the methods section to the results section, with more details on how training was performed.

      We also agree that the GitHub page is not sufficiently detailed and well structured. To remedy this, we have made a new GitHub page that only has the code needed for analysis, example input data, example runs, and environment file with all library versions. The GitHub repository is also updated in the manuscript.

      The new GitHub page can be found on: https://github.com/mxs3203/GENIUS

      Please provide a sufficient mathematical definition of the models, thresholds, training and testing frameworks.

      We sincerely apologize, but we do not entirely follow the reviewers request on this regard. The mathematical definitions of deep neural networks are extensive and not commonly included in research publications utilizing deep learning. We have used PyTorch to implement the deep neural net, a commonly used platform, which is now referenced in the methods. The design of the deep learning network used for GENIUS is described in figure 1, and the relevant parameters are described in methods. The hyper parameters are described in the methods section, and are as follows:

      "All models were trained with Adagrad optimizer with the following hyperparameters: starting learning rate = 9.9e-05 (including learning rate scheduler and early stopping), learning rate decay and weight decay = 1e-6, batch size = 256, except for memory-intensive chromosome images where the batch size of 240 was used."

      • In chapter "Latent representation of genome" the authors write: "After successful model training, we extracted the latent representations of each genome and performed the Uniform Manifold Approximation and Projection (UMAP) of the data. The UMAP projected latent representations into two dimensions which could then be visualized. In order to avoid modeling noise, this step was used to address model accuracy and inspect if the model is distinguishing between variables of interest.". In the recent light of criticism when using the first two dimensions of UMAP projections with omics data, what is the evidence in support of the author's claim that model accuracy can be quantified with such a 2D UMAP projection? How is 'model accuracy' objectively quantified in this visual projection?

      We apologize for not clarifying this. The UMAP was done on L, the latent vector, which by assumption should capture the most important information from the “genome image”. In order to confirm this, we plotted the first two dimensions of UMAP transformation and colored the points by the output variable. If the model was capturing noise, there should not be any patterns on the plot (randomized cancer-type panel). Since, in most cases, we do see an association between the first two UMAP dimensions and the output variable, we were confident that the model was not modeling (extracting) noise.

      To clarify this, we changed the sentence in the manuscript so it is more clear that this is not an estimation of accuracy but only an initial inspection of the models:

      The UMAP projected latent representations into two dimensions which could then be visualized. In order to avoid modeling noise, this step was used to inspect if the model is distinguishing between variables of interest.

      • In the same paragraph "Latent representation of genome" the authors write: "We observed that all training scenarios successfully utilized genome images to make predictions with the exception of Age and randomized cancer type (negative control), where the model performed poorly (Figure 2B).". Did I understand correctly that all negative controls performed poorly? How can the authors make any claims if the controls fail? In general, I was missing sufficient controls for any of their claims, but openly stating that even the most rudimentary controls fail to deliver sufficient signals raises substantial issues with their approach. A clarification would substantially improve this chapter combined with further controls.

      We apologize for not stating this more clearly. Randomized cancer type was used as a negative control since we expect that model would not be able to make sense of the data if predicting randomized cancer type. As expected, the model failed to predict the randomized cancer types. This can be seen in Figure 2C, where UMAP representations (based on the latent representation of the data, the vector L) are made for each output variable. Not seeing any patterns in UMAP shows that, as expected, the model does not know how to extract useful information from “genome image” when predicting randomized cancer type (as when randomly shuffling the labels there is no genomic information to decipher). Similar patterns were observed for Age, indicating that patient age cannot be determined from the multi-omics data. Conversely, when GENIUS was trained against wGII, TP53, metastatic status, and cancer type, we observed that samples clustered according to the output label.

      Reviewer #2 (Public Review):

      In this manuscript, Birkbak and colleagues use a novel approach to transform multi-omics datasets in images and apply Deep Learning methods for image analysis. Interestingly they find that the spatial representation of genes on chromosomes and the order of chromosomes based on 3D contacts leads to best performance. This supports that both 1D proximity and 3D proximity could be important for predicting different phenotypes. I appreciate that the code is made available as a github repository. The authors use their method to investigate different cancers and identify novel genes potentially involved in these cancers. Overall, I found this study important for the field.

      The major points of this manuscript could be grouped in three parts:

      1) While the authors have provided validation for their model, it is not always clear that best approaches have been used.

      a) In the methods there is no mention of a validation dataset. I would like to see the authors training on a cancer from one cohort and predict on the same cancer from a different cohort. This will convince the reader that their model can generalise. They do something along those lines for the bladder cancer, but no performance is reported. At the very least they should withhold a percentage of the data for validation. Maybe train on 100 and validate on the remaining 300 samples. They might have already done something along these lines, but it was not clear from the methods.

      Apologize for not being sufficiently clear in the manuscript. We did indeed validate the performance within the TCGA cohort, using holdout cross validation. Here, we trained the network on 75% of the cohort samples (N = 3825), and tested on the remaining 25% (N = 1276).

      To make this more clear, we have rewritten section “GENIUS classification identifies tumors likely to become metastatic” as such:

      "The omics data types included somatic mutations, gene expression, methylation, copy number gain and copy number loss. Using holdout type cross-validation, where we split the data into training (75%) and validation (25%), we observed a generally high performance of GENIUS, with a validation AUC of 0.83 for predicting metastatic disease (Figure 2B)."

      We also added the following sentence in the legend of Figure 2:

      "The x-axis represents epochs and y-axis represents AUC score of fixed 25% data we used for accuracy assessment within TCGA cohort."

      The accuracy of GENIUS could not be validated on the other two bladder cohorts since they do not contain all the data for the creation of five-dimensional genome images. However, we were able to investigate if the genes with the highest attribution scores towards metastatic bladder cancer obtained based on the TCGA samples also showed a significant association with poor outcome in the two independent bladder cancer cohorts. Here, we observed that of the top 10 genes with the highest attribution scores, 5 were associated with poor outcome in the early stage bladder cancer cohort, and 7 were associated with poor outcome in the late stage/metastatic bladder cancer cohort.

      b) It was not clear how they used "randomised cancer types as the negative control". Why not use normal tissue data or matched controls?

      In the study, we built six models, one for each variable of interest. One of them was cancer type which performed quite well. In order to assess the model on randomized data, we randomized the labels of cancer type and tried predicting that. This served as “negative control” since we expected the model to perform poorly in this scenario. To make this more clear in the manuscript, we have expanded the description in the main text. We have also added the description of this to each supplementary plot to clarify this further.

      While normal tissue and matched controls would have been an optimal solution, unfortunately, such data is not available.

      c) If Figure 2B, the authors claim they have used cross validation. Maybe I missed it, but what sort of cross validation did they use?

      We apologize for not being sufficiently clear. As described above, we used holdout cross-validation to train and evaluate the model. We clarified this in the text:

      "Using holdout type cross-validation, where we split the data into training (80%) and validation (20%), we observed a generally high performance of GENIUS, with a mean validation AUC of 0.83 (Figure 2B)"

      2) Potential improvement to the method

      a) It is very encouraging the use of HiC data, but the authors used a very coarse approach to integrate it (by computing the chromosome order based on interaction score). We know that genes that are located far away on the same chromosome can interact more in 3D space than genes that are relatively close in 1D space. Did the authors consider this aspect? Why not group genes based on them being located in the same TAD?

      We thank the reviewer for this suggestion and we will start looking into how to use TAD information to create another genome representation. In this study, we tried several genome transformations, which proved to be superior compared to a flat vector of features (no transformation). We are aware that squared genome transformation might not be optimal, so we designed the network that reconstructs the genome image during the training. This way, the genome image is optimized for the output variable of choice by the network itself. However, we note that the order of the genes themselves, while currently based on HiC, can be changed by the user. The order is determined by a simple input file which can be changed by the user with the argument “all_genes_included”. Thus, different orderings can be tested within the overall square layout. This is now detailed in the instructions on the new GitHub page.

      The convolutional neural network uses a kernel size of 3x3, which captures the patterns of genes positioned close to each other but also genes that are far away from each other (potentially on another chromosome). Once convolutions extract patterns from the image, the captured features are used in a feed-forward neural network that makes a final prediction using all extracted features/patterns regardless of their location in the genome image.

      We also inserted the following sentence in discussion:

      "Given that spatial organization improved the prediction, we recognize that there may exist a more optimal representation of multi-omics data which should be explored further in future work. Potential methods for organizing gene orientation in a 2D image could consider integrating topologically associating domains[39] along with the spatial information from HiC. This is already possible to explore with the current implementation of GENIUS, where gene layout can be set manually by the user."

      b) Authors claim that "given that methylation negatively correlates with gene expression, these were considered together". This is clearly not always the case. See for example https://genomebiology.biomedcentral.com/articles/10.1186/s13059-022-02728-5. What would happen if they were not considered together?

      We thank the reviewer for this insightful comment. We agree with the reviewer that methylation does not always result in lower expression, although methylation levels in most cases should correlate negatively to RNA expression, but with a gene-specific factor. Indeed, there are tools developed that infer RNA expression based on methylation, making use of gene-specific correction factors. E.g. Mattesen et al (Mattesen, Andersen, and Bramsen 2021).

      However, upon reflection we agree with the reviewer that we cannot assume for all genes that methylation equals low expression. Therefore, we have performed an analysis where we compared the methylation level to gene expression levels for all tested genes within bladder cancer. We computed Pearson’s correlation of 16,456 genes that have both methylation and expression scores. Of these, 8528 showed a negative correlation. After p-value correction, this resulted in 4774 genes where methylation was significantly negatively associated with expression. For these genes we performed the subsequent analysis in bladder cancer, where methylation and expression were considered together. This updated analysis has been included in supplementary figure 10, and the results section has been amended to reflect this. Overall, this analysis resulted in 4 of 10 genes being replaced in the downstream analysis. However, we note that the final results did not materially change, nor did the conclusions.

      Author response image 2.

      Correlation between gene-level methylation and gene expression in TCGA BLCA cohort

      3) Interesting results that were not explained.

      a) In Figure 3A methylation seems to be the most important omics data, but in 3B, mutations and expression are dominating. The authors need to explain why this is the case.

      We apologize for not explaining this in more detail. Figure 3B shows the attribution scores scaled within the cancer type, where Figure 3A shows raw attribution scores for each data source included. The reason for this is that methylation and expression have in general, smaller attribution scores but more events where a single mutation often is characterized with large attribution scores and the rest of them with very small attribution. In order to make those numbers comparable and take into account biological differences between the cancer type, we scaled the scores within each cancer type.

      To make this more clear we modified the first sentence in “Interpreting the GENIUS model classifying metastatic cancer biology” section:

      "Analysing raw attribution scores we concluded the most informative data type overall regarding the development of metastatic disease was methylation (Figure 3A). …We also noticed that mutation data often had a single mutation with large attribution score where expression and methylation showed multiple genes with high attribution scores… … The normalization step is crucial to make results comparable as underlying biology is different in each cancer type included in the study."  

      Reviewer #1 (Recommendations For The Authors):

      • While I appreciate the creative acronym of the presented software solution (GENIUS), it may easily be confused with the prominent software Geneious | Bioinformatics Software for Sequence Data Analysis which is often employed in molecular life science research. I would suggest renaming the tool.

      We appreciate the comment but prefer to keep the name. Given that the abbreviation is not exactly the same and the utility is different, we are confident that there will be no accidental mixup between these tools.

      • A huge red flag is the evaluation of the input image design which clearly shows that classification power after training is insufficient for three out of four image layouts (and even for the fourth AUC is between 0.70-0.84 depending on the pipeline step and application). Could the authors please clarify why this isn't cherry-picking (we use the one layout that gave some form of results)? In light of the poor transformation capacity of this multi-omics data onto images, why weren't other image layouts tried and their classification performance assessed? Why should a user assume that this image layout that worked for this particular input dataset will also work with other datasets if image transformation is performing poorly in most cases?

      We apologize for not describing this further in the manuscript. We wrote in the manuscript that we could not know what genome representation is optimal as it is difficult to know. A flat vector represents a simple (or no) transformation since we simply take all of the genes from all of the data sources and append them into a single list. Chromosome image and square image are two transformations we tried, and we focused on the square image since in our hands it showed superior performance relative to other transformations.

      Reviewer #2 (Recommendations For The Authors):

      Minor points:

      1) Legends of supplementary Figures are missing.

      We thank the reviewer for this comment and apologize for missing it. All legends have been added now.

      2) For some tests the authors use F1 score while for other AUC, they should be consistent. Report all metrics for all comparisons or report one and justify why that only metric.

      We apologize for not being sufficiently clear. AUC is a standard score used for binary classification, while the F1 score is used for multiclass classification. We have now described this in the methods section, and hope this is now sufficiently clear.

      "When predicting continuous values, the model used the output from the activation function with the mean squared error loss function. When predicting multi-class labels, the performance measure was defined by the F1 score, a standard measure for multiclass classification that combines the sensitivity and specificity scores and is defined as the harmonic mean of its precision and recall. To evaluate model performance against the binary outcome, ROC analysis was performed, and the area under the curve (AUC) was used as the performance metric."

      3) not sure how representation using UMAP in Figure 2C is helping understand the performance.

      Apologies for the poor wording in the results section. The purpose of the UMAP representation was to visually inspect if the model was distinguishing between variables of interest, not to estimate model performance. We have rephrased the text in the methods section to make this clear:

      "After successful model training, we extracted the latent representations of each genome and performed the Uniform Manifold Approximation and Projection (UMAP) of the data for the purpose of visual inspection of a model."

      And

      "In order to avoid modeling noise, this step was used to inspect if the model is distinguishing between variables of interest."

      And also in the results section:

      "In order to visually inspect patterns captured by the model, we extracted the latent representations of each genome and performed the Uniform Manifold Approximation and Projection (UMAP) of the data to project it into two dimensions."

      4) Instead of pie chart in 3A, the authors should plot stacked barplots (to 100%) so it would be easier to compare between the different cancer types.

      We thank the reviewer for the suggestion; however, since we wanted to compare the relative impact of each data source with each other, we used pie charts. Piecharts are often better for describing relative values, whereas bar plots are better for absolute values.

      References

      Du, Ruishan, Wenhao Liu, Xiaofei Fu, Lingdong Meng, and Zhigang Liu. 2022. “Random Noise Attenuation via Convolutional Neural Network in Seismic Datasets.” Alexandria Engineering Journal 61 (12): 9901–9.

      Jang, Hojin, Devin McCormack, and Frank Tong. 2021. “Noise-Trained Deep Neural Networks Effectively Predict Human Vision and Its Neural Responses to Challenging Images.” PLoS Biology 19 (12): e3001418.

      Mattesen, Trine B., Claus L. Andersen, and Jesper B. Bramsen. 2021. “MethCORR Infers Gene Expression from DNA Methylation and Allows Molecular Analysis of Ten Common Cancer Types Using Fresh-Frozen and Formalin-Fixed Paraffin-Embedded Tumor Samples.” Clinical Epigenetics 13 (1): 20.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Review #1:

      (1) It would be helpful to explain the criteria for choosing a given number of clusters and for accepting the final clustering solution more clearly. The quantitative results (silhouette plots, Rand index) in Supplementary Figure 2 should perhaps be included in the main figure to justify the parameter choices and acceptance of specific clustering solutions.

      We revised the text and added labels to the original Supplementary Figure 2 (now main Figure 4) to clarify how we arrived at the best settings for random-seed clustering. 

      (2) It would be helpful to show how the activity profiles in Figure 3 would look like for 3 or 5 (or 6) clusters, to give the reader an impression of how activity profiles recovered using different numbers of clusters would differ.

      We added a new figure (Supplementary Figure 4) that shows 5- and 6-cluster results. Note that the same three subpopulations in Figure 3 were reliably identified as distinct clusters even with alternative settings, corroborating the results in the tSNE space (Supplementary Figure 3). 

      (3) The authors attempt to link the microstimulation effects to the presence of functional neuron clusters at the stimulation site. How can you rule out that there were other, session-specific factors (e.g., related to the animal's motivation) that affected both neuronal activity and behavior? For example, could you incorporate aspects of the monkey's baseline performance (mean reaction time, fixation breaks, error trials) into the analysis?

      We tested the potential influences of monkeys’ motivational states on our observations using two sets of analysis. First, we examined whether motivational state modulated the likelihood of observing a specific type of neural activity in STN. We focused on three measurements of motivational states: the rate of fixation break, the overall error rate, and mean RT. We found that none of these measurements differed significantly among sessions when we encountered different subpopulations (new Supplemental Figure 7), suggesting that motivational state alone cannot explain the differences in activity patterns of the four subpopulations. 

      Second, we examined how motivational state may be reflected in the microstimulation results. To clarify, because we interleaved trials with and without microstimulation, the microstimulation effects cannot be solely explained by session-specific factors. However, it is possible that motivational state can modulate the magnitude of microstimulation effects. We performed correlation analysis between microstimulation effects (difference in each fitted DDM parameter between trials with and without microstimulation) and motivational state (fixation break, error rate, mean RT on trials without microstimulation). We did not find significant correlation for any combination (Supplemental Table 1). These results suggest that the motivational state of the monkey had little influence on our recording and microstimulation results. However, because our monkeys operated within a narrow range of strong engagement on the task, we cannot rule out the possibility that STN activity or microstimulation effects could change significantly if the monkeys were not as engaged. We have added these results in a new section titled “Heterogeneous activity patterns and microstimulation effects cannot be explained by variations in motivational state”. 

      (4) Line 84: What was the rationale for not including both coherence and reaction time in one multiple regression model?

      On the task we used, RT depends strongly on coherence in a nonlinear fashion (e.g., example behavior in now Figure 5). We thus performed regressions using coherence and RT separately. We revised the text in Methods to clarify our rationale (lines 470-473):

      “To quantitatively measure each neuron’s task-related modulation, we performed two multiple linear regressions for each running window, separately for coherence and RT because monkeys’ RT strongly depends on coherence on our task:”

      Review #2:

      The interpretation of the results, and specifically, the degree to which the identified clusters support each model, is largely dependent on whether the artificial vectors used as model-based clustering seeds adequately capture the expected behavior under each theoretical model. The manuscript would benefit from providing further justification for the specific model predictions summarized in Figure 1B.

      We added information on the original figure/equations that were the basis of the artificial vectors we constructed for clustering analysis and their abbreviated summary in Figure 1B (first paragraph in section “STN subpopulations can support previously theorized functions”). These vectors were meant to capture prominent features of the predicted activity patterns, in the forms of choice, time, and motion strength dependencies. We also emphasize that we obtained very similar results using random clustering seeds.

      Further, although each cluster's activity can be described in the context of the discussed models, these same neural dynamics could also reflect other processes not specific to the models. That is, while a model attributing the STN's role to assessing evidence accumulation may predict a ramping up of neural activity, activity ramping is not a selective correlate of evidence accumulation and could be indicative of a number of processes, e.g., uncertainty, the passage of time, etc. This lack of specificity makes it challenging to infer the functional relevance of cluster activity and should be acknowledged in the discussion.

      We thank the reviewer for pointing out the alternative interpretation of these modulation patterns. We have added this caveat in the Discussion (lines 398-401): “It is also possible that the ramping activity reflects alternative roles for the STN in the evaluation of the decision process, the tracking of elapsed time, or both. How these possible roles relate to those of caudate neurons awaits further investigation (Fan et al., 2024)”. 

      Additionally, although the effects of STN microstimulation on behavior provide important causal evidence linking the STN to decision processes, the stimulation results are highly variable and difficult to interpret. The authors provide a reasonable explanation for the variability, showing that neurons from unique clusters are anatomically intermingled such that stimulation likely affects neurons across several clusters. It is worth noting, however, that a substantial body of literature suggests that neural populations in the STN are topographically organized in a manner that is crucial for its role in action selection, providing "channels" that guide action execution. The authors should comment on how the current results, indicative of little anatomical clustering amongst the functional clusters, relate to other reports showing topographical organization.

      We thank the reviewer for raising this important point. We have added the following text in the Discussion:

      “The intermingled subpopulations may appear at odds with the conventional idea of topography in how the STN is organized. For example, the “tripartite model” suggests that STN is segregated by motor, associative, and limbic functions (Parent and Hazrati, 1995); afferents from motor cortices and neurons related to different types of movements are largely somatotopically organized in the STN (DeLong et al., 1985; Nambu et al., 1996); and certain molecular markers are expressed in an orderly pattern in the STN (reviewed in Prasad and Wallén-Mackenzie, 2024). Because we focused on STN neurons that were responsive on a single oculomotor decision task, our sampling was likely biased toward STN subdivisions related to associative function and oculomotor movements. As such, our results do not preclude the presence of topography at a larger scale. Rather, our results underscore the importance of activity patternbased analysis, in addition to anatomy-based analysis, for understanding the functional organization of the STN.”

      Figure 3 is referenced when describing which cluster activity is choice/coherence dependent, yet it is unclear what specific criteria and measures are being used to determine whether activity is choice/coherence "dependent." Visually, coherence activity seems to largely overlap in panel B (top row). Is there a statistically significant distinction between low and high coherence in this plot? The interpretation of these plots and the methods used to determine choice/coherence "dependence" needs further explanation.

      We added a new figure (Sup Figure 3) that shows the summary of choice and coherence modulation, based on multiple linear regression analysis, for each subpopulation separately. We also updated the description of these activity patterns in Results (lines 122-130):

      In general, the association between cluster activity and each model could be more directly tested. At least two of the models assume coordination with other brain regions. Does the current dataset include recordings from any of these regions (e.g., mPFC or GPe) that could be used to bolster claims about the functional relevance of specific subpopulations? For example, one would expect coordinated activity between neural activity in mPFC and Cluster 2 according to the Ratcliff and Frank model.

      We agree completely that simultaneous recordings of STN and its afferent/efferent regions (such as mPFC, GPe, SNr, and GPi) would provide valuable insights into the specific roles of STN and the basal ganglia as a whole. Such recordings are outside the scope of the current study but are in our future plans. 

      Additionally, the reported drift-diffusion model (DDM) results are difficult to interpret as microstimulation appears to have broad and varied effects across almost all the DDM model parameters. The DDM framework could, however, be used to more specifically test the relationships between each neural cluster and specific decision functions described in each model. Several studies have successfully shown that neural activity tracks specific latent decision parameters estimated by the DDM by including neural activity as a predictor in the model. Using this approach, the current study could examine whether each cluster's activity is predictive of specific decision parameters (e.g., evidence accumulation, decision thresholds, etc.). For example, according to the Ratcliff and Frank model, activity in cluster 2 might track decision thresholds.

      We thank the reviewer for the suggested analysis. Because including the neural activity in the model substantially increases model fitting time, we performed a preliminary round of model fitting for 15 neurons (5 neurons closest to each of the cluster centroids). For each neuron, we measured the average firing rates in three windows: 1) a 350 ms window starting from dots onset (“Dots”), 2) a 350 ms window ending at saccade onset (“Presac”), and 3) a variable window starting from dots onset and ending at 100 ms before saccade onset (“Fullview”). For each window, the firing rates were z-scored across trials.  We incorporated the firing rates into two model types. In the “DV” type, the firing rates were assumed to influence three DDM parameters related to evidence accumulation: k, me, and z. In the “Bound” type, the firing rates were assumed to influence three DDM parameters related to decision bound: a, B_alpha, and B_d. In total, we fitted six combinations of firing rates and model types to each neuron. For comparison, we also fitted the standard model without incorporating firing rates. 

      As shown in Author response image 1, firing rates of single STN neurons had minimal contributions to the fits. With the exception of one neuron, AIC values were greater for model variants including firing rates than the standard model (Author response image 1A), indicating that including firing rate did not improve the fits. For all neurons, the actual fitted coefficients for firing rates were several degrees of magnitude smaller than the corresponding DDM parameter (Author response image 1B; note the range of y axis), indicating that the trial-by-trial variation in firing rate had little influence on the evidence accumulation- or decision bound-related parameters. Based on these preliminary fitting results, we believe that a single STN neuron does not have strong enough influence on the overall evidence accumulation or decision bound to be detected with the model fitting method.  We therefore did not expand the fitting analysis to all neurons. 

      Author response image 1.

      Firing rates of a single STN neuron did not substantially influence decision-related DDM parameters. A, Differences in AIC between DDM variants that included firing rate-dependent terms and the standard DDM. Red dahsed line: difference = -3. Each column represents results from one unit. B, Fitted coefficients for firing rate-related terms were near zero. Note the range of y axis. Values for the top and bottomw panels were obtained from "DV"- and "Bound"-type models, respectively. See text for more details.

      We emphasize, however, that the apparent negative results do not necessarily argue against a causal role of the STN in decision making, rather, these results more likely reflect the methodological limitation: because we used a single task context, the monkeys’ natural trial-by- trial variations in the DDM components may be too small. A better design would be to manipulate task contexts to induce larger changes in evidence accumulation or decision bounds and then test for a correlation between single-neuron firing rates and these changes. We are currently using such a design in a follow-up study. 

      The table in Figure 1B nicely outlines the specific neural predictions for each theoretical model but it would help guide the reader if the heading for each column also included a few summary words to remind the reader of the crux of each theory, e.g. "Ratcliff+Frank 2012 (adjusted decision-bounds)"

      We thank the reviewer for this suggestion. We considered implementing this but eventually decided not to add more headings to the column, because the predicted STN functions of the three models cannot all be succinctly summarized. We thus prefer to include more detailed descriptions in the main text, instead of in the figure. 

      The authors frequently refer to contralateral vs. ipsilateral decisions but never explicitly state what this refers to, i.e. contralateral relative to what (visual field, target direction, recording site, etc.)? The reader can eventually deduce that this means contralateral to the recording site but this should be explicitly stated for clarity.

      We added in Methods: 

      Line 483: “Contralateral/ipsilateral choices refer to saccades toward the targets contralateral/ipsilateral to the recording sites, respectively.” 

      Line 535: Contralateral/ipsilateral choices refer to saccades toward the targets contralateral/ipsilateral to the microstimulation sites, respectively.”

      Again, for clarity, it would be helpful to explicitly define what the authors mean by "sensitive to choice" when referring to Figure 1B as this could be interpreted to mean left/right or ipsilateral/contralateral.

      In the context of Figure 1B, “sensitive to choice” means showing different responses for the two choices in our 2AFC task, regardless of the task geometry. We added explanation in the figure caption.

      Color bar labels would be helpful to include in all figures that include plots with color bars.

      We apologize for omitting the labels. They are added to Figure 2B and C, Supplemental Fig. 1.  

      The authors should briefly note what a "lapse term" is when describing the logistic function results.

      We revised the text in Results (lines 184-186) and Methods (line 527) to clarify that lapse terms were used to capture errors independent of motion strength.

      Are the 3 example sessions in Figure 4 stimulating the same STN site and/or the same monkey? This information should be noted in the caption or main text.

      We revised the caption: “A-C, Monkey’s choice (top) and RT (bottom) performance for trials with (red) and without (black) microstimulation for three example sessions (A,B: two sites in monkey C; C: monkey F).”

      Figure 3B the authors note that "the last cluster shows little task-related modulation" - what criteria are they using to make this conclusion? By eye, the last cluster and cluster 1 seem to show a similar degree of modulation when locked to motion onset.

      We added a new figure (Suppl Figure 2) that shows the summary of choice and coherence modulation, based on multiple linear regression analysis, for each subpopulation separately. 

      Reviewer #3:

      We have grouped the reviewer’s public and specific comments by content. 

      First, the interpretation of the neural subpopulations' activity patterns in relation to the computational models should be clarified, as the observed patterns may not directly correspond to the specific signals predicted by the models. The authors claim that the first subpopulation of STN neurons reflects the normalization signal predicted by the model of Bogacz and Gurney (2007). However, the observed activity patterns only show choice- and coherence-dependent activity, which may represent the input to the normalization computation rather than its output. The authors should clarify this point and discuss the limitations of their interpretation. 

      We agree with the reviewer that the choice- and coherence-dependent activity pattern does not sufficiently indicate a normalization computation. We interpreted such activity as satisfying a necessary condition for, and therefore consistent with, the theoretical model proposed by Bogacz and Gurney. We have reviewed the text to ensure that we never made the claim that the first subpopulation mediates the normalization.   

      Second, the authors could consider using a supervised learning method to more explicitly model the pattern correlations between the three profiles. The authors used k-means clustering to identify STN subpopulations. Given the clear distinction between the three types of neural firing patterns, a supervised learning method (e.g., a generalized linear model) could be used as a more explicit encoding model to account for the pattern correlations between the three profiles.

      We used two approaches to examine the different response profiles. The “random-seed” approach used non-supervised clustering to probe the functional organization of STN neurons, with no a priori assumption about how many subpopulations may be present. The “model-seed” approach is similar in spirit to what the reviewer suggested: we defined artificial vectors, akin to regressors in a generalized linear model, that showed key modulation features as predicted by previous theoretical models. We then projected the neurons’ activity profiles onto these vectors, akin to performing a regression analysis.   

      Third, a neural population model could be employed to better understand how the STN population jointly contributes to decision-making dynamics. The single-neuron encoding analysis reveals mixed effects from multiple decision-related functions. To better understand how the STN population jointly contributes to the decision-making process, the authors could consider using a neural population model (e.g., Wang et al., 2023) to quantify the population dynamics.

      We agree with the reviewer that a neural population model would be helpful for testing our understanding of the roles of STN. However, we believe that this is premature at the moment because we have no knowledge about how these different subpopulations interact with each other within STN, nor how they interact with other basal ganglia nuclei. We hope our results provide a foundation for future experiments that can provide more specific insights in the roles of each subpopulation, which can then be tested in a neural population model as the reviewer suggested.  

      Finally, the added value of the microstimulation experiments should be more directly addressed in the Results section, as the changes in firing patterns compared to the original patterns are not clearly evident. The microstimulation results (Figure 7A) do not show significant changes in firing patterns compared to the original patterns (Figure 3B). As microstimulation is used to identify the hypothetical role of the STN beyond the correlational analysis, the authors should more directly address the added value of these experiments in the Results section.

      We apologize for the confusion. The average firing rates at the top of original Figure 7A (now Figure 8A) were obtained in recordings just before microstimulation, to document which neuron subpopulation was near the stimulation electrode. We were not able to obtain recordings from the same neurons during microstimulation.  

      The ordering of the three hypotheses in the Introduction (1) adjusting decision bounds, (2) computing a normalization signal, (3) implementing a nonlinear computation to improve decision bound adjustment, is inconsistent with the order in which they are addressed in the Results section (2, 1, 3). To improve clarity and readability, the authors should consider presenting the hypotheses and their corresponding results in a consistent order throughout the manuscript.

      We thank the reviewer for this suggestion. We have reordered the text in Introduction to be consistent.

    1. Author response:

      The following is the authors’ response to the original reviews

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      The authors set out to explore the role of upstream open reading frames (uORFs) in stabilizing protein levels during Drosophila development and evolution. By utilizing a modified ICIER model for ribosome translation simulations and conducting experimental validations in Drosophila species, the study investigates how uORFs buffer translational variability of downstream coding sequences. The findings reveal that uORFs significantly reduce translational variability, which contributes to gene expression stability across different biological contexts and evolutionary timeframes.

      We thank the reviewer for carefully reading our manuscript and providing thoughtful and constructive feedback. We believe the manuscript has been significantly improved by incorporating your suggestions. Please find our detailed responses and corresponding revisions below.

      Strengths:

      (1) The study introduces a sophisticated adaptation of the ICIER model, enabling detailed simulation of ribosomal traffic and its implications for translation efficiency.

      (2) The integration of computational predictions with empirical data through knockout experiments and translatome analysis in Drosophila provides a compelling validation of the model's predictions.

      (3) By demonstrating the evolutionary conservation of uORFs' buffering effects, the study provides insights that are likely applicable to a wide range of eukaryotes.

      We appreciate your positive feedback and thoughtful summary of the strengths of our study.

      Weaknesses:

      (1) Although the study is technically sound, it does not clearly articulate the mechanisms through which uORFs buffer translational variability. A clearer hypothesis detailing the potential molecular interactions or regulatory pathways by which uORFs influence translational stability would enhance the comprehension and impact of the findings.

      Thanks for your constructive comments. In the Discussion section of our previous submission (Original Lines 470-489), we proposed that uORFs function as “molecular dams” to smooth out fluctuations in ribosomal flow toward downstream CDS regions, primarily via mechanisms involving ribosome collision and dissociation. To further address your concern, we have expanded the Discussion and included a new model figure (Fig. 9) to more clearly articulate the potential biological and mechanistic basis by which translating 80S ribosomes may induce the dissociation of 40S ribosomes. The revised section (Lines 540–557) now reads:

      “Ribosome slowdown or stalling on mRNA due to rare codons [56,96-98] or nascent blocking peptides [99-102] frequently triggers ribosome collisions genome-wide [103-105]. Such collisions, especially among elongating 80S ribosomes, often activate ribosome quality control (RQC) pathways that recognize collision interfaces on the 40S subunit, leading to ribosomal subunit dissociation and degradation [106-108]. In mammals, ZNF598 specifically identifies collided ribosomes to initiate ubiquitin-dependent protein and mRNA quality control pathways [109-113]. Analogously, yeast employs Hel2-mediated ubiquitination of uS10, initiating dissociation via the RQC-trigger complex (RQT) [114]. Furthermore, the human RQT (hRQT) complex recognizes ubiquitinated ribosomes and induces subunit dissociation similarly to yeast RQT [115]. However, transient ribosome collisions can evade RQC by promoting resumed elongation through mechanical force provided by trailing ribosomes, thereby mitigating stalling [116]. Beyond 80S collisions, evidence increasingly highlights a distinct collision type involving scanning 40S subunits or pre-initiation (43S) complexes. Recently, an initiation RQC pathway (iRQC) targeting the small ribosomal subunit (40S) has been described, particularly involving collisions between scanning 43S complexes or between stalled 43S and elongating 80S ribosomes (Figure 9B) [117,118]. During iRQC, E3 ubiquitin ligase RNF10 ubiquitinates uS3 and uS5 proteins, resulting in 40S degradation [118]. This mechanism aligns closely with our ICIER model, proposing collision-driven 43S dissociation in the 5' UTRs. Future studies exploring these mechanisms in greater detail will clarify how uORFs modulate translational regulation through buffering effects.”

      (2) The study could be further improved by a discussion regarding the evolutionary selection of uORFs. Specifically, it would be beneficial to explore whether uORFs are favored evolutionarily primarily for their role in reducing translation efficiency or for their capability to stabilize translation variability. Such a discussion would provide deeper insights into the evolutionary dynamics and functional significance of uORFs in genetic regulation.

      Thank you for this insightful suggestion. We agree that understanding whether uORFs are evolutionarily favored for their role in translational repression or for their capacity to buffer translational variability is a compelling and unresolved question. Our study suggests that translational buffering, rather than translational repression alone, can also drive evolutionary selection favoring uORFs, although it remains challenging to empirically disentangle these functions due to their inherent linkage. We have expanded the discussion in the revised manuscript to address this point in more detail (Lines 494-513), which is reproduced as follows:

      “Previous studies have shown that a significant fraction of fixed uORFs in the populations of D. melanogaster and humans were driven by positive Darwinian selection 63,67, suggesting active maintenance through adaptive evolution rather than purely neutral or deleterious processes. While uORFs have traditionally been recognized for their capacity to attenuate translation of downstream CDSs, accumulating evidence now underscores their critical role in stabilizing gene expression under fluctuating cellular and environmental conditions [43,55,56]. Whether the favored evolutionary selection of uORFs acts primarily through their role in translational repression or translational buffering remains a compelling yet unresolved question, as these two functions are inherently linked. Indeed, highly conserved uORFs tend to be translated at higher levels, resulting not only in stronger inhibition of CDS translation [34,45,67] but also in a more pronounced buffering effect, as demonstrated in this study. This buffering capacity of uORFs potentially provides selective advantages by reducing fluctuations in protein synthesis, thus minimizing gene-expression noise and enhancing cellular homeostasis. This suggests that selection may favor uORFs that contribute to translational robustness, a hypothesis supported by findings in yeast and mammals showing that uORFs are significantly enriched in stressresponse genes and control the translation of certain master regulators of stress responses [41,42,94,95]. Our study suggests that translational buffering, rather than translational repression alone, can also drive evolutionary selection favoring uORFs, although it remains challenging to empirically disentangle these functions. Future comparative genomic analyses, coupled with experimental approaches such as ribosome profiling and functional mutagenesis, will be crucial in elucidating the precise evolutionary forces driving uORF conservation and adaptation.”

      Reviewer #2 (Public review):

      uORFs, short open reading frames located in the 5' UTR, are pervasive in genomes. However, their roles in maintaining protein abundance are not clear. In this study, the authors propose that uORFs act as "molecular dam", limiting the fluctuation of the translation of downstream coding sequences. First, they performed in silico simulations using an improved ICIER model, and demonstrated that uORF translation reduces CDS translational variability, with buffering capacity increasing in proportion to uORF efficiency, length, and number. Next, they analzed the translatome between two related Drosophila species, revealing that genes with uORFs exhibit smaller fluctuations in translation between the two species and across different developmental stages within the same specify. Moreover, they identified that bicoid, a critical gene for Drosophila development, contains a uORF with substantial changes in translation efficiency. Deleting this uORF in Drosophila melanogaster significantly affected its gene expression, hatching rates, and survival under stress condition. Lastly, by leveraging public Ribo-seq data, the authors showed that the buffering effect of uORFs is also evident between primates and within human populations. Collectively, the study advances our understanding of how uORFs regulate the translation of downstream coding sequences at the genome-wide scale, as well as during development and evolution.

      The conclusions of this paper are mostly well supported by data, but some definitions and data analysis need to be clarified and extended.

      We thank the reviewer for the thoughtful and constructive review. Your summary accurately captures the key findings of our study. We have carefully addressed all your concerns in the revised manuscript, and we believe it has been significantly improved based on your valuable input.

      (1) There are two definitions of translation efficiency (TE) in the manuscript: one refers to the number of 80S ribosomes that complete translation at the stop codon of a CDS within a given time interval, while the other is calculated based on Ribo-seq and mRNA-seq data (as described on Page 7, line 209). To avoid potential misunderstandings, please use distinct terms to differentiate these two definitions.

      Thank you for highlighting this important point, and we apologize for the confusion. The two definitions of translation efficiency (TE) in our manuscript arise from methodological differences between simulation and experimental analyses. To clarify, in the revised manuscript, we use “translation rate” in the context of simulations to describe the number of 80S ribosomes completing translation at the CDS stop codon per unit time. We retain the conventional “translation efficiency (TE)” for Ribo-seq–based measurements. 

      In this revised manuscript, we have added a more detailed explanation of TE in the revised manuscript (Lines 202–206), which now reads:

      “For each sample, we followed established procedures [62-66] to calculate the translational efficiency (TE) for each feature (CDS or uORF). TE serves as a proxy for the translation rate at which ribosomes translate mRNA into proteins, typically quantified by comparing the density of ribosome-protected mRNA fragment (RPF) to the mRNA abundance for that feature (see Materials and Methods).”

      (2) Page 7, line 209: "The translational efficiencies (TEs) of the conserved uORFs were highly correlated between the two species across all developmental stages and tissues examined, with Spearman correlation coefficients ranging from 0.478 to 0.573 (Fig. 2A)." However, the authors did not analyze the correlation of translation efficiency of conserved CDSs between the two species, and compare this correlation to the correlation between the TEs of CDSs. These analyzes will further support the authors conclusion regarding the role of conserved uORFs in translation regulation.

      In the revised manuscript, we have incorporated a comparison of translational efficiency (TE) correlations for conserved CDSs between the two species. We found that CDSs exhibit significantly higher interspecific TE correlations than uORFs, with Spearman’s rho ranging from 0.588 to 0.806. This suggests that uORFs tend to show greater variability in TE than CDSs, consistent with our model in which uORFs buffer fluctuations in downstream CDS translation. The updated results were included in the revised manuscript (Lines 223-227) as follows:

      “In contrast, TE of CDSs exhibited a significantly higher correlation between the two species in the corresponding samples compared to that of uORFs, with Spearman’s rho ranging from 0.588 to 0.806 (P = 0.002, Wilcoxon signed-rank test; Figure 2A). This observation is consistent with our simulation results, which indicate that uORFs experience greater translational fluctuations than their downstream CDSs.”

      (3) Page 8, line 217: "Among genes with multiple uORFs, one uORF generally emerged as dominant, displaying a higher TE than the others within the same gene (Fig. 2C)." The basis for determining dominance among uORFs is not explained and this lack of clarification undermines the interpretation of these findings.

      Thank you for pointing this out. We apologize for the confusion. In our study, a “dominant” uORF is defined as the one with the highest translation efficiency (TE) among all uORFs within the same gene. This designation is based solely on TE, which we consider a key metric for uORF activity, as it directly reflects translational output and potential regulatory impact. We have revised the manuscript to clarify this definition (Lines 232–244), now stating:

      “Among genes with multiple uORFs, we defined the uORF with the highest TE as the dominant uORF for that gene, as TE is one of the most relevant metrics for assessing uORF function 45,67…… These results suggest that genes with multiple uORFs tend to retain the same dominant uORF across developmental stages, indicating that the dominant uORFs may serve as the key translational regulator of the downstream CDS.

      (4) According to the simulation, the translation of uORFs should exhibit greater variability than that of CDSs. However, the authors observed significantly fewer uORFs with significant TE changes compared to CDSs. This discrepancy may be due to lower sequencing depth resulting in fewer reads mapped to uORFs. Therefore, the authors may compare this variability specifically among highly expressed genes.

      Thank you for this thoughtful observation. We agree that the lower proportion of uORFs showing significant TE changes compared to CDSs, as reported in Table 1, appears inconsistent with our conclusion that uORFs exhibit greater translational variability. However, this discrepancy is largely attributable to differences in sequencing depth and feature length—uORFs are generally much shorter and more weakly expressed than CDSs, resulting in fewer mapped reads and reduced statistical power (Figure S18A).

      To address this issue, we first followed your suggestion and restricted our analysis to genes with both mRNA and RPF RPKM values above the 50th percentile in D. melanogaster and D. simulans. While this filtering increased the total proportion of features with significant TE changes (due to improved read coverage), the proportion of significant uORFs still remained lower than that of CDSs (Table R1). This suggests that even among highly expressed genes, the disparity in read counts between uORFs and CDSs persists (Figure S18B), and thus the issue is not fully resolved.

      To better capture biological relevance, we compared the absolute values of log2(TE changes) between D. melanogaster and D. simulans for uORFs and their corresponding CDSs. Across all samples, uORFs consistently exhibit larger TE shifts than their downstream CDSs, supporting our model that uORFs act as translational buffers (Figure 3B).

      We have made relevant changes to report the new analysis in this revised manuscript. Specifically, in our original submission, we stated this observation with the sentence “The smaller number of uORFs showing significant TE changes compared to CDSs between D. melanogaster and D. simulans likely reflects their shorter length and reduced statistical power, rather than indicating that uORFs are less variable in translation than CDSs.” To make this point clearer, in the revised version (Lines 275-284), we rephrased this sentence which read as follows: 

      “Note that due to their shorter length and generally lower TE, uORFs had considerably lower read counts than CDSs, limiting the statistical power to detect significant interspecific TE differences for uORFs. This trend consistently holds whether analyzing all expressed uORFs (Figure S18A) or only highly expressed genes (Figure S18B). Thus, the fewer uORFs showing significant TE divergence likely reflects lower read counts and statistical sensitivity rather than reduced translational variability relative to CDSs. In fact, the absolute values of log2(fold change) of TE for uORFs between D. melanogaster and D. simulans were significantly greater than those observed for corresponding CDSs across all samples (P < 0.001, Wilcoxon signed-rank test; Figure 3B), suggesting that the magnitude of

      TE changes in CDSs is generally smaller than that in uORFs, due to the buffering effect of uORF.”

      Author response table 1.

      Proportion of uORFs and CDSs with significant TE changes before and after selecting HEGs

      (5) If possible, the author may need to use antibodies against bicoid to test the effect of ATG deletion on bicoid expression, particularly under different developmental stages or growth conditions.

      According to the authors' conclusions, the deletion mutant should exhibit greater variability in bicoid protein abundance. This experiment could provide strong support for the proposed mechanisms.

      Thank you for this excellent suggestion. We fully agree that testing Bcd protein levels across developmental stages or stress conditions using antibodies would be a strong validation of our model, which predicts greater variability in Bcd protein abundance upon uORF deletion.

      In fact, we attempted such experiments in both wild-type and mutant backgrounds. However, we encountered substantial difficulties in obtaining a reliable anti-Bcd antibody. Some Bcd antibodies referenced in the published literature were homemade and often shared among research groups as gifts [1-3] and some commercially available antibodies cited in previous studies are no longer supplied by vendors [4-6]. We managed to obtain a custom-made antibody from Professor Feng Liu, but unfortunately, it produced inconsistent and unsatisfactory results. Despite considerable effort—including during the COVID-19 pandemic—we were unable to identify a reagent suitable for robust and reproducible detection of Bcd protein.

      As an alternative, we used sucrose gradient fractionation followed by qPCR to directly measure the translation efficiency of bicoid in vivo. We believe this approach offers a clear and quantitative readout of translational activity, and it avoids potential confounding from protein degradation, which may vary across conditions and developmental stages. Nonetheless, we recognize the value of antibody-based validation and will pursue this direction in future work if reliable antibodies become available. We have added this limitation to the revised Discussion section (Lines 563–568) as follows:

      “We demonstrated that the bcd uORF represses CDS translation using sucrose gradient fractionation followed by qPCR—an approach that directly measures translation efficiency while minimizing confounding from RNA/protein degradation. However, detecting Bcd protein levels with antibodies across developmental stages or conditions in the mutants and wild-type controls would provide an even stronger validation of our model and should be explored in future studies.”

      Recommendations for the authors:  

      Reviewer #1 (Recommendations for the authors):

      (1) The authors should provide a more detailed explanation for the modifications made to the ICIER model. Specifically, an explanation of the biological or mechanistic rationale behind the ability of the 80S ribosome to cause upstream 40S ribosomes to dissociate from mRNA would help clarify this aspect of the model.

      Thank you for this suggestion. In the original submission, we described our modifications to the ICIER model in the section titled “An extended ICIER model for quantifying uORF buffering in CDS translation” (Lines 88-124 of the revised manuscript). 

      To further clarify the biological rationale behind this mechanism, we have now included a conceptual model figure (Figure 9) illustrating mechanistically how uORF translation can buffer downstream translation within a single mRNA molecule. Additionally, we expanded the Discussion to summarize the current understanding of how collisions between translating 80S ribosomes and scanning 40S subunits may lead to dissociation, referencing known initial ribosome quality control (iRQC) pathways. These revisions provide a clearer mechanistic framework for interpreting the buffering effects modeled in our simulations. The relevant part is reproduced from Discussion (Lines 540-557) which reads as follows:

      “Ribosome slowdown or stalling on mRNA due to rare codons [56,96-98] or nascent blocking peptides [99-102] frequently triggers ribosome collisions genome-wide [103-105]. Such collisions, especially among elongating 80S ribosomes, often activate ribosome quality control (RQC) pathways that recognize collision interfaces on the 40S subunit, leading to ribosomal subunit dissociation and degradation [106-108]. In mammals, ZNF598 specifically identifies collided ribosomes to initiate ubiquitin-dependent protein and mRNA quality control pathways [109-113]. Analogously, yeast employs Hel2-mediated ubiquitination of uS10, initiating dissociation via the RQC-trigger complex (RQT) [114]. Furthermore, the human RQT (hRQT) complex recognizes ubiquitinated ribosomes and induces subunit dissociation similarly to yeast RQT [115]. However, transient ribosome collisions can evade RQC by promoting resumed elongation through mechanical force provided by trailing ribosomes, thereby mitigating stalling [116]. Beyond 80S collisions, evidence increasingly highlights a distinct collision type involving scanning 40S subunits or pre-initiation (43S) complexes. Recently, an initiation RQC pathway (iRQC) targeting the small ribosomal subunit (40S) has been described, particularly involving collisions between scanning 43S complexes or between stalled 43S and elongating 80S ribosomes (Figure 9B) [117,118]. During iRQC, E3 ubiquitin ligase RNF10 ubiquitinates uS3 and uS5 proteins, resulting in 40S degradation [118]. This mechanism aligns closely with our ICIER model, proposing collision-driven 43S dissociation in the 5' UTRs. Future studies exploring these mechanisms in greater detail will clarify how uORFs modulate translational regulation through buffering effects.”

      (2) The figure legend references Figure 5C; however, this figure appears to be missing from the document.

      We apologize for the oversight. The missing panel previously referred to as Figure 5C has now been incorporated into the revised Figure 6A. The figure and its corresponding legend have been corrected accordingly in the updated manuscript.

      Reviewer #2 (Recommendations for the authors):

      This is an important study that enhances our understanding of the roles of uORFs in translational regulation. In addition to the suggestions provided in the public review, the following minor points should be addressed before publication in eLife:

      (1) Page 7, line 207: "We identified 18,412 canonical uORFs shared between the two species (referred to as conserved uORFs hereafter)." The term "canonical uORFs" requires clarification. Does this refer to uORFs with specific sequence features, conservation, or another defining characteristic?

      Thank you for pointing this out. We apologize for the lack of clarity. In our study, a canonical uORF is defined as an open reading frame (ORF) that initiates with a canonical AUG start codon located in the 5′ untranslated region (UTR) and terminates with a stop codon (UAA, UAG, or UGA) within the same mRNA. Conservation of uORFs is defined solely based on the presence of AUG start codons at orthologous positions in the 5′ UTR across species, regardless of differences in the stop codon.

      To clarify this definition, we have revised the sentence as follows (Lines 213-219): “We focused on canonical uORFs that initiate with an ATG start codon in the 5′ UTR and terminate with a stop codon (TAA, TAG, or TGA). Because the ATG start codon is the defining feature of a canonical uORF and tends to be more conserved than its downstream sequence [67], we defined uORF conservation based on the presence of the ATG start codon in the 5′ UTR of D. melanogaster and its orthologous positions in D. simulans, regardless of differences in the stop codon. Using this criterion, we identified 18,412 canonical uORFs with conserved start codons between the two species.”

      (2) Page 8, line 227: "Furthermore, the dominant uORFs showed a higher proportion of conserved uATGs than the other translated uORFs." There appears to be a typographical error. Should "other uATGs" instead read "other uORFs"?

      Thank you for pointing this out. As we addressed in response to your previous concern, in this study, we defined uORF conservation primarily based on the presence of their start codon (uATG) both in D. melanogaster and the orthologous sites of D. simulans, as the start codon is the defining feature of a uORF and tends to be more conserved than the remaining sequence, as demonstrated in our previous study [7]. We used the term “conserved uATGs” to reflect this definition and believe it accurately conveys the intended meaning in this context.

      (3) Page 8, line 240: "uORFs exhibited a significant positive correlation with the TE of their downstream CDSs in all samples analyzed (P < 0.001, Spearman's correlation)." A Spearman's rho of 0.11 or 0.21 may not practically represent a "significant" positive correlation. Consider rephrasing this as "a positive correlation."

      Thank you for the suggestion. We have revised the sentence in the manuscript to read (Lines 257-259): “uORFs exhibited a modest, yet statistically significant, positive correlation with the TE of their downstream CDSs across all samples analyzed (P < 0.001, Spearman’s correlation).”

      (4) Page 9, line 269: The analysis of interspecific TE changes between uORFs and their corresponding CDSs is a crucial piece of evidence supporting the authors' conclusions. Presenting this analysis as part of the figures, rather than in "Table 1," would improve clarity and accessibility.

      Thank you for this suggestion. In Table 1, we originally presented the number of uORFs and CDSs that showed significant differences in TE between D. melanogaster and D. simulans during various developmental stages. One key point we aimed to emphasize was that, although TE changes in uORFs and their downstream CDSs are positively correlated, there is a notable difference in the magnitude of these changes. To better convey this, we have summarized the core findings of Table 1 in graphical form.

      In Figure 3B of the revised version, we compared the absolute values of interspecific TE changes between CDS and uORF, showing that CDSs consistently exhibit smaller shifts than their upstream uORFs. This result further supports the translational buffering effect of uORFs on downstream CDS expression. We have included the updated results in the revised manuscript (Lines 281-284) as follows:

      “In fact, the absolute values of log2(fold change) of TE for uORFs between D. melanogaster and D. simulans was significantly greater than that observed for corresponding CDSs across all samples (P < 0.001, Wilcoxon signed-rank test; Figure 3B), suggesting that the magnitude of TE changes in CDSs is generally smaller than that in uORFs, due to the buffering effect of uORF.”

      (5) Page 9, line 279: The phrase "dominantly translated" needs clarification. Does it refer to Figure 2C, where one uORF is dominantly translated within a gene, or does it mean that the uORF's translation is higher than that of its corresponding CDS?

      We apologize for the obscurity. The phrase "dominantly translated" means one uORF with the highest TE compared to other uORFs within a gene. We have rephrased the relevant sentence in the revised version (Lines 299-304), which now reads:

      “To investigate how the conservation level and translation patterns of uORFs influence their buffering capacity on CDS translation, we categorized genes expressed in each pair of samples into three classes:

      Class I, genes with conserved uORFs that are dominantly translated (i.e., exhibiting the highest TE among all uORFs within the same gene) in both Drosophila species; Class II, genes with conserved uORFs that are translated in both species but not dominantly translated in at least one; and Class III, the remaining expressed genes.”

      (6) The sequencing data and analysis code should be made publicly available before publication to ensure transparency and reproducibility.

      Thank you for this suggestion. As described in the Data availability section, all deepsequencing data generated in this study, including single-ended mRNA-Seq and Ribo-Seq data of 10 developmental stages and tissues of Drosophila simulans and paired-end mRNA-Seq data of 0-2 h, 26 h, 6-12 h, and 12-24 h Drosophila melanogaster embryos, were deposited in the China National Genomics Data Center Genome Sequence Archive (GSA) under accession numbers CRA003198, CRA007425, and CRA007426. The mRNA-Seq and Ribo-Seq data for the different developmental stages and tissues of Drosophila melanogaster were published in our previous paper [8] and were deposited in the Sequence Read Archive (SRA) under accession number SRP067542.

      All original code has been deposited on GitHub: https://github.com/lujlab/uORF_buffer; https://github.com/lujlab/Buffer_eLife2025.

      Response reference

      (1) Li, X.Y., MacArthur, S., Bourgon, R., Nix, D., Pollard, D.A., Iyer, V.N., Hechmer, A., Simirenko, L., Stapleton, M., Luengo Hendriks, C.L., et al. (2008). Transcription factors bind thousands of active and inactive regions in the Drosophila blastoderm. PLoS Biol 6, e27. 10.1371/journal.pbio.0060027.

      (2) Horner, V.L., Czank, A., Jang, J.K., Singh, N., Williams, B.C., Puro, J., Kubli, E., Hanes, S.D., McKim, K.S., Wolfner, M.F., and Goldberg, M.L. (2006). The Drosophila calcipressin sarah is required for several aspects of egg activation. Curr Biol 16, 1441-1446. 10.1016/j.cub.2006.06.024.

      (3) Lee, K.M., Linskens, A.M., and Doe, C.Q. (2022). Hunchback activates Bicoid in Pair1 neurons to regulate synapse number and locomotor circuit function. Curr Biol 32, 2430-2441 e2433. 10.1016/j.cub.2022.04.025.

      (4) Wharton, T.H., Nomie, K.J., and Wharton, R.P. (2018). No significant regulation of bicoid mRNA by Pumilio or Nanos in the early Drosophila embryo. PLoS One 13, e0194865. 10.1371/journal.pone.0194865.

      (5) Wang, J., Zhang, S., Lu, H., and Xu, H. (2022). Differential regulation of alternative promoters emerges from unified kinetics of enhancer-promoter interaction. Nat Commun 13, 2714. 10.1038/s41467-022-30315-6.

      (6) Xu, H., Sepulveda, L.A., Figard, L., Sokac, A.M., and Golding, I. (2015). Combining protein and mRNA quantification to decipher transcriptional regulation. Nat Methods 12, 739-742. 10.1038/nmeth.3446.

      (7) Zhang, H., Wang, Y., Wu, X., Tang, X., Wu, C., and Lu, J. (2021). Determinants of genomewide distribution and evolution of uORFs in eukaryotes. Nat Commun 12, 1076. 10.1038/s41467-021-21394-y.

      (8) Zhang, H., Dou, S., He, F., Luo, J., Wei, L., and Lu, J. (2018). Genome-wide maps of ribosomal occupancy provide insights into adaptive evolution and regulatory roles of uORFs during Drosophila development. PLoS Biol 16, e2003903. 10.1371/journal.pbio.2003903.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      This reviewed preprint is a bit of Frankenstein monster, as it crams together three quite different sets of data. It is essentially three papers combined into one-one paper focused on the role of CIB2/CIB3 in VHCs, one on the role of CIB2/CIB3 in zebrafish, and one on structural modeling of a CIB2/3 and TMC1/2 complex. The authors try to combine the three parts with the overarching theme of demonstrating that CIB2/3 play a functionally conserved role across species and hair cell types, but given the previous work on these proteins, especially Liang et al. (2021) and Wang et al. (2023), this argument doesn't work very well. My sense is that the way the manuscript is written now, the sum is less than the individual parts, and the authors should consider whether the work is better split into three separate papers. 

      We appreciate the frank evaluation of our work and point out that combining structural with functional data from mouse and zebrafish offers a comprehensive view of the role played by TMC1/TMC2 and CIB2/3 complexes in hair-cell mechanotransduction. We believe that readers will benefit from this comprehensive analyses.

      The most important shortcoming is the novelty of the work presented here. In line 89 of the introduction the authors state "However, whether CIB2/3 can function and interact with TMC1/2 proteins across sensory organs, hair-cell types, and species is still unclear." They make a similar statement in the first sentence of the discussion and generally use this claim throughout the paper as motivation for why they performed the experiments. Given the data presented in the Liang et al. (2021) and Wang et al. (2023 papers), however, this statement is not well supported. Those papers clearly demonstrate a role for CIB2/CIB3 in auditory and vestibular cells in mice. Moreover, there is also data in Riazuddin et al. (2012) paper that demonstrates the importance of CIB2 in zebrafish and Drosophila. I think the authors are really stretching to describe the data in the manuscript as novel. Conceptually, it reads more as solidifying knowledge that was already sketched out in the field in past studies. 

      We note that work on mouse and fish CIB knockouts in our laboratories started over a decade ago and that our discoveries are contemporary to those recently presented by Liang et al., 2021 and Wang et al., 2023, which we acknowledge, cite, and give credit as appropriate. We also note that work on fish knockouts and on fish Cib3 is completely novel. Nevertheless, the abstract text “Whether these interactions are functionally relevant across mechanosensory organs and vertebrate species is unclear” has been replaced by “These interactions have been proposed to be functionally relevant across mechanosensory organs and vertebrate species.”; and the introduction text “However, whether CIB2/3 can function and interact with TMC1/2 proteins across sensory organs, hair-cell types, and species is still unclear” has been replaced by “However, additional evidence showing that CIB2/3 can function and interact with TMC1/2 proteins across sensory organs, hair-cell types, and species is still needed.”. The work by Wang et al., 2023 is immediately discussed after the first sentence in the discussion section and the work by Liang et al., 2021 is also cited in the same paragraph. We believe that changes in abstract and introduction along with other changes outlined below put our work in proper context.

      There is one exception, however, and that is the last part of the manuscript. Here structural studies (AlphaFold 2 modeling, NMR structure determination, and molecular dynamics simulations) bring us closer to the structure of the mammalian TMCs, alone and in complex with the CIB proteins. Moreover, the structural work supports the assignment of the TMC pore to alpha helices 4-7.

      Thanks for the positive evaluation of this work.

      Reviewer #2 (Public Review):

      The paper 'Complexes of vertebrate TMC1/2 and CIB2/3 proteins 1 form hair-cell mechanotransduction cation channels' by Giese and coworkers is quite an intense reading. The manuscript is packed with data pertaining to very different aspects of MET apparatus function, scales, and events. I have to praise the team that combined molecular genetics, biochemistry, NMR, microscopy, functional physiology, in-vivo tests for vestibulo-ocular reflexes, and other tests for vestibular dysfunction with molecular modeling and simulations. The authors nicely show the way CIBs are associated with TMCs to form functional MET channels. The authors clarify the specificity of associations and elucidate the functional effects of the absence of specific CIBs and their partial redundancy. 

      We appreciate the positive evaluation of our work and agree with the reviewer in that the combination of data obtained using various techniques in vivo and in silico provide a unique view on the role played by CIB2 and CIB3 in hair-cell mechanotransduction. 

      Reviewer #3 (Public Review):

      This study demonstrates that from fish to mammals CIB2/3 is required for hearing, revealing the high degree of conservation of CIB2/3 function in vertebrate sensory hair cells. The modeling data reveal how CIB2/3 may affect the conductance of the TMC1/2 channels that mediate mechanotransduction, which is the process of converting mechanical energy into an electrical signal in sensory receptors. This work will likely impact future studies of how mechanotransduction varies in different hair cell types. 

      One caveat is that the experiments with the mouse mutants are confirmatory in nature with regard to a previous study by Wang et al., and the authors use lower resolution tools in terms of function and morphological changes. Another is that the modeling data is not supported by electrophysiological experiments, however, as mentioned above, future experiments may address this weakness.

      We thank the reviewer for providing positive feedback and for highlighting caveats that can and will be addressed by future experiments.

      Reviewer #1 (Recommendations For The Authors): 

      Lines 100-101. Please temper this statement, as FM1-43 is only a partial proxy for MET. 

      The original text has been modified to: “In contrast to auditory hair cells, we found that the vestibular hair cells in Cib2KO/KO mice apparently have MET. We assessed MET via uptake of FM 1-43 (Figure 1A), a styryl dye that mostly permeates into hair cells through functional MET channels (Meyers et al., 2003), indicating that there may be another CIB protein playing a functionally redundant role.”

      Lines 111-113. These data do not fully match up with the Kawashima et al. (2011) data. Please discuss. 

      We have modified the text to better report the data: “Tmc2 expression increases during development but remains below Tmc1 levels in both type 1 and type 2 hair cells upon maturation (Figure 1C).”

      Lines 125-126. The comparison in 2A-B is not described correctly for the control. The strain displayed is Cib2^+/+;Cib3^KO/KO (not wild-type). Show the Cib2^+/+;Cib3^+/+ if you are going to refer to it (and is this truly Cib2^+/+;Cib3^+/+ from a cross or just the background strain?). 

      Thanks for pointing this out. To avoid confusion, we have revised the sentence as follow: “We first characterized hearing function in Cib3KO/KO and control littermate mice at P16 by measuring auditory-evoked brainstem responses (ABRs). Normal ABR waveforms and thresholds were observed in Cib3KO/KO indicating normal hearing.”  

      Lines 137-140. Did you expect anything different? This is a trivial result, given the profound loss of hearing in the Cib2^KO/KO mice. 

      We did not expect anything different and have deleted the sentence: “Furthermore, endogenous CIB3 is unable to compensate for CIB2 loss in the auditory hair cells, perhaps due to extremely low expression level of CIB3 in these cells and the lack of compensatory overexpression of CIB3 in the cochlea of Cib2KO/KO mice (Giese et al., 2017).”

      Lines 194-196. But what about Cib2^KO/KO; Isn't the conclusion that the vestibular system needs either CIB2 or CIB3? 

      Yes, either CIB2 or CIB3 can maintain normal vestibular function. A prior study by Michel et al., 2017, has evaluated and reported intact vestibular function in Cib2KO/KO mice.

      Lines 212-214. Yes. This is a stronger conclusion than the one earlier. 

      We have revised the sentence as follow: “Taken together, these results support compulsory but functionally redundant roles for CIB2 and CIB3 in the vestibular hair cell MET complex.”

      Lines 265-267. I'm not sure that I would state this conclusion here given that you then argue against it in the next paragraph. 

      We have modified this statement to make the conclusions clearer and more consistent between the two paragraphs. The modified text reads: “Thus, taken together the results of our FM 1-43 labeling analysis are consistent with a requirement for both Cib2 and Cib3 to ensure normal MET in all lateral-line hair cells.”

      Line 277. I would be more precise and say something like "and sufficiently fewer hair cells responded to mechanical stimuli and admitted Ca2+..." 

      We have modified the text as requested: “We quantified the number of hair bundles per neuromast with mechanosensitive Ca2+ responses, and found that compared to controls, significantly fewer cells were mechanosensitive in cib2 and cib2;cib3 mutants (Figure 5-figure supplement 2A, control: 92.2 ± 2.5; cib2: 49.9 ± 5.8, cib2;cib3: 19.0 ± 6.6, p > 0.0001).”

      Line 278 and elsewhere. It doesn't make sense to have three significant digits in the error. I would say either "92.2 {plus minus} 2.5" or "92 {plus minus} 2." 

      Edited as requested.

      Lines 357-358. Move the reference to the figure to the previous sentence, leaving the "(Liang et al., 2021) juxtaposed to its reference (crystal structure). Otherwise, the reader will look for crystal structures in Figure 7-figure supplements 1-5. 

      Text has been edited as requested: “The intracellular domain linking helices a2 and a3, denoted here as IL1, adopts a helix-loop-helix with the two helices running parallel to each other and differing in length (Figure 7-figure supplements 1-5). This is the same fold observed in its crystal structure in complex with CIB3 (Liang et al., 2021), which validated the modeling approach.”

      Line 450. What other ions were present besides K+? I assume Cl- or some other anion.

      What about Na+ or Ca+? It's hard to evaluate this sentence without that information. 

      Systems have 150 mM KCl and CIB-bound Ca2+ when indicated (no Na+ or free Ca2+). This is now pointed out when the models are described first: “These models were embedded in either pure POPC or stereocilia-like mixed composition bilayers and solvated (150 mM KCl) to …”. The sentence mentioned by the reviewer has also been modified: “In systems with pure POPC bilayers we observed permeation of K+ in either one or both pores of the TMC1 dimer, with or without CIB2 or CIB3 and with or without bound Ca2+, despite the presence of Cl- (150 mM KCl).”  

      Lines 470-472. These results suggest that the maximum conductance of TMC1 > TMC2. How do these results compare with the Holt and Fettiplace data? 

      Thanks for pointing this out. A comparison would be appropriate and has been added: “We also speculate that this is due to TMC2 having an intrinsic lower singlechannel conductance than TMC1, as has been suggested by some experiments (Kim et al., 2013), but not others (Pan et al., 2013). It is also possible that our TMC2 model is not in a fully open conformation, which can only be reached upon mechanical stimulation.”

      Line 563. Yes, the simulations only allow you to say that the interaction is stable for at least microseconds. However, the gel filtration experiments suggest that the interaction is stable for much longer. Please comment. 

      Thank you for pointing this out. We agree with this statement and modified the text accordingly: “Simulations of these models indicate that there is some potential preferential binding of TMC1 and TMC2 to CIB3 over CIB2 (predicted from BSA) and that TMC + CIB interactions are stable and last for microseconds, with biochemical and NMR experiments showing that these interactions are stable at even longer timescales.”  

      Figure 3. Please use consistent (and sufficiently large to be readable) font size. 

      Figure has been updated.

      Figure 4. Magnification is too low to say much about bundle structure.

      The reviewer is right – we cannot evaluate bundle structure with the images shown in Figure 4. Our goal was to determine if the vestibular hair cells had been degenerated in the absence of CIB2/3 and Figure 4 panel A data reveals intact hair cells. We changed the text “High-resolution confocal imaging did not reveal any obvious vestibular hair cell loss and hair bundles looked indistinguishable from control in Cib2KO/KO;Cib3KO/KO mice (Figure 4A).” to “High-resolution confocal imaging did not reveal any obvious vestibular hair cell loss in Cib2KO/KO;Cib3KO/KO mice (Figure 4A).” to avoid any confusions.

      Reviewer #2 (Recommendations For The Authors):

      Some datasets presented here can be published separately. Although I understand that the field is developing fast and there is no time to sort and fit the data by category or scale, everything needs to be published together and quickly.

      I have no real questions about the data on the functional association of CIB2 and 3 with TMC 1 and 2 in mouse hair cells as well as association preferences between their homologs in zebrafish. The authors have shown a clear differentiation of association preferences for CIB2 and CIB3 and the ability to substitute for each other in cochlear and vestibular hair cells. The importance of CIB2 for hearing and CIB3 for vestibular function is well documented. The absence of the startle response in cib2/3 negative zebrafish is a slight variation from what was observed in mice where CIB2 is sufficient for hearing. The data look very solid and show an overall structural and functional conservation of these complexes throughout vertebrates. The presented models look plausible, but of course, there is a chance that they will be corrected/improved in the future. 

      Thanks for appreciating the significance of our study.

      Regarding NMR, there is indeed a large number of TROSY peaks of uniformly labeled CIB2 undergoing shifts with sequential additions of the loop and the N-terminal TMC peptides. Something is going on. The authors may consider a special publication on this topic when at least partial peak assignments are established. 

      We are continuing our NMR studies of CIB and TMC interactions and plan to have follow up studies. 

      After reading the manuscript, I may suggest four topics for additional discussion. 

      (1) Maybe it is obvious for people working in the field, but for the general reader, the simulations performed with and without Ca2+ come out of the blue, with no explanation. The authors did not mention clearly that CIB proteins have at least two functional EF-hand (EF-hand-like) motifs that likely bind Ca2+ and thereby modulate the MET channel. 

      This is a good point. We have modified the introductory text to include: “CIB2 belongs to a family of four closely related proteins (CIB1-4) that have partial functional redundancy and similar structural domains, with at least two Ca2+/Mg2+-binding EF-hand motifs that are highly conserved for CIB2/3 (Huang et al., 2012).”

      If the data on affinities for Ca2+, as well as Ca2+-dependent propensity for dimerization and association with TMC exist, they should be mentioned for CIB2 and CIB3 and discussed.

      To address this, we have added the following text to the discussion: “How TMC + CIB interactions depend on Ca2+ concentration may have important functional implications for adaptation and hair cell mechanotransduction. Structures of CIB3 and worm CALM-1, a CIB2 homologue, both bind divalent ions via EF-hand motifs proximal to their C-termini (Jeong et al., 2022; Liang et al., 2021). Reports on CIB2 affinities for Ca2+ are inconsistent, with _K_D values that range from 14 µM to 0.5 mM (Blazejczyk et al., 2009; Vallone et al., 2018). Although qualitative pull-down assays done in the presence or the absence of 5 mM CaCl2 suggest that the TMC1 and CIB2 interactions are Ca2+independent (Liang et al., 2021), strength and details of the CIB-TMC-IL1 and CIB-TMCNT contacts might be Ca2+-dependent, especially considering that Ca2+ induces changes that lead to exposure of hydrophobic residues involved in binding (Blazejczyk et al., 2009).”

      Also, it is not clearly mentioned in the figure legends whether the size-exclusion experiments or TROSY NMR were performed in the presence of (saturating) Ca2+ or not. If the presence of Ca2+ is not important, it must be explained.  

      Size exclusion chromatography and NMR experiments were performed in the presence of 3 mM CaCl2. We have indicated this in appropriate figure captions as requested, and also mentioned it in the discussion text: “Interestingly, the behavior of CIB2 and CIB3 in solution (SEC experiments using 3 mM CaCl2) is different in the absence of TMC1-IL1.” and “Moreover, our NMR data (obtained using 3 mM CaCl2) indicates that TMC1-IL1 + CIB2 is unlikely to directly interact with CIB3.”

      (2) Speaking about the conservation of TMC-CIB structure and function, it would be important to compare it to the C. elegans TMC-CALM-1 structures. Is CALM-1, which binds Ca2+ near its C-terminus, homologous or similar to CIBs? 

      This is an important point. To address it, we have added the following text in the discussion: “Remarkably, the AF2 models are also consistent with the architecture of the nematode TMC-1 and CALM-1 complex (Jeong et al., 2022), despite low sequence identity (36% between human TMC1 and worm TMC-1 and 51% between human CIB2 and worm CALM-1). This suggests that the TMC + CIB functional relationship may extend beyond vertebrates.” We also added: “How TMC + CIB interactions depend on Ca2+ concentration may have important functional implications for adaptation and hair cell mechanotransduction. Structures of CIB3 and worm CALM-1, a CIB2 homologue, both bind divalent ions via EF-hand motifs proximal to their C-termini (Jeong et al., 2022; Liang et al., 2021).” 

      Additionally, superposition of CALM-1 (in blue) from the TMC-1 complex structure (PDB code: 7usx; Jeong et al., 2022) with one and our initial human CIB2 AF2 models (in red) show similar folds, notably in the EF-hand motifs of CALM-1 and CIB2 (Author response image 1).

      Author response image 1.

      Superposition of CALM-1 structure (blue; Jeong et al., 2022) and AlphaFold 2 model of CIB2 (red). Calcium ions are shown as green spheres.

      (1) Based on simulations, CIBs stabilize the cytoplasmic surfaces of the dimerized TMCs.

      The double CIB2/3 knock-out, on the other hand, clearly destabilizes the morphology of stereocilia and leads to partial degeneration. One question is whether the tip link in the double null forms normally and whether there is a vestige of MET current in the beginning. The second question is whether the stabilization of the TMC's intracellular surface has a functional meaning. I understand that not complete knock-outs, but rather partial loss-of-function mutants may help answer this question. The reader would be impatient to learn what process most critically depends on the presence of CIBs: channel assembly, activation, conduction, or adaptation. Any thoughts about it? 

      These are all interesting questions, although further investigations would be needed to understand CIB’s role on channel assembly, activation, conduction, and adaption. We have added to the discussion text: “Further studies should help provide a comprehensive view into CIB function in channel assembly, activation, and potentially hair-cell adaption.”

      (2) The authors rely on the permeation of FM dyes as a criterion for normal MET channel formation. What do they know about the permeation path a 600-800 Da hydrophobic dye may travel through? Is it the open (conductive) or non-conductive channel? Do ions and FM dyes permeate simultaneously or can this be a different mode of action for TMCs that relates them to TMEM lipid scramblases? Any insight from simulations?

      We are working on follow-up papers focused on elucidating the permeation mechanisms of aminoglycosides and small molecules (such as FM dyes) through TMCs as well as its potential scramblase activity.

      Reviewer #3 (Recommendations For The Authors):

      Introduction: 

      The rationale and context for determining whether Cib2 and Cib3 proteins are essential for mechanotransduction in zebrafish hair cells is completely lacking in the introduction. All background information about what is known about the MET complex in sensory hair cells focuses on work done with mouse cochlear hair cells without regard to other species. This is especially surprising as the third author uses zebrafish as an animal model and makes major contributions to this study, addressing the primary question posed in the introduction. Instead, the authors relegate this important information to the results section. Moreover, not mentioning the Jeong 2022 study when discussing the Liang 2021 findings is odd considering that the primary question is centered on CIB2 and TMC1/2 in other species. 

      Thank you for pointing this out. We now discuss and reference relevant background on the MET complex in zebrafish hair cells in the introduction. We added: “In zebrafish, Tmcs, Lhfpl5, Tmie, and Pcdh15 are also essential for sensory transduction, suggesting that these molecules form the core MET complex in all vertebrate hair cells (Chen et al., 2020; Erickson et al., 2019, 2017; Ernest et al., 2000; Gleason et al., 2009; Gopal et al., 2015; Maeda et al., 2017, 2014; Pacentine and Nicolson, 2019; Phillips et al., 2011; Seiler et al., 2004; Söllner et al., 2004).”. We also added: “In zebrafish, knockdown of Cib2 diminishes both the acoustic startle response and mechanosensitive responses of lateral-line hair cells (Riazuddin et al., 2012).”

      Discussion: 

      The claim that mouse vestibular hair cells in the double KO are structurally normal is not well supported by the images in Fig. 4A and is at odds with the findings by Wang et al., 2023. More discussion about the discrepancy of these results (instead of glossing over it) is warranted. The zebrafish image of the hair bundles in the zebrafish cib2/3 double knockout also appear abnormal, i.e. somewhat thinner. These results are consistent with Wang et al., 2023. Is it the case that neither images (mouse and fish) are representative? Unfortunately, the neuromast hair bundles in the double mutant are not shown, so it is difficult to draw a conclusion.

      The reviewer is right – we cannot evaluate mouse hair-cell bundle structure with the images shown in Figure 4. Our goal was to determine if the vestibular hair cells had been degenerated in the absence of CIB2/3 and Figure 4 panel A data reveals intact hair cells. We changed the text “High-resolution confocal imaging did not reveal any obvious vestibular hair cell loss and hair bundles looked indistinguishable from control in Cib2KO/KO;Cib3KO/KO mice (Figure 4A).” to “High-resolution confocal imaging did not reveal any obvious vestibular hair cell loss in Cib2KO/KO;Cib3KO/KO mice (Figure 4A).” to avoid any confusions. In addition, we have changed the discussion as follows: “We demonstrate that vestibular hair cells in mice and zebrafish lacking CIB2 and CIB3 are not degenerated but have no detectable MET, assessed via FM 1-43 dye uptake, at time points when MET function is well developed in wild-type hair cells.”

      In the discussion, the authors mention that Shi et al showed differential expression with cib2/3 in tall versus short hair cells of zebrafish cristae. However, there is no in situ data in the Shi study for cib2 and cib3. Instead, Shi et al show in situs for zpld1a and cabp5b that mark these cell types in the lateral crista. The text is slightly misleading and should be changed to reflect that UMAP data support this conclusion.

      We have removed reference to cib2/3 zebrafish differential expression from our discussion. It is true that this differential expression has only been inferred by UMAP and not in situ data.

      It should be noted that the acoustic startle reflex is mediated by the saccule in zebrafish, which does not possess layers of short and tall hair cells, but rather only has one layer of hair cells. Whether saccular hair cells can be regarded as strictly 'short' hair cell types remains to be determined. In this paragraph of the discussion, the authors are confounding their interpretation by not being careful about which endorgan they are discussing (line 521). In fact, there is a general error in the manuscript in referring to vestibular organs without specifying what is shown. The cristae in zebrafish do not participate in behavioral reflexes until 25 dpf and they are not known to synapse onto the Mauthner cell, which mediates startle reflexes.

      Thank you for pointing out these issues. We now state in the results that the startle reflex in zebrafish relies primarily on the saccule. In the discussion we now focus mainly on short and tall hair cells of the crista. We also outline again in the discussion that the saccule is required for acoustic startle and the crista are for angular acceleration.

      Minor points: 

      Lines 298-302: The Zhu reference is not correct (wrong Zhu author). The statement on the functional reliance on Tmc2a versus Tmc1/2b should be referenced with Smith et al., 2020 and the correct Zhu 2021 study from the McDermott lab. Otherwise, the basis for the roles of the Tmcs in the cartoon in panel 6E is not clear.

      Thanks for pointing out this oversight. We have updated the reference.

      Line 548 should use numbers to make the multiple points, otherwise, this sentence is long and awkward. 

      The sentence has been re-arranged to make it shorter and to address another point raised by referees: “Structural predictions using AF2 show conserved folds for human and zebrafish proteins, as well as conserved architecture for their protein complexes. Predictions are consistent with previous experimentally validated models for the TMC1 pore (Ballesteros et al., 2018; Pan et al., 2018), with the structure of human CIB3 coupled to mouse TMC1-IL1 (Liang et al., 2021), and with our NMR data validating the interaction between human TMC1 and CIB2/3 proteins. Remarkably, the AF2 models are also consistent with the architecture of the nematode TMC-1 and CALM-1 complex (Jeong et al., 2022), despite low sequence identity (36% between human TMC1 and worm TMC-1 and 51% between human CIB2 and worm CALM-1). This suggests that the TMC + CIB functional relationship may extend beyond vertebrates.”

      Suggested improvements to the figures: 

      In general, some of the panels are so close together that keys or text for one panel look like they might belong to another. Increasing the white space would improve this issue. 

      Figure 3 has been adjusted as requested, Figure 7 has been split into two (Figure 7 and Figure 8) to make them more readable and to move data from the supplement to the main text as requested below.

      Fig1A. The control versus the KO images look so different that this figure fails to make the point that FM labeling is unaffected. The authors should consider substituting a better image for the control. It is not ideal to start off on a weak point in the first panel of the paper. 

      We agree and have updated Figure 1 accordingly.

      Fig1C. It is critical to state the stage here. Also P12? 

      scRNA-seq data are extracted from Matthew Kelley’s work and are a combination of P1, P12 and P100 utricular hair cells as following: Utricular hair cells were isolated by flow cytometry from 12- and 100-day old mice. Gene expression was then measured with scRNA-seq using the 10x platform. The data were then combined with a previously published single cell data set (samples from GSE71982) containing utricular hair cells isolated at P1. This dataset shows gene expression in immature vs mature utricular hair cells. The immature hair cells consist of a mixture of type I and type II cells.

      Fig1D. This schematic is confusing. The WT and KO labels are misplaced and the difference between gene and protein diagrams is not apparent. Maybe using a different bar diagram for the protein or at least adding 'aa' to the protein diagrams would be helpful. 

      Sorry for the confusion. We have revised panel 1D to address these concerns.

      Fig1E. Would be good to add 'mRNA' below the graph. 

      Done. We have added “mRNA fold change on the Y-axis” label.

      Fig2C and D. Why use such a late-stage P18 for the immunohistochemistry? 

      Data presented in panel 2C are from P5 explants kept 2 days in vitro. For panel 2D, P18 is relevant since ABR were performed at P16 and hair cell degeneration in CIB2 mutants as previously described occurs around P18-P21.

      Fig3A. Why isn't the cib2-/- genotype shown? 

      Data on cib2-/- mutant mice have already been published and no vestibular deficits have been found. See Giese et al., 2017 and Michel et al., 2017

      Fig3F. Does this pertain to the open field testing? It would make sense for this panel to be associated with those first panels. 

      Figure 3 has been updated as requested. 

      Fig4A. Which vestibular end organ? Are these ampullary cells? (Same question for 4B.) The statement in the text about 'indistinguishable' hair bundles is not supported by these panels. There appears to be an obvious difference here--the hair bundles look splayed in the double KO. Either the magnification of the images is not the same or the base of the bundles is wider in the double KO as well. This morphology appears to be at odds with results reported by Wang et al., 2023. 

      The vestibular end organs shown in Figure 4A are ampullae. Magnifications are consistent across all the panels. While reviewer might be right regarding the hair bundle morphology, SEM data would be the best approach to address this point. Unfortunately, we currently do not have such data and we believe that only vestibular hair loss can be addressed using IF images. Thus, we are only commenting on the absence of obvious vestibular haircell loss in the double KO mutants.

      Fig4C. To support the claim that extrastriolar hair cells in the Cib3-/- mice are less labeled with FM dye it would be necessary to at least indicate the two zones but also to quantify the fluorescence. One can imagine that labeling is quite variable due to differences in IP injection.

      The two zones have been outlined in Figure 4C as requested.

      Fig5. Strangely the authors dedicate a third of Figure 1 to describing the mouse KO of Cib3, yet no information is given about the zebrafish CRISPR alleles generated for this study. There is nothing in the results text or in this figure. At least one schematic could be added to introduce the fish alleles and another panel of gEAR information about cib2 and cib3 expression to help explain the neuromast data as was done in Fig1C.

      We have added a supplemental figure (Figure 5-figure Supplement 1) that outlines where the zebrafish cib2 and cib3 mutations are located. We also state in the results additional information regarding these lesions. In addition, we provide context for examining cib2/3 in zebrafish hair cells by referencing published data from inner ear and lateral line scRNAseq data in the results section.

      Absolutely nitpicky here, but the arrow in 5H may be confused for a mechanical stimulus.

      The arrow in 5H has been changed to a dashed line.

      Why not include the data from the supplemental figure at the end of this figure? 

      The calcium imaging data in the supplement could be included in the main figure but it would make for a massive figure. In eLife supplements can be viewed quite easily online, next to the main figures.

      Fig6. The ampullary hair bundles look thinner in 6I. Is this also the case for double KO neuromast bundles? Such data support the findings of Wang et al., 2023.

      We did not quantify the width of the hair bundles in the crista or neuromast. It is possible that the bundles are indeed thinner similar to Wang et al 2023.

      Fig7A. IL1 should be indicated in this panel. 

      IL1 has been indicated, as suggested.

      Fig7 supp 12. Color coding of the subunits would be appreciated here. 

      Done as requested.

      Fig7. Overall the supplemental data for Figure 7 is quite extensive and the significance of this data is underappreciated. The authors could consider pushing panel C to supplemental as it is a second method to confirm the modeling interactions and instead highlight the dimer models which are more relevant than the monomer structures. Also, I find the additional alpha 0 helix quite interesting because it is not seen in the C. elegans cryoEM structure. Panel G should be given more importance instead of positioned deep into the figure next to the salt bridges in F. Overall, the novelty and significance of the modeling data deserves more importance in the paper. 

      We thank the reviewer for these helpful suggestions. The amphipathic alpha 0 helix is present in the C. elegans cryo-EM structure, although it is named differently in their paper (Jeong et al., 2022). We have now clarified this in the text: “Our new models feature an additional amphipathic helix, which we denote a0, extending almost parallel to the expected plane of the membrane bilayer without crossing towards the extracellular side (as observed for a mostly hydrophobic a0 in OSCA channels and labeled as H3 in the worm TMC-1 structure) …”. In addition, we have modified Figure 7 and highlighted panel G in a separate Figure 8 as requested.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      One enduring mystery involving the evolution of genomes is the remarkable variation they exhibit with respect to size. Much of that variation is due to differences in the number of transposable elements, which often (but not always) correlates with the overall quantity of DNA. Amplification of TEs is nearly always either selectively neutral or negative with respect to host fitness. Given that larger effective population sizes are more efficient at removing these mutations, it has been hypothesized that TE content, and thus overall genome size, may be a function of effective population size. The authors of this manuscript test this hypothesis by using a uniform approach to analysis of several hundred animal genomes, using the ratio of synonymous to nonsynonymous mutations in coding sequence as a measure of the overall strength of purifying selection, which serves as a proxy for effective population size over time. The data convincingly demonstrates that it is unlikely that effective population size has a strong effect on TE content and, by extension, overall genome size (except for birds).

      Strengths:

      Although this ground has been covered before in many other papers, the strength of this analysis is that it is comprehensive and treats all the genomes with the same pipeline, making comparisons more convincing. Although this is a negative result, it is important because it is relatively comprehensive and indicates that there will be no simple, global hypothesis that can explain the observed variation.

      Weaknesses:

      In several places, I think the authors slip between assertions of correlation and assertions of cause-effect relationships not established in the results.

      Several times in the previous version of the manuscript we used the expression “effect of dN/dS on…” which might suggest a causal relationship. We have rephrased these expressions and highlighted the changes in the main text, so that correlation is not mistaken with causation (see also responses to detailed comments below).

      In other places, the arguments end up feeling circular, based, I think, on those inferred causal relationships. It was also puzzling why plants (which show vast differences in DNA content) were ignored altogether.

      The analysis focuses on metazoans for two reasons: one practical and one fundamental.

      The practical reason is computational. Our analysis included TE annotation, phylogenetic estimation and dN/dS estimation, which would have been very difficult with the hundreds, if not thousands, of plant genomes available. If we had included plants, it would have been natural to include fungi as well, to have a complete set of multicellular eukaryotic genomes, adding to the computational burden. The second fundamental reason is that plants show important genome size differences due to more frequent whole genome duplications (polyploidization) than in animals. It is therefore possible that the effect of selection on genome size is different in these two groups, which would have led us to treat them separately, decreasing the interest of this comparison. For these reasons we chose to focus on animals that still provide very wide ranges of genome size and population size well suited to test the impact of genetic drift on the genomic TE content.

      Reviewer #2 (Public review):

      Summary:

      The Mutational Hazard Hypothesis (MHH) is a very influential hypothesis in explaining the origins of genomic and other complexity that seem to entail the fixation of costly elements. Despite its influence, very few tests of the hypothesis have been offered, and most of these come with important caveats. This lack of empirical tests largely reflects the challenges of estimating crucial parameters.

      The authors test the central contention of the MHH, namely that genome size follows effective population size (Ne). They martial a lot of genomic and comparative data, test the viability of their surrogates for Ne and genome size, and use correct methods (phylogenetically corrected correlation) to test the hypothesis. Strikingly, they not only find that Ne is not THE major determinant of genome size, as is argued by MHH, but that there is not even a marginally significant effect. This is remarkable, making this an important paper.

      Strengths:

      The hypothesis tested is of great importance.

      The negative finding is of great importance for reevaluating the predictive power of the tested hypothesis.

      The test is straightforward and clear.

      The analysis is a technical tour-de-force, convincingly circumventing a number of challenges of mounting a true test of the hypothesis.

      Weaknesses:

      I note no particular strengths, but I believe the paper could be further strengthened in three major ways.

      (1) The authors should note that the hypothesis that they are testing is larger than the MHH.

      The MHH hypothesis says that (i) low-Ne species have more junk in their genomes and

      (ii) this is because junk tends to be costly because of increased mutation rate to nulls, relative to competing non/less-junky alleles.

      The current results reject not just the compound (i+ii) MHH hypothesis, but in fact any hypothesis that relies on i. This is notably a (much) more important rejection. Indeed, whereas MHH relies on particular constructions of increased mutation rates of varying plausibility, the more general hypothesis i includes any imaginable or proposed cost to the extra sequence (replication costs, background transcription, costs of transposition, ectopic expression of neighboring genes, recombination between homologous elements, misaligning during meiosis, reduced organismal function from nuclear expansion, the list goes on and on). For those who find the MHH dubious on its merits, focusing this paper on the MHH reduces its impact - the larger hypothesis that the small costs of extra sequence dictate the fates of different organisms' genomes is, in my opinion, a much more important and plausible hypothesis, and thus the current rejection is more important than the authors let on.

      The MHH is arguably the most structured and influential theoretical framework proposed to date based on the null assumption (i), therefore setting the paper up with the MHH is somehow inevitable. Because of this, we mostly discuss the assumption (ii) (the mutational aspect brought about by junk DNA) and the peculiarities of TE biology that can drive the genome away from the expectations of (i). We however agree that the hazard posed by extra DNA is not limited to the gain of function via the mutation process, but can be linked to many other molecular processes as mentioned above. Moreover, we also agree that our results can be interpreted within the general framework of the nearly-neutral theory. They demonstrate that mutations, whether increasing or decreasing genome size, have a distribution of fitness effects that falls outside the range necessary for selection in larger populations. In the revised manuscript, we made the concept of hazard more comprehensive and further stressed that this applies not only to TEs but any nearly-neutral mutation affecting non-coding DNA (lines 491-496): “Notably, these results not only reject the theory of extra non-coding DNA being costly for its point mutational risk, but also challenges the more general idea of its accumulation depending on other kinds of detrimental effects, such as increased replication, pervasive transcription, or ectopic recombination. Therefore, our results can be considered more general than a mere rejection of the MHH hypothesis, as they do not support any theory predicting that species with low Ne would accumulate more non-coding DNA.”

      (2) In addition to the authors' careful logical and mathematical description of their work, they should take more time to show the intuition that arises from their data. In particular, just by looking at Figure 1b one can see what is wrong with the non-phylogenetically-corrected correlations that MHH's supporters use. That figure shows that mammals, many of which have small Ne, have large genomes regardless of their Ne, which suggests that the coincidence of large genomes and frequently small Ne in this lineage is just that, a coincidence, not a causal relationship. Similarly, insects by and large have large Ne, regardless of their genome size. Insects, many of which have large genomes, have large Ne regardless of their genome size, again suggesting that the coincidence of this lineage of generally large Ne and smaller genomes is not causal. Given that these two lineages are abundant on earth in addition to being overrepresented among available genomes (and were even more overrepresented when the foundational MHH papers collected available genomes), it begins to emerge how one can easily end up with a spurious non-phylogenetically corrected correlation: grab a few insects, grab a few mammals, and you get a correlation. Notably, the same holds for lineages not included here but that are highly represented in our databases (and all the more so 20 years ago): yeasts related to S. cerevisiae (generally small genomes and large median Ne despite variation) and angiosperms (generally large genomes (compared to most eukaryotes) and small median Ne despite variation). Pointing these clear points out will help non-specialists to understand why the current analysis is not merely a they-said-them-said case, but offers an explanation for why the current authors' conclusions differ from the MHH's supporters and moreover explain what is wrong with the MHH's supporters' arguments.

      We thank the referee for this perspective. We agree that comparing dispersion of the points from the non-phylogenetically corrected correlation with the results of the phylogenetic contrasts intuitively emphasizes the importance of accounting for species relatedness. We added on to the discussion to stress the phylogenetic structure present in the data (lines 408-417): “It is important to note how not treating species traits as non-independent leads to artifactual results (Figure 2B-C). For instance, mammals have on average small population sizes and the largest genomes. Conversely, insects tend to have large Ne and overall small genomes. With a high sampling power and phylogenetic inertia being taken into account, our meta-analysis clearly points at a phylogenetic structure in the data: the main clades are each confined to separate genome size ranges regardless of their dN/dS variation. The other way around, variability in genome size can be observed in insects, irrespective of their dN/dS. Relying on non phylogenetically corrected models based on a limited number of species (such as that available at the time of the MHH proposal) can thus result in a spurious positive scaling between genome size and Ne proxies.”

      (3) A third way in which the paper is more important than the authors let on is in the striking degree of the failure of MHH here. MHH does not merely claim that Ne is one contributor to genome size among many; it claims that Ne is THE major contributor, which is a much, much stronger claim. That no evidence exists in the current data for even the small claim is a remarkable failure of the actual MHH hypothesis: the possibility is quite remote that Ne is THE major contributor but that one cannot even find a marginally significant correlation in a huge correlation analysis deriving from a lot of challenging bioinformatic work. Thus this is an extremely strong rejection of the MHH. The MHH is extremely influential and yet very challenging to test clearly. Frankly, the authors would be doing the field a disservice if they did not more strongly state the degree of importance of this finding.

      We respectfully disagree with the review that there is currently no evidence for an effect of Ne on genome size evolution. While it is accurate that our large dataset allows us to reject the universality of Ne as the major contributor to genome size variation, this does not exclude the possibility of such an effect in certain contexts. Notably, there are several pieces of evidence that find support for Ne to determine genome size variation and to entail nearly-neutral TE dynamics under certain circumstances, e.g. of particularly strongly contrasted Ne and moderate divergence times (Lefébure et al., 2017 Genome Res 27: 1016-1028; Mérel et al., 2021 Mol Biol Evol 38: 4252-4267; Mérel et al., 2024 biorXiv: 2024-01; Tollis and Boissinot, 2013 Genome Biol Evol 5: 1754-1768; Ruggiero et al., 2017 Front Genet 8: 44). The strength of such works is to analyze the short-term dynamics of TEs in response to N<sub>e</sub> within groups of species/populations, where the cost posed by extra DNA is likely to be similar. Indeed, the MHH predicts genome size to vary according to the combination of drift and mutation under the nearly-neutral theory of molecular evolution. Our work demonstrates that it is not true universally but does not exclude that it could exist locally. Moreover, defence mechanisms against TEs proliferation are often complex molecular machineries that might or might not evolve according to different constraints among clades. We have detailed these points in the discussion (lines 503-518).

      Reviewer #3 (Public review):

      Summary

      The Mutational Hazard Hypothesis (MHH) suggests that lineages with smaller effective population sizes should accumulate slightly deleterious transposable elements leading to larger genome sizes. Marino and colleagues tested the MHH using a set of 807 vertebrate, mollusc, and insect species. The authors mined repeats de novo and estimated dN/dS for each genome. Then, they used dN/dS and life history traits as reliable proxies for effective population size and tested for correlations between these proxies and repeat content while accounting for phylogenetic nonindependence. The results suggest that overall, lineages with lower effective population sizes do not exhibit increases in repeat content or genome size. This contrasts with expectations from the MHH. The authors speculate that changes in genome size may be driven by lineage-specific host-TE conflicts rather than effective population size.

      Strengths

      The general conclusions of this paper are supported by a powerful dataset of phylogenetically diverse species. The use of C-values rather than assembly size for many species (when available) helps mitigate the challenges associated with the underrepresentation of repetitive regions in short-read-based genome assemblies. As expected, genome size and repeat content are highly correlated across species. Nonetheless, the authors report divergent relationships between genome size and dN/dS and TE content and dN/dS in multiple clades: Insecta, Actinopteri, Aves, and Mammalia. These discrepancies are interesting but could reflect biases associated with the authors' methodology for repeat detection and quantification rather than the true biology.

      Weaknesses

      The authors used dnaPipeTE for repeat quantification. Although dnaPipeTE is a useful tool for estimating TE content when genome assemblies are not available, it exhibits several biases. One of these is that dnaPipeTE seems to consistently underestimate satellite content (compared to repeat masker on assembled genomes; see Goubert et al. 2015). Satellites comprise a significant portion of many animal genomes and are likely significant contributors to differences in genome size. This should have a stronger effect on results in species where satellites comprise a larger proportion of the genome relative to other repeats (e.g. Drosophila virilis, >40% of the genome (Flynn et al. 2020); Triatoma infestans, 25% of the genome (Pita et al. 2017) and many others). For example, the authors report that only 0.46% of the Triatoma infestans genome is "other repeats" (which include simple repeats and satellites). This contrasts with previous reports of {greater than or equal to}25% satellite content in Triatoma infestans (Pita et al. 2017). Similarly, this study's results for "other" repeat content appear to be consistently lower for Drosophila species relative to previous reports (e.g. de Lima & Ruiz-Ruano 2022). The most extreme case of this is for Drosophila albomicans where the authors report 0.06% "other" repeat content when previous reports have suggested that 18%->38% of the genome is composed of satellites (de Lima & Ruiz-Ruano 2022). It is conceivable that occasional drastic underestimates or overestimates for repeat content in some species could have a large effect on coevol results, but a minimal effect on more general trends (e.g. the overall relationship between repeat content and genome size).

      There are indeed some discrepancies between our estimates of low complexity repeats and those from the literature due to the approach used. Hence, occasional underestimates or overestimates of repeat content are possible. As noted, the contribution of “Other” repeats to the overall repeat content is generally very low, meaning an underestimation bias. We thank the reviewer for providing this interesting review.

      We emphasized these points in the discussion of our revised manuscript (lines 358-376): “While the remarkable conservation of avian genome sizes has prompted interpretations involving further mechanisms (see discussion below), dnaPipeTE is known to generally underestimate satellite content (Goubert et al. 2015). This bias is more relevant for those species that exhibit large fractions of satellites compared to TEs in their repeatome. For instance, the portions of simple and low complexity repeats estimated with dnaPipeTE are consistently smaller than those reported in previous analyses based on assembly annotation for some species, such as Triatoma infestans (0.46% vs 25%; 7 Mbp vs 400 Mbp), Drosophila eugracilis (1.28% vs 10.89%; 2 Mbp vs 25 Mbp), Drosophila albomicans (0.06% vs 18 to 38%; 0.12 Mbp vs 39 to 85 Mbp) and some other Drosophila species (Pita et al. 2017; de Lima and Ruiz-Luano 2022; Supplemental Table S2). Although the accuracy of Coevol analyses might occasionally be affected by such underestimations, the effect is likely minimal on the general trends. Inability to detect ancient TE copies is another relevant bias of dnaPipeTE. However, the strong correlation between repeat content and genome size and the consistency of dnaPipeTE and earlGrey results, even in large genomes such as that of Aedes albopictus, indicate that dnaPipeTE method is pertinent for our large-scale analysis. Furthermore, such an approach is especially fitting for the examination of recent TEs, as this specific analysis is not biased by very repetitive new TE families that are problematic to assemble.”

      Not being able to correctly estimate the quantity of satellites might pose a problem for quantifying the total content of junk DNA. However, the overall repeat content mostly composed of TEs correlates very well with genome size, both in the overall dataset and within clades (with the notable exception of birds) so we are confident that this limitation is not the explanation of our negative results. Moreover, while satellite information might be missing, this is not problematic to test our hypothesis, as we focus on TEs, whose proliferation mechanism differs significantly from that of tandem repeats and largely account for genome size variation.

      Another bias of dnaPipeTE is that it does not detect ancient TEs as well as more recently active TEs (Goubert et al., 2015 Genome Biol Evol 7: 1192-1205). Thus, the repeat content used for PIC and coevolve analyses here is inherently biased toward more recently inserted TEs. This bias could significantly impact the inference of long-term evolutionary trends.

      Indeed, dnaPipeTE is not good at detecting old TE copies due to the read-based approach, biasing the outcome towards new elements. We agree that TE content can be underestimated, especially in those genomes that tend to accumulate TEs rather than getting rid of them. However, the sum of old TEs and recent TEs is extremely well correlated to genome size (Pearson’s correlation: r = 0.87, p-value < 2.2e-16; PIC: slope = 0.22, adj-R<sup>2</sup> = 0.42, p-value < 2.2e-16). Our main result therefore does not rely on an accurate estimation of old TEs. In contrast, we hypothesized that recent TEs could be interesting because selection could be more likely to act on TEs insertion and dynamics rather than on non-coding DNA as a whole. Our results demonstrate that this is not the case. It should be noted that in spite of its limits towards old TEs, dnaPipeTE is well-suited for this analysis as it is not biased by highly repetitive new TE families that are challenging to assemble. In the revised manuscript, we now emphasize the limitations of dnaPipeTE and discuss the consequences on our results. See lines 359-374 (reported above) and lines 449-455: “On the other hand, it is conceivable the avian TE diversity to be underappreciated due to the limits of sequencing technologies used so far in resolving complex repeat-rich regions. For instance, employment of long-reads technologies allowed to reveal more extended repeated regions that were previously ignored with short read assemblies (Kapusta and Suh 2017; Benham et al. 2024). Besides, quite large fractions might indeed be satellite sequences constituting relevant fractions of the genome that are challenging to identify with reference- or read-based methods (Edwards et al. 2025).”

      Finally, in a preliminary work on the dipteran species, we showed that the TE content estimated with dnaPipeTE is generally similar to that estimated from the assembly with earlGrey (Baril et al., 2024 Mol Biol Evol 38: msae068) across a good range of genome sizes going from drosophilid-like to mosquito-like (TE genomic percentage: Pearson’s r = 0.88, p-value = 1.951e-10; TE base pairs: Pearson’s r = 0.90, p-value = 3.573e-11; see also the corrected Supplementary Figure S2 and new Supplementary Figure S3). While TEs for these species are probably dominated by recent to moderately recent TEs, Ae. albopictus is an outlier for its genome size and the estimations with the two methods are largely consistent. However, the computation time required to estimate TE content using EarlGrey was significantly longer, with a ~300% increase in computation time, making it a very costly option (a similar issue applicable to other assembly-based annotation pipelines). Given the rationale presented above, we decided to use dnaPipeTE instead of EarlGrey.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      Since I am not an expert in the field, some of these comments may simply reflect a lack of understanding on my part. However, in those cases, I hope they can help the authors clarify important points. I did have a bunch of comments concerning the complexity of the relationship between TEs and their hosts that would likely affect TE content, but I ended up deleting most of them because they were covered in the discussion. However, I do think that in setting up the paper, particularly given the results, it might have been useful to introduce those issues in the introduction. That is to say, treating TEs as a generic mutagen that will fit into a relatively simple model is unlikely to be correct. What will ultimately be more interesting are the particulars of the ways that the relationships between TEs and their host evolve over time. Finally, given the huge variation in plant genes with respect to genome size and TE content, along with really interesting variation in deletion rates, I'm surprised that they were not included. I get that you have to draw a line somewhere, and this work builds on a bunch of other work in animals, but it seems like a missed opportunity.

      We chose to restrict the introduction to the rationale behind the MHH as it is the starting point and focus of the manuscript. Because the aspects of the complexity of TE-host relationships are only covered in a speculative way, we limited them to the discussion but it is true that introducing them at the very beginning gives a more comprehensive overview. The introduction now includes a few sentences about lineage-specific selective effect of TEs and TE-host evolution (lines 83-86): “On top of that, an alternative TE-host-oriented perspective is that the accumulation of TEs in particular depends on their type of activity and dynamics, as well as on the lineage-specific silencing mechanisms evolved by host genomes (Ågren and Wright 2011).”

      Page 4. "The MHH is highly popular..." Evidence for this? It is fine as is, but it could also be seen as a straw man argument. Perhaps make clear this is an opinion of the authors?

      That MHH is popular and well-known is more a fact than an opinion: the original paper by Lynch and Conery (2003) and “The origins of genome architecture” by Lynch (2007) have respectively 1872 and 1901 citations to the present date (04/03/2025). Besides, the MHH is often invoked in highly cited reviews about TEs, e.g. Bourque et al., 2018 Genome Biol 19:1-12; Wells and Feschotte, 2020 Annu Rev Genet 54: 539-561.

      Page 4. "on phylogenetically very diverse datasets..." Given the fact that even closely related plants can show huge variation in genome size, it's a shame that they weren't included here. There are also numerous examples of closely related plants that are obligate selfers and out-crossers.

      This is true, and some studies already tested MHH in specific plant groups (Ågren et al., 2014 BMC Genom 15: 1-9; Hu et al., 2011 Nat Genet 43: 476-481; Wright et al., 2008 Int J Plant Sci 169: 105-118), including selfers vs out-crossers cases (Glémin et al., 2019 Evolutionary genomics: statistical and computational methods: 331-369). Further development in this kingdom would be interesting. However, the boundary was set to metazoans since the very beginning of analyses to maintain a large phylogenetic span and a manageable computational burden. Furthermore, some of the included animal clades are supposed to display good Ne contrasts according to known LHTs or to previous literature: for instance, the very different Ne of mammals and insects, as well as more narrowed examples like Drosophilidae and solitary vs eusocial hymenopterans.

      Page 6. "species-poor, deep-branching taxa were excluded" I see why this was done, as these taxa would not provide close as well as distant comparisons, but I would have thought they might have provided some interesting outlying data. As the geneticists say, value the exceptions.

      The reason to exclude them was not only that they would solely provide very distant comparisons. The lack of a rich and balanced sampling would imply calculating nucleotide substitution rates over hundreds of millions of years, which typically lead to saturation of synonymous sites. In case of saturation of synonymous sites, the synonymous divergence will be underestimated, and therefore, the dN/dS ratio no longer a valuable estimate of N<sub>e</sub>. Outside vertebrates and insects, the available genomes in a clade would mostly correspond to a few species from an entire phylum, making it challenging to estimate dN/dS and to correlate present day genome size with Ne estimated over hundreds of millions of years.

      Figure 1. What are the scaling units for each of these values? I get that dN/dS is between 0 and 1, but what about genome sizes? Are these relative sizes? Are TE content values a percent of the total? This may be mentioned elsewhere, but I think it is worth putting that information here as well.

      Thanks for pointing this out. Both genome sizes and TE contents are in bp, we added this information in the legend of the figure.

      Page 8. TE content estimates are invariably wrong given the diversity of TEs and, in many genomes, the presence of large numbers of low copy number "dead" elements. If that varies between taxa, this could cause problems. Given that, I would have liked to see the protocols used here be compared to a set of "gold standard" genomes with exceptionally well-annotated TEs (Humans and D. melanogaster, for instance).

      As already mentioned, dnaPipeTE is indeed biased towards young TEs (elements older than 25-30% are generally not detected). TE content can therefore be underestimated, especially in those genomes that tend to accumulate TEs rather than getting rid of them. Although most of them do not have “gold-standard” genomes, a comparison of dnaPipeTE with TE annotations from assemblies is already provided for a subset of species. Some variation can be present - see Supplemental Figure S6 and comments of Reviewer#3 about detection of satellite sequences. However, the subset covers a good range of genome sizes and overall dnaPipeTE emerges as an appropriate tool to characterize the general patterns of repeat content variation.

      Page 11. "close to 1 accounts for more..." I would say "closer" rather than "close".

      Agreed and changed.

      Page 11. "We therefore employed this parameter..." I know you made the point earlier, but maybe reiterate the general point here that selection is lower on average with a lower effective population size. Actually, I'm wondering if we don't need a different term for long-term net effective population size, which dN/dS is measuring.

      We reiterated here the relationship among dN/dS, Ne and magnitude of selection (lines 200-204): “a dN/dS closer to 1 accounts for more frequent accumulation of mildly deleterious mutations over time due to increased genetic drift, while a dN/dS close to zero is associated with a stronger effect of purifying selection. We therefore employed this parameter as a genomic indicator of N<sub>e</sub>, as the two are expected to scale negatively between each other.”

      Page 11. "We estimated dN/dS with a mapping method..." I very much appreciate that the authors are using the same pipeline for the analysis of all of these taxa, but I would also be interested in how these dN/dS values compare with previously obtained values for a subset of intensively studied taxa.

      The original publication of the method demonstrated that dN/dS estimations using mapping are highly similar to those obtained with maximum likelihood methods, such as implemented in CODEML (Romiguier et al., 2014 J Evol Biol 27: 593-603). Below is the comparison for 16 vertebrate species from Figuet et al. (2016 Mol Biol Evol 33: 1517-1527), where dN/dS are reasonably correlated (slope = 0.57, adjusted-R<sup>2</sup> = 0.39, p-value=0.006). That being said, some noise can be present as the compared genes and the phylogeny used are different. Although we expect some value between 0 and 1, some range of variation is to be expected depending on both the species used and the markers, as substitution rates and/or selection strength might be different. Differences in dN/dS for the same species would not necessarily imply an issue with one of the methods.

      Author response image 1.

      Page 12. " As expected, Bio++ dN/dS scales positively with..." Should this be explicitly referenced earlier? I do see that references mentioning both body mass and longevity are included earlier, but the terms themselves are not.

      We added a list of the expected correlations for dN/dS and LHTs at the beginning of the paragraph (lines 205-208): “In general, dN/dS is expected to scale positively with body length, age at first birth, maximum longevity, age at sexual maturity and mass, and to scale negatively with metabolic rate, population density and depth range.”

      Page 12. "dN/dS estimation on the trimmed phylogeny deprived of short and long branches results in a stronger correlation with LHTs, suggesting that short branches..." and what about the long branches? Trimming them helps because LHTs change over long periods of time?

      Trimming of long branches should avoid saturation in the signal of synonymous substitutions if present (whereby increase in dN is not parallelled by corresponding increase in dS due to depletion of all sites). Excluding very long branches was one of the reasons why we excluded taxonomic groups with few species. See lines 131-133: “For reliable estimation of substitution rates, this dataset was further downsized to 807 representative genomes as species-poor, deep-branching taxa were excluded”. Correlating present-day genome size with Ne estimates over long periods of time could weaken a potential correlation. However, exploratory analyses (not included) did not indicate that excluding long branches improved the relationship between Ne and genome size/TE content. The rationale is explained in Materials and Methods but was wrongly formulated. We rephrased it and added a reference (lines 636-638): “Estimation of dN/dS on either very long or short terminal branches might lead to loss of accuracy due to branch saturation (Weber et al. 2014) or to a higher variance of substitution rates, respectively”.

      Table 2. "Expected significant correlations are marked in bold black; significant correlations opposite to the expected trend are marked in bold red." Expected based on the initial hypothesis? Perhaps frame it as a test of the hypothesis?

      As per the comment above, we added a sentence in the main text to clarify the expected correlations for dN/dS and LHTs (lines 205-208): “In general, dN/dS is expected to scale positively with body length, age at first birth, maximum longevity, age at sexual maturity and mass, and to scale negatively with metabolic rate, population density and depth range.”. The second expected correlation is that between dN/dS and genome size/TE content, which is stated at the beginning of paragraph 2.5 (lines 244-245): “If increased genetic drift leads to TE expansions, a positive relationship between dN/dS and TE content, and more broadly with genome size, should be observed.”.

      Page 14. "Based on the available traits, the two kinds of Ne proxies analyzed here correspond in general..." the two kinds being dN/dS and a selection of LHT?

      We rephrased the sentence as such (lines 233-234): “Based on the available traits, the estimations of dN/dS ratios obtained using two different methods correspond in general to each other”.

      Table 3. Did you explain why there is a distinction between GC3-poor and GC3-rich gene sets?

      No, the explanation is missing, thank you for pointing it out. The choice comes from the observations made by Mérel et al. (2024 biorXiv: 2024-01), who do find a stronger relationship between dN/dS and genome size in Drosophila using the same tool (Coevol) in GC3-poor genes than in GC3-rich ones or in random sets of genes exhibiting heterogeneity in GC3 content. There are several possible explanations for this. First, mixing genes with various base compositions in the same concatenate can alter the calculation of codon frequency and impair the accuracy of the model estimating substitution rates.

      Moreover, base composition and evolutionary rates may not be two independent molecular traits, at the very least in Drosophila, and more generally in species experiencing selection on codon bias. Because optimal codons are enriched in G/C bases at the third position (Duret and Mouchiroud, 1999 PNAS 96: 4482-4487), GC3-rich genes are likely to be more expressed and therefore evolve under stronger purifying selection than GC3-poor genes in Drosophila.

      Accordingly, Merel and colleagues observed significantly higher dN/dS estimates for GC3-poor genes than for GC3-rich genes. Additionally, selection on codon usage acting on these highly expressed genes, that are GC3-rich, violates the assumed neutrality of dS. This implies that dN/dS estimates based on genes under selection on codon bias are likely less appropriate proxies of Ne than expected.

      Although some of these observations may be specific to Drosophila, this criterion was taken into consideration as taking restricted gene subsets was required for Coevol runs. We added this explanation in materials and methods (lines 723-738).

      Page 16. "Coevol dN/dS scales negatively with genome size across the whole dataset (Slope = -0.287, adjusted-R<sup>2</sup> = 0.004, p-value = 0.039) and within insects" Should I assume that none of the other groups scale negatively on their own, but cumulatively, all of them do?

      Yes, and this is an “insect-effect”: the regression of the whole dataset is negative but it is not anymore when insects are removed (with the model still being far from significant).

      Page 16. "Overall, we find no evidence for a recursive association of dN/dS with genome size and TE content across the analysed animal taxa as an effect of long-term Ne variation." I get the point, but this is starting to feel a bit circular. What you see is a lack of an association between dN/dS and TE content, but what do you mean by "as an effect of..." here? You are using dN/dS as a proxy, so the wording here feels odd.

      See the reply below.

      Page 17. I'm not sure that "effect" here is the word to use. You are looking at associations, not cause-effect relationships. Certainly, dN/dS is not causing anything; it is an effect of variation in purifying selection.

      Agreed, dN/dS is the ratio reflecting the level of purifying selection, not the cause itself. dN/dS is employed here as the independent variable in the correlation with genome size or TE content. dN/dS has an “effect” on the dependent variables in the sense that it can predict their variation, not in the sense that it is causing genome size to vary. We rephrased this and similar sentences to avoid misunderstandings (changes are highlighted in the revised text).

      Page 17. "Instead, mammalian TE content correlates positively with metabolic rate and population density, and negatively with body length, mass, sexual maturity, age at first birth and longevity." I guess I'm getting tripped up by measures of current LHTs and historical LHTs which, I'm assuming, varies considerably over the long periods of time that impact TE content evolution.

      PIC analyses can be considered as correlations on current LHTs as we compare values (or better, contrasts) at the tips of phylogenies. In the case of Coevol, traits are inferred at internal nodes, in such a way that the model should take into account the historical variation of LHTs, too.

      Page 18. "positive effect of dN/dS on recent TE insertions..." Again, this is not a measure of the effect of dN/dS on TE insertions, it is a measure of correlation. I know it's shorthand, but in this case, I think it really matters that we avoid making cause inferences.

      We have rephrased this as ”...very weak positive correlation of dN/dS with recent TE insertions…”.

      Page 18. "are consistent with the scenarios depicted by genome size and overall TE content in the corresponding clades." Maybe be more explicit here at the very end of the results about what those scenarios are.

      Correlating the recent TE content with dN/dS and LHTs basically recapitulates the relationship found using the other genomic traits (genome size and overall TE content). We have rephrased the closing sentence as “Therefore, the coevolution patterns between population size and recent TE content are consistent with the pictures emerging from the comparison of population size proxies with genome size and overall TE content in the corresponding clades” (lines 312-315).

      Page 19. "However, the difficulty in assembling repetitive regions..." I would say the same is true of TE content, which is almost always underestimated for the same reasons.

      “Repetitive regions” is here intended as an umbrella term including all kinds of repeats, from simple ones to transposable elements.

      Page 20. "repeat content has a lower capacity to explain size compared to other clades." Perhaps, but I'm not convinced this is not due to large numbers of low copy number elements, perhaps purged at varying rates. Are we certain that dnaPipeTE would detect these? Have rates of deletion in the various taxa examined been estimated?

      It is possible that low copy number elements are detected differently, according to the rate of decay in different species and depending also on the annotation method (indeed low copy families are less likely to be captured during read sampling by dnaPipeTE). A negative correlation between assembly size and deletion rate was observed in birds (Ji et al., 2023 Sci Adv 8: eabo0099). So we should expect a rate of TE removal inversely proportional to genome size, a positive correlation between TE content and genome size, and negative relationship between TE content and deletion rate, too. The relationship of TE content with deletion rate and genome size however appears more complex than this, even this paper using assembly-based TE annotations. However, misestimations of repeat content are also potentially due to the limited capacity of dnaPipeTE of detecting simple and low complexity repeats (see comments from Reviewer#3), which might be important genomic components in birds (see a few comments below).

      Page 21. "DNA gain, and their evolutionary dynamics appear of prime importance in driving genome size variation." How about DNA loss over time?

      See response to the comment below.

      Page 22. "in the latter case, the pace of sequence erosion could be in the long run independent of drift and lead to different trends of TE retention and degradation in different lineages." Ah, I see my earlier question is addressed here. How about deletion as a driver as well?

      Deletion was not investigated here. However, deletion processes are surely very different across animals and their impact merits to be studied as well within a comparative framework. Small scale deletion events have even been proposed to contrast the increase in genome size by TE expansion (Petrov et al., 2002 Theor Popul Biol 61: 531-544). In fact, their magnitude would not be high enough to effectively contrast processes of genome expansion in most organisms (Gregory, 2004 Gene 324: 15-34). However, larger-scale deletions might play an important role in genome size determinism by counterbalancing DNA gain (Kapusta et al., 2017 PNAS 114: E1460-E1469; Ji et al., 2023 Sci Adv 8: eabo0099). For sake of space we do not delve in detail into this issue, but we do provide some perspectives about the role of deletion (see lines 518-521 and 535-541).

      Page 22. "however not surprising given the higher variation of TE load compared to the restricted genome size range." I admit, I'm struggling with this. If it isn't genes, and it isn't satellites, and it isn't TEs, what is it?

      Most birds having ~1Gb genomes and displaying very low TE contents. Other studies annotated TEs in avian genome assemblies and also found a not so strong correlation between amount of TEs and genome size (Ji et al., 2023 Sci Adv 8: eabo0099, Kapusta and Suh, 2016 Ann N Y Acad Sci 1389: 164-185). It is possible that the TE diversity is underappreciated in birds due to the limits of sequencing technologies used so far in resolving complex repeat-rich regions. For instance, employment of long-reads technologies allowed to reveal more extended repeated regions that were previously ignored with short read assemblies (Kapusta and Suh, 2016 Ann N Y Acad Sci 1389: 164-185). Besides, quite large fractions might indeed be satellite sequences constituting relevant fractions of the genome (Edwards et al., 2025 biorXiv: 2025-02). We added this perspective in the discussion (lines 446-455): “As previous studies find relatively weak correlations between TE content and genome size in birds (Ji et al. 2022; Kapusta and Suh 2017), it is possible for the very narrow variation of the avian genome sizes to impair the detection of consistent signals. On the other hand, it is conceivable the avian TE diversity to be underappreciated due to the limits of sequencing technologies used so far in resolving complex repeat-rich regions. For instance, employment of long-reads technologies allowed to reveal more extended repeated regions that were previously ignored with short read assemblies (Kapusta and Suh 2017; Benham et al. 2024). Besides, quite large fractions might indeed be satellite sequences constituting relevant fractions of the genome that are challenging to identify with reference- or read-based methods (Edwards et al. 2025).” See also responses to Reviewer#3’s concerns about dnaPipeTE.

      Page 24. "Our findings do not support the quantity of non-coding DNA being driven in..." Many TEs carry genes and are "coding".

      Yes. Non-coding DNA intended as the non-coding portion of genomes not directly involved in organisms’ functions and fitness (in other words sequences not undergoing purifying selection). TEs do have coding parts but are in most part molecular parasites hijacking hosts’ machinery.

      Page 25. "There is some evidence of selection acting against TEs proliferation." Given that the vast majority of TEs are recognized and epigenetically silenced in most genomes, I'd say the evidence is overwhelming. Here I suspect you mean evidence for success in preventing proliferation. Actually, since we know that systems of TE silencing have a cost, it might be worth considering how the costs and benefits of these systems may have influenced overall TE content.

      We meant selection against TE proliferation in the making, notably visible at the level of genome-wide signatures for relaxed/effective selection. We rephrased it as “Evidence for signatures of negative selection against TE proliferation exist at various degrees.” (line 543).

      Reviewer #3 (Recommendations for the authors):

      Page 14: Please define GC3-rich and GC3-poor gene sets and how they were established, as well as why the analyses were conducted separately on GC3-rich and GC3-poor genes.

      We added a detailed explanation for the choice of GC3-rich and GC3-poor genes (see modified section Methods - Phylogenetic independent contrasts and Coevol reconstruction, lines 723-738).

      “Genes were selected according to their GC content at the third codon position (GC3). Indeed, mixing genes with heterogeneous base composition in the same concatenate might result in an alteration of the calculation of codon frequencies, and consequently impair the accuracy of the model estimating substitution rates (Mérel et al. 2024). Moreover, genes with different GC3 levels can reflect different selective pressures, as highly expressed genes should be enriched in optimal codons as a consequence of selection on codon usage. In Drosophila, where codon usage bias is at play, most optimal codons present G/C bases at the third position (Duret and Mouchiroud, 1999), meaning that genes with high GC3 content should evolve under stronger purifying selection than GC3-poor genes. Accordingly, Mérel et al. (2024) do find a stronger relationship between dN/dS and genome size when using GC3-poor genes, as compared to GC3-rich genes or gene concatenates of random GC3 composition. Finally, dN/dS can be influenced by GC-biased gene conversion (Bolívar et al. 2019; Ratnakumar et al. 2010), and the strength at which such substitution bias acts can be reflected by base composition. For these reasons, two sets of 50 genes with similar GC3 content were defined in order to employ genes undergoing similar evolutionary regimes.”

      Please add lines between columns and rows in tables. Table 3 is especially difficult to follow due to its size, and lines separating columns and rows would vastly help with readability.

      We added lines delimiting cells in all the main tables.

      Throughout the text and figures, please be consistent with either scientific names or common names for lineages or clades.

      Out of the five groups, for four of them the common name is the same as the scientific one (except Aves/birds).

      Regarding the title for section 3.1, I don't believe "underrate" is the best word here. I find this title confusing.

      We replaced the term “underrate” with “underestimate” in the title.

      The authors report that read type (short vs. long) does not have a significant effect on assembly size relative to C-value. However, the authors (albeit admittedly in the discussion) removed lower-quality assemblies using a minimum N50 cutoff. Thus, this lack of read-type effect could be quite misleading. I strongly recommend the authors either remove this analysis entirely from the manuscript or report results both with and without their minimum N50 cutoff. I expect that read type should have a strong effect on assembly size relative to C-value, especially in mammals where TEs and satellites comprise ~50% of the genome.

      Yes, it's likely that if we took any short-read assembly, we would have a short-read effect. We do not mean to suggest that in general short reads produce the same assembly quality as long reads, but that in this dataset we do not need to account for the read effect in the model to predict C-values. Adding the same test including all assemblies will be very time-consuming because C-values should be manually checked as already done for the species. If we removed this test, readers might wonder whether our genome size predictions are not distorted by a short-read effect. We now make it clear that this quality filter likely has an outcome on our observations: “This suggests that the assemblies selected for our dataset can mostly provide a reliable measurement of genome size, and thus a quasi-exhaustive view of the genome architecture.” (lines 333-335).

      There seem to be some confusing inconsistencies between Supplementary Table S2 and Supplementary Figure S2. In Supplementary Table S2, the authors report ~24% of the Drosophila pectinifera genome as unknown repeats. This is not consistent with the stacked bar plot for D. pectinifera in Supplementary Figure S2.

      True, the figure is wrong, thank you for spotting the error. The plot of Supplemental Figure S2 was remade with the correct repeat proportions as in Supplementary Tables S2 and S4. Because the reference genome sizes on which TE proportions are calculated are different for the two methods, we added another supplemental figure showing the same comparison in Kbp (now Supplemental Figure S3).

      At the bottom of page 20: "many species with a high duplication score in our dataset correspond to documented duplication" How many?

      Salmoniformes (9), Acipenseriformes (1), Cypriniformes (3) out of 23 species with high duplication score. It’s detailed in the results (lines 193-196): “Of the 24 species with more than 30% of duplicated BUSCO genes, 13 include sturgeon, salmonids and cyprinids, known to have undergone whole genome duplication (Du et al. 2020; Li and Guo 2020; Lien et al. 2016), and five are dipteran species, where gene duplications are common (Ruzzante et al. 2019).”

      Top of page 21: "However, the contribution of duplicated genes to genome size is minimal compared to the one of TEs, and removing species with high duplication scores does not affect our results: this implies that duplication does not impact genome size strongly enough to explain the lack of correlation with dN/dS." This sentence is confusing and needs rewording.

      We reworded the sentence (lines 383-384): “this implies that duplication is unlikely to be the factor causing the relationship between genome size and dN/dS to deviate from the pattern expected from the MHH”.

      Beginning of section 3.3: "Our dN/dS calculation included several filtering steps by branch length and topology: indeed, selecting markers by such criteria appears to be an essential step to reconcile estimations with different methodologies" A personal communication is cited here. Are there really no peer-reviewed sources supporting this claim?

      This mainly comes from a comparison of dN/dS calculation with different methods (notably ML method of bpp vs Coevol bayesian framework) on a set of Zoonomia species. We observed that estimations with different methods appeared correlated but with some noise: filtering out genes with deviant topologies (by a combination of PhylteR and of an unpublished Bayesian shrinkage model) reconciled even more the estimations obtained from different methods. Results are not shown here but the description of an analogous procedure is presented in Bastian, M. (2024). Génomique des populations intégrative: de la phylogénie à la génétique des populations (Doctoral dissertation, Université lyon 1) that we added to the references.

      Figure 2 needs to be cropped to remove the vertical gray line on the right of the figure as well as the portion of visible (partly cropped) text at the top. What is the "Tree scale" in Figure 1?

      Quality of figure 2 in the main text was adjusted. The tree scale is in amino acid substitutions, we added it in the legend of the figure.

      It is also unclear whether the authors used TE content or overall repeat content for their analyses.

      The overall repeat content includes both TEs and other kinds of repeats (simple repeats, low complexity repeats, satellites). The contribution of such other repeats to the total content is generally quite low for most species compared to that of TEs (only 13 genomes in all dataset have more than 3% of “Other” repeats). Conversely, the “other” repeats were not included in the recent content since the divergence of a copy from its consensus sequence is pertinent only for TEs.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public review):

      Summary:

      The manuscript aims to elucidate the impact of a prophage within the genome of Shewanella fidelis on its interaction with the marine tunicate Ciona robusta. The authors made a deletion mutant of S. fidelis that lacks one of its two prophages. This mutant exhibited an enhanced biofilm phenotype, as assessed through crystal violet staining, and showed reduced motility. The authors examined the effect of prophage deletion on several genes that could modulate cyclic-diGMP levels. While no significant changes were observed under in vitro conditions, the gene for one protein potentially involved in cyclic-diGMP hydrolysis was overexpressed during microbe-host interactions. The mutant was retained more effectively within a one-hour timeframe, whereas the wild-type (WT) strain became more abundant after 24 hours. Fluorescence microscopy was used to visualize the localization patterns of the two strains, which appeared to differ. Additionally, a significant difference in the expression of one immune protein was noted after one hour, but this difference was not evident after 23 hours. An effect of VCBC-C addition on the expression of one prophage gene was also observed.

      Strengths:

      I appreciate how the authors integrate diverse expertise and methods to address questions regarding the impact of prophages on gut microbiome-host interactions. The chosen model system is appropriate, as it allows for high-throughput experimentation and the application of simple imaging techniques.

      Weaknesses:

      My primary concern is that the manuscript primarily describes observations without providing insight into the molecular mechanisms underlying the observed differences. It is particularly unclear how the presence of the prophage leads to the phenotypic changes related to bacterial physiology and host-microbe interactions.

      We appreciate the overall, enthusiastic reviewer feedback.  The current manuscript presents experimental evidence of the biological impact of the deletion of a stably integrated prophage in the genome of Shewanella fidelis 3313. The molecular mechanisms responsible for these biological effects are currently unknown but based on the limited genetic insight of some predicted gene regions, we can speculate on prophage-mediated influences impacting swimming behaviors. Below, we address additional concerns raised by the reviewer.

      Which specific prophage genes are critical, or is the insertion at a specific site in the bacterial genome the key factor?  While significant effects on bacterial physiology are reported under in vitro conditions, there is no clear attribution to particular enzymes or proteins.

      In this particular case, it is not entirely clear, as most ORFs within the prophage region have unknown functions, i.e., predicted as hypothetical proteins. In addition, the original insertion site does not appear to interrupt any specific gene but may impact adjacent genes/pathways (Fig 1b). Enhanced annotations, along with future targeted deletion methods for distinct prophage segments, will help us better investigate which predicted gene regions influence the observed traits. This will deepen our understanding of the mechanisms that regulate prophage influence on these traits.

      In contrast, when the system is expanded to include the tunicate, differences in the expression of a cyclic-diGMP hydrolase become apparent. Why do we not observe such differences under in vitro conditions, despite noting variations in biofilm formation and motility? Furthermore, given that the bacterial strain possesses two prophages, I am curious as to why the authors chose to target only one and not both.

      Differences in expression patterns of c-di-GMP regulators were also noted in vitro, but they just missed the statistical significance threshold when rho was used as a bacterial reference gene. The expression pattern of pdeB was consistent among each biological replicate, however. In full transparency, pdeB qPCR was originally performed with recA as a reference standard (bioRxiv preprint, ver 1). Here, significant changes in pdeB expression were observed in the in vitro assays comparing WT and ΔSfPat. These results prompted us to study changes in pdeB expression during in vivo colonization experiments, which also revealed significant changes. However, there was a concern that a potential SOS response would also activate recA, despite our preliminary data suggesting SOS was not involved. As a precautionary, we repeated the experiments with rho as a reference gene after it was identified as a stable reference. However, with rho as a reference gene, statistically significant responses were noted during in vivo colonization, but not in the in vitro assays. 

      In the current manuscript, one prophage was targeted based on preliminary findings indicating that the SfPat prophage region influences behaviors likely to impact colonization of the Ciona robusta gut. A separate genetic segment was also previously targeted for deletion as a misidentified prophage-like region, but that strain is not included in the current description. The currently presented data indicate that the observed phenomena can be attributed to the SfPat prophage.

      Regarding the microbe-host interaction, it is not clear why the increased retention ability of the prophage deletion strain did not lead to greater cell retention after 24 hours, especially since no differences in the immune response were observed at that time point.

      A predominantly adherent (non-motile) phenotype would likely facilitate elimination within fecal strings. There is substantial evidence from multiple model systems that strong swimming ability enhances the exploration and colonization of mucosal surfaces. Swimming helps with the penetration of mucus layers, chemotaxis toward epithelial surfaces, and overall “decision-making” in terms of shifting from a free-swimming (planktonic) state in the lumen within dietary material to a more sessile, adherent phenotype at the mucosal surface.

      Concerning the methodological approach, I am puzzled as to why the authors opted for qPCR instead of transcriptomics or proteomics. The latter approaches could have provided a broader understanding of the prophage's impact on both the microbe and the host.

      We agree with the reviewer that a transcriptomics approach would provide a broader understanding of the prophage’s impact on the microbe and animal host. Future studies will include a full multi-omic evaluation of this interaction. 

      Reviewer #1 (Recommendations for the authors):

      Besides my above mentioned issues, I have a few more mini things:

      (A) what makes S. fidelis being a persistant member of the host microbiome? Please elaborate more on quantitive studies in this respect. –

      Shewanella species are stable members of the Ciona gut, and previous efforts (Dishaw et al, 2016) revealed that chitin and/or secreted host effectors could influence biofilm formation. The Ciona gut produces copious amounts of endogenous chitin-rich mucus, and a variety of bacteria have been identified that thrive under these conditions. In addition, versatile bacteria like Shewanella sp. likely expand the metabolic potential of filter-feeders like Ciona. Thus, our subsequent studies began to focus on these and other microbes isolated from the Ciona gut that appear to be stable residents. Identical strains have been recovered numerous times (since 2011) from this wild population of Ciona robusta.  

      (B) The authors use the word inter kingdom and refer to phage, bacterium and animal. As phages are not part of the three kingdoms of life I believe the terminology is wrong.

      Thank you for bringing this to our attention. In this context, we were referring to bacteria+phage as a unit and their interkingdom interaction with the animal host. But we recognize that this term can be misleading. Another, more appropriate term is ‘tripartite,’ and we have changed interkingdom to tripartite as appropriate, e.g., the abstract.

      (C) I like lines 55-61 and was expecting to see in the manuscript what of those things would be true for the chosen prophage.

      We looked at the coding region annotations within the prophage and the adjacent regions. The prophage coding regions are mostly annotated as unknown or predicted proteins, and a few as known phage-related components. We intend to reanalyze future and improved annotations and conduct deletion experiments targeting specific open reading frames (ORFs).

      (D) In line 76 the authors mention a Gödecke reference for Pseudomonas. I believe that this paper only deals with S. oneidensis.

      The inadvertent Gödecke reference has been removed.

      (E) All figures: The captions are too short to understand what the figures are showing and everything is too small and hard to read or see. Along these lines it is often unclear what the many datapoints show. Biological replicates, technical replicates....Overall figure 1 does not seem to contain much information.

      Figures and captions have been improved as suggested. Thank you for bringing this to our attention.

      (F) Figure 3 what are a and b showing?

      Figure and descriptive legend have been improved.

      (G) Figure 4: Why did the author check expression only for one gene after 1 h but several genes after 24 h?

      Since we observed that in vitro VCBP-C alters biofilms of S. fidelis 3313 (Dishaw et al 2016), we hypothesized that the bacteria may alter host VCBP-C expression and that the influence of integrated prophages may further modulate gene expression. Since VCBP-C is endogenously expressed in the gut of Ciona, we expected that early exposure/colonization (one hour) would be crucial for the bacterial-VCBP interactions. Hence, the VCBP-C was our primary target. We then tested multiple immune response genes at 24 hours to get a more detailed understanding of the maturing immune responses. Future studies will expand our efforts using global transcriptomics to understand better the immune response during bacterial exposure and colonization events.

      (H) Do the authors mean stationary or localised?

      We are not sure about the context of the reviewer’s question here but we think our modifications have addressed these concerns. 

      Reviewer #2 (Public review):

      Summary:

      In the manuscript, "Prophage regulation of Shewanella fidelis 3313 motility and biofilm formation: implications for gut colonization dynamics in Ciona robusta", the authors are experimentally investigating the idea that integrated viruses (prophages) within a bacterial colonizer of the host Ciona robusta affect both the colonizer and the host. They found a prophage within the Ciona robusta colonizing bacterium Shewanella fidelis 3313, which affected both the bacteria and host. This prophage does so by regulating the phosphodiesterase gene pdeB in the bacterium when the bacterium has colonized the host. The prophage also regulates the activity of the host immune gene VCBP-C during early bacterial colonization. Prophage effects on both these genes affect the precise localization of the colonizing bacterium, motility of the bacterium, and bacterial biofilm formation on the host. Interestingly, VCBP-C expression also suppressed a prophage structural protein, creating a tripartite feedback loop in this symbiosis. This is exciting research that adds to the emerging body of evidence that prophages can have beneficial effects not only on their host bacteria but also on how that bacteria interacts in its environment. This study establishes the evolutionary conservation of this concept with intriguing implications of prophage effects on tripartite interactions.

      Strengths:

      This research effectively shows that a prophage within a bacterium colonizing a model ascidian affects both the bacterium and the host in vivo. These data establish the prophage effects on bacterial activity and expand these effects to the natural interactions within the host animal. The effects of the prophage through deletion on a suite of host genes are a strength, as shown by striking microscopy.

      Weaknesses:

      Unfortunately, there are abundant negative data that cast some limitations on the interpretation of the data. That is, examining specific gene expression has its limitations, which could be avoided by global transcriptomics of the bacteria and the host during colonization by the prophage-containing and prophage-deleted bacteria (1 hour and 24 hours). In this way, the tripartite interactions leading to mechanism could be better established.

      We thank the reviewer for their comments and recognize this important limitation. As a follow-up to the current study, we plan to perform more comprehensive global meta-transcriptomics analyses to better understand differentially expressed genes across both the host and microbe during colonization.

      Impact:

      The authors are correct to speculate that this research can have a significant impact on many animal microbiome studies, since bacterial lysogens are prevalent in most microbiomes. Screening for prophages, determining whether they are active, and "curing" the host bacteria of active prophages are effective tools for understanding the effects these mobile elements have on microbiomes. There are many potential effects of these elements in vivo, both positive and negative, this research is a good example of why this research should be explored.

      Context:

      The research area of prophage effects on host bacteria in vitro has been studied for decades, while these interactions in combination with animal hosts in vivo have been recent. The significance of this research shows that there could be divergent effects based on whether the study is conducted in vitro or in vivo. The in vivo results were striking. This is particularly so with the microscopy images. The benefit of using Ciona is that it has a translucent body which allows for following microbial localization. This is in contrast to mammalian studies where following microbial localization would either be difficult or near impossible.

      Reviewer #2 (Recommendations for the authors):

      In general, I found that the research shown in this manuscript is solid, and the manuscript is well-written. I have no specific comments about the writing of the manuscript that would be of benefit.

      Figure 1 would benefit from the shrinking of white space between panels a and b. Also, in panel b, it is very difficult to read the x-axis, the number of basepairs. It is suggested to increase this font size.

      Figure 1 has been improved as suggested.

      Figure 2 is fine, however, what do three asterisks (***) in panel a signify? It is not described in the legend. One minor point that affects data understanding as presented, the wildtype (WT) change in expression is normalized to itself, therefore always equaling 1.0. This method of presentation muddies the variation in gene expression in the presence of the prophage. This is not an issue in Figure 2, but does have an effect on understanding Figure 2 - figure supplement 1.

      Figure 2 - figure supplement 1, as stated above, the normalization of the WT change in gene expression to 1.0 makes it difficult to understand the results. Why is pilZ change in gene expression not significant in panel s1a? It seems the median change is 50%, or whatever averaging is done, it's unclear whether this is the median and whether the error bars are standard deviation or some other metric.

      These should be defined in the statistical analysis section of the methods or in the legend itself. Further, in panel s1b, why is the reduction in gene expression of pdeB statistically significant, while a similar reduction in gene expression of pleD is not statistically significant?

      RQ values were calculated from 2<sup>-ddCt</sup>. The error bars in the figures were calculated by adding or subtracting the standard error from RQ. Since WT was used as a reference value for qPCR, the RQ value was normalized as 1 for all replicates and nonparametric tests were used to calculate the statistical significance. The values for pilZ were very close to significant; a value of 0.063 was derived via the Wilcoxon test. Only the changes in expression of pdeB were determined to be statistically significant, via the Wilcoxon test.

      Figure 3 panels a and b would be helped by having the same y-axis for each. It is impressive the amount of WT bacterial colonization takes place in 24 hours, particularly in the absence of the prophage, but it does not appear as impressive when the axes are changed between panels. Similar axes should be considered for every comparative graph.

      Figure 3 - figure supplement 1 legend would benefit from the same description of the animal's digestive locations as in the legend in Figure 3.

      We appreciate these suggestions and have made these changes accordingly. We have remade and combined Figure 3 a and b

      Figure 4, while it is unfortunate that none of the immune genes evaluated had a response to the deletion of the SfPat prophage in S. fidelis 3313 at 24 hours, did any of these genes have an effect at 1 hour of evaluation as VCBP-C did?

      The expression of this expanded gene set was not evaluated at one hour. This time point will, however, be included in our global evaluation of gene expression in our future transcriptome sequencing effort.

      Figure 5, the only question I have with these data is whether or not there is a dose-dependent effect of VCBP-C on SfPat P5 expression?

      Prior studies have found VCBP-C can impact biofilm formation in Shewanella sp. in a dose-dependent manner (some of the data appears in Dishaw et al, 2016). However, we have not yet considered whether VCBP-C impacts the expression of SfPat P5 (a phage capsid component) in a dose-dependent manner. We will consider this in future experimental designs.

      It is mentioned in the introduction (and data shown in the preprint) that there is more than one active prophage in Shewanella fidelis 3313. The preprint data shows that the Mu prophages had little effect on the studies. It may be worth discussing the presence and lack of effects of these Mu prophages. It also may lead to some discussion about the complexities of polylysogeny (as discussed by Silpe, et al, Nature, 2023).

      A full-length, inducible, Mu-like prophage region has been identified in the genome that has not been targeted for deletion, but will be included in follow-up studies. An earlier incomplete genome assembly contributed to the incorrect targeting and deletion of a prior Mu-like region, which was discussed in an earlier preprint version. Discussion and references to that strain have been removed from the more recent preprint versions. For clarity, the current manuscript describes strains that remain focused on the SfPat prophage, noting its contribution to the observed behavioral changes / traits.

      Is there any spontaneous induction of SfPat in vitro or in vivo with temperature change (prophages have been induced with heat stress), excessive UV exposure, or mitomycin C treatment?

      Preliminary induction studies using UV, mitomycin C, and temperature have been completed, but remain inconclusive with SfPat due to inconsistent induction patterns.

      Could you speculate, or perhaps do the experiment, as to whether the addition of VCBP-C to S. fidelis 3313 cultures affects biofilm production? The deletion of SfPat leads to greater biofilm production in vitro, while exogenously added VCBP-C represses SfPat P5 expression, would VCPB-C addition lead to greater biofilm production? Lastly, and this may be a failure of my understanding, is VCBP-C able to bind to S. fidelis? If so, does the prophage alter the bacteria and, consequently, the ability of VCBP-C to bind to the bacteria?

      Our lab is actively working to better understand the physical interactions of VCBP-C and bacteria, particularly lysogenic bacteria. Deletion mutants are helping us better understand the potential influence of the bacterial accessory genome on interactions with host immune mediators. Biofilm assays have been done in the context of VCBP-C (Dishaw et al, 2016). Subsequently, we tested the influence of 50 µg/ml VCBP-C on WT and prophage KO-strains, which include SfPat KO along with neutral (control) regions of the genome. We found that the presence of VCBP-C reduced biofilm formation in WT and phage KO variants at 4 hrs and 24 hrs. However, at 12 hrs, VCBP-C treatment appears to increase biofilm formation in the phage-KO strain. While the role (if any) of SfMu is remains unclear, these preliminary data imply the existence of a feedback circuit (influenced by time) where immune effector binding and prophage influence on host gene expression together shape retention outcomes in the gut microbiome. This hypothesis remains to be tested further.

      Author response image 1.

      WT S. fidelis 3313 was exposed in vitro to 50 µg/ml VCBP-C in stationary cultures. Biofilms were observed for 24hrs.  At 12 hrs, the presence of VCBP-C increased the amount of biofilms, whereas reduced biofilms were observed at 4 and 24hrs. Our findings (manuscript Fig 2a) reveal that SfPat contributes to biofilm formation, exposure to SfPat deletion mutants increases host VCBP-C expression (manuscript Fig. 4a), and VCBP-C binding to WT S. fidelis 3313 reduces the expression of SfPat P5 capsid protein (manuscript Fig. 5). These findings suggest that in vivo exposure/ colonization assays benefit from detailed time-course observations to be further explored in follow-up, future experiments.

      Reviewer #3 (Public review):

      In this manuscript, Natarajan and colleagues report on the role of a prophage, termed SfPat, in the regulation of motility and biofilm formation by the marine bacterium Shewanella fidelis. The authors investigate the in vivo relevance of prophage carriage by studying the gut occupation patterns of Shewanella fidelis wild-type and an isogenic SfPat- mutant derivative in a model organism, juveniles of the marine tunicate Ciona robusta. The role of bacterial prophages in regulating bacterial lifestyle adaptation and niche occupation is a relatively underexplored field, and efforts in this direction are appreciated.

      While the research question is interesting, the work presented lacks clarity in its support for several major claims, and, at times, the authors do not adequately explain their data.

      Major concerns:

      (1) Prophage deletion renders the SfPat- mutant derivative substantially less motile and with a higher biofilm formation capacity than the WT (Fig. 2a-b). The authors claim the mutant is otherwise isogenic to the WT strain upon sequence comparison of draft genome sequences (I'll take the opportunity to comment here that GenBank accessions are preferable to BioSample accessions in Table 1). Even in the absence of secondary mutations, complementation is needed to validate functional associations (i.e., phenotype restoration). A strategy for this could be phage reintegration into the mutant strain (PMID: 19005496).

      We are currently investigating complementation strategies. However, there have been some challenges in re-infecting and/or reintegrating the prophage into the genome. A preferred integration site may be damaged due to the deletion approach. While the SfPat prophage has mostly predicted genes of unknown function or significance, we have begun prioritizing the deletion of distinct segments to help identify functional relevance.

      (2) The authors claim that the downshift in motility (concomitant with an upshift in biofilm formation) is likely mediated by the activity of c-di-GMP turnover proteins. Specifically, the authors point to the c-di-GMP-specific phosphodiesterase PdeB as a key mediator, after finding lower transcript levels for its coding gene in vivo (lines 148-151, Fig. 2c), and suggesting higher activity of this protein in live animals (!)(line 229). I have several concerns here:

      (2.1) Findings shown in Fig. 2a-b are in vitro, yet no altered transcript levels for pdeB were recorded (Fig. 2c). Why do the authors base their inferences only on in vivo data?

      (2.2) Somewhat altered transcript levels alone are insufficient for making associations, let alone solid statements. Often, the activity of c-di-GMP turnover proteins is local and/or depends on the activation of specific sensory modules - in the case of PdeB, a PAS domain and a periplasmic sensor domain (PMID: 35501424). This has not been explored in the manuscript, i.e., specific activation vs. global alterations of cellular c-di-GMP pools (or involvement of other proteins, please see below). Additional experiments are needed to confirm the involvement of PdeB. Gaining such mechanistic insights would greatly enhance the impact of this study.

      (2.3) What is the rationale behind selecting only four genes to probe the influence of the prophage on Ciona gut colonization by determining their transcript levels in vitro and in vivo? If the authors attribute the distinct behavior of the mutant to altered c-di-GMP homeostasis, as may be plausible, why did the authors choose those four genes specifically and not, for example, the many other c-di-GMP turnover protein-coding genes or c-di-GMP effectors present in the S. fidelis genome? This methodological approach seems inadequate to me, and the conclusions on the potential implication of PdeB are premature.

      We chose to study genes that were shown previously to influence biofilms and motility in a cyclic-di-GMP dependent manner in a Shewanella spp (Chao et al 2013, S Rakshe 2011). Future transcriptomic efforts and targeted deletion approaches will further define the specific influence of prophages.

      (3) The behavior of the WT strain and the prophage deletion mutant is insufficiently characterized. For instance, how do the authors know that the higher retention capacity reported for the WT strain with respect to the mutant (Fig. 3b) is not merely a consequence of, e.g., a higher growth rate? It would be worth investigating this further, ideally under conditions reflecting the host environment.

      To clarify the method, in vitro growth curves did not suggest any significant difference in growth rate between the WT and the deletion mutant strains. Subsequently, for the in vivo experiments, bacterial cultures were pelleted and resuspended in sterile, nutrient-free artificial seawater. This limits growth until the bacterial strains are introduced to the animals.

      (4) Related to the above, sometimes the authors refer to "retention" (e.g., line 162) and at other instances to "colonization" (e.g., line 161), or even adhesion (line 225). These are distinct processes. The authors have only tracked the presence of bacteria by fluorescence labeling; adhesion or colonization has not been assessed or demonstrated in vivo. Please revise.

      We thank the reviewer for this feedback; the manuscript has been revised accordingly. While we refer to our assays as ‘colonization assays,’ we report results of ‘retention’ of various bacterial strains in the ‘exposed’ animals. Furthermore, when fluorescent staining is utilized, we report retention in defined niches. Since colonization is likely a two-step process, i.e., 1) retention and 2) colonization or long-term establishment of these microbial communities, using these terms correctly is warranted. In separate (unpublished) surveys of adult animals taken from the field, identical strains have been recovered numerous times over a twelve-year period.

      (5) The higher CFU numbers for the WT after 24 h (line 161) might also indicate a role of motility for successful niche occupation or dissemination in vivo. The authors could test this hypothesis by examining the behavior of, e.g., flagellar mutants in their in vivo model.

      Interestingly, we find numerous flagellar/motility-associated protein coding genes like Flg, Fli and Fle present within the S. fidelis genome possessing an EAL domain, implicating them in the regulation of cyclic-di-GMP. Hence, a future global transcriptomic approach will help improve our understanding of the roles of these regulatory pathways.

      (6) The endpoint of experiments with a mixed WT-mutant inoculum (assumedly 1:1? Please specify) was set to 1 h, I assume because of the differences observed in CFU counts after 24 h. In vivo findings shown in Fig. 3c-e are, prima facie, somewhat contradictory. The authors report preferential occupation of the esophagus by the WT (line 223), which seems proficient from evidence shown in Fig. S3. Yet, there is marginal presence of the WT in the esophagus in experiments with a mixed inoculum (Fig. 3d) or none at all (Fig. 3e). Likewise, the authors claim preferential "adhesion to stomach folds" by the mutant strain (line 225), but this is not evident from Fig. 3e. In fact, the occupation patterns by the WT and mutant strain in the stomach in panel 3e appear to differ from what is shown in panel 3d. The same holds true for the claimed "preferential localization of the WT in the pyloric cecum," with Fig. 3d showing a yellow signal that indicates the coexistence of WT and mutant.

      The results section is reworded to improve clarity. The WT and KO are mixed 1:1 to achieve the 10<sup>7</sup> cfu count.

      (7) In general, and especially for in vivo data, there is considerable variability that precludes drawing conclusions beyond mere trends. One could attribute such variability in vivo to the employed model organism (which is not germ-free), differences between individuals, and other factors. This should be discussed more openly in the main text and presented as a limitation of the study.

      Yes, a salient feature of this model is that we can leverage genetic diversity in our experimental design, but it can introduce experimental variability.

      Even with such intrinsic factors affecting in vivo measurements, certain in vitro experiments, which are expected, in principle, to yield more reproducible results, also show high variability (e.g., Fig. 5). What do the authors attribute this variability to?

      For experiments involving VCBP-C protein, we can use affinity-purified protein recovered from live animals, or recombinant protein that we synthesize in-house (Dishaw et al 2011, 2016). In the latter, we often observe slight lot-to-lot variation in affinity for the target (the bacterial surface). To account for this variation and to ensure the observations are robust despite it, production lots can be mixed in additional biological replicates. As such, slight variability in the in vitro assays can be due to this batch effect.

      (8) Line 198-199: Why not look for potential prophage excision directly rather than relying on indirect, presumptive evidence based on qPCR?

      The decision to rely on qPCR of prophage structural genes was based on preliminary data, in particular among lysogens possessing more than one prophage. Neither the plaque assay nor SYBR Gold staining could distinguish among the particles, and TEM imaging was not sufficiently qualitative. Since these prophages do not exclusively produce particles when induced, qPCR targeting structural proteins was found to be most informative.

      Reviewer #3 (Recommendations for the authors):

      Other major comments:

      Line 137 (and Fig. 2 legend): The authors did not test chemotaxis towards any specific chemoeffector, only motility. Please correct and see below my comments about motility assays.

      The reviewer is correct; we have modified our descriptors.

      Lines 142-144: The authors conflate quorum sensing with c-di-GMP metabolism. If the authors measured the expression of genes "regulating cyclic di-GMP," it is likely because c-di-GMP is known to regulate the switch between planktonic and sessile lifestyles. However, whether this is mediated by quorum sensing is a separate issue that was not explored in this work. Please revise.

      Thank you; these changes were made accordingly.

      Line 150: c-di-GMP is not a quorum sensing signal; please correct.

      Yes, we corrected the inadvertent yet misleading statement.

      Line 193: Please clarify "RNA was extracted from the biofilms." If S. fidelis was grown on "MA [Marine Agar] for 24 h in the presence or absence of 50 µg/ml VCBP-C" (lines 192-193), was RNA isolated from colonies growing on the plates? Was VCBP-C added to the agar? This is also unclear in the Methods section (lines 381-384), where it seems the authors conducted this experiment using broth cultures in multiwell plates, removing the supernatant, and extracting RNA from the biofilms (i.e., cells adhered to the walls and bottom of the wells?). Why only biofilm cells?

      Thank you for bringing this to our attention. We have rewritten the appropriate sections and methods to improve clarity. Following our initial studies, which revealed differential bacterial phenotypes (biofilm formation and motility assays), we decided to target and investigate gene expression in the biofilms. This way, the sessile cells that were not part of the biofilm do not obfuscate the data.

      Lines 204-205: The authors should refer to the behavior of the mutant, since they did not test what happens upon prophage integration, but after prophage deletion.

      The wording has been changed accordingly.

      Lines 206-207: Please explain why the authors state that "these different bacterial phenotypes" (referring to altered biofilm formation and motility) "influence host immune responses in a manner consistent with influences on gut colonization dynamics". What specific relationship are the authors suggesting between these processes, and in what way is this "consistent"?

      We previously demonstrated (Dishaw et al 2016) that copious amounts of VCBP-C protein are present under normal conditions in the gut and mostly found tethered to chitin-rich mucus lining the gut epithelium. The up-regulation of VCBP-C within one hour of exposure to the SfPat mutant relative to the WT S. fidelis is consistent with a role for VCBP-C in modulating bacterial settlement dynamics (Dishaw et al 2016). The mutant phenotype of reduced swimming and increased biofilm production is a likely trigger for the increased production of this secreted immune effector that may influence the retention of this bacterial variant, relative to the WT.

      Line 229: Apart from what I noted above about the authors' claim regarding PdeB activity, I believe the figure referred to here should be Fig. 2, not Fig. 5.

      Thank you for catching that oversight. It has been corrected.

      Figure 1: Was hypothetical protein 2 included in the deletion?

      Yes, the hypothetical protein 2 was included in the deletion

      Figure 3a-b: It is challenging to interpret data on plots using so many colors - including what appears to be a white circle (?) in Fig. 3a. How many replicates are represented here? Is it indeed n=3 in Fig. 3a and n=6 in Fig. 3b?  

      Figure 3a is a bee swarm plot. Each color represents biological replicates, and the smaller circles represent technical replicates. It facilitates showing ALL the data, including the spread of the data. Regarding the number replicates, 3a and 3b are different experiments, with 3a representing a biofilm assay with three biological replicates and 3b a motility assay with six biological replicates.

      Figure 3: An explanation for the abbreviation "FP" is missing.

      Thank you for catching this oversight. The abbreviation has been defined.

      Figure S3: FP, which is proficiently occupied by the WT strain (Fig. S3a), is not labeled in the images provided for the mutant (Fig. S3c-d). It would be helpful to show it for comparison.

      Those other images did not have fecal pellets to label; however, Figure 3c does show a fecal pellet for an animal exposed to both WT and the SfPat mutant.

      Questions and comments regarding methods:

      Lines 290-291, 307: Please indicate an approximate range for "room temperature."

      The information has been added to the revised manuscript.

      Lines 292, 302: Why use hybrid LB/MB broth and agar? And strictly speaking, which LB formula (Lennox/Luria/Miller)?

      The hybrid broth reduces the concentration of salts that can interfere in some assays. The LB formula was Luria, and it is now included in the manuscript.

      Lines 300-302: The conjugation procedure is poorly described. It seems the authors conducted conjugal transfer by biparental mating in broth culture by inoculating a single colony of S. fidelis 3313 into an already grown culture of the E. coli donor strain?

      The biparental mating was done on plates; the manuscript has been clarified.

      Motility assay concerns:

      Swimming motility is generally assayed in soft agar (0.25-0.3% w/v). Why did the authors use 0.5% low-melt agarose? Usually, agar is employed instead of agarose, and such a high concentration of solidifying agent typically prevents proper swimming (see e.g. Kearns 2010).

      Our laboratory uses low-melt agarose for phage propagation and other assays. We continued using it because we observed robust and reproducible results in the swarming and swimming motility assays. In addition, 0.5% agarose is less dense than 0.5% agar, and its consistency is similar to that of the lower percentage soft agar.

      Lines 316-317: Please clarify: what is the "overlay motility assay" that was carried out "overnight at RT and then inoculated onto the center of soft agar"? Was this a two-step experiment? How were bacteria inoculated (stabbed, injected)? If injected, what volume and cell density were used?

      Thank you for bringing this to our attention. The methods section has been revised for clarity.

      Line 319: Each variable tested in duplicate? From what I understand, the only variable measured in this test is the diameter of the swimming halos. Do the authors mean they used two biological replicates? If so, please indicate the number of technical replicates as well.

      Multiple biological replicates were performed, each time with two technical replicates. Two perpendicular measurements (of diameter) for each technical replicate was recorded to avoid bias. The methods section has been edited to improve clarity.

      Line 320: Were the swimming halos asymmetrical, hence the need to take two perpendicular measurements? If that was the case, it could indicate an excessive amount of solidifying agent.

      The halos were sometimes asymmetric, but to avoid variation across datasets, it became standard practice to measure perpendicular distances as stated above. 

      Regarding qPCR experiments:

      Please clarify how normalization of transcript levels was performed.

      It seems the authors conducted a double normalization, first with respect to the calibrator (rho), and again using the wild-type as a baseline reference for fold-change calculations (absence of error bars for WT data). If so, please specify on the vertical axes of the figures and in the Methods/figure legends.

      Since, in addition to rho, the authors assessed the expression stability of the "housekeeping" genes gyrB and recA, please also include the primers used for these genes.

      The appropriate manuscript sections have been updated for clarity. The bacterial qPCR was normalized to an internal standard, and then relative expression differences between SfPat and the WT were determined. The missing primer sequences have also been added.

      Observations:

      Figure 2a-b: It is intriguing that the remarkable reduction in motility of the mutant is not associated with a comparably significant increase in biofilm formation.

      A statistically significant increase in biofilm was observed, along with a decrease in motility. As is common in crystal violet assays, some of the tertiary structures were not very stable and likely washed out during processing.

      Additionally, it is noteworthy that data for the mutant in panel 2a exhibit minimal variability, with all OD570 recordings being around 3.0. Did the authors dilute the crystal violet elution solution after adding acetic acid, or might they have reached the saturation limit of the spectrophotometer?

      The eluted acetic acid was not diluted further, and significant changes were observed. If the solution had been further diluted, the observed changes might have been more pronounced. 

      Minor comments and recommendations:

      All the suggested changes below have been incorporated

      • Line 55: "Antibiotic resistance determinants" might be preferable to "genes" to avoid using "genes" twice in the same sentence.

      • Line 75-76: Italicize Pseudomonas aeruginosa.

      • Line 134: Instead of "at least," specify the average fold-change.

      • Line 141: In the heading, refer to the influence of the "prophage" (singular) rather than "prophages" (plural).

      • Discussion (style): Consider using past tense for phrases like "we utilize..." (line 202); "we find..." (line 204), etc.

      • Line 365 and elsewhere: Consider "mRNA levels" or "transcript levels" instead of "gene expression".

      • Table 3: UQ950 is a strain, not a plasmid. I assume the plasmid carried by UQ950 is pSMV3.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Point-by-point responses to the reviewers' comments:

      All three reviewers found our analysis of focal adhesion-associated oncogenic pathways (Figs 3 and S3) to be inconsistent (Reviewer 1), not convincing/consistent (Reviewer 2, #2), and too variable and not well supported (Reviewer 3, #2). This was probably the basis for the eLife assessment, which stated: “However, the study is incomplete because the downstream molecular activities of PLECTIN that mediate the cancer phenotypes were not fully evaluated.” We agree with the reviewers that the degree of attenuation of the FAK, MAP/Erk, and PI3K/AKT signaling pathways differs depending on the cell line used (Huh7 and SNU-475) and the mode of inactivation (CRISPR/Cas9-generated plectin KO, functional KO (∆IFBD), and organoruthenium-based inhibitor plecstatin-1). However, we do not share the reviewers' skepticism about the unconvincing nature of the data presented.

      Several previous studies have shown that plectin inactivation invariably leads to dysregulation of cell adhesions and associated signaling pathways in various cell systems. The molecular mechanisms driving these changes are not fully understood, but the most convincingly supported scenarios are uncoupling of keratin filaments (hemidesmosomes; (Koster et al., 2004)) and vimentin filaments (focal adhesions; (Burgstaller et al., 2010; Gregor et al., 2014)) from adhesion sites in conjunction with altered actomyosin contractility (Osmanagic-Myers et al., 2015; Prechova et al., 2022; Wang et al., 2020). This results in altered morphometry (Wang et al., 2020), dynamics (Gregor et al., 2014), and adhesion strength (Bonakdar et al., 2015) of adhesions. These changes are accompanied by reduced mechanotransduction capacity and attenuation of downstream signaling such as FAK, Src, Erk1/2, and p38 in dermal fibroblasts (Gregor et al., 2014); decrease in pFAK, pSrc, and pPI3K levels in prostate cancer cells (Wenta et al., 2022); increase in pErk and pSrc in keratinocytes (Osmanagic-Myers et al., 2006); decrease in pERK1/2 in HCC cells (Xu et al., 2022) and head and neck squamous carcinoma cells (Katada et al., 2012).  

      Consistent with these published findings, we show that upon plectin inactivation, the HCC cell line SNU475 exhibits aberrant cytoskeletal organization (vimentin and actin; Figs 4A-D, S4A-F), altered number, topography and morphometry of focal adhesions (Figs 4A, E-G, S4H,I), and ineffective transmission of traction forces (Fig 4H,I). Similar, although not quantified, phenotypes are present in Huh7 with inactivated plectin (data not shown). It is worth noting, that even robust cytoskeletal (e.g. #ventral stress fibers, Fig 4A,D and vimentin architecture, Fig S4A-C) and focal adhesion (%central FA, Fig 4A,E) phenotypes differ significantly between different modes of plectin inactivation and would certainly do so if compared between cell lines. These phenotypes are heterogeneous but not inconsistent. Interestingly, both SNU-475 and Huh7 plectin-inactivated cells show similar functional consequences such as prominent decrease in migration speed (Fig 5B). This suggests that while specific aspects of cytoarchitecture are differentially affected in different cell lines, the functional consequences of plectin inactivation are shared between HCC cell lines.

      It is therefore not surprising that the activation status of downstream effectors, resulting from different degrees of cytoskeletal and focal adhesion reconfiguration, is not identical (or even comparable) between cell lines and treatment conditions. Furthermore, we compare highly epithelial (keratin- and almost no vimentin-expressing) Huh7 cells with highly dedifferentiated (low keratin- and high vimentinexpressing) SNU-475 cells, which differ significantly in their cytoskeleton, adhesions, and signaling networks. Alternative approaches to plectin inactivation are not expected to result in the same degree of dysregulation of specific signaling pathways. Effects of adaptation (CRISPR/Cas9-generated KOs and ∆IFBDs), engagement of different binding domains (CRISPR/Cas9-generated ∆IFBDs), and pleiotropic modes of action (plecstatin-1) are expected.

      In our study, we provide the reader with an unprecedented complex comparison of adhesion-associated signaling between WT and plectin-inactivated HCC cell lines. First, we compared the proteomes of WT, KO and PST-treated WT SNU-475 cells using MS-based shotgun proteomics and phosphoproteomics (Fig 3A-C). Second, we extensively and quantitatively immunoblotted the major molecular denominators of MS-identified dysregulated pathways (such as “FAK signaling”, “ILK signaling”, and “Integrin signaling”) with the following results. Data (shown in Figs 3D and S3C) are expressed as a percentage of untreated WT, with downregulated values are highlighted in red:

      Author response table 1.

      In addition, we show dysregulated expression (mostly downregulation) of focal adhesion constituents ITGβ1 and αv, talin, vinculin, and paxilin which nicely complements fewer and larger focal adhesions in plectin-inactivated HCC cells. In light of these results, we believe that our statement that “Although these alterations were not found systematically in both cell lines and conditions (reflecting thus presumably their distinct differentiation grade and plectin inactivation efficacy), collectively these data confirmed plectin-dependent adhesome remodeling together with attenuation of oncogenic FAK, MAPK/Erk, and PI3K/Akt pathways upon plectin inactivation” (see pages 8-9) is fully supported. Furthermore, in support of the results of MS-based (phospho)proteomic and immunoblot analyses we show strong correlation between plectin expression and the signatures of “Integrin pathway” (R<sup>2</sup>=0.15, p= 2x10<sup>-45</sup>), “FAK pathway” (R<sup>2</sup>=0.11, p= 2x10<sup>-34</sup>), “PI3K Akt/mTOR signaling” (R<sup>2</sup>=0.06, p= 2x10<sup>-20</sup>) or “Erk pathway” (R<sup>2</sup>=0.10, p= 6x10<sup>-30</sup>) in HCC samples from 1268 patients (Fig S7-2C and S7-3).

      In conclusion, we show that plectin is required for proper/physiological adhesion-associated signaling pathways in HCC cells. The HCC adhesome and associated pathways are dysregulated upon plectin inactivation and we show context-dependent varying degrees of attenuation of the FAK, MAPK/Erk, and PI3K/Akt pathways. In our view, presenting context-dependent variability in expression/activation of pathway molecular denominators is a trade-off for our intention to address this aspect of plectin inactivation in the complexity of different cell lines, tissues, and modes of inactivation. We prefer rather this complex approach to presenting “more convincing” black-and-white data assessed in a single cell line (Qi et al., 2022) or upon plectin inactivation by a single approach (compare with otherwise excellent studies such as (Xu et al., 2022) or (Buckup et al., 2021)). In fact, unlike the reviewers, we consider this complexity (and the resulting heterogeneity of the data) to be a strength rather than a weakness of our study.

      Reviewer 1:

      (1) The authors suggest that plectin controls oncogenic FAK, MAPK/Erk, and PI3K/Akt signaling in HCC cells, representing the mechanisms by which plectin promotes HCC formation and progression. However, the effect of plectin inactivation on these signaling was inconsistent in Huh7 and SNU-475 cells (Figure 3D), despite similar cell growth inhibition in both cell lines (Figure 2G). For example, pAKT and pERK were only reduced by plectin inhibition in SNU-475 cells but not in Huh7 cells.

      We agree with the reviewer that plectin inactivation yields varying degrees of attenuation of the FAK, MAPK/Erk, and PI3K/Akt pathways depending on the cell type (Huh7 vs SNU-475 cells) and mode of plectin inactivation (CRISPR/Cas9-generated plectin KO vs functional KO (∆IFBD) vs organorutheniumbased inhibitor plecstatin-1). This context-dependent heterogeneity in the expression/activation of molecular denominators of signaling pathways reflects different degrees of cytoskeletal (e.g. #ventral stress fibers, Fig 4A,D and vimentin architecture, Fig S4A-C) and focal adhesion (e.g. %central FA, Fig 4A,E) phenotypes under different conditions. We expect, that functional consequences (such as reduced migration and anchorage-independent proliferation) arise from a combination of changes in individual pathways. The sum of often subtle changes will result in comparable effects not only on cell growth, but also on migration or transmission of traction forces. For more detailed comment, please see our response to all Reviewers on the first three pages of this letter.

      We believe, that our data show that both pAkt and pErk are attenuated upon plectin inactivation in both Huh7 and SNU-475 cells. The following data (shown in Figs 3D and S3C) are expressed as a percentage of untreated WT, with downregulated values are highlighted in red:

      Author response table 2.

      (2) In addition, pFAK was not changed by plectin inhibition in both cells, and the ratio of pFAK/FAK was increased in both cells.

      We agree with the reviewer that pFAK/FAK levels are either comparable or slightly higher upon plectin inactivation. However, we believe that our data convincingly show that FAK expression is downregulated in both Huh7 and Snu-475 cells. In our opinion, this results in an overall attenuation of the FAK signaling (see percentage for Normalized pFAKxNormalized FAK), which is expectedly more pronounced in migratory Snu-475 cells. The following data (shown in Figs 3D and S3C) are expressed as a percentage of untreated WT, with downregulated values are highlighted in red:

      Author response table 3.

      Given these results, we feel that our statement that “inhibition of plectin attenuates FAK signaling” (pages 8-9) is well supported.

      (3) Thus, it is hard to convince me that plectin promotes HCC formation and progression by regulating these signalings.

      Previous studies have shown that dysregulation of cell adhesions and attenuation of adhesionassociated FAK, MAPK/Erk, and PI3K/Akt signaling has inhibitory effects on HCC formation and progression. We show that plectin is required for the proper/physiological functioning of adhesionassociated signaling pathways in selected HCC cells. The HCC adhesome and associated pathways are dysregulated upon plectin inactivation and we show context-dependent varying degrees of attenuation of the FAK, MAPK/Erk, and PI3K/Akt pathways. We support these conclusions by providing the reader with proteomic and phosphoproteomic comparisons of adhesion-associated signaling between WT and plectin-inactivated HCC cell lines (Figs 3B,C and S3A,B). We further validate our findings by extensive and quantitative immunoblotting analysis (Figs 3D and S3C). In addition, we show a strong correlation between plectin expression and the signatures of “Integrin pathway” (R<sup>2</sup>=0.15, p= 2x10<sup>-45</sup>), “FAK pathway” (R<sup>2</sup>=0.11, p= 2x10<sup>-34</sup>), “PI3K Akt/mTOR signaling” (R<sup>2</sup>=0.06, p= 2x10<sup>-20</sup>) or “Erk pathway” (R<sup>2</sup>=0.10, p= 6x10<sup>-30</sup>) in HCC samples from 1268 patients (Fig S7E).

      Our data and conclusions are fully consistent with previously published studies in HCC cells. For instance, even a mild decrease in FAK levels leads to a significant reduction in colony size (see effects of KD (Gnani et al., 2017) , effects of FAK inhibitor and sorafenib in xenografts (Romito et al., 2021), or effects of inhibitors in soft agars and xenografts (Wang et al., 2016)). Similar effects were observed upon partial Akt inhibition (compare with Akt inhibitors in soft agars (Cuconati et al., 2013; Liu et al., 2020)). Of course, we cannot rule out synergistic plectin-dependent effects mediated via adhesion-independent mechanisms. To identify these mechanisms and to distinguish contribution of various consequences of cytoskeletal dysregulation to phenotypes described in this manuscript would be experimentally challenging and we feel that these studies go beyond the scope of our current study.

      As we feel that the adhesion-independent mechanisms were not sufficiently discussed in the original manuscript, we have removed the original sentence “Given the well-established oncogenic activation of these pathways in human cancer(33), our study identifies a new set of potential therapeutic targets.” (page 15) from the Discussion and added the following text: “However, it is conceivable that dysregulated cytoskeletal crosstalk could affect HCC through multiple mechanisms independent from FA-associated signaling. Indeed, we and others (Jirouskova et al., 2018; Xu et al., 2022) have shown that upon plectin inactivation, liver cells acquire epithelial characteristics that promote increased intercellular cohesion and reduced migration. Further studies will be required to identify and investigate synergistic adhesion-independent effects of plectin inactivation on HCC growth and metastasis.” (page 15). See also our response to Reviewer 2, #4 and Reviewer 3, #3 and #4.

      (4) The authors claimed that Plectin inactivation inhibits HCC invasion and metastasis using in vitro and in vivo models. However, the results from in vivo models were not as compelling as the in vitro data. The lung colonization assay is not an ideal in vivo model for studying HCC metastasis and invasion, especially when Plectin inhibition suppresses HCC cell growth and survival. Using an orthotopic model that can metastasize into the lung or spleen could be much more convincing for an essential claim.

      We agree with the reviewer that the orthotopic in vivo model would be an ideal setting to address HCC metastasis experimentally. There are several published models of HCC extrahepatic metastasis, including an orthotopic model of lung metastasis (Fan et al., 2012; Voisin et al., 2024; You et al., 2016), but to our knowledge, none of these orthotopic models are commonly used in the field. In contrast, the administration of tumor cells via the tail vein of mice is a standard, well-established approach of first choice for modelling lung metastasis in a variety of tumor types (e.g. (Hiratsuka et al., 2011; Jakab et al., 2024; Lu et al., 2020)), including HCC (Jin et al., 2017; Lu et al., 2020; Tao et al., 2015; Zhao et al., 2020). 

      Furthermore, we do not believe that the use of an orthotopic model would provide a comparable advantage in terms of plectin-mediated effects on metastatic growth compared to tail vein delivery of tumor cells. Importantly, the lung colonization model used in our study allows for the injection of a defined number of HCC cells into the bloodstream, thus eliminating the effect of the primary tumor size on the number of metastasizing cells. To distinguish between effects of plectin inhibition on HCC cell growth/survival and dissemination, we carefully evaluated both the number and volume of lung metastases (Figs 6I and S6C-F). The observed reduction in the number of metastases (Figs 6I and S6D) reflects the initiation/early phase of metastasis formation, which is strongly influenced by the adhesion, migration, and invasion properties of the HCC cells and corresponds well with the phenotypes described after plectin inactivation in vitro (Figs 4H,I; 5; 6A-E; S5; and S6A,B). The reduction in the volume of metastases (Figs 6I and S6E) reflects the effects of plectin inhibition on HCC cell growth and metastatic outgrowth and corresponds well with the in vitro data shown in Figs 2G,H and S2F,G.

      (5) Also, in Figure 6H, histology images of lungs from this experiment need to be shown to understand plectin's effect on metastasis better.

      We are grateful to the reviewer for bringing our attention to the lung colonization assay results presented. The description of the experiments in the text of the original manuscript was incorrect. The animals monitored by in vivo bioluminescence imaging (shown in Fig 6H) are the same as the mice from which cleared whole lung lobes were analyzed by lattice light sheet fluorescence microscopy (shown in Fig. 6I). The corrected description is now provided in the revised manuscript as follows: “To identify early phase of metastasis formation, we next monitored the HCC cell retention in the lungs using in vivo bioluminescence imaging (Fig. 6H). This experimental cohort was expanded for WT-injected mice which were administered PST…” (page 11).

      Therefore, lungs from all animals shown in Fig 6H,I were CUBIC-cleared and analyzed by lattice light sheet fluorescence microscopy. As requested by Reviewer 2, Recommendation #1, we provide in the revised manuscript (Fig S6F) “whole slide scan results for all the groups” which could help to understand plectin's effect on metastasis better”. To address the reviewer's concern, we also post-processed cleared and visualized lungs for hematoxylin staining and immunolabeled them for HNF4α. A representative image is shown as a panel A in Author response image 1. Post-processing of CUBIC-cleared and immunolabeled lung lobes resulted in partial tissue destruction and some samples were lost. In addition, as the entire experimental setup was designed for the early phase of metastasis formation, only small Huh7 foci were formed (compared to the larger metastases that developed within 13 weeks after inoculation shown in the panel B). As the IHC for HNF4α provides significantly lower sensitivity compared to the immunofluorescence images provided in the manuscript, we were only able to identify a few HNF4α-positive foci. Overall, we consider our immunofluorescence images to be qualitatively and quantitatively superior to IHC sections. However, if the reviewer or the editor considers it beneficial, we are prepared to show our current data as a part of the manuscript.

      Author response image 1.

      (A) HNF4α staining of lung tissue after CUBIC clearing from mice inoculated with WT Huh7 from the timepoint of BLI, when the positive signal in chest area has been detected. This timepoint was then selected for the comparison of initial stages of lung colonization. (B) H&E and HNF4α staining from lung tissue of mice inoculated with WT Huh7 cells from the survival experiment. Scale bars, 50 µm.

      (6) Figure 6G, it is unclear how many mice were used for this experiment. Did these mice die due to the tumor burdens in the lungs?

      The number of animals is given in the legend to Fig 6G (page 34; N = 14 (WT), 13 (KO)). Large Huh7 metastases were identified in the lungs of animals that could be analyzed post-mortem by IHC (see panel B in the figure above). No large metastases were found in other organs examined, such as the liver, kidney and brain. It is therefore highly likely that these mice died as a result of the tumor burden in the lungs. A similar conclusion was drawn from the results of the lung colonization model in the previous studies (Jin et al., 2017; Zhao et al., 2020).

      (7) The whole paper used inhibition strategies to understand the function of plectin. However, the expression of plectin in Huh7 cells is low (Figure 1D). It might be more appropriate to overexpress plectin in this cell line or others with low plectin expression to examine the effect on HCC cell growth and migration.

      For this study, we selected two model HCC cell lines – Huh7 and SNU-475. Our intention was to investigate the role of plectin in “well-differentiated” (Huh7) and “poorly differentiated” (SNU-475) HCC cells, including thus early and advanced stages of HCC development (as categorized before (Boyault et al., 2007; Yuzugullu et al., 2009a); see also our description and rationale on page 6). As anticipated, less migratory “epithelial-like” Huh7 cells are characterized by relatively high E-cadherin, low vimentin, and low plectin expression levels (Fig 1D). In contrast, migratory “mesenchymal-like” SNU-475 cells are characterized by relatively low E-cadherin, high vimentin, and high plectin expression levels (Fig 1D). Therefore, the majority of analyses were performed in both relatively low plectin-expressing Huh7 and high plectin-expressing SNU-475 cells. It is noteworthy, that inactivation of plectin had similar (although less pronounced) inhibitory effects on growth and migration in both Huh7 and SNU-475 cells.

      We agree with the reviewer that “It might be more appropriate to overexpress plectin in this cell line or others with low plectin expression to examine the effect on HCC cell growth and migration”. In fact, we have received similar suggestions since we started publishing our studies on plectin. There are two reasons, which preclude the successful overexpression experiments. First, there are about 14 known isoforms of plectin (Prechova et al., 2023). Although, previous studies have analyzed the phenotypic rescue potential of some plectin isoforms using transient transfection (e.g. (Burgstaller et al., 2010; Osmanagic-Myers et al., 2015; Prechova et al., 2022)), the isoform variability precludes rescue/overexpression experiments if the causative isoform is not known. Second, plectin is a giant cytoskeletal crosslinker protein of more than 4,500 amino acids with binding sites for intermediate filaments, F-actin, and microtubules. Overexpression of the approximately 500 kDa-large crosslinker invariably leads to the collapse of cytoskeletal networks in every cell type we have tested so far. See also our response to Reviewer 3, #2.

      Reviewer 2:

      (1) The annotation of mouse numbers is confusing. In Figures 2A B D E F, it should be the same experiment, but the N numbers in A are 6 and 5. In E and F they are 8 and 3. Similarly, in Figure 2H, in the tumor size curve, the N values are 4,4,5,6. In the table, N values are 8,8,10,11 (the authors showed 8,7,8,7 tumors that formed in the picture). 

      We are grateful to the reviewer for bringing our attention to the inconsistency the number of animals in DEN-induced hepatocarcinogenesis. Results from two independent cohorts are presented in the manuscript. The first cohort was used for MRI screening (Fig 2A-C) and at the second screening timepoint of 44 weeks, approximately 75% of animals died during anesthesia. Therefore, the second cohort of Ple<sup>ΔAlb</sup> and Ple<sup>fl/fl</sup> mice was used for macroscopic confirmation and histology (Figs 2D-F and S2A). We agree with the reviewer that the original presentation of the data may be misleading; therefore, we have rephrased the sentence describing macroscopic confirmation and histology (Figs 2D-F and S2A) as follows: “Decreased tumor burden in the second cohort of Ple<sup>ΔAlb</sup> mice was confirmed macroscopically…” (page 7).

      For the experiments shown in Fig 2H, mice were injected in both hind flanks. We have added this information to the figure legend along with the correct number of tumors.

      (2) In Figure 3D and Figure S3C, the changes in most of the proteins/phosphorylation sites are not convincing/consistent. These data are not essential for the conclusion of the paper and WB is semi-quantitative. Maybe including more plots of the proteins from proteomic data could strengthen their detailed conclusions about the link between Plectin and the FAK, MAPK/Erk, PI3K/Akt pathways as shown in 3E.

      We agree with the reviewer that plectin inactivation yields varying degrees of attenuation of the FAK, MAPK/Erk, and PI3K/Akt pathways depending on the cell type (Huh7 vs SNU-475 cells) and mode of plectin inactivation (CRISPR/Cas9-generated plectin KO vs functional KO (∆IFBD) vs organorutheniumbased inhibitor plecstatin-1). This context-dependent heterogeneity in the expression/activation of pathway molecular denominators reflects different degrees of cytoskeletal (e.g. #ventral stress fibers, Fig 4A,D and vimentin architecture, Fig S4A-C) and focal adhesion (e.g. %central FA, Fig 4A,E) phenotypes under different conditions. See also the detailed response to all reviewers (on the first three pages of this letter) and the responses to Reviewer 1, #1 and #2, Reviewer 3, #4.

      Our immunoblot analysis is based on NIR fluorescent secondary antibodies which were detected and quantified using an Odyssey imaging system (LI-COR Biosciences). This approach allows a wider linear detection range than chemiluminescence without a signal loss and is considered to provide quantitative immunoblot detection (Mathews et al., 2009; Pillai-Kastoori et al., 2020) (see also manufacturer's website: https://www.licor.com/bio/applications/quantitative-western-blots/).

      Following the reviewer's recommendation, we have carefully reviewed our proteomic and phosphoproteomic data. There are no further MS-based data (other than those already presented in the manuscript) to support the association of plectin with the FAK, MAPK/Erk, PI3K/Akt pathways.

      (3) Figure S7A and B, The pictures do not show any tumor, which is different from Figure 7A and B (and from the quantification in S7A lower right). Is it just because male mice were used in Figure 7 and female mice were used in Figure S7? Is there literature supporting the sex difference for the Myc-sgP53 model?

      As indicated in the Figure legends and in the corresponding text in the Results section (page 12), the Fig 7A,B shows Myc;sgTp53-driven hepatocarcinogenesis in male mice, whereas Fig S7C,D shows results from the female cohort. In general, the HDTVi-induced HCC onset and progression differs considerably between individual experiments, and it is therefore crucial to compare data within an experimental cohort (as we have done for Ple<sup>ΔAlb</sup> and Ple<sup>fl/fl</sup> mice). Nevertheless, we cannot exclude the influence of sexual dimorphism on the results presented. The existence of sexual dimorphism in liver cancer is supported by a substantial body of evidence derived from various studies (e.g. (Bigsby and CaperellGrant, 2011; Bray et al., 2024)). To date, no reports have specifically addressed sexual dimorphism in Myc;sgTp53 HDTVI-induced liver cancer. This is likely due to the fact that the vast majority of studies using this model have only presented data for one sex. However, a study using an HDTVI-administered combination of c-MET and mutated beta-catenin oncogenes to induce HCC in mice observed elevated levels of alpha-fetoprotein (AFP) in males when compared to females (Bernal et al., 2024). The study suggests that estrogen may have a protective effect in female mice, as ovariectomized females had AFP levels comparable to those observed in males. Our data suggest that female hormones may have a similar effect in the Myc;sgTp53 HDTVI-induced liver cancer model.

      (4) Figure 2F, S2A, Ple<sup>ΔAlb</sup> mice more frequently formed larger tumors, as reflected by overall tumor size increase. The interpretation of the authors is "possibly implying reduced migration or increased cohesion of plectin-depleted cells". It is quite arbitrary to make this suggestion in the absence of substantial data or literature to support this theory.

      We agree with the reviewer that our statement “Notably, Ple<sup>ΔAlb</sup> mice more frequently formed larger tumors, as reflected by overall tumor size increase (Fig. 2F; Figure 2—figure supplement 1A), possibly implying reduced migration or increased cohesion of plectin-depleted cells(25).” (page 7) is rather speculative. As we did not further address the formation of larger tumors in Ple<sup>ΔAlb</sup> mice further in the current study, we wanted to provide the readers with some, even speculative, hypotheses. In support of our hypothesis, we cite our own publication (#26; Jirouskova et al., J Hepatol., 2018), where we show that plectin inactivation in Ple<sup>ΔAlb</sup> livers results in upregulation of the epithelial marker E-cadherin. Previous studies have shown that similar increase in E-cadherin expression levels reflects mesenchymalto-epithelial transition (e.g. (Adhikary et al., 2014; Auersperg et al., 1999; Wendt et al., 2011)) and is often associated with reduced cancer cell migration/invasion. This is consistent with our finding that “migrating plectin-disabled SNU-475 cells exhibited more cohesive, epithelial-like features while progressing collectively. By contrast, WT SNU-475 leader cells were more polarized and found to migrate into scratch areas more frequently than their plectin-deficient counterparts (Figure 5—figure supplement 1B). Consistent with this observation, individually seeded SNU-475 cells less frequently assumed a polarized, mesenchymal-like shape upon plectin inactivation in both 2D and 3D environments (Fig. 5C). Moreover, plectin-inactivated SNU-475 cells exhibited a decrease in N-cadherin and vimentin levels when compared to WT counterparts (Figure 5—figure supplement 1C).” (page 10).

      In conclusion, we have shown that plectin-deficient hepatocytes express higher levels of E-cadherin and hepatocyte-derived SNU-475 cells express less N-cadherin and vimentin. In addition, we show that SNU475 cells exhibited more cohesive, epithelial-like features in scratch-wound experiments. To address the reviewer's concern and to further support our statement about the increased cohesiveness of plectindeficient HCC cells we have included the citation of the recent study #27 (Xu et al., 2022). Using the MHCC97H and MHCC97L HCC cell lines, this study shows that plectin downregulation “inhibits HCC cell migration and epithelial mesenchymal transformation”, which is fully consistent with our hypothesis. To mitigate the impression of an unsubstantiated statement, we also discuss adhesion-independent plectin-mediated mechanisms in the revised Discussion section as follows: “However, it is conceivable that dysregulated cytoskeletal crosstalk could affect HCC through multiple mechanisms independent from FA-associated signaling. Indeed, we and others (Jirouskova et al., 2018; Xu et al., 2022) have shown that upon plectin inactivation, liver cells acquire epithelial characteristics that promote increased intercellular cohesion and reduced migration. Further studies will be required to identify and investigate synergistic adhesion-independent effects of plectin inactivation on HCC growth and metastasis.” (page 15).

      (5) Mutation or KO PLEC has been shown to cause severe diseases in humans and mice, including skin blistering, muscular dystrophy, and progressive familial intrahepatic cholestasis. Please elaborate on the potential side effects of targeting Plectin to treat HCC.

      Indeed, mutation or ablation of plectin has been implicated in many diseases (collectively known as plectinopathies). These multisystem disorders include an autosomal dominant form of epidermolysis bullosa simplex (EBS), limb-girdle muscular dystrophy, aplasia cutis congenita, and an autosomal recessive form of EBS that may be associated with muscular dystrophy, pyloric atresia, and/or congenital myasthenic syndrome. Several mutations have also been associated with cardiomyopathy and malignant arrhythmias. Progressive familial intrahepatic cholestasis has also been reported. In genetic mouse models, loss of plectin leads to skin fragility, extensive intestinal lesions, instability of the biliary epithelium, and progressive muscle wasting (for more details see (Vahidnezhad et al., 2022)). 

      It is therefore important to evaluate potential side effects, and plectin inactivation therefore presents challenges comparable to other anti-HCC targets. For instance, Sorafenib, the most widely used chemotherapy in recent decades, targets numerous serine/threonine and tyrosine kinases (RAF1, BRAF, VEGFR 1, 2, 3, PDGFR, KIT, FLT3, FGFR1, and RET) that are critical for proper non-pathological functions (Strumberg et al., 2007; Wilhelm et al., 2006; Wilhelm et al., 2004). The combinatorial therapy of atezolizumab and bevacizumab targets also PD-L1 in conjunction with VEGF, which plays an essential role in bone formation (Gerber et al., 1999), hematopoiesis (Ferrara et al., 1996), or wound healing (Chintalgattu et al., 2003). To allow readers to read a comprehensive account of the pathological consequences of plectin inactivation, we included two additional citations (Prechova et al., 2023; Vahidnezhad et al., 2022)  and rephrased Introduction section as follows: “…multiple reports have linked plectin with tumor malignancy(12) and other pathologies (Prechova et al., 2023; Vahidnezhad et al., 2022), mechanistic insights…” (page 4-5).

      Reviewer 3:

      (1) The rationale for using Huh7 cells in the manuscript is not well explained as it has the lowest Plectin expression levels.

      For this study, we selected two model HCC cell lines - Huh7 and SNU-475. Our intention was to address the role of plectin in “well-differentiated” (Huh7) and “poorly differentiated” (SNU-475) HCC cells, thus including early and advanced stages of HCC development (as categorized before (Boyault et al., 2007; Yuzugullu et al., 2009b) see also our description and reasoning on page 6). The Huh7 cell line is also a well-established and widely used model suitable for both in vitro and in vivo settings (e.g. (Du et al., 2024; Fu et al., 2018; Si et al., 2023; Zheng et al., 2018).

      As anticipated, less migratory “epithelial-like” Huh7 cells are characterized by relatively high E-cadherin, low vimentin, and low plectin expression levels (Fig 1D). In contrast, migratory “mesenchymal-like” SNU475 cells are characterized by relatively low E-cadherin, high vimentin, and high plectin expression levels (Fig 1D). Therefore, the majority of analyses were performed in both relatively low plectin-expressing Huh7 and high plectin-expressing SNU-475 cells. It is noteworthy, that inactivation of plectin had similar (although less pronounced) inhibitory effects on the phenotypes in both Huh7 and SNU-475 cells. We believe that these findings highlight the importance of plectin in HCC growth and metastasis, as plectin inactivation has inhibitory effects on both early (low plectin) and advanced (high plectin) stages of HCC.

      (2) The KO cell experiments should be supplemented with overexpression experiments.

      We agree with the reviewer that it would be helpful to complement our plectin inactivation experiments by overexpressing plectin in the HCC cell lines used in this study. In fact, we have received similar suggestions since we started to publish our studies on plectin. There are two reasons, which preclude the successful overexpression experiments. First, there is about 14 known isoforms of plectin (Prechova et al., 2023). Although previous studies have analyzed the phenotypic rescue potential of some plectin isoforms using transient transfection (e.g. (Burgstaller et al., 2010; Osmanagic-Myers et al., 2015; Prechova et al., 2022)), the isoform variability precludes rescue/overexpression experiments if the causative isoform is not known. Second, plectin is a giant cytoskeletal crosslinker protein of more than 4,500 amino acids with binding sites for intermediate filaments, F-actin, and microtubules. Overexpression of the approximately 500 kDa-large crosslinker invariably leads to the collapse of cytoskeletal networks in every cell type we have tested so far. See also our response to Reviewer 1, #7.

      (3) There is significant concern that while ablation of Ple led to reduced tumor number, these mice had larger tumors. The data indicate that Plectin may have distinct roles in HCC initiation versus progression. The data are not well explained and do not fully support that Plectin promotes hepatocarcinogenesis.

      In the DEN-induced HCC model MRI screening revealed fewer tumors and also tumor volume was reduced at 32 and 44 weeks post-induction (Fig 2A-C). Larger tumors formed in Ple<sup>ΔAlb</sup> compared to Ple<sup>fl/fl</sup> livers (Figs 2F and S2A) refer only to a subset of macroscopic tumors visually identified at necropsy. Larger Ple<sup>ΔAlb</sup> tumors were not observed in the Myc;sgTp53 HDTVI-induced HCC model (data not shown). In contrast, plectin deficiency reduced the size of xenografts formed in NSG mice (Fig 2H), and agar colonies grown from Huh7 and SNU-475 cells with inactivated plectin were also smaller (Fig S2F). In all in vivo and in vitro approaches presented in the manuscript, plectin inactivation reduced the number of colonies/xenografts/tumors. As hepatocarcinogenesis is a multistep process including initiation, promotion, and progression (Pitot, 2001), we feel confident in concluding that plectin inactivation inhibits hepatocarcinogenesis and we consider this conclusion to be fully supported by the data presented in the manuscript.

      However, we agree with the reviewer that larger macroscopic Ple<sup>ΔAlb</sup> tumors in the DEN-induced HCC model are intriguing. As we do not see similar effects (or even trends) in other approaches used in this study, we cannot exclude the contribution of plectin-deficient environment in Ple<sup>ΔAlb</sup> livers during longterm (44 weeks) tumor formation and growth. In our previous study (Jirouskova et al., 2018), we showed that plectin deficiency in Ple<sup>ΔAlb</sup> livers leads to biliary tree malformations, collapse of bile ducts and ductules, and mild ductular reaction. We could speculate that Ple<sup>ΔAlb</sup> livers suffer from continuous bile leakage into the parenchyma, which would exacerbate all models of long-term pathology.

      As we did not further address the formation of larger tumors in Ple<sup>ΔAlb</sup> mice further in the current study, we offered the reader the hypothesis that large tumors could “…possibly implying reduced migration or increased cohesion of plectin-depleted cells25.” In support of our hypothesis, we cite our own publication (#26; Jirouskova et al., J Hepatol., 2018), where we show that plectin inactivation in Ple<sup>ΔAlb</sup> livers results in upregulation of the epithelial marker E-cadherin. Previous studies have shown that similar increase in E-cadherin expression levels reflects mesenchymal-to-epithelial transition (e.g. (Adhikary et al., 2014; Auersperg et al., 1999; Wendt et al., 2011)) and is often associated with reduced cancer cell migration/invasion. This is consistent with our finding that “migrating plectin-disabled SNU475 cells exhibited more cohesive, epithelial-like features while progressing collectively. By contrast, WT SNU-475 leader cells were more polarized and found to migrate into scratch areas more frequently than their plectin-deficient counterparts (Figure 5—figure supplement 1B). Consistent with this observation, individually seeded SNU-475 cells less frequently assumed a polarized, mesenchymal-like shape upon plectin inactivation in both 2D and 3D environments (Fig. 5C). Moreover, plectin-inactivated SNU-475 cells exhibited a decrease in N-cadherin and vimentin levels when compared to WT counterparts (Figure 5—figure supplement 1C).” (page 10).

      In conclusion, we have shown that plectin-deficient hepatocytes express higher levels of E-cadherin and hepatocyte-derived SNU-475 cells less N-cadherin and vimentin. In addition, we show that SNU-475 cells exhibited more cohesive, epithelial-like features in scratch-wound experiments. To address the reviewer's concern and to further support our claim of increased cohesiveness of plectin-deficient HCC cells we included the citation of the recent study(27). Using the MHCC97H and MHCC97L HCC cell lines, this study shows that plectin downregulation “inhibits HCC cell migration and epithelial mesenchymal transformation” and is therefore fully consistent with our hypothesis. To mitigate the impression of an unsubstantiated statement, we also discuss adhesion-independent plectin-mediated mechanisms in the revised Discussion section as follows: “However, it is conceivable that dysregulated cytoskeletal crosstalk could affect HCC through multiple mechanisms independent from FA-associated signaling. Indeed, we and others (Jirouskova et al., 2018; Xu et al., 2022) have shown that upon plectin inactivation, liver cells acquire epithelial characteristics that promote increased intercellular cohesion and reduced migration. Further studies will be required to identify and investigate synergistic adhesionindependent effects of plectin inactivation on HCC growth and metastasis.” (page 15).

      (4) Figure 3 showed that Plectin does not regulate p-FAK/FAK expression. Therefore, the statement that Plectin regulates the FAK pathway is not valid. Furthermore, there are too many variables in turns of p-AKT and p-ERK expression, making the conclusion not well supported.

      We agree with the reviewer that pFAK/FAK levels are either comparable or slightly higher upon plectin inactivation. However, we believe that our data convincingly show that FAK expression is downregulated in both Huh7 and Snu-475 cells. In our opinion, this results in an overall attenuation of the FAK signaling (see percentage for Normalized pFAKxNormalized FAK), which is expectedly more pronounced in migratory Snu-475 cells. The following data (shown in Figs 3D and S3C) are expressed as a percentage of untreated WT, with downregulated values highlighted in red:

      Author response table 4.

      Given these results, we believe that our statement that “inhibition of plectin attenuates FAK signaling” (pages 8-9) is well supported.

      We believe, that our data show that both pAkt and pErk are attenuated upon plectin inactivation in both Huh7 and SNU-475 cells. The following data (presented in Figs 3D and S3C) are shown as a percentage of untreated WT, with downregulated values highlighted in red:

      Author response table 5.

      We agree with the reviewer that plectin inactivation yields varying degrees of attenuation of the FAK, MAPK/Erk, and PI3K/Akt pathways depending on the cell type (Huh7 vs SNU-475 cells) and mode of plectin inactivation (CRISPR/Cas9-generated plectin KO vs functional KO (∆IFBD) vs organorutheniumbased inhibitor plecstatin-1). This context-dependent heterogeneity in the expression/activation of pathway molecular denominators reflects different degrees of cytoskeletal (e.g. #ventral stress fibers, Fig 4A,D and vimentin architecture, Fig S4A-C) and focal adhesion (e.g. %central FA, Fig 4A,E) phenotypes under different conditions. See also the detailed response to all Reviewers (on the first three pages of this letter) and the responses to Reviewer 1, #1 and #2 and Reviewer 2, #4.

      (5) The studies of plecstatin-1 in HCC should be expanded to a panel of human HCC cells with various Plectin expression levels in turns of cell growth and cell migration. The IC50 values should be determined and correlate with Plectin expression.

      Following the reviewer's suggestion, we have included graphs showing IC50 values for Huh7 (low plectin) and SNU-475 (high plectin) cells as Fig S2E. As expected, the IC50 values are higher for SNU-475 cells. Corresponding parts of the Figure legends have been changed. We refer to new data in the Results section as follows: “If not stated otherwise, we applied PST in the final concentration of 8 µM, which corresponds to the 25% of IC50 for Huh7 cells (Figure 2—figure supplement 1E).” (page 7). We also provide details of the IC50 determination in the revised Supplement Materials and methods section (pages 5-6).

      (6) One of the major issues is the mechanistic studies focusing on Plectin regulating HCC migration/metastasis, whereas the in vivo mouse studies focus on HCC formation (Figures 3 and 7). These are distinct processes and should not be mixed.

      In our study, we investigated the role of plectin in the development and dissemination of HCC. Using DEN- and Myc;sgTp53 HDTVI-induced HCC models (Figs 2A-F, S2A, 7A-C, and S7A-D), we show the effects of plectin inactivation on HCC formation in vivo. These studies are complemented by xenografts (Figs 2H and S2G) and in vitro colony formation assay (Figs 2G and S2F). Using an in vivo lung colonization assay (Figs 6G-I and S6C-F), we show the effects of plectin inactivation on the metastatic potential of HCC cells. In complementary in vitro studies, we show how plectin deficiency affects migration (Figs 5 and S5) and invasion (Figs 6A-E and S6A,B). 

      Our mechanistic studies show that plectin inactivation leads to dysregulation of cytoskeletal networks, adhesions, and adhesion-associated signaling. We believe that we have provided substantial experimental data suggesting that the proposed mechanisms play a role in plectin-mediated inhibition of both HCC development and dissemination. Of course, we cannot rule out additional, adhesionindependent mechanisms for HCC formation. To clarify this, we have revised the Discussion section as follows: “However, it is conceivable that dysregulated cytoskeletal crosstalk could affect HCC through multiple mechanisms independent from FA-associated signaling. Indeed, we and others (Jirouskova et al., 2018; Xu et al., 2022) have shown that upon plectin inactivation, liver cells acquire epithelial characteristics that promote increased intercellular cohesion and reduced migration. Further studies will be required to identify and investigate synergistic adhesion-independent effects of plectin inactivation on HCC growth and metastasis.” (page 15).

      (7) Figure 7B showed that Ple KO mice were treated with PST, but the data are not presented in the manuscript. Tumor cell proliferation and apoptosis rates should be analyzed as well.

      We do not show any effects of PST in Ple<sup>ΔAlb</sup> mice. As stated in the Fig 7B legend: “Myc;sgTp53 HCC was induced in Ple<sup>fl/fl</sup>, Ple<sup>ΔAlb</sup>, and PST-treated Ple<sup>fl/fl</sup> (Ple<sup>fl/fl</sup>+PST) male mice as in (A). Shown are representative images of Ple<sup>fl/fl</sup>, Ple<sup>ΔAlb</sup>, and Ple<sup>fl/fl</sup>+PST livers from mice with fully developed multifocal HCC sacrificed 6 weeks post-induction.”.

      Following the reviewer's recommendation, we include the analysis of proliferation and apoptosis rates as revised Fig S7A,B. Please note, that no differences in apoptosis and proliferation rates were found between experimental conditions. Due to additional data, the original Fig S7 – 1 has been split into revised Fig S7 – 1 and Fig S7 – 2.

      (8) The status of FAK, AKT, and ERK pathway activation was not analyzed in mouse liver samples. In Figure 7D, most of the adjusted p-values are not significant.

      We are aware that the majority of FDR corrected p-values shown in the Fig 7D are not significant. In fact, we deliberated with our colleagues from the laboratory of Prof. Samuel Meier-Menches (Department of Analytical Chemistry, University of Vienna), who conducted all the proteomic studies presented in this manuscript, on whether to present such "weak" data. Following a lengthy discussion, a decision was taken to include them despite the anticipation of criticism from the reviewers. The rationale for including these data is that, despite the lack of statistical significance, the findings are consistent with those of MS/immunoblot analyses of HCC cells (Figs 3 and S3) and patient data (Figs 7E, S7-2). The lack of statistical significance observed in the presented data is a consequence of the limited number of animals included in the Ple<sup>fl/fl</sup>, Ple<sup>ΔAlb</sup>, and PST-treated Ple<sup>fl/fl</sup> cohorts, which has resulted in a high degree of variability in the MS results. We agree with the reviewer that the inclusion of immunoblot analysis would provide further support for our conclusions. However, we do not have any remaining liver tissue that could be analyzed.

      (9) There is no evidence to support that PST is capable of overcoming therapy resistance in HCC. For example, no comparison with the current standard care was provided in the preclinical studies.

      We are grateful to the reviewer for bringing our attention to the incorrect statement in the Abstract: “…we show that plectin inhibitor plecstatin-1 (PST) is well-tolerated and capable of overcoming therapy resistance in HCC”. To address the reviewer's concern, we rephrased the Abstract as follows: “…we show that plectin inhibitor plecstatin-1 (PST) is well-tolerated and potently inhibits HCC progression”.

      Recommendations for the authors: 

      Reviewer 2 (Recommendations for the authors):

      (1) In Figures 6I and S6C, it would be better to show the whole slide scan result for all the groups.

      Following the reviewer's recommendation, we include the whole slide scan result for all the groups as revised Fig S6F.

      (2) In Figures S7C and D, what do the highlighted/colored dots represent? They are not mentioned in the figure legend or the results.

      Following the reviewer's recommendation, we include the explanation in the revised Figure legends (page 30).

      (3) In Figure 2H, the experiment schedule showed "6w Huh7 t.v.i.", but should it be subcutaneous injection?

      We are grateful to the reviewer for bringing our attention to the incorrect description of the experiment. The schematics was corrected. The schematic has been corrected. We have also noticed an error in the table summarizing the number of tumors formed (N) and have corrected the values for the WT+PST and KO conditions.

      (4) Supplemental Materials and Methods, Xenograft tumorigenesis, Error: 2.5×106 Huh7 cells in 250 ml PBS mice were administered subcutaneously in the left and right hind flanks. It probably should be "250ul".

      We are grateful to the reviewer for bringing our attention to the incorrect description of the experiment. The corresponding part of the Materials and Methods section has been corrected (page 2).

      (5) In Figure legend Supplementary Figure 6 C,D,E : "Representative magnified images from lung lobes with GFP-positive WT, KO, and WT+PST SNU-475 nodules". There is no picture for the WT+PST SNU-475 group.

      We are grateful to the reviewer for bringing our attention to the incorrect description of the experiment. The corresponding part of the Figure legend (“WT+PST SNU-475”) has been deleted (page 27).

      (6) In the Figure legend for Figure 6H, "Representative BLI images of WT, KO, and PST-treated WT (WT+PST) SNU-475 cells-bearing mice are shown". Should it be Huh7, not SNU-475?

      We are grateful to the reviewer for bringing our attention to the incorrect description of the experiment. The description of the cell line has been corrected (page 34).

      (7) The statement that current therapies rely on multikinase inhibitors is no longer correct.

      We are grateful to the reviewer for bringing our attention to the incorrect statement. To address the reviewer's concern, we rephrased the original part of Discussion section: “Current therapies for HCC rely on multikinase inhibitors (such as sorafenib) that provide only moderate survival benefit(60,61) due to primary resistance and the plasticity of signaling networks(62)” as follows: “Current systemic therapies for advanced HCC rely on a combination of multikinase inhibitor (such as sorafenib) or anti-VEGF /VEGF inhibitor (such as bevacizumab) treatment with immunotherapy(59). Multikinase inhibitors provide only moderate survival benefit(60,61) due to primary resistance and the plasticity of signaling networks(62), and only a subset of patients benefits from addition of immunotherapy in HCC treatment(63)” (page 15).

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    1. Author Response

      The following is the authors’ response to the current reviews.

      Reviewer #1 (Public Review):

      This manuscript by Leibinger et al describes their results from testing an interesting hypothesis that microtubule detyrosination inhibits axon regeneration and its inhibitor parthenolide could facilitate axon regeneration and perhaps functional recovery. Overall, the results from in vitro studies are largely well performed. However, the in vivo data are less convincing.

      Interpretation of the findings in this study are limited by several gaps:

      1) It is unclear whether microtubule detyrosination a primary effect of hIL-6 and PTEN deletion or secondary to the increased axon growth?

      This point is based on a misunderstanding, as shown in Fig. 2 by Western blot, that detyrosination was increased after intravitreal injection of AAV2-hIL-6 into optic nerves. These optic nerves were uninjured! This indicates that the increased detyrosination is an effect of the treatment itself and does not occur due to axonal regeneration.

      Why hIL-6 and PTEN nevertheless increase axonal regeneration is because the positive effect on other signaling pathways, such as JAK/STAT3 and mTOR, ultimately predominates. Consequently, we show, for both PTEN ko and hIL-6, that we can further enhance these positive effects by neutralizing the negative aspect of increased detyrosination using DMAPT.

      2) Is there any direct evidence for Akt and/or JAK/Stat3 to promote microtubule detyrosination?

      Regarding the AKT/GSK3 signaling pathway, it has been well described that GSK3 activity leads to phosphorylation of microtubule-associated protein 1B, which results in enhanced tubulin detyrosination (Lucas et al., 1998, Goold et al 1999, Owen and Gordon-Weeks 2003). As shown in our previous and cited work, hIL-6 promotes the activation of AKT, which in turn inhibits GSK3 (Leibinger et al. 2016). In Fig. 2, we have also shown that intravitreal hIL-6 treatment in the optic nerve leads to increased inhibitory phosphorylation of GSK3 at the target site of AKT, and that tubulin detyrosination is increased. The same was also shown for PTEN ko: In a previous publication, we showed that PTEN ko increases AKT activity, inhibiting GSK3 phosphorylation (Leibinger et al. 2019). In Fig. 3 of the actual study, we show that PTEN ko results in enhanced tubulin detyrosination. In conclusion, treatments activating the AKT/GSK3 signaling enhance tubulin detyrosination.

      On the other hand, JAK/STAT3 has no direct effect on detyrosination. This was demonstrated in experiments using the CNTF application, which reportedly activates the JAK/STAT3 pathway without affecting AKT/GSK3 (Leibinger et al, 2009, 2016, 2017).

      In cell culture, we have shown that activation of the JAK/STAT3 pathway by CNTF does not change tubulin detyrosination in neurites (Fig. 1 H, I, M; N). Moreover, DMAPT in RGC’s cell bodies does not affect the phosphorylation of STAT3 and S6, and thus has no measurable effect on JAK/STAT3 or the mTOR pathway.

      3) What is the impact of parthenolide on cell soma of neurons and other cell types?

      Parthenolide and DMAPT show a regenerative effect in the nanomolar range (cell culture) and a bell-shaped concentration-response curve. We show a close correlation between detyrosinated microtubules and regeneration (with and without hIL-6 or PTEN-KO), which is, in our opinion, convincing. Moreover, we would like to address a likely misunderstanding in this comment and provide further clarification. The detyrosination of alpha-tubulin occurs after its attachment to microtubules through the action of the tubulin carboxy peptidase vasohibin 1 and 2 (Vash 1, 2). Consequently, tubulin is already present in the detyrosinated form within existing microtubules, and the administration of DMAPT does not affect these pre-existing microtubules. However, DMAPT does play a crucial role in preventing the detyrosination of newly attached tubulin dimers in the growth cones of developing axons. This explains why we can detect detyrosinated tubulin specifically in those regions and why our immunohistochemical analyses in the cell culture experiments focused solely on axon tips.

      It is important to note that when used at low concentrations, which promote axon growth, DMAPT does not measurably affect detyrosination in other neuronal compartments, such as the RGCs' somata. We might observe a decrease in detyrosination only at much higher concentrations. However, this outcome would be inconsequential to our findings.

      Whether additional effects of DMAPT contribute to improved regeneration is not excluded, although unlikely. If so, their investigation would be beyond the scope of the current paper.

      4) Direct evidence that parthenolide augments PTEN deletion in optic nerve or spinal cord is not provided.

      Our research paper primarily investigates the combination of DMAPT with h-IL-6. We chose to combine DMAPT with hIL-6 because, unlike PTEN-KO, only hIL-6 has been demonstrated to facilitate functional recovery following a complete spinal cord crush injury (Leibinger et al., 2021). Therefore, it is unclear why conducting in vivo experiments with PTEN-KO would be necessary, which cannot be used therapeutically. Since we have shown the beneficial effects of DMAPT on hIL-6 in two different in vivo models (optic nerve and spinal cord) anatomically and functionally, we feel that the repetition of these experiments with PTEN ko, which has no therapeutic implication, would not justify the sacrifice of additional animals. This would contradict the principles of reduction, refinement, and replacement, aiming to minimize the use of animals in our research.

      In contrast, the PTEN experiments primarily serve to support the underlying mechanism and demonstrate that DMAPT generally counteracts the negative effect on MT detyrosination, even in conjunction with other procedures that activate the PI3K/AKT pathway. These findings were mechanistically elucidated through cell culture experiments utilizing immunohistochemial analysis, which the editors highlighted as strengths of our paper.

      5) Serotonergic neurotoxin DHT ablates both regenerating and non-regenerating serotonergic axons, which makes spinal cord findings it difficult to interpret.

      The impact of unregenerated serotonergic axons on stereotypic hind leg movements, as assessed through BMS analysis, appears to be minimal, as demonstrated in our previous study (Leibinger et al., 2021). Specifically, our findings revealed that depleting serotonergic neurons using DHT did not significantly affect the BMS score in uninjured animals (Leibinger et al., 2021). Furthermore, even in the control group comprising animals with spinal cord lesions where anatomical regeneration of the RpST did not occur, the administration of DHT had no discernible effect (Fig. 7 K, L).

      To address this concern, we included the following information in the revised manuscript: "It might be considered plausible that the depletion of non-regenerated serotonergic axons could have contributed to these results. However, we can largely dismiss this possibility, as DHT did not influence the non-regenerated vehicle control group. Additionally, in a previous publication, we have demonstrated that the general depletion of serotonergic neurons in uninjured animals also does not significantly impact open field locomotion, as measured by the BMS score and subscore (Leibinger et al., 2021)."

      6) DMAPT was given by i.p. injection. What happens to microtubule detyrosination in other cells within and outside of CNS?

      This question is the same as raised under point 3. -> response see 3.

      Reviewer #2 (Public Review):

      In the current study, Fischer and colleagues extensively examined the role of parthenolide in inhibiting microtubule detyrosination and making the mechanistic link for the compound to facilitate the role of IL6 and PTEN/KO in promoting neurite outgrowth and axon regeneration. The in vitro and mechanistic work laid the foundation for the authors to reach several key predictions that such detyrosination can be applied for in vivo applications. Thus the authors extended the work to optic nerve regeneration and spinal cord recovery. The in vivo compound that the authors utilized is DMAPT, which plays a synergistic role with existing pro-regeneration therapies, such as Il6 treatment.

      The major strength of the work is the first half of the mechanistic inquiries, where the authors combined cell biology and biochemistry approaches to dissect the mechanistic link from parthenolide to microtube dynamics. The shortcoming is that the in vivo data is limited, and the effects might be considered mild, especially by benchmarking with other established and effective strategies.

      The work is solid and prepares a basis for others to test the role of DMAPT in other settings, especially in the setting of other effective pro-regenerative approaches. With the goal of comprehensive and functional recovery in vivo, the impact of the work and the utilities of the methods remain to be tested broadly in other models in vivo.

      Reviewer #3 (Public Review):

      The primary goal of this paper is to examine microtubule detyrosination as a potential therapeutic target for axon regeneration. Using dimethylamino-parthenolide (DMAPT), this study extensively examines mechanistic links between microtubule detyrosination, interleukin-6 (IL-6), and PTEN in neurite outgrowth in retinal ganglion cells in vitro. These findings provide convincing evidence that parthenolide has a synergistic effect on IL-6- and PTEN-related mechanisms of neurite outgrowth in vitro. The potential efficacy of systemic DMAPT treatment to promote axon regeneration in mouse models of optic nerve crush and spinal cord injury was also examined.

      Strengths

      1) The examination of synergistic activities between parthenolide, hyperIL-6, and PTEN knockout is leveraged not only for potential therapeutic value, but also to validate and delineate mechanism of action.

      2) The in vitro studies, including primary human retinal ganglion cells, utilize a multi-level approach to dissect the mechanistic link from parthenolide to microtubule dynamics.

      3) The studies provide a basis for others to test the role of DMAPT in other settings, particularly in the context of other effective pro-regenerative approaches.

      Weaknesses

      1) In vivo studies are limited to select outcomes of recovery and do not validate or address mechanism of action in vivo.

      Reviewer #1 (Recommendations For The Authors):

      Overall, it doesn't seem like the authors bought into or addressed any issues raised during the previous review. In testing their central hypothesis, a critical experiment was to assess the outcome of PTEN knockout in combination with their novel treatment (parthenolide or DMAPT). Unfortunately, this and other issues have not been addressed in this revision.

      PTEN is not part of our central hypothesis. Our research paper primarily investigates the combination of DMAPT with h-IL-6. We chose to combine DMAPT with hIL-6 because, unlike PTEN-KO, only hIL-6 has been demonstrated to facilitate functional recovery following a complete spinal cord crush injury (Leibinger et al., 2021). Therefore, it is unclear why conducting in vivo experiments with PTEN-KO would be necessary, which cannot be used therapeutically. Since we have shown the beneficial effects of DMAPT on hIL-6 in two different in vivo models (optic nerve and spinal cord) anatomically and functionally, we feel that the repetition of these experiments with PTEN ko, which has no therapeutic implication, would not justify the sacrifice of additional animals. This would contradict the principles of reduction, refinement, and replacement, aiming to minimize the use of animals in our research.

      In contrast, the PTEN experiments primarily serve to support the underlying mechanism and demonstrate that DMAPT generally counteracts the negative effect on MT detyrosination, even in conjunction with other procedures that activate the PI3K/AKT pathway. These findings were mechanistically elucidated through cell culture experiments utilizing immunohistochemial analysis, which the editors highlighted as strengths of our paper.

      Reviewer #2 (Recommendations For The Authors):

      The response and revision provided here did not improve the manuscript - the authors chose to focus on re-organizing the methods but did not provide any new experimental data. Thus my recommendations remain the same as the previous round. In brief, the in vivo evidence was rather weak, especially if no further evidence was offered to respond to these points below.

      To possibly improve the manuscript, the authors could consider enhancing the in vivo parts in the following manner;

      1) possibly detyrosination staining in the optic nerve vertical section - it would be interesting to see how the detyrosination assays may work for regenerating conditions, or as an alternate, the authors may consider retina tissue biochemistry (with & without IL6, with & without DMAPT) repeating the biochemical assays as established Fig 2B –

      The detyrosination of alpha-tubulin occurs after its attachment to microtubules through the action of the tubulin carboxy peptidase vasohibin 1 and 2 (Vash 1, 2). Consequently, tubulin is already present in the detyrosinated form within existing microtubules, and the administration of DMAPT does not affect these pre-existing microtubules. However, DMAPT does play a crucial role in preventing the detyrosination of newly attached tubulin dimers in the growth cones of developing axons. This explains why we can detect detyrosinated tubulin specifically in those regions and why our immunohistochemical analyses in the cell culture experiments focused solely on axon tips.

      It is important to note that when used at low concentrations, which promote axon growth, DMAPT does not measurably affect detyrosination in other neuronal compartments, such as the RGCs' somata. We might observe a decrease in detyrosination only at much higher concentrations. Because of these reasons, we could not clearly identify and stain axon tips in 14 µm thick optic nerve sections.

      2) How do the authors benchmark the DMAPT retreatment in the setting of PTEN (aav2-cre injection for cKO) and /or PTEN/SOCS3/CNTF dKO? Which are the best approaches to promote optic nerve regeneration? Would the authors expect DMAPT retreatment to be synergetic with PTENcKO?

      Based on our previous findings, we anticipate that DMAPT would exhibit a synergistic effect when combined with PTEN ko, as demonstrated in our in vitro studies with cultured neurons. Additionally, synergistic effects between DMAPT and PTEN/SOCS3 dKO +CNTF are possible. While these hypotheses hold promise, our current paper primarily focuses on combining DMAPT with hIL-6, which has consistently shown remarkable efficacy as a standalone treatment in optic nerve regeneration.

      3) Regarding the DMAPT treatment, one notable issue was that the RGC survival subject to ONC was very poor, which may limit the effects of DMAPT daily injection. The authors may consider further combining DMAPT with the DLK/LZK inhibitors to examine the synergistic effects.

      As DMAPT itself is not neuroprotective and does not affect retinal ganglion cells' (RGCs) regenerative state by inducing the expression of regeneration-associated genes, a combination with a neuroprotective and regenerative treatment would show stronger effects. This is exactly what we found when combining DMAPT with neuroprotective hIL-6 (Leibinger et al. 2016) in the current paper.

      Moreover, in the raphespinal tract, where respective neurons do not undergo apoptotic cell death after axotomy, the DMAPT effect on anatomic axon regeneration was stronger than in the optic nerve, even without combination with hIL-6, with some axons reaching distances of up to 7 mm distal to the lesion. So, DMAPT can induce long-distance regeneration in neuronal populations unaffected by cell death. Therefore, additional experiments with DLK/LZK inhibitors, as suggested by this reviewer, would not provide an additional benefit to our paper and would not justify the additional sacrifice of animal lives.

      4) Overall, the phenotypes in Figs 5-8 were rather weak after DMAPT treatment, which are universal challenges to spinal cord regeneration. The authors may present this section of the data with further clarification on the selection standards in the methods, such as how the animals and treatment were selected and how a double-blinded experimental design may help further evaluate the effects of DMAPT treatment. I found little relevant information in the current manuscript.

      In the anatomic and functional regeneration analysis presented in Fig. 5-8, we only included animals with a BMS score of 0 one day after the spinal cord crush, indicating a complete absence of hind leg movement. Furthermore, we employed immunohistochemical staining to ensure that no serotonergic axons were detected at 8-10 mm from the lesion site in any of the animals, thus confirming the thoroughness of the lesion (Supplementary Fig. 4). Both the evaluation of the BMS score and the assessment of anatomical regeneration was conducted in a double-blinded manner, ensuring unbiased and objective observations. To address this concern, we will add the following paragraph in the M&M part:

      “Blinding procedure for in vivo experiments Before the start of the experiment, individual vials containing DMAPT or vehicle (DMSO) stock solution were prepared for each particular experimental animal. The vials were randomized by a person who was neither involved in the implementation nor in the evaluation of the experiments. These numbers were randomly distributed to mice of the same age and sex in different cages. This was carried out independently by another person who was neither involved in the data evaluation nor the randomization of the samples. This was followed by the execution of the experiments and the evaluation by scientists who were not involved in any of the randomization processes and did not know the identity of the injected samples. After completion of the data collection, values from mice with signs of spared axons were first removed from the data set for reasons of quality assurance. The criteria for this were a BMS-Sore of a maximum of 0-1 on the first day after the lesion and the absence of uninjured serotonergic axons in spinal cord cross-sections >8-10 mm distal to the lesion site. Finally, the data points were assigned to the respective experimental groups by the person who initially blinded the vials.”

      Reviewer #3 (Recommendations For The Authors):

      Addition of supporting data, revision of discussion, and inclusion of references for parthenolide activities improved the manuscript and adequately addressed concerns


      The following is the authors’ response to the original reviews.

      We feel that the use of human RGCs should be considered a highlight and strength of our paper because, as far as we know, our study is the first to utilize human primary cultures of RGCs to confirm the effectiveness of drugs on human cells. Therefore, this might be of interest to colleagues in our field. Moreover, we have added additional data as suppl. Fig. proving that these cells are living RGCs so this concern has been addressed. In addition, we provide further explanations why other activities of DMAPT beyond microtubule detyrosination, such as oxidative stress and NFkB inhibition, are not considered in experimental examinations or in the interpretation of findings. Therefore, we strongly recommend that this point should not be considered a weakness.<br />

      Strengths:

      1) The examination of synergistic activities between parthenolide, hyper-IL-6, and PTEN knockout is leveraged not only for potential therapeutic value, but also to validate and delineate mechanism of action.

      2) The in vitro studies utilize a multi-level approach that combines cell biology and biochemistry approaches to dissect the mechanistic link from parthenolide to microtubule dynamics.

      3) The studies provide a basis for others to test the role of DMAPT in other settings, particularly in the context of other effective pro-regenerative approaches.

      Weaknesses:

      1) In vivo studies are limited to select outcomes of recovery and do not validate or address mechanism of action in vivo.

      2) Known activities of DMAPT beyond microtubule detyrosination, such as oxidative stress, mitochondrial function and NFkB inhibition, are not considered in experimental examinations or in the interpretation of findings.

      Our research indicates that parthenolide exhibits a regenerative effect within a nanomolar range and with a bell-shaped concentration-response curve in culture. Moreover, we demonstrate a close correlation between the inhibition of detyrosinated microtubules and regeneration and consider the effects of hIL-6 or PTEN-KO on detyrosination in mouse and human RGCs. Therefore, we offer a coherent and satisfactory mechanistic explanation for the effects of parthenolide. We, therefore, feel the request to experimentally explore additional, somewhat speculative possibilities is not reasonable or helpful, and this issue should not be considered as a weakness. Moreover, to the best of our knowledge, no evidence suggests profound antioxidative effects of DMAPT or parthenolide within these low-concentration ranges and that these would affect axon regeneration. Antioxidative effects may also not explain the observed bell-shaped curve. Furthermore, we have already considered the effect of NFkappaB in our previous work (Gobrecht et al., 2016) and shown that NFkappaB remains unaffected by low concentrations of parthenolide. Hence, conducting additional experiments addressing oxidative stress or other speculative causes will not strengthen our findings and do not justify the additional sacrifice of animal lives.

      Nevertheless, we added the following sentence in our manuscript to address this issue: “Although we cannot exclude the possibility that other known activities of parthenolide/DMAPT, such as oxidative stress or NF-kB inhibition, could have contributed to the observed effects, this is rather unlikely because such effects have only been reported at much higher micromolar concentrations (Bork et al., 1997; Saadane et al., 2007; Carlisi et al., 2016; Gobrecht et al., 2016).”

      Editorial Comments:

      The reviewers' consensus is that this manuscript, although containing an impressive amount of data, lacks cohesion.

      The mechanistic studies in vitro are of a distinctly different caliber than the in vivo studies. Additional data is needed to demonstrate that the mechanisms delineated in vitro are related to the outcomes in vivo. As is, this reads as a comprehensive in vitro study with premature in vivo data tacked on the end.

      The manuscript should contain the necessary background and contextual information needed to fully understand the work. Clarity of rationale and context for experimental method/design (why one reagent or insult is selected over another), result interpretation (what does this data tell you and not tell you), and implications for results (what does this mean in the context of current knowledge) should be improved throughout.

      Technical:

      1) There is no validation of human RGC cultures. If this data is to remain in the manuscript, proper verification data should be provided to demonstrate that these are indeed RGCs and that they are viable.

      The retinal ganglion cells (RGCs) were identified by applying the same criteria as murine and rat RGCs,encompassing morphological and immunohistochemical criteria. The staining of a piece of human retina (see Author response image 1) shows βIII-tubulin-positive cells in the ganglion cell layer and forming axonal bundles in the fiber layer. These are RGCs, and it is confirmed that the βIII-tubulin antibody stains human RGCs (Author response image 1A). In addition, the somata of these human RGCs in the retina have a similar diameter (somewhat larger than murine RGCs Author response image 1A, B) to the cultured βIII-tubulin-positive cells (RGCs) and a similar morphology. Finally, these regenerating neurons are GAP43-positive, a regeneration-associated protein shown in Author response image 1C. Thus, these data prove that the cultured cells were human RGCs. These data were included as a suppl. Fig. 1.

      The viability of the neurons was confirmed, as evidenced by their ability to grow neurites - a clear indication of their vitality. We also verified the viability by calceinstaining.

      As far as we know, our study is the first to utilize human primary cultures of RGCs to confirm the effectiveness of CNTF and parthenolide on human cells. Therefore, we would have expected this accomplishment to be emphasized as a strength of our paper.

      Author response image 1.

      A) Retinal flat mounts from human (left) and mouse (right) stained for βIII-tubulin. Scale bar: 50 μm. B) Human (left) and mouse (right) RGCs cultured for 4 days and stained for βIII-tubulin. Scale bar: 25 μm. C) Human βIIItubulin-positive RGCs with regenerating neurites are also GAP43-positive. Scale bar: 50 μm

      2) For graphs depicting means and errors, it is advised that the authors evaluate their use of SEM. Standard deviation should be used when illustrating the distribution of measurements/individuals within a population. Standard error should be used for determining accuracy of the calculated mean, i.e. how close are individuals to the calculated mean? Since standard error is a measure of accuracy rather than distribution, it moves towards zero as the population size increases, regardless of the distribution. Thus, error bars intended to show the range of an effect (i.e. how much functional recovery with treatment?), should be depicted as standard deviation, which illustrates the actual range of data.

      To provide best possible transparency we incorporated each individual data point within our graphs, thus offering a detailed depiction of the complete range of effects. We firmly believe that this approach provides enhanced clarity compared to a standard deviation and grants a more comprehensive understanding of the data. It is worth noting that also presenting the standard error adds supplementary information regarding the accuracy of the calculated mean.

      Thus, we firmly stand by our chosen method of data presentation, as we believe it furnishes readers with more valuable insights. However, if there are additional compelling arguments to display the standard deviation instead of the standard error, we are more than willing to consider them.

      3) One notable issue was that the RGC survival subject to ONC was very poor, which may limit the effects of DMAPT daily injection. The authors may consider further combining DMAPT with the DLK/LZK inhibitors to examine the synergistic effects.

      As DMAPT itself is not neuroprotective and does not affect retinal ganglion cells' (RGCs) regenerative state by inducing the expression of regeneration-associated genes, a combination with a neuroprotective and regenerative treatment would show stronger effects. This is exactly what we found when combining DMAPT with neuroprotective hIL-6 (Leibinger et al. 2016) in the current paper.

      Moreover, in the raphespinal tract, where respective neurons do not undergo apoptotic cell death after axotomy, the DMAPT effect on anatomic axon regeneration was stronger than in the optic nerve, even without combination with hIL-6, with some axons reaching distances of up to 7 mm distal to the lesion. So, DMAPT can induce long-distance regeneration in neuronal populations unaffected by cell death. Therefore, we feel that additional experiments with DLK/LZK inhibitors, as suggested by this reviewer, would not provide an additional benefit to our paper and not justify the additional sacrifice of animal lives.

      To address this issue, we added the following paragraph: “Expectedly, DMAPT was not able to protect RGCs from axotomy-induced cell death (Fig. 4 F, G) since it does solely accelerate microtubule polymerization in axonal growth cones without affecting neuroprotective signaling pathways in the cell body (Fig. 1 F, G; supplementary Fig. 2). We then repeated these experiments in combination with intravitreally applied AAV2hIL-6 which reportedly has a significant neuroprotective effect (Leibinger et al., 2016) (Fig. 4 H).”

      4) Serotonergic neurotoxin DHT, which in the spinal cord injury model ablates both regenerating and nonregenerating serotonergic axons, which makes interpretation of the results difficult. This should be addressed directly in interpretation and discussion.

      The impact of unregenerated serotonergic axons on stereotypic hind leg movements, as assessed through BMS analysis, appears to be minimal, as demonstrated in our previous study (Leibinger et al., 2021). Specifically, our findings revealed that depleting serotonergic neurons using DHT did not significantly affect the BMS score in uninjured animals (Leibinger et al., 2021). Furthermore, even in the control group comprising animals with spinal cord lesions where anatomical regeneration of the RpST did not occur, the administration of DHT had no discernible effect (Fig. 7 K, L).

      To address this concern, we propose including the following information in the revised manuscript: "It might appear conceivable that the depletion of non-regenerated serotonergic axons may have contributed to these results. However, we can rule this out since DHT did not influence the non-regenerated vehicle control group. Furthermore, we have shown in a previous publication that the general depletion of serotonergic neurons in uninjured animals also has no significant influence on openfield locomotion as measured in the BMS score and subscore (Leibinger et al., 2021). Furthermore, we have shown in a previous publication that the general depletion of serotonergic neurons in uninjured animals also has no significant influence on openfield locomotion as measured in the BMS score and subscore (Leibinger et al., 2021).”

      5). Overall, the phenotypes in Figs 5-8 were rather weak after DMAPT treatment, which are universal challenges to spinal cord regeneration. The authors may present this section of the data with further clarification on the selection standards in the methods, such as how the animals and treatment were selected and how a double-blinded experimental design may help further evaluate the effects of DMAPT treatment. I found little relevant information in the current manuscript.

      In the anatomic and functional regeneration analysis presented in Figures 5-8, we only included animals with a BMS score of 0 one day after the spinal cord crush, indicating a complete absence of hind leg movement. Furthermore, we employed immunohistochemical staining to ensure that no serotonergic axons were detected at 8-10 mm from the lesion site in any of the animals, thus confirming the thoroughness of the lesion (Supplementary Fig. 4). Both the evaluation of the BMS score and the assessment of anatomical regeneration was conducted in a doubleblinded manner, ensuring unbiased and objective observations. To address this concern, we will add the following paragraph in the M&M part:

      “Blinding procedure for in vivo experiments Before the start of the experiment, individual vials containing DMAPT or vehicle (DMSO) stock solution were prepared for each experimental animal. The vials were randomized by a person who was neither involved in the implementation nor evaluated the experiments. These numbers were randomly distributed to mice of the same age and sex in different cages. This was carried out independently by another person who was neither involved in the data evaluation nor the randomization of the samples. This was followed by the execution of the experiments and the evaluation by scientists who were not involved in any randomization processes and did not know the identity of the injected samples. After completion of the data collection, values from mice with signs of spared axons were first removed from the data set for quality assurance. The criteria for this were a BMS Sore of a maximum of 0-1 on the first day after the lesion and the absence of uninjured serotonergic axons in spinal cord cross-sections >9-10 mm distal to the lesion site. Finally, the data points were assigned to the respective experimental groups by the person who initially blinded the vials.”

      6) Several supplemental figures are discussed as critical elements of the studies performed. The authors are encouraged to include figures discussed as primary data as primary figures in the manuscript and provide the necessary information regarding experimental design and methods, including "n".

      Thank you for the suggestion.

      7) While the "n" is clear for some subsets of figures (as noted in the rebuttal), it is not clear for all outcomes/figure subsets. For example, it appears that some outcomes were performed in only a subset of the total experimental population and not in the context of statistically significant result. A good example of this is the figure for in vivo suboptimal dosing. The experimental design suggests n=7-10, but the group considered suboptimal due to statistical insignificance is listed as n=4. Is this an entirely separate cohort? If so, is n=4 sufficient and was it considered statistically in the context of the higher-powered cohorts? The lack of clarity regarding experimental design should be addressed.

      To ensure transparency we have provided all n-numbers for each outcome and figure subset. Additionally, the precise n-numbers can be inferred by observing the number of individual points depicted in the graphs. All statistical data are appropriately indicated in the figure legends for reference.

      The data presented in suppl. Fig. 3 represents a preliminary experiment to find effective doses of DMAPT in vivo. In this initial phase, we tested three different doses of DMAPT (0.2, 2, 20 µg/kg) in a reduced group size of only four animals per group. This reduction in animal numbers aligns with the principles to determine reduction, refinement, and replacement, aiming to minimize the use of animals in our research. Subsequently, the group demonstrating the most robust effect (2 µg/kg) was expanded by including additional animals to meet the a priori calculated sample size and validate the results. These additional animal data are presented in Figure 4 A-C. In the case of suppl. Fig. 3 A, B the statistical analysis indicated a significant effect in A using an n=4. As a result, there was no need to utilize additional animals for this particular experiment.

      Gaps:

      1) By in vitro studies, the authors showed that hIL-6 treatment or PTEN knockout elevated microtubule detyrosination. But when does this occur? In another words, is this a primary effect of these treatments or secondary to the increased axon growth? How does this fit with the observations that these interventions promote axon regeneration both in vitro and in vivo?

      This point also seems to be based on a misunderstanding, as shown in Figure 2 by Western blot, that detyrosination was increased after intravitreal injection of AAV2-hIL-6 into optic nerves. These optic nerves were uninjured! This indicates that the increased detyrosination is an effect of the treatment itself and does not occur due to axonal regeneration.

      Why hIL-6 and PTEN nevertheless increase axonal regeneration is because the positive effect on other signaling pathways, such as JAK/STAT3 and mTOR, ultimately predominates. Consequently, we show, for both PTEN ko and hIL-6, that we can further enhance these positive effects by neutralizing the negative aspect of increased detyrosination using DMAPT.

      2) Is there any direct evidence for Akt and/or JAK/Stat3 to promote microtubule detyrosination?

      As described in our previous and cited work, hIL-6, in contrast to CNTF, promotes the activation of AKT (Leibinger et al. 2016). In Fig. 2, we have also shown that intravitreal hIL-6 treatment in the optic nerve leads to increased phosphorylation of GSK3, a substrate of AKT, and that tubulin detyrosination is increased.

      As far as we know, JAK/STAT3 has no direct effect on detyrosination.

      In cell culture, we have shown that activation of the JAK/STAT3 pathway by CNTF application does not change tubulin detyrosination in neurites (Fig. 1 H, I, M; N).

      DMAPT in RGC’s cell bodies does not affect the phosphorylation of STAT3 and S6, and thus has no measurable effect on JAK/STAT3 or the mTOR pathway. Moreover, tubulin detyrosination in neuronal cell bodies is not affected by DMAPT.

      3) Empirical data linking in vivo regeneration with mechanisms delineated in in vitro studies is limited. The addition of such data (i.e. biochemical assays, relevant histology) would better enable interpretation of in vivo studies and improve cohesiveness of the work as a whole.

      The mechanistic links between hIL-6 /PTEN-signaling and tubulin detyrosination and the abrogation of the adverse effects by DMAPT have been extensively addressed in vitro, which has been positively highlighted here in several places. Indeed, the in vivo data were intended to mainly confirm that the mechanisms elaborated in vitro are relevant to axonal regeneration and functional restoration in vivo. Most importantly our data demonstrate that systemic DMAPT application promotes axon regeneration in the CNS and improves functional recovery after a complete spinal cord injury. Form a clinical point of view this is important.

      4) DMAPT activities are not limited to microtubule detyrosination. These alternate activities should be considered, particularly in in vivo studies. Empirical evidence of the potential impact for these mechanisms in the retina, optic nerve, and systemically is strongly encouraged. In vitro studies or studies of a specific neuronal population are insufficient to extrapolate activities in an intact system.

      Parthenolide and DMAPT show a regenerative effect in the nanomolar range (cell culture) and a bell-shaped concentration-response curve. We show a close correlation between detyrosinated microtubules and regeneration (with and without hIL6 or PTEN-KO), which is, in our opinion, convincing. Whether additional effects of DMAPT contribute to improved regeneration is not excluded, although unlikely. If so, their investigation would be beyond the scope of the current paper.

      5) How do the authors benchmark the DMAPT retreatment in the setting of PTEN (aav2-cre injection for cKO) and /or PTEN/SOCS3/CNTF dKO? Which are the best approaches to promote optic nerve regeneration? Would the authors expect DMAPT retreatment to be synergetic with PTENcKO?

      Based on our previous findings, we anticipate that DMAPT would exhibit a synergistic effect when combined with PTEN ko, as demonstrated in our in vitro studies with cultured neurons. Additionally, synergistic effects between DMAPT and PTEN/SOCS3 dKO +CNTF are possible. While these hypotheses hold promise, our current paper primarily focuses on combining DMAPT with hIL-6, which has consistently shown remarkable efficacy as a standalone treatment in optic nerve regeneration.

      Furthermore, our rationale for combining DMAPT with hIL-6 rather than PTEN-KO stems from the fact that, unlike PTEN-KO, hIL-6 has been proven to enable functional recovery following complete spinal cord crush injuries (Leibinger et al., 2021).

      6) A cohesive discussion of findings would be beneficial. What can and cannot be elucidated from in vitro and in vivo studies? How does the in vivo effect compare to existing strategies? What are the limitations of the studies performed? Are there alternative explanations for the findings in vitro or in vivo?

      We appreciate these suggestions.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment

      This important study advances our understanding of why diabetes is a risk factor for more severe Covid-19 disease. The authors offer solid evidence that cathepsin L is more active in diabetic individuals, that this higher activity is recapitulated at the cellular level in the presence of high glucose, and that high glucose leads to higher cathepsin L maturation. While not all aspects of the relationship between diabetes and cathepsin L (e.g., effects of metabolic acidosis) have been investigated, the work should be of interest to researchers in diabetes, virology, and immunology.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      The study by He et al. investigates the relationship of an increased susceptibility of diabetes patients to COVID-19. The paper raises the possibility that hyperglycemia-induced cathepsin L maturation could be one of the driving forces in this pathology, suggesting that an increased activity of CTSL leads to accelerated virus infection rates due to an elevated processing of the SARS-CoV-2 spike protein.

      In a clinical case-control study, the team found that the severity of corona infections was higher in diabetic patients, and their CTSL levels correlated well with the progression of the disease. They further showed an increase in CTSL activity in the long term as well as acute hyperglycemia. SARS-CoV-2 increasingly infected cells that were cultured in serum from diabetic patients, the same was observed using high glucose medium. No effect was observed in the medium with increased concentrations of insulin. CTSL knockout abolished the glucose-dependent increase in infection.

      Increased glucose levels did not correlate with an increase in CTSL transcription. Rather He et al. could show that high glucose levels led to CTSL translocation from the ER into the lysosome. It was the glucose-dependent processing of the protease to its active form which promoted infection.

      Strengths:

      It is a complete study starting from a clinical observation and ending on the molecular mechanism. A strength is certainly the wide selection of experiments. The clinical study to investigate the effect of glucose on CTSL concentrations in healthy individuals sets the stage for experiments in cell culture, animal models, and human tissue. The effect of CTSL knockout cell lines on glucose-induced SARS-CoV2 infection rates is convincing. Finally, the team used a combination of Western blots and confocal microscopy to identify the underlying molecular mechanisms. The authors manage to keep the diabetic condition at the center of their study and therefore extend on previous knowledge of glucose-induced CTSL activation and their consequences for COVID-19 infections. By doing so, they create a novel connection between CTSL involvement in SARS-CoV2 infections and diabetes.

      Weaknesses:

      (1) The authors suggest that hyperglycemia as a symptom of diabetes leads to an increased infection rate in those patients. Throughout their study, the team focuses on two select symptoms of a diabetic condition, hyperglycemia and hyperinsulinemia. The team acknowledges in the discussion that there could be various other reasons. Hyperglycemia can lead to metabolic acidosis and a shift in blood pH. As CTSL activity is highly dependent on pH, it would have been crucial to include this parameter in the study.

      We sincerely appreciate your valuable comment. We agree that hyperglycemia can lead to metabolic acidosis and alter blood pH. However, the normal range for blood pH in humans is relatively narrow, typically ranging from 7.35 to 7.45. In our study, we ensured that blood pH remained within this normal range for both diabetic and healthy control samples. To address your concern, we conducted experiments to investigate CTSL activity in response to pH fluctuations within this physiological range. The updated Fig. 4a now presents these findings, demonstrating consistent CTSL activity despite pH variations. Statistical analysis was performed using one-way ANOVA with Tukey’s post hoc test to ensure robustness. We have also amended the figure legend and provided corresponding descriptions in the final edition manuscript (line 15-18, page 7).

      Author response image 1.

      (2) The study rarely differentiates between cellular and extracellular CTSL activity. A more detailed explanation for the connection between the intracellular CTSL and serum CTSL in diabetic individuals, presumably via lysosomal exocytosis, could be helpful with regard to the final model to give a more complete picture.

      Thank you for your insightful comments. Previous studies have elucidated the process by which lysosomal CTSL is transported via vesicles and subsequently secreted from the cell membrane through exocytosis (references 1-5). To provide a more comprehensive understanding, we have incorporated this information on Fig. 6h, page 32 of the final edition manuscript. This addition aims to enhance clarity regarding the connection between intracellular and serum CTSL activity in diabetic individuals, particularly through lysosomal exocytosis.

      Author response image 2.

      References:

      (1) Reddy A et al. Plasma membrane repair is mediated by Ca(2+)-regulated exocytosis of lysosomes. Cell. 2001 Jul 27;106(2):157-69. doi: 10.1016/s0092-8674(01)00421-4. PMID: 11511344.

      (2) Hasanagic M et al. Different Pathways to the Lysosome: Sorting out Alternatives. Int Rev Cell Mol Biol. 2015;320:75-101. doi: 10.1016/bs.ircmb.2015.07.008. Epub 2015 Aug 19. PMID: 26614872.

      (3) Reiser J et al. Specialized roles for cysteine cathepsins in health and disease. J Clin Invest. 2010 Oct;120(10):3421-31. doi: 10.1172/JCI42918. Epub 2010 Oct 1. PMID: 20921628; PMCID: PMC2947230.

      (4) Jaiswal JK et al. Membrane proximal lysosomes are the major vesicles responsible for calcium-dependent exocytosis in nonsecretory cells. J Cell Biol. 2002 Nov 25;159(4):625-35. doi: 10.1083/jcb.200208154. Epub 2002 Nov 18. PMID: 12438417; PMCID: PMC2173094.

      (5) Coutinho MF et al. Mannose-6-phosphate pathway: a review on its role in lysosomal function and dysfunction. Mol Genet Metab. 2012 Apr;105(4):542-50. doi: 10.1016/j.ymgme.2011.12.012. Epub 2011 Dec 23. PMID: 22266136.

      (3) In the early result section, an effect of hyperglycemia on total CTSL concentrations is described, but the data is not very convincing. Over the course of the manuscript, the hypothesis shifts increasingly towards an increase in protease trans-localization and processing to the active form rather than a change in total protease amounts. The overall importance of CTSL concentrations remains questionable.

      Thank you for your insightful feedback. We have addressed your concerns regarding the impact of hyperglycemia on CTSL concentrations. Fig. 2h-j illustrate the effect of acute hyperglycemia on both CTSL concentration and activity in 15 healthy male volunteers over a 160-minute period. During this short timeframe, CTSL concentration remained stable, as evidenced by consistent RNA results from cells exposed to varying glucose levels (Supplementary Fig.1). However, there was a significant increase in CTSL activity, indicating that glucose elevation rapidly triggers CTSL maturation through propeptide cleavage. This activation process occurs more rapidly than CTSL protein synthesis. In summary, acute hyperglycemia specifically elevates CTSL activity, while chronic hyperglycemia may impact both CTSL activity and concentration (Fig. 2a-d). Additionally, Tournu C, et al. (1998) (reference 1) and Shi Q, et al. (2018) (reference 2) have reported that increased glucose metabolism promotes the maturation and secretion of CTSL and other proteases. These findings align with our evidence that hyperglycemia drives CTSL maturation, as discussed at line 10-25, page 12 in the final edition manuscript.

      References:

      (1) Tournu C et al. Glucose controls cathepsin expression in Ras-transformed fibroblasts. Arch Biochem Biophys. 1998 Dec 1;360(1):15-24. doi: 10.1006/abbi.1998.0916. PMID: 9826424.

      (2) Shi Q et al. Increased glucose metabolism in TAMs fuels O-GlcNAcylation of lysosomal Cathepsin B to promote cancer metastasis and chemoresistance. Cancer Cell. 2022 Oct 10;40(10):1207-1222.e10. doi: 10.1016/j.ccell.2022.08.012. Epub 2022 Sep 8. PMID: 36084651.

      Reviewer #2 (Public Review):

      Summary:

      In this study, the authors hypothesized that individuals with diabetes have elevated blood CTSL levels, which facilitates SARS-CoV-2 infection. The authors conducted in vitro experiments, revealing that elevated glucose levels promote SARS-CoV-2 infection in wild-type cells. In contrast, CTSL knockout cells show reduced susceptibility to high glucose-promoted effects. Additionally, the authors utilized lung tissue samples obtained from both diabetic and non-diabetic patients, along with db/db diabetic and control mice. Their findings indicate that diabetic conditions lead to an elevation in CTSL activity in both humans and mice.

      Strengths:

      The authors have effectively met their research objectives, and their conclusions are supported by the data presented. Their findings suggest that high glucose levels promote CTSL maturation and translocation from the endoplasmic reticulum to the lysosome, potentially contributing to diabetic comorbidities and complications.

      Weaknesses:

      (1) In Figure 1e, the authors measured plasma levels of COVID-19 related proteins, including ACE2, CTSL, and CTSB, in both diabetic and non-diabetic COVID-19 patients. Notably, only CTSL levels exhibited a significant increase in diabetic patients compared to non-diabetic patients, and these levels varied throughout the course of COVID-19. Given that the diabetes groups encompass both male and female patients, it is essential to ascertain whether the authors considered the potential impact of gender on CTSL levels. The diabetes groups comprised a higher percentage of male patients (61.3%) compared to the non-diabetes group, where males constituted only 38.7%.

      Thank you for your insightful feedback. In response to your concerns regarding the potential impact of gender on CTSL levels in diabetic and non-diabetic COVID-19 patients, we conducted analyses to address this issue. While our initial study involved 62 COVID-19 patients, with 31 having diabetes and 31 without, matching based on gender and age, we acknowledged the challenge of obtaining balanced gender distribution in both groups due to the difficulty of collecting blood samples from COVID-19 patients. To mitigate potential gender bias resulting from small sample sizes, we conducted a supplementary clinical study involving 122 non-COVID-19 volunteers, including 61 individuals with diabetes and 61 without. The percentage of males in the diabetes group was 50.8%, while in the healthy group, males constituted 44.3% (P value = 0.468), indicating no significant gender bias. We have incorporated this information into the discussion section on line 4-13, page 11 in the final edition manuscript, to provide clarity on this aspect of our study.

      (2) Lines 145-149: "The results showed that WT Huh7 cell cultured in high glucose medium exhibited a much higher infective rate than those in low glucose medium. However, CTSL KO Huh7 cells maintained a low infective rate of SARS-CoV-2 regardless of glucose or insulin levels (Fig. 3f-h). Therefore, hyperglycemia enhanced SARS-CoV-2 infection dependent on CTSL." However, this evidence may be insufficient to support the claim that hyperglycemia enhances SARS-CoV-2 infection dependent on CTSL. The human hepatoma cell line Huh7 might not be an ideal model to validate the authors' hypothesis regarding high blood glucose promoting SARS-CoV-2 infection through CTSL.

      Thank you for your valuable feedback. We have addressed the concerns regarding the sufficiency of evidence supporting the claim that hyperglycemia enhances SARS-CoV-2 infection dependent on CTSL. Specifically, we have revised the expression to state, “Therefore, hyperglycemia enhanced SARS-CoV-2 infection through CTSL.” as suggested, in line 9, page 7 in the final edition manuscript. Additionally, we acknowledge the potential involvement of other bioactive factors, such as 1,5-anhydro-D-glucitol (1,5-AG), in mediating SARS-CoV-2 infection in patients with diabetes, as outlined in the discussion section from line 13-21, page 13 in the final edition manuscript.

      Regarding the choice of the human hepatoma cell line Huh7 as a model for investigating hyperglycemia-induced CTSL maturation and SARS-CoV-2 infection, we recognize the importance of tissue specificity and the liver’s significance as a target organ for COVID-19. Despite potential limitations, such as generalization of liver function abnormalities and lack of tissue specificity in SARS-CoV-2 impact, Huh7 cells offer practical advantages as a mature cell model for studying SARS-CoV-2 infection, including accessibility, susceptibility to infection, and stable proliferation (reference 1-3). We have elaborated on these considerations in the discussion section at line 19-23, page 11 in the final edition manuscript, to provide context for our choice of experimental model.

      References:

      (1) Gupta A et al. Extrapulmonary manifestations of COVID-19. Nat Med. 2020 Jul;26(7):1017-1032. doi: 10.1038/s41591-020-0968-3. Epub 2020 Jul 10. PMID: 32651579.

      (2) Nie X et al. Multi-organ proteomic landscape of COVID-19 autopsies. Cell. 2021 Feb 4;184(3):775-791.e14. doi: 10.1016/j.cell.2021.01.004. Epub 2021 Jan 9. PMID: 33503446; PMCID: PMC7794601.

      (3) Ciotti M et al. The COVID-19 pandemic. Crit Rev Clin Lab Sci. 2020 Sep;57(6):365-388. doi: 10.1080/10408363.2020.1783198. Epub 2020 Jul 9. PMID: 32645276.

      (3) The Abstract and Introduction sections lack effective organization.

      Thank you for your valuable comments. We have rewritten the Abstract and Introduction sections and incorporated the updated descriptions in the final edition manuscript.

      Reviewer #1 (Recommendations For The Authors):

      (1) When referring to diabetes, does this exclusively include diabetes type 2?

      Thank you for your inquiry. In our study, the term “diabetes” encompasses the condition of hyperglycemia in a broad sense, rather than specifically indicating type 1 diabetes (T1DM) or type 2 diabetes (T2DM). This broader definition aligns with the scope of our research objectives and findings, particularly observed in the cell experiments conducted. We have clarified this point in the revised discussion section, from line 6-9, page 12 in the final edition manuscript, to provide additional context for readers.

      (2) The titles of the individual paragraphs are not very strong and descriptive. More precise titles help to structure the paper better for the reader.

      Thank you for your valuable comments. We have rewritten the title of each section to make it more precise for readers and incorporated the updated descriptions in the manuscript.

      (3) Fig.3c, adding a 0 nM insulin control would be nice.

      Thank you for your suggestion. We have revised Fig.3c according to your advice. The revised figure was located at page 29 in the final edition manuscript. The corresponding figure legend has also been revised.

      Author response image 3.

      (4) Fig.3e non-infection control would be nice.

      Thank you for your suggestion. We have incorporated your feedback by adding a non-infection control in Fig. 3e. In this revised figure, we included a measurement of SARS-CoV-2 pseudovirus infection assessed through the fluorescence captured by a reader. Cells infected by the pseudovirus exhibited activation of the firefly luciferase, resulting in the release of fluorescence. Conversely, non-infected control cells showed no fluorescence, with the reader recording a value of zero. The updated figure can now be found on page 29 in the final edition manuscript, and we have adjusted the corresponding figure legend accordingly.

      Author response image 4.

      (5) In Figure 5, the processing of CTSL in cells (b-c) strongly differs from processing in tissue (d-e) focusing on amounts of dc-mCTSL. Do you have an explanation for this? Overall, blots are hard to judge by eye and it would be nice to include blots with shorter exposure.

      Thank you for your insightful feedback. The differences observed in the processing of CTSL between cells (Fig. 5b) and tissues (Fig. 5d-e) may be attributed to the complexities inherent in tissue samples, which can impact the clarity of the images. Furthermore, in human tissue samples, it is pertinent to consider that patients in the diabetes group had their blood glucose levels controlled within or near the normal range prior to lung surgery. As a result, the evidence supporting CTSL maturation in human lung tissue blotting images may be less compelling. We have addressed this aspect in the revised results section (lines 10-13, page 9). Additionally, we will consider including blots with shorter exposure to enhance visual clarity in future studies.

      (6) Considering Fig2B and Figure S1, the evidence of an effect of hyperglycemia or high glucose medium on total CTSL protein concentration is not very strong. In my opinion, this claim in the results section for Fig2 should be revisited.

      Thank you for your valuable suggestion. We have revisited the section in question and made appropriate revisions. The original sentence has been modified to accurately reflect the findings: "We found that plasma CTSL activity was strongly positively correlated with chronic hyperglycemia indicated by HbA1c and was significantly higher in diabetic patients than in euglycemic individuals (Fig. 2a, c). Additionally, plasma CTSL concentration showed a positive trend with chronic hyperglycemia indicated by HbA1c (Fig. 2b, d)". These changes have been incorporated into the revised results section (lines 12-16, page 5).

      (7) Overall, data hinting to increased CTSL activity is stronger than protein amount. This being said, in hyperglycemia, blood pH can be affected (metabolic acidosis). As CTSL has higher activity at low pH, could the increase in activity be caused by a drop in pH? Can you include this aspect in your manuscript? For example, is there a pH difference in serum of nondiabetic vs diabetic patients?

      Thank you for your valuable input. We have already addressed the potential impact of pH changes on CTSL activity in our response to Weakness No. 1. As indicated, although hyperglycemia can lead to metabolic acidosis and changes in blood pH, the pH levels observed in our study remained within the normal range (7.35 to 7.45). Therefore, we conducted experiments to investigate CTSL activity in response to changes in pH, which showed consistent activity levels within this range. This information has been included in our revised manuscript (line 15-18, page 7).

      Reviewer #2 (Recommendations For The Authors):

      (1) The Abstract and Introduction sections lack effective organization. The manuscript's style resembles that of Cell Journal rather than aligning with the customary format of eLife.

      Thank you for your valuable comments. The Abstract and Introduction sections have been reorganized to be more precise for readers has been included in our revised manuscript. Additionally, we have meticulously updated the manuscript's style to align with the standard format of eLife in our revised manuscript, especially key resources table of materials and methods sections.

    1. Author response:

      The following is the authors’ response to the original reviews.

      We would like to thank all the reviewers for their positive evaluation of our paper, as described in the Strengths section. We are also grateful for their helpful comments and suggestions, which we have addressed below. We believe that the manuscript has been significantly improved as a result of these suggestions. In addition to these changes, we also corrected some inconsistencies (statistical values in the last sentence of a Figure 5 caption) and sentences in the main text (lines 155, 452, 522) (these corrections did not affect the results).

      Fig. 5e: R=0.599, P<0.001 -> R=0.601, P=0.007

      L150: "the angle of stick tilt angle" -> "the angle of stick tilt"

      L437: "no such" -> "such"

      L522: "?" -> "."

      Reviewer #1 (Public Review):

      Summary/Strengths:

      This manuscript describes a stimulating contribution to the field of human motor control. The complexity of control and learning is studied with a new task offering a myriad of possible coordination patterns. Findings are original and exemplify how baseline relationships determine learning.

      Weaknesses:

      A new task is presented: it is a thoughtful one, but because it is a new one, the manuscript section is filled with relatively new terms and acronyms that are not necessarily easy to rapidly understand.

      First, some more thoughts may be devoted to the take-home message. In the title, I am not sure manipulating a stick with both hands is a key piece of information. Also, the authors appear to insist on the term ‘implicit’, and I wonder if it is a big deal in this manuscript and if all the necessary evidence appears in this study that control and adaptation are exclusively implicit. As there is no clear comparison between gradual and abrupt sessions, the authors may consider removing at least from the title and abstract the words ‘implicit’ and ‘implicitly’. Most importantly, the authors may consider modifying the last sentence of the abstract to clearly provide the most substantial theoretical advance from this study.

      Thank you for your positive comment on our paper. We agree with the reviewer that our paper used a lot of acronyms that might confuse the readers. As we have addressed below (in the rebuttal to the Results section), we have reduced the number of acronyms.

      Regarding the comment on the use of the word “implicit” in the title and the abstract, we believe that its use in this paper is very important and indispensable. One of our main findings was that the pattern of adaptation between the tip-movement direction and the stick-tilt angle largely followed that in the baseline condition when aiming at different target directions. This adaptation was largely implicit because participants were not aware of the presence of the perturbation as the amount of perturbation was gradually increased. This implicitness suggests that the adaptation pattern of how the movement should be corrected is embedded in the motor learning system. On the other hand, if this adaptation pattern was achieved on the basis of the explicit strategy of changing the direction of the tip-movement, the adaptation pattern that follows the baseline pattern is not at all surprising. For these reasons, we will continue to use the word "implicit".

      It seems that a substantial finding is the ‘constraint’ imposed by baseline control laws on sensorimotor adaptation. This seems to echo and extend previous work of Wu, Smith et al. (Nat Neurosci, 2014): their findings, which were not necessarily always replicated, suggested that the more participants were variable in baseline, the better they adapted to a systematic perturbation. The authors may study whether residual errors are smaller or adaptation is faster for individuals with larger motor variability in baseline. Unfortunately, the authors do not present the classic time course of sensorimotor adaptation in any experiment. The adaptation is not described as typically done: the authors should thus show the changes in tip movement direction and stick-tilt angle across trials, and highlight any significant difference between baseline, early adaptation, and late adaptation, for instance. I also wonder why the authors did not include a few noperturbation trials after the exposure phase to study after-effects in the study design: it looks like a missed opportunity here. Overall, I think that showing the time course of adaptation is necessary for the present study to provide a more comprehensive understanding of that new task, and to re-explore the role of motor variability during baseline for sensorimotor adaptation.

      We appreciate the reviewer for raising these important issues.

      Regarding the learning curve, because the amount of perturbation was gradually increased except for Exp.1B, we were not able to obtain typical learning curves (i.e., the curve showing errors decaying exponentially with trials). However, it may still be useful to show how the movement changed with trials during adaptation. Therefore, following the reviewer's suggestion, we have added the figures of the time course of adaptation in the supplementary data (Figures S1, S2, S4, and S5).

      There are two reasons why our experiments did not include aftereffect quantification trials (i.e., probe trials). First, in the case of adaptation to a visual perturbation (e.g., visual rotation), probe trials are not necessary because the degree of adaptation can be easily quantified by the amount of compensation in the perturbation trials (however, in the case of dynamic perturbations such as force fields, the use of probe trials is necessary). Second, the inclusion of probe trials allows participants to be aware of the presence of the perturbation, which we would like to avoid.

      We also appreciate the interesting additional questions regarding the relevance of our work to the relationship between baseline motor variability and adaptation performance. As this topic, although interesting, is outside the scope of this paper, we concluded that we would not address it in the manuscript. In fact, the experiments were not ideal for quantifying motor variability in the baseline phase because participants had to aim at different targets, which could change the characteristics of motor variability. In addition, we gradually increased the size of the perturbation except for Exp.1B (see Author response image 1, upper panel), which could make it difficult to assess the speed of adaptation. Nevertheless, we think it is worth mentioning this point in this rebuttal. Specifically, we examined the correlation between baseline motor variability when aiming the 0 deg target (tip-movement direction or stick-tilt angle) and adaptation speed in Exp 1A and Exp 1B (Author response image 1 and Author response image 2). To assess adaptation speed in Exp.1A, we quantified the slope of the tip-movement direction to a gradually increasing perturbation (Author response image 1, upper panel). The adaptation speed in Exp.1B was obtained by fitting the exponential function to the data (Author response image 2, upper panel). Although the statistical results were not completely consistent, we found that the participants with greater the motor variability at baseline tended to show faster adaptation, as shown in a previous study (Wu et al., Nat Neurosci, 2014).

      Author response image 1.

      Correlation between the baseline variability and learning speed (Experiment 1A). In Exp 1A, the rotation of the tip-movement direction was gradually increased by 1 degree per trial up to 30 degrees. The learning speed was quantified by calculating how quickly the direction of movement followed the perturbation (upper panel). The lower left panel shows the variability of the tip-movement direction versus learning speed, while the lower right panel shows the variability of the stick-tilt angle versus learning speed. Baseline variability was calculated as a standard deviation across trials (trials in which a target appeared in a 0-degree direction).

      Author response image 2.

      Correlation between the baseline variability and learning speed (Experiment 1B). In Exp 1B, the rotation of the tip-movement direction was abruptly applied from the first trial (30 degrees). The learning speed was calculated as a time constant obtained by exponential curve fitting. The lower left panel shows the variability of the tip-movement direction versus learning speed, while the lower right panel shows the variability of the stick-tilt angle versus learning speed. Baseline variability was calculated as a standard deviation across trials (trials in which a target appeared in a 0-degree direction).

      The distance between hands was fixed at 15 cm with the Kinarm instead of a mechanical constraint. I wonder how much this distance varied and more importantly whether from that analysis or a force analysis, the authors could determine whether one hand led the other one in the adaptation.

      Thank you very much for this important comment. Since the distance between the two hands was maintained by the stiff virtual spring (2000 N/m), it was kept almost constant throughout the experiments as shown in Author response image 3 (the averaged distance during a movement). The distance was also maintained during reaching movements (Author response image 4).

      We also thank the reviewer for the suggestion regarding the force analysis. As shown in Author response image 5, we did not find a role for a specific hand for motor adaptation from the handle force data. Specifically, Author response image 5 shows the force applied to each handle along and orthogonal to the stick. If one hand led the other in adaptation, we should have observed a phase shift as adaptation progressed. However, no such hand specific phase shift was observed. It should be noted, however, that it was theoretically difficult to know from the force sensors which hand produced the force first, because the force exerted by the right handle was transmitted to the left handle and vice versa due to the connection by the stiff spring. 

      Author response image 3.

      The distance between hands during the task. We show the average distance between hands for each trial. The shaded area indicates the standard deviation across participants.

      Author response image 4.

      Time course changes in the distance between hands during the movement. The color means the trial epoch shown in the right legend.

      Author response image 5.

      The force profile during the movement (Exp 1A). We decomposed the force of each handle into the component along (upper panels) and orthogonal to the stick (lower panels). Changes in the force profiles in the adaptation phase are shown (left: left hand force, right: right hand force). The colors (magenta to cyan) mean trial epoch shown in the right legend.

      I understand the distinction between task- and end-effector irrelevant perturbation, and at the same time results show that the nervous system reacts to both types of perturbation, indicating that they both seem relevant or important. In line 32, the errors mentioned at the end of the sentence suggest that adaptation is in fact maladaptive. I think the authors may extend the Discussion on why adaptation was found in the experiments with end-effector irrelevant and especially how an internal (forward) model or a pair of internal (forward) models may be used to predict both the visual and the somatosensory consequences of the motor commands.

      Thank you very much for your comment. As we already described in the discussion of the original manuscript (Lines 519-538 in the revised manuscript), two potential explanations exist for the motor system’s response to the end-effector irrelevant perturbation (i.e., stick rotation). First, the motor system predicts the sensory information associated with the action and attempts to correct any discrepancies between the prediction and the actual sensory consequences, regardless of whether the error information is end-effector relevant or end-effector irrelevant. Second, given the close coupling between the tip-movement direction and stick-tilt angle, the motor system can estimate the presence of end-effector relevant error (i.e., tip-movement direction) by the presence of end-effector irrelevant error (i.e., stick-tilt angle). This estimation should lead to the change in the tip-movement direction. As the reviewer pointed out, the mismatch between visual and proprioceptive information is another possibility, we have added the description of this point in Discussion (Lines 523-526).

      Reviewer #1 (Recommendations For The Authors):

      Minor

      Line 16: “it remains poorly understood” is quite subjective and I would suggest reformulating this statement.

      We have reformulated this statement as “This limitation prevents the study of how….”  (Line 16).

      Introduction

      Line 49: the authors may be more specific than just saying ‘this task’. In particular, they need to clarify that there is no redundancy in studies where the shoulder is fixed and all movement is limited to a plane ... which turns out to truly happen in a limited set of experimental setups (for example: Kinarm exoskeleton, but not endpoint; Kinereach system...).

      We have changed this to “such a planar arm-reaching task” (Line 49).

      Line 61: large, not infinite because of biomechanical constraints.

      We have changed “an infinite” to “a large” (Line 61) and “infinite” to “a large number of” (legend in Fig. 1f).

      Lines 67-69: consider clarifying.

      We have tried to clarify the sentence (Lines 67-69).

      Results

      TMD and STA, and TMD-STA plane, are new terms with new acronyms that are not easy to immediately understand. Consider avoiding acronyms.

      We have reduced the use of these acronyms as much as possible. 

      “visual TMD–STA plane” -> “plane representing visual movement patterns” (Lines 179180)

      “TMD axis” -> “x-axis” (Line 181, Line 190)

      “physical TMD–STA plane” -> “plane representing physical movement patterns” (Lines 182-187)

      “physical TMD–STA plane” -> “physical plane” (Line 191, Line 201, Lines 216-217, Line 254, Line 301, Line 315, Line 422, Line 511, and captions of Figures 4-9, S3)

      “visual TMD–STA plane” -> “visual plane” (Line 193, Line 241, Line 248, Line 300, Lines

      313-314, and captions of Figures 4-9, S3)

      “STA axis” -> “y-axis” (Line 241)

      Line 169: please clarify the mismatch(es) that are created when the tip-movement direction is visually rotated in the CCW direction around the starting position (tip perturbation), whereas the stick-tilt angle remains unchanged.

      Thank you for your pointing this out. We have clarified that the stick-tilt angle remains identical to the tilt of both hands (Lines 171-172).

      Discussion

      I understand the physical constraint imposed between the 2 hands with the robotic device, but I am not sure I understand the physical constraint imposed by the TMD-STA relationship.

      The phrase “physical constraint” meant the constraint of the movement on the physical space. However, as the reviewer pointed out, this phrase could confuse the constraint between the two hands. Therefore, we have avoided using the phrase “physical constraint” throughout the manuscript.

      Some work looking at 3-D movements should be used for Discussion (e.g. Lacquaniti & Soechting 1982; work by d’Avella A or Jarrasse N).

      Thank you for sharing this important information. We have cited these studies in Discussion (Lines 380-382). 

      Reviewer #2 (Public Review):

      Summary:

      The authors have developed a novel bimanual task that allows them to study how the sensorimotor control system deals with redundancy within our body. Specifically, the two hands control two robot handles that control the position and orientation of a virtual stick, where the end of the stick is moved into a target. This task has infinite solutions to any movement, where the two hands influence both tip-movement direction and stick-tilt angle. When moving to different targets in the baseline phase, participants change the tilt angle of the stick in a specific pattern that produces close to the minimum movement of the two hands to produce the task. In a series of experiments, the authors then apply perturbations to the stick angle and stick movement direction to examine how either tipmovement (task-relevant) or stick-angle (task-irrelevant) perturbations affect adaptation. Both types of perturbations affect adaptation, but this adaptation follows the baseline pattern of tip-movement and stick angle relation such that even task-irrelevant perturbations drive adaptation in a manner that results in task-relevant errors. Overall, the authors suggest that these baseline relations affect how we adapt to changes in our tasks. This work provides an important demonstration that underlying solutions/relations can affect the manner in which we adapt. I think one major contribution of this work will also be the task itself, which provides a very fruitful and important framework for studying more complex motor control tasks.

      Strengths:

      Overall, I find this a very interesting and well-written paper. Beyond providing a new motor task that could be influential in the field, I think it also contributes to studying a very important question - how we can solve redundancy in the sensorimotor control system, as there are many possible mechanisms or methods that could be used - each of which produces different solutions and might affect the manner in which we adapt.

      Weaknesses:

      I would like to see further discussion of what the particular chosen solution implies in terms of optimality.

      The underlying baseline strategy used by the participants appears to match the path of minimum movement of the two hands. This suggests that participants are simultaneously optimizing accuracy and minimizing some metabolic cost or effort to solve the redundancy problem. However, once the perturbations are applied, participants still use this strategy for driving adaptation. I assume that this means that the solution that participants end up with after adaptation actually produces larger movements of the two hands than required. That is - they no longer fall onto the minimum hand movement strategy - which was used to solve the problem. Can the authors demonstrate that this is either the case or not clearly? These two possibilities produce very different implications in terms of the results.

      If my interpretation is correct, such a result (using a previously found solution that no longer is optimal) reminds me of the work of Selinger et al., 2015 (Current Biology), where participants continue to walk at a non-optimal speed after perturbations unless they get trained on multiple conditions to learn the new landscape of solutions. Perhaps the authors could discuss their work within this kind of interpretation. Do the authors predict that this relation would change with extensive practice either within the current conditions or with further exploration of the new task landscape? For example, if more than one target was used in the adaptation phase of the experiment?

      On the other hand, if the adaptation follows the solution of minimum hand movement and therefore potentially effort, this provides a completely different interpretation.

      Overall, I would find the results even more compelling if the same perturbations applied to movements to all of the targets and produced similar adaptation profiles. The question is to what degree the results derive from only providing a small subset of the environment to explore.

      Thank you very much for pointing out this significant issue. As the reviewer correctly interprets, the physical movement patterns deviated from the baseline relationship as exemplified in Exp.2. However, this deviation is not surprising for the following reason. Under the perturbation that creates the dissociation between the hands and the stick, the motor system cannot simultaneously return both the visual stick motion and physical hands motion to the original motions: When the motor system tries to return the visual stick motion to the original visual motion, then the physical hands motion inevitably deviates from the original physical hands motion, and vice versa.  

      Our interpretation of this result is that the motor system corrects the movement to reduce the visual dissociation of the visual stick motion from the baseline motion (i.e., sensory prediction error), but this movement correction is biased by the baseline physical hands motion. In other words, the motor system attempts to balance the minimization of sensory prediction error and the minimization of motor cost. Thus, our results do not indicate that the final adaptation pattern is non-optimal, but rather reflect the attempts for optimization.

      In the revised manuscript, we have added the description of this interpretation (Lines 515-517).

      Reviewer #2 (Recommendations For The Authors):

      The authors have suggested that the only study (line 472) that has also examined an end-effector irrelevant perturbation is the bimanual study of Omrani et al., 2013, which only examined reflex activity rather than adaptation. To clarify this issue - exactly what is considered end-effector irrelevant perturbations - I was wondering about the bimanual perturbations in Dimitriou et al., 2012 (J Neurophysiol) and the simultaneous equal perturbations in Franklin et al., 2016 (J Neurosci), as well as other recent papers studying task-irrelevant disturbances which aren’t discussed. I would consider these both to also be end-effector irrelevant perturbations, although again they only used these to study reflex activity and not adaptation as in the current paper. Regardless, further explanation of exactly what is the difference between task-irrelevant and end-effector irrelevant would be useful to clarify the exact difference between the current manuscript and previous work.

      Thank you for your helpful comments. We have included as references the study by Dimitriou et al. (Line 490) and Franklin et al. (Lines 486-487), which use an endeffector irrelevant perturbation and the task-irrelevant perturbation condition, respectively. We have also added further explanation of what is the difference between task-irrelevant and end-effector irrelevant (Lines 344-352). 

      Line 575: I assume that you mean peak movement speed

      We have added “peak”. (Line 597).

      Reviewer #3 (Public Review):

      Summary:

      This study explored how the motor system adapts to new environments by modifying redundant body movements. Using a novel bimanual stick manipulation task, participants manipulated a virtual stick to reach targets, focusing on how tip-movement direction perturbations affected both tip movement and stick-tilt adaptation. The findings indicated a consistent strategy among participants who flexibly adjusted the tilt angle of the stick in response to errors. The adaptation patterns are influenced by physical space relationships, guiding the motor system’s choice of movement patterns. Overall, this study highlights the adaptability of the motor system through changes in redundant body movement patterns.

      Strengths:

      This paper introduces a novel bimanual stick manipulation task to investigate how the motor system adapts to novel environments by altering the movement patterns of our redundant body.

      Weaknesses:

      The generalizability of the findings is quite limited. It would have been interesting to see if the same relationships were held for different stick lengths (i.e., the hands positioned at different start locations along the virtual stick) or when reaching targets to the left and right of a start position, not just at varying angles along one side. Alternatively, this study would have benefited from a more thorough investigation of the existing literature on redundant systems instead of primarily focusing on the lack of redundancy in endpointreaching tasks. Although the novel task expands the use of endpoint robots in motor control studies, the utility of this task for exploring motor control and learning may be limited.

      Thank you very much for the important comment. Given that there are many parameters (e.g., stick length, locations of hands, target position etc), one may wonder how the findings obtained from only one combination can be generalized to other configurations. In the revised manuscript, we have explicitly described this point (Lines 356-359). 

      Thus, the generalizability needs to be investigated in future studies, but we believe that the main results also apply to other configurations. Regarding the baseline stick movement pattern, the control with tilting the stick was observed regardless of the stick-tip positions (Author response image 6). Regarding the finding that the adapted stick movement patterns follow the baseline movement patterns, we confirmed the same results even when the other targets were used as the target for the adaptation (Author response image 7). 

      Author response image 6.

      Stick-tip manipulation patterns when the length of the stick varied. Top: 10 naïve participants moved the stick with different lengths. A target appeared on one of five directions represented by a color of each tip position. Regardless of the length of the stick and laterality, a similar relationship between tip-movement direction and stick-tilt angle was observed. (middle: at peak velocity, bottom: at movement offset).

      Author response image 7.

      Patterns of adaptation when using the other targets. In the baseline phase, 40 naïve participants moved a stick tip to a peripheral target (24 directions). They showed a stereotypical relationship between the tip-movement direction and the stick-tilt angle (a bold gray curve). In the adaptation phase, participants were divided into four groups, each with a different target training direction (lower left, lower right, upper right, or upper left), and visual rotation was gradually imposed on the tip-movement direction. Irrespective of the target direction, the adaptation pattern of the tipmovement and stick-tilt followed with the baseline relationship.

      We also thank you for your comment about studying the existing redundant systems. We can understand the reviewer's concern about the usefulness of our task, but we believe that we have proposed the novel framework for motor adaptation in the redundant system. The future studies will be able to clarify how the knowledge gained from our task can be generally applied to understand the control and learning of the redundant system.

      Reviewer #3 (Recommendations For The Authors):

      Line 49: replace “uniquely” with primarily. A number of features of the task setup could affect the joint angles, from if/how the arm is supported, whether the wrist is fixed, alignment of the target in relation to the midline of the participant, duration of the task, and whether fatigue is an issue, etc. Your statement relates to fixed limb lengths of a participant, rather than standard reaching tasks as a whole. Not to mention the degree of inter- and intra-subject variability that does exist in point-to-point reaching tasks.

      Thank you for your helpful point. We have replaced “uniquely” with “primarily”. (Line 49).

      Line 72: the cursor is not an end-effector - it represents the end-effector.

      We have changed the expression as “the perturbation to the cursor representing the position of the end-effector (Line 72).

      Lines 73 – 78: it would benefit the authors to consider the role of intersegmental dynamics.

      Thank you for your suggestion. We are not sure if we understand this suggestion correctly, but we interpret that this suggestion to mean that the end-effector perturbation can be implemented by using the perturbation that considers the intersegmental dynamics. However, the implementation is not so straightforward, and the panels in Figure 1j,k are only conceptual for the end-effector irrelevant perturbation. Therefore, we have not described the contribution of intersegmental dynamics here.

      Lines 90 – 92: “cannot” should be “did not”, as the studies being referenced are already completed. This statement should be further unpacked to explain what they did do, and how that does not meet the requirement of redundancy in movement patterns.

      We have changed “cannot” to “did not” (Line 91). We have also added the description of what the previous studies had demonstrated (Line 88-90).

      Figure text could be enlarged for easier viewing.

      We have enlarged texts in all figures. 

      Lines 41 - 47: Interesting selection of supporting references. For the introduction of a novel environment, I would recommend adding the support of Shadmehr and MussaIvaldi 1994.

      Thank you for your suggestion. We have added Shadmehr and Mussa-Ivaldi 1994 as a reference (Line 45).

      Line 49: “this task” is vague - the above references relate to a number of different tasks. For example, the authors could replace it with a reaching task involving an end-point robot.

      Thank you very much for your suggestion. As per the suggestion by Reviewer #1, we have changed this to “such a planar arm-reaching task” (Line 49).

      Line 60: “hypothetical limb with three joints” - in Figure 1a, the human subject, holding the handle of a robotic manipulandum does have flexibility around the wrist.

      Previous studies using planar arm-reaching task have constrained the wrist joint (e.g., Flash & Hogan, 1985; Gordon et al., 1994; Nozaki et al., 2006). We tried to emphasize this point as “participants manipulate a visual cursor with their hands primarily by moving their shoulder and elbow joints” (Line 42). In the revised manuscript, we have also emphasized this point in the legend of Figure 1a.

      Lines 93-108: this paragraph could be cleaned up more clearly stating that while the use of task-irrelevant perturbations has been used in the domain of reaching tasks, the focus of these tasks has not been specifically to address “In our task, we aim to exploit this feature by doing”

      Thank you very much for your helpful comments. To make this paragraph clear, we have modified some sentences (Line 100-104).

      Line 109: “coordinates to adapt” is redundant.

      We have changed this to “adapts” (Line 110).

      Lines 109-112: these sentences could be combined to have better flow.

      Thank you very much for your valuable suggestion. We have combined these two sentences for the better flow (Line 110-112).

      Line 113-114: consider rewording - “This is a redundant task because ...” to something like “Redundancy in the task is achieved by acknowledging that ....“.

      We have changed the expression according to the reviewer’s suggestion (Line 114).

      Line 118: Consider changing “changes” to “makes use of”.

      We have changed the expression (Line 119).

      Lines 346 - 348: grammar and clarity - “This redundant motor task enables the investigation of adaptation patterns in the redundant system following the introduction of perturbations that are either end-effector relevant, end-effector irrelevant, or both.“.

      Thank you very much again for your helpful suggestion of English expression. We have adopted the sentence you suggested (Line 354-356).

    1. Author response:

      The following is the authors’ response to the original reviews.

      We deeply appreciate the reviewer comments on our manuscript. We have proceeded with all the minor changes mentioned. We also want to emphasize three major points:

      (1) Reversine has been shown to have several off-targets effects. Including inducing apoptosis (Chen et al. J Bone Oncol. 2024).

      (2) Hypoxia varies from 2% to 6%. Our definition of hypoxia is 5% concentration of oxygen with 5% concentration of CO<sub>2</sub>, taking into consideration the standard levels of oxygen in the IVF clinics. Physiological oxygen in mouse varies from ~1.5% to 8%.

      (3) Natale et al. 2004 (Dev Bio) and Sozen et al. 2015 (Mech of Dev) described that inhibition of p38 deeply affect the development of pre-implantation embryos after the 8-cell stage. For this reason, comprehensible dissect the interaction between p53, HIF1A and p38 during aneuploid stress is challenging. We do not discard a double function of p38 during lineage specification and in response to DNA damage.

      Reviewer #2 (Recommendations for the authors):

      (1) Line 69: Please add the species used in your cited publications (murine).

      Fixed

      (2) Line 72: Consider changing "Because" to "As".

      Fixed

      (3) Line 88: "from the nuclei" - please refer to where the reader may find the example provided (Figure S1A).

      Fixed

      (4) Line 89: This should be Figure S1B as no quantification is presented in S1A. S1A only contains examples of micronuclei.

      Fixed

      (5) Line 91: Refer to Figure S1A.

      Fixed

      (6) Line 91-93: Are these numbers correct? The query arises from the numbers presented in Figure S1B. Please define how the median was calculated; is it micronuclei CREST+ plus micronuclei CREST-?

      Fixed. We did not differentiate in these percentage the presence of CREST.

      (7) Line 95: extra/missing bracket?

      Fixed

      (8) Line 88-91:

      [a] Regarding the number of cells with micronuclei in this text, please clarify your sample size and how the percentages were calculated as they currently do not align (e.g., are these the total number of embryos from a single experimental replicate?).

      Also, different numbers are found here and in the figure legend: (DMSO-22/256 cells from 32 embryos; Rev-82/144 cells from 18 embryos; AZ-182/304 cells from 38 embryos) vs. Fig S1 legend (DMSO-n=128 cells; Rev-72 cells; AZ-152 cells).

      [c] Is the median calculated using the numbers presented above? If yes, then the numbers do not tally, please check (DMSO-22/256 cells=8.6%; Rev-82/144 cells=56.9%; AZ-182/304 cells =59.9%) vs. Line 91-93: DMSO=12.5%, Rev=75%; AZ=62.5% blastomeres had micronuclei.

      The percentage represents the average of aneuploidy per embryo after normalization.

      See table for DMSO. This number represents the average of aneuploid cells each aneuploid embryo has. Notice that some embryos are fully diploid. Some have more that 12.5% -> 25%. Most of the aneuploid embryos have 12.5% of aneuploidy. It is not black and white as how many aneuploid cell there is in the sample but a full understanding of how aneuploid are the aneuploid embryos in each sample.

      Author response image 1.

      (9) Line 108:

      [a] "n=28 per treatment" please clarify whether this refers to the number of embryos or cells and also add how many independent replicate experiments this data is representative of. as the text only refers to Figure 1C you can remove the P-values for ** and *.

      Number of embryos. Fixed

      (10) Line 111: Suggest citing Figure 1C at the end of the sentence.

      Fixed

      (11) Line 118-119: the reference to figures require updating to ensure they refer to the appropriate figure; ...decidua (Figure S1C)...viable E9.5 embryos (Figure S1D).

      Fixed

      (12) Line 126: A description of the data in Figures 1D and 1E is missing. Also, consider describing the DNA damage observed in the DMSO control group. Visually, it appears that DNA damage reduces from the 8-cell to the morula stage (Figure 1E) but increases at the blastocyst stage (Figure S2A)? Point for discussion for a normal rate of DNA damage?

      Agree, there is some DNA damage in the TE in blastocyst

      (13) Line 134: 8 EPI and 4 PE cells in what group?

      Fixed: DMSO-treated embryos

      (14) Line 137: Could this also suggest that AZ and reversine induce DNA damage through a different mechanism/pathway, resulting in the differential impact observed? Despite both being inhibitors of Mps1.

      This is a possibility.

      (15) Line 153: the legend for Figure 2A says the Welch t-test was performed, but the Mann-Whitney U-test was stated here. Which is correct?

      Welch’s t-test

      (16) Line 155: ...at the blastocyst stage. Compared to what?

      DMSO-treated embryos

      (17) Line 160: Data in Figure 2B requires the definition of P-values for , , . Please add one for and remove the one for **.

      Fixed

      (18) Line 173-174: Data in Fig. 4 requires the definition of the P-values for ****. Please remove the others.

      Fixed

      (19) Line 180: Instead of jumping across figures, this section would benefit from stating the numbers directly to allow for an accurate comparison, e.g. 64 and 7 in Figure 2D vs. X and Y in Figure 1C.

      (20) Line 187: Hif1a should be italicised.

      Fixed

      (21) Line 197: Based on the description here, I believe you are missing a reference to Figure 1A.

      Fixed

      (22) Line 203: Instead of jumping across figures, this section would benefit from stating the numbers directly to allow for accurate comparison, "particularly in the TE and PE" (67 vs 54; and 11 vs 6, respectively).

      (23) Line 209-210:

      [a] "...lowered the number of yH2AX foci..." is this a visual observation as quantification was performed for yH2AX intensity, not quantification of foci?

      A description for PARP1 levels in morula stage embryos was presented ("...relatively low in morula), but not for yH2AX levels at this stage of development. Missing description?

      Fixed

      (24) Line 235: This sentence would benefit from being specific about the environmental conditions...eg "Under normoxia, DMSO/AZ3146-treated...",

      (25) Line 238: The sentence should reference Figure 4F not 4G.

      Fixed

      (26) Line 242-243:

      [a] "slightly increased... in the TE (49.06%) and PE (50%) but, strikingly, reduced... EPI (33.3%)" compared to what and in which figure?

      Assuming you are comparing normoxia (4F) to hypoxia (4G), the numbers change for the TE (46.75% to 49.06%, respectively), EPI (42.88% to 33.3%, respectively), and PE (28.57% to 50%, respectively); yet these data were described as "strikingly different" for EPI (9.58 decrease) but only "slightly increased" for PE (21.42 increase). Suggest using appropriate adjectives to describe the results.

      Fixed

      (27) Line 256: It is stated in line 255 that treatment was performed at the zygote stage, yet this sentence says reversine treatment occurred at the 2-cell stage? Which is correct? Please amend appropriately. Refer to the comment below regarding adding a schematic to aid readers

      Fixed

      (28) Line 259: "n>27 per treatment" please clarify whether this refers to the number of embryos or cells and also add how many independent replicate experiments this data is representative of. Data in Figures S5A-B requires a definition of P-values for , . Please remove for *, *.

      Fixed

      (29) Line 261: AZ3146/reversine stated here, the figure shows Reversine/AZ3146. Please consider being consistent.

      Fixed

      (30) Line 263: "... normal morphology and cavitation (Figure S5D); however the image presented for Rev/DMSO and Rev/AZ3146 chimeras appear smaller with a distorted/weird shape when compared to DMSO/AZ. I believe the description does not match the images presented.

      Fixed

      (31) Line 267: "...similar results as 8-cell stage derived chimeras"; however, there is only a reference to Fig S5E which depicts 2-cell/zygote stage (see comment above for line 256 regarding required clarification of stage of treatment) derived chimeras. There is also a missing reference to Figure 4B, D, and/or F?

      Fixed

      (32) Line 271: add a reference to Figure S5E.

      Fixed

      (33) Line 283: "AZ3146/reversine" should be "Reversine/AZ3146" to match the figure.

      Fixed

      (34) Line 284: Figures 5E-F show both morphology and cavitation; the text should reflect this.

      Fixed

      (35) Line 281-285: I think this text requires editing to improve clarity. It is difficult for this reader to understand the authors' interpretation of the results....inhibiting HIF1A reduces morphology and cavitation. That's correct. However, this also diminished the contribution of AZ3146-treated cells to all 3 cell lineages; this is not quite accurate. AZ3146-treated cells were significantly reduced in total cell numbers because TE was significantly reduced. It is not appropriate to generalise this result to all 3 lineages, as EPI and TE appear to increase AZ's contribution following IDF treatment, albeit non-statistically significant.

      Fixed

      (36) Line 320: citation? ....reversine-treated embryos. Is this referring to your previous publication...Bolton 2016?

      Fixed

      (37) Line 344: missing space between 7.5 and IU.

      Fixed

      (38) Line 358: animal ethics approval number/code missing.

      Fixed

      (39) Line 397: missing space between "...previously" and "(Bermejo...".

      Fixed

      (40) Line 417: missing space between "...control" and "(Gu et...".

      Fixed

      (41) Line 421: missing space between "protocol" and "(Eakin...".

      Fixed

      (42) Line 427-429: Medium-grade mosaic chimeras were referred to as DMSO:AZ:Rev (3:3:2) here; but Figure 4 and associated legend says otherwise. Please amend appropriately. Were all medium mosaics generated in this manner? As I could only find Rev/AZ chimeras; my understanding of the Rev/AZ chimeras is 1:1 Rev:AZ instead of 3:2:3 DMSO:Rev:AZ.

      Fixed

      (43) Line 428: "reversine-treaded: please correct spelling.

      Fixed

      (44) Line 593: "n=28 per treatment" Please clarify whether this refers to the number of embryos or cells and also add how many independent replicate experiments this data is representative of.

      Fixed

      (45) Line 597: "through morula stage" when compared to what group?

      DMSO-treated embryos

      (46) Line 598: Data in Figure S5A-B requires the definition of P-values for , , **. Please remove for . Please define the error bars. SEM/95% confidence interval?

      Fixed

      (47) Line 604-607: Regarding 2B, no statistical test is stated yet Mann-Whitney was stated in Line 160 of the results section. Please confirm which test was used and include it in both sections for consistency.

      Fixed

      (48) Line 608: "Chemical downregulation of HIF1A"... this is not described in the results/methods section or shown in the figure. Please amend all sections for accuracy.

      Fixed

      (49) Line 613: please change "effect in" to "effect on".

      Fixed

      (50) Line 614: Please clarify the number of embryos or cells and also add how many independent replicate experiments this data is representative of. Data in Figure 2 also requires a definition of P-value for ****.

      Fixed

      (51) Line 625: Please clarify the number of embryos or cells and also add how many independent replicate experiments this data is representative of. Data in Figure 3 also requires a definition of P-value for ****.

      Fixed

      (52) Line 627: description requires editing to improve accuracy "...is only slightly increased at the 8-cell stage after exposure to reversine and AZ3146". However, the results show significantly higher DNA damage with Reversine treatment, but not with AZ when compared to DMSO. Please amend accordingly.

      Fixed

      (53) Line 629: Please define the error bars. SEM/95% confidence interval?

      Fixed

      (54) Line 634-635: it is written here that chimeras were made from 1:1 DMSO/AZ3146 and Reversine/DMSO; but Figure 4A shows 1:1 DMSO(grey):AZ3146(blue), and Reversine(red):AZ3146(blue), which contradicts the legend + method section; see comments for Line 427-429. Please amend these sections accordingly.

      Fixed

      (55) Line 648: reversine/AZ3146 chimeras? Refer to comments above.

      Fixed

      (56) Line 649-650: ...AZ-treated blastomeres contribute similarly to reversine-blastomeres to the TE and EPI but significantly increase contribution to the EPI? Please add the appropriate comparison group.

      Fixed

      (57) Line 652: Please clarify the number of embryos or cells and also add how many independent replicate experiments this data is representative of.

      Fixed

      (58) Line 664: Please clarify the number of embryos or cells and also add how many independent replicate experiments this data is representative of.

      Fixed

      (59) Line 675-677: FigS1B legend requires a definition of P-value for * and ****, can omit **

      Fixed

      (60) Line 678-680: FigS1C and S1D legend: sample size and replicates? Only mentioned in Lines 117-120, which requires back calculation.

      Fixed

      (61) Line 682-694: (1) Fig. S2B legend: missing P-value description for *** and ***; statistical test not stated, please add. Also, Figure S2E, only requires the definition for , and can omit others.

      Fixed

      (62) Line 702: FigS3B: missing description for ****, omit others.

      Fixed

      (63) Line 704-705: missing description for Rev/AZ group and hypoxia vs. normoxia conditions.

      Fixed

      (64) Line 712-713: "n>27 per treatment" Please clarify whether this refers to the number of embryos or cells and also add how many independent replicate experiments this data is representative of. Data in Figure S5 requires the definition of P-values for , . Please remove for *, *.

      Fixed

      (65) Line 713-715: could benefit from a description of which were marked from mTmG; e.g. why is DMSO, Rev, Rev in Green for [D]; does this mean 2-cell stage chimeras were only made with embryos treated with DMSO and Reversine? Has it been tested if you did this with AZ3146, do the proportions remain the same? This would be interesting to know.

      DMSO and reversine are in green because they are the cells mark with green in the chimeras. We also did chimeras with AZ3146. Hope this clarifies.

      (66) Line 719-721: why is there a difference between the proportion of aneuploid cells for the different chimeras? AZ in D/AZ, and R/AZ groups; while only R in D/R group? Is this because you only count those that were marked with mTmG (e.g. based on [Fig S5D])? (67) Line 724: low- and medium-grade chimeras would indicate quality, recommend adding low/medium grade aneuploid/mosaic chimeras.

      Fixed

      (68) Line 725-729: it may be my mistake, but I think the results description is not found within the Results section, but only here in the legend? Please include this detail also in the Results section.

      Fixed

      (69) Line 729: which is AZ or Rev cells?

      (70) References - Page number missing for some references; abbreviated version vs. non abbreviated version of journal titles used. Please be consistent/meet journal requirements.

      Fixed

      (71) Figures

      Figure 1: [C] both AZ-NANOG and DMSO-SOX17 have mean/median(?) of 11 cells (described in results), yet in this figure (on the same axis) these groups are not level. Are the numbers correct? This is also the case for Rev-SOX17 which is described in the results as having 8 cells yet appears to be above the 8 mark in the graphs; AZ-CDX2, which has 64 cells yet appears to be below the 60 mark; AZ-total, which has 82 cells yet appears to be below the 80 mark. In [E] the label orientation, "ns" has both horizontal and vertical orientation. Please make appropriate changes throughout to reflect accuracy.

      Figure 3: [C] As for Figure 1, DMSO-NANOG, which is described in results as having 14 cells, yet appears to be below the 13 mark in the graph; DMSO-SOX17, which has 6 cells yet appears to be above the 7 mark.

      These is due to average

      Figure 4: [D and E] random numerals appear in the bars on the graph. 9,10 and 7, 14? Are these sample size numbers? If they are, they should appear in all bars/groups or in the legend.

      Yes, these are sample sizes

      Figure 5: [D and G] same comment as for Fig 4 above, random numbers in the graph.

      Yes, these are sample sizes

      (72) Supplementary figures. Figure S2 [A] No quantification? This is important to add as representative images are only a 2D plane, which can be easily misinterpreted. [E] Should the y-axis label be written as "Number of cells normalised to DMSO group", or similar? Or is there a figure missing to depict the ratio of cells in each cell lineage normalised to the DMSO group, which is the description written in the legend? But I don't see a figure showing the ratio, just the absolute number of cells. Is this a missing figure or a mislabelled axis?

      Quantification at the blastocyst stage is misleading due to high cellular heterogeneity.

      Reviewer #3 (Recommendations for the authors):

      (1) The statement in the abstract: "embryos with a low proportion of aneuploid cells have a similar likelihood of developing to term as fully euploid embryos" Line 48-50 Capalbo does not really answer as the biopsy may not be reflective of ICM.

      This is a great point. Trophectoderm biopsies may not reflect the real proportion of aneuploidy in the ICM. We emphasize this in discussion and Fig. S4.

      (2) Line 69/70, at least 50% Singla et al/Bolton. It would be helpful to elaborate a bit more on this study. How can this be assessed when analysis results in destruction?

      (3) Differences in the developmental potential of reversine versus AZ-treated embryos. It is not entirely clear why. The differences in non-dividing cells if any are small, and the -crest cells are rather minor also. Could these drugs have other effects that are not evaluated in the study?

      Yes, specifically, reversine has been shown to have several off-targets effects. Including inducing apoptosis (Chen et al 2024).

      (4) Lines 45-46 understanding of reduction of aneuploidy should mention/discuss the paper of attrition/selection, of the kind by the Brivanlou lab for instance, or others. As well as allocation to specific lineages, including the authors' work.

      Dr. Brinvanlou experiments in gastruloids do not represent the same developmental stage of pre-implantation embryos. Comparison between models is debatable.

      (5) Line 53: human experiments are more limited due to access to samples. What does 'not allowed' mean? By who, where?

      NIH does not allow to experiment with human embryos for ethical reasons.

      (6) The figure callouts to S1A in lines 93,97. What is a non-dividing nucleus? For how long is it observed?

      A non-dividing nucleus is an accumulation of DNA in a round form without define separation of the chromosomes and their specific kinetochores (CREST antibody). The presence of non-dividing nucleus during the 4 -to-8 cell stage can indicate activation of the spindle assembly checkpoint during prometaphase. Example of non-dividing nucleus can be observed in Fig S1.B.

      (7) Line 108 A relatively minor effect on cell number and quality of blastocysts is observed. It is not surprising that thereafter, developmental potential is also high. At that stage, what are the individual cell karyotypes?

      Due to technical limitations, we can’t determine the specific karyotypes of these cells.

      (8) Line 153. The p53 increase of 1.3 fold is not dramatic.

      The levels of p53 at the morula stage is 7-fold differences. In contrast, at the blastocyst stage, a change in 1.3-fold is indeed less dramatic. This can be a result of the elimination of aneuploid cells or mechanism to counter the activation of the p53 pathway, like overexpression of the Hif1a pathway.

      (9) Line 155. Is there a more direct way to test for p38 activation?

      Natale et al 2004 (Dev Biol) and Sozen et al 2015 (Mech of Dev) described that inhibition of p38 deeply affect the development of pre-implantation embryos after the 8-cell stage. For this reason, comprehensible dissect the interaction between p53, HIF1A and p38 during aneuploid stress is challenging. We do not discard a double function of p38 during lineage specification and in response to DNA damage.

      (10) Line 191/192 Low oxygen conditions, is this equal to hypoxia? What is the definition of hypoxia here? The next sentence says physiological. Is that the same or different?

      Low oxygen can be defined as hypoxia. This varies from 2% to 6%. Our definition of hypoxia is 5% concentration of oxygen with 5% concentration of CO<sub>2</sub>, taking into consideration the standard levels of oxygen in the IVF clinics. Physiological oxygen in mouse varies from ~1.5% to 8%.

      (11) The question is whether there is something specific about HIF1 and aneuploidy, or whether another added stress would have similar effects on the competitiveness of treated cells.

      That is a great follow up of our work.

      (12) Line 300. Is p21 unregulated at the protein level or mRNA level? Please indicate.

      mRNA level.

      (13) Figure 1D/E H2Ax intensity is cell cycle phase-dependent. It might be meaningful to count foci by the nucleus and show both ways of analysis.

      (14) Check the spelling of phalloidin.

      Fixed in text and figures!

    1. Author response:

      The following is the authors’ response to the original reviews

      Reviewer #1 (Public review):

      Summary:

      Chang and colleagues used tetrode recordings in behaving rats to study how learning an audiovisual discrimination task shapes multisensory interactions in the auditory cortex. They found that a significant fraction of neurons in the auditory cortex responded to visual (crossmodal) and audiovisual stimuli. Both auditory-responsive and visually-responsive neurons preferentially responded to the cue signaling the contralateral choice in the two-alternative forced choice task. Importantly, multisensory interactions were similarly specific for the congruent audiovisual pairing for the contralateral side.

      Strengths:

      The experiments were conducted in a rigorous manner. Particularly thorough are the comparisons across cohorts of rats trained in a control task, in a unisensory auditory discrimination task, and the multisensory task, while also varying the recording hemisphere and behavioral state (engaged vs. anesthesia). The resulting contrasts strengthen the authors' findings and rule out important alternative explanations. Through the comparisons, they show that the enhancements of multisensory responses in the auditory cortex are specific to the paired audiovisual stimulus and specific to contralateral choices in correct trials and thus dependent on learned associations in a task-engaged state.

      We thank Reviewer #1 for the thorough review and valuable feedback.

      Weaknesses:

      The main result is that multisensory interactions are specific for contralateral paired audiovisual stimuli, which is consistent across experiments and interpretable as a learned task-dependent effect. However, the alternative interpretation of behavioral signals is crucial to rule out, which would also be specific to contralateral, correct trials in trained animals. Although the authors focus on the first 150 ms after cue onset, some of the temporal profiles of activity suggest that choice-related activity could confound some of the results.

      We thank the reviewer for raising this important point regarding the potential influence of choice-related activity on our results. In our experimental setup, it is challenging to completely disentangle the effects of behavioral choice from multisensory interaction. However, we conducted relevant analyses to examine the influence of choice-related components on multisensory interaction.

      First, we analyzed neural responses during incorrect trials and found a significant reduction in multisensory enhancement for the A<sup>10k</sup>-V<sup>vt</sup> pairing (Fig. 4). In contrast, for the A<sup>3k</sup>-V<sup>hz</sup> pairing, there was no strong multisensory interaction during either correct (right direction) or incorrect (left direction) choices. This finding suggests that the observed multisensory interactions are strongly associated with specific cue combinations during correct task performance.

      Second, we conducted experiments with unisensory training, in which animals were trained separately on auditory and visual discriminations without explicit multisensory associations. The results demonstrated that unisensory training did not lead to the development of selective multisensory enhancement or congruent auditory-visual preferences, as observed in the multisensory training group. This indicates that the observed multisensory interactions in the auditory cortex are specific to multisensory training and cannot be attributed solely to behavioral signals or choice-related effects.

      Finally, we specifically focused on the early 0-150 ms time window after cue onset in our main analyses to minimize contributions from motor-related or decision-related activity, which typically emerge later. This time window allowed us to capture early sensory processing while reducing potential confounds.

      Together, these findings strongly suggest that the observed choice-dependent multisensory enhancement is a learned, task-dependent phenomenon that is specific to multisensory training.

      The auditory stimuli appear to be encoded by short transient activity (in line with much of what we know about the auditory system), likely with onset latencies (not reported) of 15-30 ms. Stimulus identity can be decoded (Figure 2j) apparently with an onset latency around 50-75 ms (only the difference between A and AV groups is reported) and can be decoded near perfectly for an extended time window, without a dip in decoding performance that is observed in the mean activity Figure 2e. The dynamics of the response of the example neurons presented in Figures 2c and d and the average in 2e therefore do not entirely match the population decoding profile in 2j. Population decoding uses the population activity distribution, rather than the mean, so this is not inherently problematic. It suggests however that the stimulus identity can be decoded from later (choice-related?) activity. The dynamics of the population decoding accuracy are in line with the dynamics one could expect based on choice-related activity. Also the results in Figures S2e,f suggest differences between the two learned stimuli can be in the late phase of the response, not in the early phase.

      We appreciate the reviewer’s detailed observations and questions regarding the dynamics of auditory responses and decoding profiles in our study. In our experiment, primary auditory cortex (A1) neurons exhibited short response latencies that meet the established criteria for auditory responses in A1, consistent with findings from many other studies conducted in both anesthetized and task-engaged animals. While the major responses typically occurred during the early period (0-150ms) after cue onset (see population response in Fig. 2e), individual neuronal responses in the whole population were generally dynamic, as illustrated in Figures 2c, 2d, and 3a–c. As the reviewer correctly noted, population decoding leverages the distribution of activity across neurons rather than the mean activity, which explains why the dynamics of population decoding accuracy align well with choice-related activity. This also accounts for the extended decoding window observed in Figure 2j, which does not entirely match the early population response profiles in Figure 2e.

      To address the reviewer’s suggestion that differences between the two learned stimuli might arise in the late phase of the response, we conducted a cue selectivity analysis during the 151–300 ms period after cue onset. The results, shown below, indicate that neurons maintained cue selectivity in this late phase for each modality (Supplementary Fig. 5), though the selectivity was lower than in the early phase. However, interpreting this late-phase activity remains challenging. Since A<sup>3k</sup>, V<sup>hz</sup>, and A<sup>3k</sup>-V<sup>hz</sup> were associated with the right choice, and A<sup>10k</sup>, V<sup>vt</sup>, and A<sup>10k</sup>-V<sup>vt</sup> with the left choice, it is difficult to disentangle whether the responses reflect choice, sensory features, or a combination of both.

      To further investigate, we examined multisensory interactions during the late phase, controlling for choice effects by calculating unisensory and multisensory responses within the same choice context. Our analysis revealed no evident multisensory enhancement for any auditory-visual pairing, nor significant differences between pairings—unlike the robust effects observed in the early phase (Supplementary Fig. 5). We hypothesize that early responses are predominantly sensory-driven and exhibit strong multisensory integration, whereas late responses likely reflect task-related, choice-related, or combined sensory-choice activity, where sensory-driven multisensory enhancement is less prominent. As the focus of this manuscript is on multisensory integration and cue selectivity, we prioritized a detailed analysis of the early phase, where these effects are most prominent. However, the complexity of interpreting late-phase activity remains a challenge and warrants further investigation. We cited Supplementary Fig. 5 in revised manuscript as the following:

      “This resulted in a significantly higher mean MSI for the A<sup>10k</sup>-V<sup>vt</sup> pairing compared to the A<sup>3k</sup>-V<sup>hz</sup> pairing (0.047 ± 0.124 vs. 0.003 ± 0.096; paired t-test, p < 0.001). Among audiovisual neurons, this biasing is even more pronounced (enhanced vs. inhibited: 62 vs. 2 in A<sup>10k</sup>-V<sup>vt</sup> pairing, 6 vs. 13 in A<sup>3k</sup>-V<sup>hz</sup> pairing; mean MSI: 0.119±0.105 in A<sup>10k</sup>-V<sup>vt</sup> pairing vs. 0.020±0.083 A<sup>3k</sup>-V<sup>hz</sup> pairing, paired t-test, p<0.00001) (Fig. 3f). Unlike the early period (0-150ms after cue onset), no significant differences in multisensory integration were observed during the late period (151-300ms after cue onset) (Supplementary Fig. 5).”

      First, it would help to have the same time axis across panels 2,c,d,e,j,k. Second, a careful temporal dissociation of when the central result of multisensory enhancements occurs in time would discriminate better early sensory processing-related effects versus later decision-related modulations.

      Thank you for this valuable feedback. Regarding the first point, we used a shorter time axis in Fig. 2j-k to highlight how the presence of visual cues accelerates the decoding process. This visualization choice was intended to emphasize the early differences in processing speed. For the second point, we have carefully analyzed multisensory integration across different temporal windows. The results presented in the Supplementary Fig. 5 (also see above) already address the late phase, where our data show no evidence of multisensory enhancement for any auditory-visual pairings. This distinction helps clarify that the observed multisensory effects are primarily related to early sensory processing rather than later decision-related modulations. We hope this addresses the concerns raised and appreciate the opportunity to clarify these points.

      In the abstract, the authors mention "a unique integration model", "selective multisensory enhancement for specific auditory-visual pairings", and "using this distinct integrative mechanisms". I would strongly recommend that the authors try to phrase their results more concretely, which I believe would benefit many readers, i.e. selective how (which neurons) and specific for which pairings?

      We appreciate the reviewer’s suggestion to clarify our phrasing for better accessibility. To address this, we have revised the relevant sentence in the abstract as follows:

      "This model employed selective multisensory enhancement for the auditory-visual pairing guiding the contralateral choice, which correlated with improved multisensory discrimination."

      Reviewer #2 (Public review):

      Summary

      In this study, rats were trained to discriminate auditory frequency and visual form/orientation for both unisensory and coherently presented AV stimuli. Recordings were made in the auditory cortex during behaviour and compared to those obtained in various control animals/conditions. The central finding is that AC neurons preferentially represent the contralateral-conditioned stimulus - for the main animal cohort this was a 10k tone and a vertically oriented bar. Over 1/3rd of neurons in AC were either AV/V/A+V and while a variety of multisensory neurons were recorded, the dominant response was excitation by the correctly oriented visual stimulus (interestingly this preference was absent in the visual-only neurons). Animals performing a simple version of the task in which responses were contingent on the presence of a stimulus rather than its identity showed a smaller proportion of AV stimuli and did not exhibit a preference for contralateral conditioned stimuli. The contralateral conditioned dominance was substantially less under anesthesia in the trained animals and was present in a cohort of animals trained with the reverse left/right contingency. Population decoding showed that visual cues did not increase the performance of the decoder but accelerated the rate at which it saturated. Rats trained on auditory and then visual stimuli (rather than simultaneously with A/V/AV) showed many fewer integrative neurons.

      Strengths

      There is a lot that I like about this paper - the study is well-powered with multiple groups (free choice, reversed contingency, unisensory trained, anesthesia) which provides a lot of strength to their conclusions and there are many interesting details within the paper itself. Surprisingly few studies have attempted to address whether multisensory responses in the unisensory cortex contribute to behaviour - and the main one that attempted to address this question (Lemus et al., 2010, uncited by this study) showed that while present in AC, somatosensory responses did not appear to contribute to perception. The present manuscript suggests otherwise and critically does so in the context of a task in which animals exhibit a multisensory advantage (this was lacking in Lemus et al.,). The behaviour is robust, with AV stimuli eliciting superior performance to either auditory or visual unisensory stimuli (visual were slightly worse than auditory but both were well above chance).

      We thank the reviewer for their positive evaluation of our study.

      Weaknesses

      I have a number of points that in my opinion require clarification and I have suggestions for ways in which the paper could be strengthened. In addition to these points, I admit to being slightly baffled by the response latencies; while I am not an expert in the rat, usually in the early sensory cortex auditory responses are significantly faster than visual ones (mirroring the relative first spike latencies of A1 and V1 and the different transduction mechanisms in the cochlea and retina). Yet here, the latencies look identical - if I draw a line down the pdf on the population level responses the peak of the visual and auditory is indistinguishable. This makes me wonder whether these are not sensory responses - yet, they look sensory (very tightly stimulus-locked). Are these latencies a consequence of this being AuD and not A1, or ... ? Have the authors performed movement-triggered analysis to illustrate that these responses are not related to movement out of the central port, or is it possible that both sounds and visual stimuli elicit characteristic whisking movements? Lastly, has the latency of the signals been measured (i.e. you generate and play them out synchronously, but is it possible that there is a delay on the audio channel introduced by the amp, which in turn makes it appear as if the neural signals are synchronous? If the latter were the case I wouldn't see it as a problem as many studies use a temporal offset in order to give the best chance of aligning signals in the brain, but this is such an obvious difference from what we would expect in other species that it requires some sort of explanation.

      Thank you for your insightful comments. I appreciate the opportunity to clarify these points and strengthen our manuscript. Below, I address your concerns in detail:

      We agree that auditory responses are typically faster than visual responses due to the distinct transduction mechanisms. However, in our experiment, we intentionally designed the stimulus setup to elicit auditory and visual responses within a similar time window to maximize the potential for multisensory integration. Specifically, we used pure tone sounds with a 15 ms ramp and visual stimuli generated by an LED array, which produce faster responses compared to mostly used light bars shown on a screen (see Supplementary Fig. 2a). The long ramp of the auditory stimulus slightly delayed auditory response onset, while the LED-generated bar (compared to the bar shown on the screen) elicited visual responses more quickly. This alignment likely facilitated the observed overlap in response latencies.

      Neurons’ strong spontaneous activity in freely moving animals complicates the measurement of first spike latencies. Despite that, we still can infer the latency from robust cue-evoked responses. Supplementary Fig. 2b illustrates responses from an exemplar neuron (the same neuron as shown in Fig. 2c), where the auditory response begins 9 ms earlier than the visual response. Given the 28 ms auditory response latency observed here using 15 ms-ramp auditory stimulus, this value is consistent with prior studies in the primary auditory cortex usually using 5 ms ramp pure tones, where latencies typically range from 7 to 28 ms. Across the population (n=559), auditory responses consistently reached 0.5 of the mean Z-scored response 15 ms earlier than visual responses (Supplementary Fig. 2c). The use of Gaussian smoothing in PSTHs supports the reliability of using the 0.5 threshold as an onset latency marker. We cited Supplementary Fig. 2 in the revised manuscript within the Results section (also see the following):

      “This suggests multisensory discrimination training enhances visual representation in the auditory cortex. To optimize the alignment of auditory and visual responses and reveal the greatest potential for multisensory integration, we used long-ramp pure tone auditory stimuli and quick LED-array-elicited visual stimuli (Supplementary Fig. 2). While auditory responses were still slightly earlier than visual responses, the temporal alignment was sufficient to support robust integration.”

      We measured the time at which rats left the central port and confirmed that these times occur significantly later than the neuronal responses analyzed (see Fig. 1c-d). While we acknowledge the potential influence of movements such as whiskering, facial movements, head direction changes, or body movements on neuronal responses, precise monitoring of these behaviors in freely moving animals remains a technical challenge. However, given the tightly stimulus-locked nature of the neuronal responses observed, we believe they primarily reflect sensory processing rather than movement-related activity.

      To ensure accurate synchronization of auditory and visual stimuli, we verified the latencies of our signals. The auditory and visual stimuli were generated and played out synchronously with no intentional delay introduced. The auditory amplifier used in our setup introduces minimal latency, and any such delay would have been accounted for during calibration. Importantly, even if a small delay existed, it would not undermine our findings, as many studies intentionally use temporal offsets to facilitate alignment of neural signals. Nonetheless, the temporal overlap observed here is primarily a result of our experimental design aimed at promoting multisensory integration.

      We hope these clarifications address your concerns and highlight the robustness of our findings.

      Reaction times were faster in the AV condition - it would be of interest to know whether this acceleration is sufficient to violate a race model, given the arbitrary pairing of these stimuli. This would give some insight into whether the animals are really integrating the sensory information. It would also be good to clarify whether the reaction time is the time taken to leave the center port or respond at the peripheral one.

      We appreciate your request for clarification. In our analysis, reaction time (RT) is defined as the time taken for the animal to leave the center port after cue onset. This measure was chosen because it reflects the initial decision-making process and the integration of sensory information leading to action initiation. The time taken to respond at the peripheral port, commonly referred to as movement time, was not included in our RT measure. However, movement time data is available in our dataset, and we are open to further analysis if deemed necessary.

      To determine whether the observed acceleration in RTs in the audiovisual (AV) condition reflects true multisensory integration rather than statistical facilitation, we tested for violations of the race model inequality (Miller, 1982). This approach establishes a bound for the probability of a response occurring within a given time interval under the assumption that the auditory (A) and visual (V) modalities operate independently. Specifically, we calculated cumulative distribution functions (CDFs) for the RTs in the A, V, and AV conditions (please see Author response image 1). In some rats, the AV_RTs exceeded the race model prediction at multiple time points, suggesting that the observed acceleration is not merely due to statistical facilitation but reflects true multisensory integration. Examples of these violations are shown in Panels a-b of the following figure. However, in other rats, the AV_RTs did not exceed the race model prediction, as illustrated in Author response image 1c-d.

      This variability may be attributed to task-specific factors in our experimental design. For instance, the rats were not under time pressure to respond immediately after cue onset, as the task emphasized accuracy over speed. This lack of urgency may have influenced their behavioral responses and movement patterns. The race model is typically applied to assess multisensory integration in tasks where rapid responses are critical, often under conditions that incentivize speed (e.g., time-restricted tasks). In our study, the absence of strict temporal constraints may have reduced the likelihood of observing consistent violations of the race model. Furthermore, In our multisensory discrimination task, animals should discriminate multiple cues and make a behavioral choice have introduced additional variability in the degree of integration observed across individual animals. Additionally, factors such as a decline in thirst levels and physical performance as the task progressed may have significantly contributed to the variability in our results. These considerations are important for contextualizing the race model findings and interpreting the data within the framework of our experimental design.

      Author response image 1.

      Reaction time cumulative distribution functions (CDFs) and race model evaluation. (a) CDFs of reaction times (RTs) for auditory (blue), visual (green), and audiovisual stimuli (red) during the multisensory discrimination task. The summed CDF of the auditory and visual conditions (dashed purple, CDF_Miller) represents the race model prediction under independent sensory processing. The dashed yellow line represents the CDF of reaction times predicted by the race model. According to the race model inequality, the CDF for audiovisual stimuli (CDF_AV) should always lie below or to the right of the sum of CDF_A and CDF_V. In this example, the inequality is violated at nearly t = 200 ms, where CDF_AV is above CDF_Miller. (b) Data from another animal, showing similar results. (c, d) CDFs of reaction times for two other animals. In these cases, the CDFs follow the race model inequality, with CDF_AV consistently lying below or to the right of CDF_A + CDF_V.

      The manuscript is very vague about the origin or responses - are these in AuD, A1, AuV... ? Some attempts to separate out responses if possible by laminar depth and certainly by field are necessary. It is known from other species that multisensory responses are more numerous, and show greater behavioural modulation in non-primary areas (e.g. Atilgan et al., 2018).

      Thank you for highlighting the importance of specifying the origin of the recorded responses. In the manuscript, we have detailed the implantation process in both the Methods and Results sections, indicating that the tetrode array was targeted to the primary auditory cortex. Using a micromanipulator (RWD, Shenzhen, China), the tetrode array was precisely positioned at stereotaxic coordinates 3.5–5.5 mm posterior to bregma and 6.4 mm lateral to the midline, and advanced to a depth of approximately 2–2.8 mm from the brain surface, corresponding to the primary auditory cortex. Although our recordings were aimed at A1, it is likely that some neurons from AuD and/or AuV were also included due to the anatomical proximity.

      In fact, in our unpublished data collected from AuD, we observed that over 50% of neurons responded to or were modulated by visual cues, consistent with findings from many other studies. This suggests that visual representations are more pronounced in AuD compared to A1. However, as noted in the manuscript, our primary focus was on A1, where we observed relatively fewer visual or audiovisual modulations in untrained rats.

      Regarding laminar depth, we regret that we were unable to determine the specific laminar layers of the recorded neurons in this study, a limitation primarily due to the constraints of our recording setup.

      Reviewer #3 (Public review):

      Summary:

      The manuscript by Chang et al. aims to investigate how the behavioral relevance of auditory and visual stimuli influences the way in which the primary auditory cortex encodes auditory, visual, and audiovisual information. The main result is that behavioral training induces an increase in the encoding of auditory and visual information and in multisensory enhancement that is mainly related to the choice located contralaterally with respect to the recorded hemisphere.

      Strengths:

      The manuscript reports the results of an elegant and well-planned experiment meant to investigate if the auditory cortex encodes visual information and how learning shapes visual responsiveness in the auditory cortex. Analyses are typically well done and properly address the questions raised.

      We sincerely thank the reviewer for their thoughtful and positive evaluation of our study.

      Weaknesses:

      Major

      (1) The authors apparently primarily focus their analyses of sensory-evoked responses in approximately the first 100 ms following stimulus onset. Even if I could not find an indication of which precise temporal range the authors used for analysis in the manuscript, this is the range where sensory-evoked responses are shown to occur in the manuscript figures. While this is a reasonable range for auditory evoked responses, the same cannot be said for visual responses, which commonly peak around 100-120 ms, in V1. In fact, the latency and overall shape of visual responses are quite different from typical visual responses, that are commonly shown to display a delay of up to 100 ms with respect to auditory responses. All traces that the authors show, instead, display visual responses strikingly overlapping with auditory ones, which is not in line with what one would expect based on our physiological understanding of cortical visually-evoked responses. Similarly, the fact that the onset of decoding accuracy (Figure 2j) anticipates during multisensory compared to auditory-only trials is hard to reconcile with the fact that visual responses have a later onset latency compared to auditory ones. The authors thus need to provide unequivocal evidence that the results they observe are truly visual in origin. This is especially important in view of the ever-growing literature showing that sensory cortices encode signals representing spontaneous motor actions, but also other forms of non-sensory information that can be taken prima facie to be of sensory origin. This is a problem that only now we realize has affected a lot of early literature, especially - but not only - in the field of multisensory processing. It is thus imperative that the authors provide evidence supporting the true visual nature of the activity reported during auditory and multisensory conditions, in both trained, free-choice, and anesthetized conditions. This could for example be achieved causally (e.g. via optogenetics) to provide the strongest evidence about the visual nature of the reported results, but it's up to the authors to identify a viable solution. This also applies to the enhancement of matched stimuli, that could potentially be explained in terms of spontaneous motor activity and/or pre-motor influences. In the absence of this evidence, I would discourage the author from drawing any conclusion about the visual nature of the observed activity in the auditory cortex.

      We thank the reviewers for highlighting the critical issue of validating the sensory origin of the reported responses, particularly regarding the timing of visual responses and the potential confound of motor-related activity.

      We analyzed neural responses within the first 150 ms following cue onset, as stated in the manuscript. This temporal window encompasses the peak of visual responses. The responses to visual stimuli occur predominantly within the first 100 ms after cue onset, preceding the initiation of body movements in behavioral tasks. This temporal dissociation aligns with previous studies, which demonstrate that motor-related activity in sensory cortices generally emerges later and is often associated with auditory rather than visual stimuli

      We acknowledge that auditory responses are typically faster than visual responses due to distinct transduction mechanisms. However, in our experiment, we intentionally designed the stimulus setup to elicit auditory and visual responses within a similar time window to maximize the potential for multisensory integration. Specifically, we used pure tone sounds with a 15 ms ramp and visual stimuli generated by an LED array, which produce faster responses compared to commonly used light bars shown on a screen. The long ramp of the auditory stimulus slightly delayed auditory response onset, while the LED-generated bar elicited visual responses more quickly (Supplementary Fig. 2). This alignment facilitated the observed overlap in response latencies. As we measured in neurons with robust visual response, first spike latencies is approximately 40 ms, as exemplified by a neuron with a low spontaneous firing rate and a strong, stimulus-evoked response (Supplementary Fig. 4). Across the population (n = 559 neurons), auditory responses reached 0.5 of the mean Z-scored response 15 ms earlier than visual responses on average (Supplementary Fig. 2). We cited Supplementary Fig. 4 in the Results section as follows:

      “Regarding the visual modality, 41% (80/196) of visually-responsive neurons showed a significant visual preference (Fig. 2f). The visual responses observed within the 0–150 ms window after cue onset were consistent and unlikely to result from visually evoked movement-related activity. This conclusion is supported by the early timing of the response (Fig. 2e) and exemplified by a neuron with a low spontaneous firing rate and a robust, stimulus-evoked response (Supplementary Fig. 4).”

      We acknowledge the growing body of literature suggesting that sensory cortices can encode signals related to motor actions or non-sensory factors. To address this concern, we emphasize that visual responses were present not only during behavioral tasks but also in anesthetized conditions, where motor-related signals are absent. Additionally, movement-evoked responses tend to be stereotyped and non-discriminative. In contrast, the visual responses observed in our study were highly consistent and selective to visual cue properties, further supporting their sensory origin.

      In summary, the combination of anesthetized and behavioral recordings, the temporal profile of responses, and their discriminative nature strongly support the sensory (visual) origin of the observed activity within the early response period. While the current study provides strong temporal and experimental evidence for the sensory origin of the visual responses, we agree that causal approaches, such as optogenetic silencing of visual input, could provide even stronger validation. Future work will explore these methods to further dissect the visual contributions to auditory cortical activity.

      (2) The finding that AC neurons in trained mice preferentially respond - and enhance - auditory and visual responses pertaining to the contralateral choice is interesting, but the study does not show evidence for the functional relevance of this phenomenon. As has become more and more evident over the past few years (see e.g. the literature on mouse PPC), correlated neural activity is not an indication of functional role. Therefore, in the absence of causal evidence, the functional role of the reported AC correlates should not be overstated by the authors. My opinion is that, starting from the title, the authors need to much more carefully discuss the implications of their findings.

      We fully agree that correlational data alone cannot establish causality. In light of your suggestion, we will revise the manuscript to more carefully discuss the implications of our findings, acknowledging that the preferred responses observed in AC neurons, particularly in relation to the contralateral choice, are correlational. We have updated several sentences in the manuscript to avoid overstating the functional relevance of these observations. Below are the revisions we have made:

      Abstract section

      "Importantly, many audiovisual neurons in the AC exhibited experience-dependent associations between their visual and auditory preferences, displaying a unique integration model. This model employed selective multisensory enhancement for the auditory-visual pairing guiding the contralateral choice, which correlated with improved multisensory discrimination."

      (Page 8, fourth paragraph in Results Section)

      "This aligns with findings that neurons in the AC and medial prefrontal cortex selectively preferred the tone associated with the behavioral choice contralateral to the recorded cortices during sound discrimination tasks, potentially reflecting the formation of sound-to-action associations. However, this preference represents a neural correlate, and further work is required to establish its causal link to behavioral choices."

      (rewrite 3rd paragraph in Discussion Section)

      "Consistent with prior research(10,31), most AC neurons exhibited a selective preference for cues associated with contralateral choices, regardless of the sensory modality. This suggests that AC neurons may contribute to linking sensory inputs with decision-making, although their causal role remains to be examined. "

      "These results indicate that multisensory training could drive the formation of specialized neural circuits within the auditory cortex, facilitating integrated processing of related auditory and visual information. However, further causal studies are required to confirm this hypothesis and to determine whether the auditory cortex is the primary site of these circuit modifications."

      MINOR:

      (1) The manuscript is lacking what pertains to the revised interpretation of most studies about audiovisual interactions in primary sensory cortices following the recent studies revealing that most of what was considered to be crossmodal actually reflects motor aspects. In particular, recent evidence suggests that sensory-induced spontaneous motor responses may have a surprisingly fast latency (within 40 ms; Clayton et al. 2024). Such responses might also underlie the contralaterally-tuned responses observed by the authors if one assumes that mice learn a stereotypical response that is primed by the upcoming goal-directed, learned response. Given that a full exploration of this issue would require high-speed tracking of orofacial and body motions, the authors should at least revise the discussion and the possible interpretation of their results not just on the basis of the literature, but after carefully revising the literature in view of the most recent findings, that challenge earlier interpretations of experimental results.

      Thank you for pointing out this important consideration. We have revised the discussion (paragraph 8-9) as follows:

      “There is ongoing debate about whether cross-sensory responses in sensory cortices predominantly reflect sensory inputs or are influenced by behavioral factors, such as cue-induced body movements. A recent study shows that sound-clip evoked activity in visual cortex have a behavioral rather than sensory origin and is related to stereotyped movements(48). Several studies have demonstrated sensory neurons can encode signals associated with whisking(49), running(50), pupil dilation (510 and other movements(52). In our study, the responses to visual stimuli in the auditory cortex occurred primarily within a 100 ms window following cue onset. This early timing suggests that the observed responses likely reflect direct sensory inputs, rather than being modulated by visually-evoked body or orofacial movements, which typically occur with a delay relative to sensory cue onset(53).

      A recent study by Clayton et al. (2024) demonstrated that sensory stimuli can evoke rapid motor responses, such as facial twitches, within 50 ms, mediated by subcortical pathways and modulated by descending corticofugal input(56). These motor responses provide a sensitive behavioral index of auditory processing. Although Clayton et al. did not observe visually evoked facial movements, it is plausible that visually driven motor activity occurs more frequently in freely moving animals compared to head-fixed conditions. In goal-directed tasks, such rapid motor responses might contribute to the contralaterally tuned responses observed in our study, potentially reflecting preparatory motor behaviors associated with learned responses. Consequently, some of the audiovisual integration observed in the auditory cortex may represent a combination of multisensory processing and preparatory motor activity. Comprehensive investigation of these motor influences would require high-speed tracking of orofacial and body movements. Therefore, our findings should be interpreted with this consideration in mind. Future studies should aim to systematically monitor and control eye, orofacial, and body movements to disentangle sensory-driven responses from motor-related contributions, enhancing our understanding of motor planning’s role in multisensory integration.”

      (2) The methods section is a bit lacking in details. For instance, information about the temporal window of analysis for sensory-evoked responses is lacking. Another example: for the spike sorting procedure, limited details are given about inclusion/exclusion criteria. This makes it hard to navigate the manuscript and fully understand the experimental paradigm. I would recommend critically revising and expanding the methods section.

      Thank you for raising this point. We clarified the temporal window by including additional details in the methods section, even though this information was already mentioned in the results section. Specifically, we now state:

      (Neural recordings and Analysis in methods section)

      “...These neural signals, along with trace signals representing the stimuli and session performance information, were transmitted to a PC for online observation and data storage. Neural responses were analyzed within a 0-150ms temporal window after cue onset, as this period was identified as containing the main cue-evoked responses for most neurons. This time window was selected based on the consistent and robust neural activity observed during this period.”

      We appreciate your concern regarding spike sorting procedure. To address this, we have expanded the methods section to provide more detailed information about the quality of our single-unit recordings. we have added detailed information in the text, as shown below (Analysis of electrophysiological data in methods section):

      “Initially, the recorded raw neural signals were band-pass filtered in the range of 300-6000 Hz to eliminate field potentials. A threshold criterion, set at no less than three times the standard deviation (SD) above the background noise, was applied to automatically identify spike peaks. The detected spike waveforms were then subjected to clustering using template-matching and built-in principal component analysis tool in a three-dimensional feature space. Manual curation was conducted to refine the sorting process. Each putative single unit was evaluated based on its waveform and firing patterns over time. Waveforms with inter-spike intervals of less than 2.0 ms were excluded from further analysis. Spike trains corresponding to an individual unit were aligned to the onset of the stimulus and grouped based on different cue and choice conditions. Units were included in further analysis only if their presence was stable throughout the session, and their mean firing rate exceeded 2 Hz. The reliability of auditory and visual responses for each unit was assessed, with well-isolated units typically showing the highest response reliability.”

      Reviewer #1 (Recommendations for the authors):

      (1) Some of the ordering of content in the introduction could be improved. E.g. line 49 reflects statements about the importance of sensory experience, which is the topic of the subsequent paragraph. In the discussion, line 436, there is a discussion of the same findings as line 442. These two paragraphs in general appear to discuss similar content. Similarly, the paragraph starting at line 424 and at line 451 both discuss the plasticity of multisensory responses through audiovisual experience, as well as the paragraph starting at line 475 (but now audiovisual pairing is dubbed semantic). In the discussion of how congruency/experience shapes multisensory interactions, the authors should relate their findings to those of Meijer et al. 2017 and Garner and Keller 2022 (visual cortex) about enhanced and suppressed responses and their potential role (as well as other literature such as Banks et al. 2011 in AC).

      We thank the reviewer for their detailed observations and valuable recommendations to improve the manuscript's organization. Below, we address each point:

      We deleted the sentence, "Sensory experience has been shown to shape cross-modal presentations in sensory cortices" (Line 49), as the subsequent paragraph discusses sensory experience in detail.

      To avoid repetition, we removed the sentence, "This suggests that multisensory training enhances AC's ability to process visual information" (Lines 442–443).

      Regarding the paragraph starting at Line 475, we believe its current form is appropriate, as it focuses on the influence of semantic congruence on multisensory integration, which differs from the topics discussed in the other paragraphs.

      We have cited the three papers suggested by the reviewer in the appropriate sections of the manuscript.

      (Paragraph 6 in discussion section)

      “…A study conducted on the gustatory cortex of alert rats has shown that cross-modal associative learning was linked to a dramatic increase in the prevalence of neurons responding to nongustatory stimuli (24). Moreover, in the primary visual cortex, experience-dependent interactions can arise from learned sequential associations between auditory and visual stimuli, mediated by corticocortical connections rather than simultaneous audiovisual presentations (26).”

      (Paragraph 2 in discussion section)

      “...Meijer et al. reported that congruent audiovisual stimuli evoke balanced enhancement and suppression in V1, while incongruent stimuli predominantly lead to suppression(6), mirroring our findings in AC, where multisensory integration was dependent on stimulus feature…”

      (Paragraph 2 in introduction section)

      “...Anatomical investigations reveal reciprocal nerve projections between auditory and visual cortices(4,11-15), highlighting the interconnected nature of these sensory systems. Moreover, two-photon calcium imaging in awake mice has shown that audiovisual encoding in the primary visual cortex depends on the temporal congruency of stimuli, with temporally congruent audiovisual stimuli eliciting balanced enhancement and suppression, whereas incongruent stimuli predominantly result in suppression(6).”

      (2) The finding of purely visually responsive neurons in the auditory cortex that moreover discriminate the stimuli is surprising given previous results (Iurilli et al. 2012, Morrill and Hasenstaub 2018 (only L6), Oude Lohuis et al. 2024, Atilgan et al. 2018, Chou et al. 2020). Reporting the latency of this response is interesting information about the potential pathways by which this information could reach the auditory system. Furthermore, spike isolation quality and histological verification are described in little detail. It is crucial for statements about the auditory, visual, or audiovisual response of individual neurons to substantiate the confidence level about the quality of single-unit recordings and where they were recorded. Do the authors have data to support that visual and audiovisual responses were not restricted to posteromedial tetrodes or clusters with poor quality? A discussion of finding V-responsive units in AC with respect to literature is warranted. Furthermore, the finding that also in visual trials behaviorally relevant information about the visual cue (with a bias for the contralateral choice cue) is sent to the AC is pivotal in the interpretation of the results, which as far as I note not really considered that much.

      We appreciate the reviewer’s thoughtful comments and have addressed them as follows:

      Discussion of finding choice-related V-responsive units in AC with respect to literature and potential pathways

      3rd paragraph in the Discussion section

      “Consistent with prior research(10,31), most AC neurons exhibited a selective preference for cues associated with contralateral choices, regardless of the sensory modality. This suggests that AC neurons may contribute to linking sensory inputs with decision-making, although their causal role remains to be examined. Associative learning may drive the formation of new connections between sensory and motor areas of the brain, such as cortico-cortical pathways(35). Notably, this cue-preference biasing was absent in the free-choice group. A similar bias was also reported in a previous study, where auditory discrimination learning selectively potentiated corticostriatal synapses from neurons representing either high or low frequencies associated with contralateral choices(32)…”

      6th paragraph in the Discussion section

      “Our results extend prior finding(4,47), showing that visual input not only reaches the AC but can also drive discriminative responses, particularly during task engagement. This task-specific plasticity enhances cross-modal integration, as demonstrated in other sensory systems. For example, calcium imaging studies in mice showed that a subset of multimodal neurons in visual cortex develops enhanced auditory responses to the paired auditory stimulus following coincident auditory–visual experience(25)…”

      8th paragraph in the Discussion section

      “…In our study, the responses to visual stimuli in the auditory cortex occurred primarily within a 100 ms window following cue onset, suggesting that visual information reaches the AC through rapid pathways. Potential candidates include direct or fast cross-modal inputs, such as pulvinar-mediated pathways(8) or corticocortical connections(5,54), rather than slower associative mechanisms. This early timing indicates that the observed responses were less likely modulated by visually-evoked body or orofacial movements, which typically occur with a delay relative to sensory cue onset(55).”

      Response Latency

      Regarding the latency of visually driven responses, we have included this information in our response to the second reviewer’s first weakness (please see the above). Briefly, we analyzed neural responses within a 0-150ms temporal window after cue onset, as this period captures the most consistent and robust cue-evoked responses across neurons.

      Purely Visually Responsive Neurons in A1

      We agree that the finding of visually responsive neurons in the auditory cortex may initially seem surprising. However, these neurons might not have been sensitive to target auditory cues in our task but could still respond to other sound types. Cortical neurons are known to exhibit significant plasticity during the cue discrimination tasks, as well as during passive sensory exposure. Thus, the presence of visually responsive neurons is not inconsistent with prior findings but highlights task-specific sensory tuning. We confirm that responses were not restricted to posteromedial tetrodes or low-quality clusters (see an example of a robust visually responsive neuron in supplementary Fig. 4). Histological analysis verified electrode placements across the auditory cortex.

      For spike sorting, we have added detailed information in the text, as shown below:

      “Initially, the recorded raw neural signals were band-pass filtered in the range of 300-6000 Hz to eliminate field potentials. A threshold criterion, set at no less than three times the standard deviation (SD) above the background noise, was applied to automatically identify spike peaks. The detected spike waveforms were then subjected to clustering using template-matching and built-in principal component analysis tool in a three-dimensional feature space. Manual curation was conducted to refine the sorting process. Each putative single unit was evaluated based on its waveform and firing patterns over time. Waveforms with inter-spike intervals of less than 2.0 ms were excluded from further analysis. Spike trains corresponding to an individual unit were aligned to the onset of the stimulus and grouped based on different cue and choice conditions. Units were included in further analysis only if their presence was stable throughout the session, and their mean firing rate exceeded 2 Hz. The reliability of auditory and visual responses for each unit was assessed, with well-isolated units typically showing the highest response reliability.”

      (3) In the abstract it seems that in "Additionally, AC neurons..." the connective word 'additionally' is misleading as it is mainly a rephrasing of the previous statement.

      Replaced "Additionally" with "Furthermore" to better signal elaboration and continuity.

      (4) The experiments included multisensory conflict trials - incongruent audiovisual stimuli. What was the behavior for these trials given multiple interesting studies on the neural correlates of sensory dominance (Song et al. 2017, Coen et al. 2023, Oude Lohuis et al. 2024).

      We appreciate your feedback and have addressed it by including a new figure (supplemental Fig. 8) that illustrates choice selection during incongruent audiovisual stimuli. Panel (a) shows that rats displayed confusion when exposed to mismatched stimuli, resulting in choice patterns that differed from those observed in panel (b), where consistent audiovisual stimuli were presented. To provide clarity and integrate this new figure effectively into the manuscript, we updated the results section as follows:

      “...Rats received water rewards with a 50% chance in either port when an unmatched multisensory cue was triggered. Behavioral analysis revealed that Rats displayed notable confusion in response to unmatched multisensory cues, as evidenced by their inconsistent choice patterns (supplementary Fig. 8).”

      (5) Line 47: The AC does not 'perceive' sound frequency, individual brain regions are not thought to perceive.

      e appreciate the reviewer’s observation and have revised the sentence to ensure scientific accuracy. The updated sentence in the second paragraph of the Introduction now reads:

      “Even irrelevant visual cues can affect sound discrimination in AC<sup>10</sup>.”

      (6) Line 59-63: The three questions are not completely clear to me. Both what they mean exactly and how they are different. E.g. Line 60: without specification, it is hard to understand which 'strategies' are meant by the "same or different strategies"? And Line 61: What is meant by the quotation marks for match and mismatch? I assume this is referring to learned congruency and incongruency, which appears almost the same question as number 3 (how learning affects the cortical representation).

      We have revised the three questions for improved clarity and distinction as follows:<br /> “This limits our understanding of multisensory integration in sensory cortices, particularly regarding: (1) Do neurons in sensory cortices adopt consistent integration strategies across different audiovisual pairings, or do these strategies vary depending on the pairing? (2) How does multisensory perceptual learning reshape cortical representations of audiovisual objects? (3) How does the congruence between auditory and visual features—whether they "match" or "mismatch" based on learned associations—impact neural integration?”

      (7) Is the data in Figures 1c and d only hits?

      Only correct trials are included. We add this information in the figure legend. Please see Fig. 1 legend. Also, please see below

      “c Cumulative frequency distribution of reaction time (time from cue onset to leaving the central port) for one representative rat in auditory, visual and multisensory trials (correct only). d Comparison of average reaction times across rats in auditory, visual, and multisensory trials (correct only).”

      (8) Figure S1b: Preferred frequency is binned in non-equidistant bins, neither linear nor logarithmic. It is unclear what the reason is.

      The edges of the bins for the preferred frequency were determined based on a 0.5-octave increment, starting from the smallest boundary of 8 kHz. Specifically, the bin edges were calculated as follows:

      8×2<sup>0.5</sup>=11.3 kHz;

      8×2<sup>1</sup>=16 kHz;

      8×2<sup>1.5</sup>=22.6 kHz;

      8×2<sup>2</sup>=32 kHz;

      This approach reflects the common practice of using changes in octaves to define differences between pure tone frequencies, as it aligns with the logarithmic perception of sound frequency in auditory neuroscience.

      (9) Figure S1d: why are the responses all most neurons very strongly correlated given the frequency tuning of A1 neurons? Further, the mean normalized response presented in Figure S2e does seem to indicate a stronger response for 10kHz tones than 3kHz, in conflict with the data from anesthetized rats presented in Figure S2e.

      There is no discrepancy in the data. In Figure S1d, we compared neuronal responses to 10 kHz and 3 kHz tones, demonstrating that most neurons responded well to both frequencies. This panel does not aim to illustrate frequency selectivity but rather the overall responsiveness of neurons to these tones. For detailed information on sound selectivity, readers can refer to Figures S3a-b, which show that while more neurons preferred 10 kHz tones, the proportion is lower than in neurons recorded during the multisensory discrimination task. This distinction explains the observed differences and aligns with the results presented.

      (10) Line 79: For clarity, it can be added that the multisensory trials presented are congruent trials (jointly indicated rewarded port), and perhaps that incongruent trials are discussed later in the paper.

      We believe additional clarification is unnecessary, as the designations "A<sup>3k</sup>V<sup>hz</sup>" and "A<sup>10k</sup>V<sup>vt</sup>" clearly indicate the specific combinations of auditory and visual cues presented during congruent trials. Additionally, the discussion of incongruent trials is provided later in the manuscript, as noted by the reviewer.

      (11) Line 111: the description leaves unclear that the 35% reflects the combination of units responsive to visual only and responsive to auditory or visual.

      The information is clearly presented in Figure 2b, which shows the proportions of neurons responding to auditory-only (A), visual-only (V), both auditory and visual (A, V), and audiovisual-only (VA) stimuli in a pie chart. Readers can refer to this figure for a detailed breakdown of the neuronal response categories.

      (12) Figure 2h: consider a colormap with diverging palette and equal positive and negative maximum (e.g. -0.6 to 0.6) and perhaps reiterate in the color bar legend which stimulus is preferred for which selectivity index.

      We appreciate the suggestion; however, we believe that the current colormap effectively conveys the data and the intended interpretation. The existing color bar legend already provides clear information about the selectivity index, and the stimulus preference is adequately explained in the figure caption. As such, further adjustments are not necessary.

      (13) Line 160: "a ratio of 60:20 for V<sup>vt</sup> 160 preferred vs. V<sup>hz</sup> preferred neurons." Is this supposed to add up to 100, or is this a ratio of 3:1?

      We rewrite the sentence. Please see below:

      “Similar to the auditory selectivity observed, a greater proportion of neurons favored the visual stimulus (V<sup>vt</sup>) associated with the contralateral choice, with a 3:1 ratio of V<sup>vt</sup>-preferred to V<sup>hz</sup>-preferred neurons.”

      (14) The statement in Figure 2g and line 166/167 could be supported by a statistical test (chi-square?).

      Thank you for the suggestion. However, we believe that a statistical test is not required in this case, as the patterns observed are clearly represented in Figure 2g. The qualitative differences between the groups are evident and sufficiently supported by the data.

      (15) Line 168, it is unclear in what sense 'dominant' is meant. Is audition perceived as a dominant sensory modality in a behavioral sense (e.g. Song et al. 2017), or are auditory signals the dominant sensory signal locally in the auditory cortex?

      Thank you for the clarification. To address your question, by "dominant," we are referring to the fact that auditory inputs are the most prominent and influential among the sensory signals feeding into the auditory cortex. This reflects the local dominance of auditory signals within the auditory cortex, rather than a behavioral dominance of auditory perception. We have revised the sentence as follows:

      “We propose that the auditory input, which dominates within the auditory cortex, acts as a 'teaching signal' that shapes visual processing through the selective reinforcement of specific visual pathways during associative learning.”

      (16) Line 180: "we discriminated between auditory, visual, and multisensory cues." This phrasing indicated that the SVMs were trained to discriminate sensory modalities (as is done later in the manuscript), rather than what was done: discriminate stimuli within different categories of trials.

      Thank you for your comment. We have revised the sentence for clarity. Please see the updated version below:

      “Using cross-validated support vector machine (SVM) classifiers, we examined how this pseudo-population discriminates stimulus identity within the same modality (e.g., A<sup>3k</sup> vs. A<sup>10k</sup> for auditory stimuli, V<sup>hz</sup> vs. V<sup>vt</sup> for visual stimuli, A<sup>3k</sup>V<sup>hz</sup> vs. A<sup>10k</sup>V<sup>vt</sup> for multisensory stimuli).”

      (17) Line 185: "a deeply accurate incorporation of visual processing in the auditory cortex." the phrasing is a bit excessive for a binary classification performance.

      Thank you for pointing this out. We have revised the sentence to better reflect the findings without overstating them:

      “Interestingly, AC neurons could discriminate between two visual targets with around 80% accuracy (Fig. 2j), demonstrating a meaningful incorporation of visual information into auditory cortical processing.”

      (18) Figure 3, title. An article is missing (a,an/the).

      Done. Please see below:

      Fig. 3 Auditory and visual integration in the multisensory discrimination task

      (19) Line 209, typo pvalue: p<-0.00001.

      Done (p<0.00001).

      (20) Line 209, the pattern is not weaker. The pattern is the same, but more weakly expressed.

      Thank you for your valuable feedback. We appreciate your clarification and agree that our phrasing could be improved for accuracy. The observed pattern under anesthesia is indeed the same but less strongly expressed compared to the task engagement. We have revised the sentence to better reflect this distinction:

      “A similar pattern, albeit less strongly expressed, was observed under anesthesia (Supplementary Fig. 3c-3f), suggesting that multisensory perceptual learning may induce plastic changes in AC.”

      (21) Line 211: choice-free group → free-choice group.

      Done.

      (22) Line 261: wrong → incorrect (to maintain consistent terminology).

      Done.

      (23) Line 265: why 'likely'? Are incorrect choices on the A<sup>3k</sup>-V<sup>hz</sup> trials not by definition contralateral and vice versa? Or are there other ways to have incorrect trials?

      We deleted the word of ‘likely’. Please see below:

      “…, correct choices here correspond to ipsilateral behavioral selection, while incorrect choices correspond to contralateral behavioral selection.”

      (24) Typo legend Fig 3a-c (tasks → task). (only one task performed).

      Done.

      (25) Line 400: typo: Like → like.

      Done.

      (26) Line 405: What is meant by a cohesive visual stimulus? Congruent? Rephrase.

      Done. Please see the below:

      “…layer 2/3 neurons of the primary visual cortex(7), and a congruent visual stimulus can enhance sound representation…”

      (27) Line 412: Very general statement and obviously true: depending on the task, different sensory elements need to be combined to guide adaptive behavior.

      We really appreciate the reviewer and used this sentence (see second paragraph in discussion section).

      (28) Line 428: within → between (?).

      Done.

      (29) Figure 3L is not referenced in the main text. By going through the figures and legends my understanding is that this shows that most neurons have a multisensory response that lies between 2 z-scores of the predicted response in the case of 83% of the sum of the auditory and the visual response. However, how was the 0.83 found? Empirically? Figure S3 shows a neuron that does follow a 100% summation. Perhaps the authors could quantitatively support their estimate of 83% of the A + V sum, by varying the fraction of the sum (80%, 90%, 100% etc.) and showing the distribution of the preferred fraction of the sum across neurons, or by showing the percentage of neurons that fall within 2 z-scores for each of the fractions of the sum.

      Thank you for your detailed feedback and suggestions regarding Figure 3L and the 83% multiplier.

      (1) Referencing Figure 3L:

      Figure 3L is referenced in the text. To enhance clarity, we have revised the text to explicitly highlight its relevance:

      “Specifically, as illustrated in Fig. 3k, the observed multisensory response approximated 83% of the sum of the auditory and visual responses in most cases, as quantified in Fig. 3L.”

      (2) Determination of the 0.83 Multiplier:

      The 0.83 multiplier was determined empirically by comparing observed audiovisual responses with the predicted additive responses (i.e., the sum of auditory and visual responses). For each neuron, we calculated the auditory, visual, and audiovisual responses. We then compared the observed audiovisual response with scaled sums of auditory and visual responses (Fig. 3k), expressed as fractions of the additive prediction (e.g., 0.8, 0.83, 0.9, etc.). We found that when the scaling factor was 0.83, the population-wide difference between predicted and observed multisensory responses, expressed as z-scores, was minimized. Specifically, at this value, the mean z-score across the population was approximately zero (-0.0001±1.617), indicating the smallest deviation between predicted and observed responses.

      (30) Figure 5e: how come the diagonal has 0.5 decoding accuracy within a category? Shouldn't this be high within-category accuracy? If these conditions were untested and it is an issue of the image display it would be informative to test the cross-validated performance within the category as well as a benchmark to compare the across-category performance to. Aside, it is unclear which conventions from Figure 2 are meant by the statement that conventions were the same.

      The diagonal values (~0.5 decoding accuracy) within each category reflect chance-level performance. This occurs because the decoder was trained and tested on the same category conditions in a cross-validated manner, and within-category stimulus discrimination was not the primary focus of our analysis. Specifically, the stimuli within a category shared overlapping features, leading to reduced discriminability for the decoder when distinguishing between them. Our primary objective was to assess cross-category performance rather than within-category accuracy, which may explain the observed pattern in the diagonal values.

      Regarding the reference to Figure 2, we appreciate the reviewer pointing out the ambiguity. To avoid any confusion, we have removed the sentence referencing "conventions from Figure 2" in the legend for Figure 5e, as it does not contribute meaningfully to the understanding of the results.

      (31) Line 473: "movement evoked response", what is meant by this?

      Thank the reviewer for highlighting this point. To clarify, by "movement-evoked response," we are referring to neural activity that is driven by the animal's movements, rather than by sensory inputs. This type of response is typically stereotyped, meaning that it has a consistent, repetitive pattern associated with specific movements, such as whisking, running, or other body or facial movements.

      In our study, we propose that the visually-evoked responses observed within the 150 ms time window after cue onset primarily reflect sensory inputs from the visual stimulus rather than movement-related activity. This interpretation is supported by the response timing: visual-evoked activity occurs within 100 ms of the light flash onset, a timeframe too rapid to be attributed to body or orofacial movements. Additionally, unlike stereotyped movement-evoked responses, the visual responses we observed are discriminative, varying based on specific visual features—a hallmark of sensory processing rather than motor-driven activity.

      We have revised the manuscript as follows (eighth paragraph in discussion section):

      “There is ongoing debate about whether cross-sensory responses in sensory cortices predominantly reflect sensory inputs or are influenced by behavioral factors, such as cue-induced body movements. A recent study shows that sound-clip evoked activity in visual cortex have a behavioral rather than sensory origin and is related to stereotyped movements(49). Several studies have demonstrated sensory neurons can encode signals associated with whisking(50), running(51), pupil dilation(52) and other movements(53). In our study, the responses to visual stimuli in the auditory cortex occurred primarily within a 100 ms window following cue onset. suggests that visual information reaches the AC through rapid pathways. Potential candidates include direct or fast cross-modal inputs, such as pulvinar-mediated pathways(8) or corticocortical connections(5,54), rather than slower associative mechanisms. This early timing suggests that the observed responses were less likely modulated by visually-evoked body or orofacial movements, which typically occur with a delay relative to sensory cue onset(55). ”

      (32) Line 638-642: It is stated that a two-tailed permutation test is done. The cue selectivity can be significantly positive and negative, relative to a shuffle distribution. This is excellent. But then it is stated that if the observed ROC value exceeds the top 5% of the distribution it is deemed significant, which corresponds to a one-tailed test. How were significantly negative ROC values detected with p<0.05?

      Thank you for pointing this out. We confirm that a two-tailed permutation test was indeed used to evaluate cue selectivity. In this approach, significance is determined by comparing the observed ROC value to both tails of the shuffle distribution. Specifically, if the observed ROC value exceeds the top 2.5% or falls below the bottom 2.5% of the distribution, it is considered significant at p< 0.05. This two-tailed test ensures that both significantly positive and significantly negative cue selectivity values are identified.

      To clarify this in the manuscript, we have revised the text as follows:

      “This generated a distribution of values from which we calculated the probability of our observed result. If the observed ROC value exceeds the top 2.5% of the distribution or falls below the bottom 2.5%, it was deemed significant (i.e., p < 0.05).”

      (33) Line 472: the cited paper (reference 52) actually claims that motor-related activity in the visual cortex has an onset before 100ms and thus does not support your claim that the time window precludes any confound of behaviorally mediated activity. Furthermore, that study and reference 47 show that sensory stimuli could be discriminated based on the cue-evoked body movements and are discriminative. A stronger counterargument would be that both studies show very fast auditory-evoked body movements, but only later visually-evoked body movements.

      We appreciate the reviewer’s comments. As Lohuis et al. (reference 55) demonstrated, activity in the visual cortex (V1) can reflect distinct visual, auditory, and motor-related responses, with the latter often dissociable in timing. In their findings, visually-evoked movement-related activity arises substantially later than the sensory visual response, generally beginning around 200 ms post-stimulus onset. In contrast, auditory-evoked activity in A1 occurs relatively early.

      We have revised the manuscript as follows (eighth paragraph in discussion section):

      “A recent study shows that sound-clip evoked activity in visual cortex have a behavioral rather than sensory origin and is related to stereotyped movements(49). ...This early timing suggests that the observed responses were less likely modulated by visually-evoked body or orofacial movements, which typically occur with a delay relative to sensory cue onset(55). ”

      (34) The training order (multisensory cue first) is important to briefly mention in the main text.

      We appreciate the reviewer’s suggestion and have added this information to the main text. The revised text now reads:

      “The training proceeded in two stages. In the first stage, which typically lasted 3-5 weeks, rats were trained to discriminate between two audiovisual cues. In the second stage, an additional four unisensory cues were introduced, training the rats to discriminate a total of six cues.”

      (35) Line 542: As I understand the multisensory rats were trained using the multisensory cue first, so different from the training procedure in the unisensory task rats where auditory trials were learned first.

      Thank you for pointing this out. You are correct that, in the unisensory task, rats were first trained to discriminate auditory cues, followed by visual cues. To improve clarity and avoid any confusion, we have removed the sentence "Similar to the multisensory discrimination task" from the revised text.

      (36) Line 546: Can you note on how the rats were motivated to choose both ports, or whether they did so spontaneously?

      Thank you for your insightful comment. The rats' port choice was spontaneous in this task, as there was no explicit motivation required for choosing between the ports. We have clarified this point in the text to address your concern. The revised sentence now reads:

      “They received a water reward at either port following the onset of the cue, and their port choice was spontaneous.”

      (37) It is important to mention in the main text that the population decoding is actually pseudopopulation decoding. The interpretation is sufficiently important for interpreting the results.

      Thank you for this valuable suggestion. We have revised the text to specify "pseudo-population" instead of "population" to clarify the nature of our decoding analysis. The revised text now reads:

      “Our multichannel recordings enabled us to decode sensory information from a pseudo-population of AC neurons on a single-trial basis. Using cross-validated support vector machine (SVM) classifiers, we examined how this pseudo-population discriminates between stimuli.”

      (38) The term modality selectivity for the description of the multisensory interaction is somewhat confusing. Modality selectivity suggests different responses to the visual or auditory trials. The authors could consider a different terminology emphasizing the multisensory interaction effect.

      Thank you for your insightful comment. We have replaced " modality selectivity " with " multisensory interactive index " (MSI). This term more accurately conveys a tendency for neurons to favor multisensory stimuli over individual sensory modalities (visual or auditory alone).

      (39) In Figures 3 e and g the color code is different from adjacent panels b and c and is to be deciphered from the legend. Consider changing the color coding, or highlight to the reader that the coloring in Figures 3b and c is different from the color code in panels 3 e and g.

      We appreciate the reviewer’s observation. However, we believe that a change in the color coding is not necessary. Figures 3e and 3g differentiate symbols by both shape and color, ensuring accessibility and clarity. This is clearly explained in the figure legend to guide readers effectively.

      (40) Figure S2b: was significance tested here?

      Yes, we did it.

      (41) Figure S2d: test used?

      Yes, test used.

      (42) Line 676: "as appropriate", was a normality test performed prior to statistical test selection?

      In our analysis, we assessed normality before choosing between parametric (paired t-test) and non-parametric (Wilcoxon signed-rank test) methods. We used the Shapiro-Wilk test to evaluate the normality of the data distributions. When data met the assumption of normality, we applied the paired t-test; otherwise, we used the Wilcoxon signed-rank test.

      Thank you for pointing this out. We confirm that a normality test was performed prior to the selection of the statistical test. Specifically, we used the Shapiro-Wilk test to assess whether the data distributions met the assumption of normality. Based on this assessment, we applied the paired t-test for normally distributed data and the Wilcoxon signed-rank test for non-normal data.

      To ensure clarity, we update the "Statistical Analysis" section of the manuscript with the following revised text:

      “For behavioral data, such as mean reaction time differences between unisensory and multisensory trials, cue selectivity and mean modality selectivity across different auditory-visual conditions, comparisons were performed using either the paired t-test or the Wilcoxon signed-rank test. The Shapiro-Wilk test was conducted to assess normality, with the paired t-test used for normally distributed data and the Wilcoxon signed-rank test for non-normal data.”

      (43) Line 679: incorrect, most data is actually represented as mean +- SEM.

      Thank you for pointing this out. In the Results section, we report data as mean ± SD for descriptive statistics, while in the figures, the error bars typically represent the standard error of the mean (SEM) to visually indicate variability around the mean. We have specified in each figure legend whether the error bars represent SD or SEM.

      Reviewer #2 (Recommendations for the authors):

      (1) Line 182 - here it sounds like you mean your classifier was trained to decode the modality of the stimulus, when I think what you mean is that you decoded the stimulus contingencies using A/V/AV cues?

      Thank you for pointing out this potential misunderstanding. We would like to clarify that the classifier was trained to decode the stimulus identity (e.g., A<sup>3k</sup> vs. A<sup>10k</sup> for auditory stimuli, V<sup>hz</sup> vs. V<sup>vt</sup> for visual stimuli, and A<sup>3k</sup>V<sup>hz</sup> vs. A<sup>10k</sup>V<sup>vt</sup> for multisensory stimuli) rather than the modality of the stimulus. The goal of the analysis was to determine how well the pseudo-population of AC neurons could distinguish between individual stimuli within the same modality. We have revised the relevant text in the revised manuscript to ensure this distinction is clear. Please see the following:

      “Our multichannel recordings enabled us to decode sensory information from a pseudo-population of AC neurons on a single-trial basis. Using cross-validated support vector machine (SVM) classifiers, we examined how this pseudo-population discriminates stimulus identity (e.g.,  A<sup>3k</sup> vs. A<sup>10k</sup> for auditory stimuli, V<sup>hz</sup> vs. V<sup>vt</sup> for visual stimuli,  A<sup>3k</sup>V<sup>hz</sup> vs. A<sup>10k</sup>V<sup>vt</sup> for multisensory stimuli).”

      (2) Lines 256 - here the authors look to see whether incorrect trials diminish audiovisual integration. I would probably seek to turn the causal direction around and ask are AV neurons critical for behaviour - nevertheless, since this is only correlational the causal direction cannot be unpicked. However, the finding that contralateral responses per se do not result in enhancement is a key control. Showing that multisensory enhancement is less on error trials is a good first step to linking neural activity and perception, but I wonder if the authors could take this further however by seeking to decode choice probabilities as well as stimulus features in an attempt to get a little closer to addressing the question of whether the animals are using these responses for behaviour.

      Thank you for your comment and for highlighting the importance of understanding whether audiovisual (AV) neurons are critical for behavior. As you noted, the causal relationship between AV neural activity and behavioral outcomes cannot be directly determined in our current study due to its correlational nature. We agree that this is an important topic for future exploration. In our study, we examined how incorrect trials influence multisensory enhancement. Our findings show that multisensory enhancement is less pronounced during error trials, providing an initial link between neural activity and behavioral performance. To address your suggestion, we conducted an additional analysis comparing auditory and multisensory selectivity between correct and incorrect choice trials. As shown in Supplementary Fig. 7, both auditory and multisensory selectivity were significantly lower during incorrect trials. This result highlights the potential role of these neural responses in decision-making, suggesting they may extend beyond sensory processing to influence choice selection. We have cited this figure in the Results section as follows: ( the paragraph regarding Impact of incorrect choices on audiovisual integration):

      “Overall, these findings suggest that the multisensory perception reflected by behavioral choices (correct vs. incorrect) might be shaped by the underlying integration strength. Furthermore, our analysis revealed that incorrect choices were associated with a decline in cue selectivity, as shown in Supplementary Fig. 7.”

      We acknowledge your suggestion to decode choice probabilities alongside stimulus features as a more direct approach to exploring whether animals actively use these neural responses for behavior. Unfortunately, in the current study, the low number of incorrect trials limited our ability to perform such analyses reliably. Nonetheless, we are committed to pursuing this direction in subsequent work. We plan to use techniques such as optogenetics in future studies to causally test the role of AV neurons in driving behavior.

      (3) Figure 5E - the purple and red are indistinguishable - could you make one a solid line and keep one dashed?

      We thank the reviewer for pointing out that the purple and red lines in Figure 5E were difficult to distinguish. To address this concern, we modified the figure by making two lines solid and changing the color of one square, as suggested. These adjustments enhance visual clarity and improve the distinction between them.

      (4) The unisensory control training is a really nice addition. I'm interested to know whether behaviourally these animals experienced an advantage for audiovisual stimuli in the testing phase? This is important information to include as if they don't it is one step closer to linking audiovisual responses in AC to improved behavioural performance (and if they do, we must be suitably cautious in interpretation!).

      Thank you for raising this important point. To address this, we have plotted the behavioral results for each animal (see Author response image 2). The data indicate that performance with multisensory cues is slightly better than with the corresponding unisensory cues. However, given the small sample size (n=3) and the considerable variation in behavioral performance across individuals, we remain cautious about drawing definitive conclusions on this matter. We recognize the need for further investigation to establish a robust link between audiovisual responses in the auditory cortex and improved behavioral performance. In future studies, we plan to include a larger number of animals and more thoroughly explore this relationship to provide a comprehensive understanding.

      Author response image 2.

      (5) Line 339 - I don't think you can say this leads to binding with your current behaviour or neural responses. I would agree there is a memory trace established and a preferential linking in AC neurons.

      We thank the reviewer for raising this important point. In the revised manuscript, we have clarified that our data suggest the formation of a memory trace and preferential linking in AC neurons. The text has been updated to emphasize this distinction. Please see the revised section below (first paragraph in Discussion section).

      “Interestingly, a subset of auditory neurons not only developed visual responses but also exhibited congruence between auditory and visual selectivity. These findings suggest that multisensory perceptual training establishes a memory trace of the trained audiovisual experiences within the AC and enhances the preferential linking of auditory and visual inputs. Sensory cortices, like AC, may act as a vital bridge for communicating sensory information across different modalities.”

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This valuable manuscript attempts to identify the brain regions and cell types involved in habituation to dark flash stimuli in larval zebrafish. Habituation being a form of learning widespread in the animal kingdom, the investigation of neural mechanisms underlying it is an important endeavor. The authors use a combination of behavioral analysis, neural activity imaging, and pharmacological manipulation to investigate brain-wide mechanisms of habituation. However, the data presented are incomplete and do not show a convincing causative link between pharmacological manipulations, neural activity patterns, and behavioral outcomes.

      We thank the reviewers and editors for their careful reading and reviews of our work. We are grateful that they appreciate the value in our experimental approach and results. We acknowledge what we interpret as the major criticism, that in our original manuscript we focused too heavily on the hypothesized role of GABAergic neurons in driving habituation. This hypothesis will remain only indirectly supported until we can identify a GABAergic population of neurons that drives habituation. Therefore, we have revised our manuscript, decreasing the focus on GABA, and rather emphasizing the following three points:

      1) By performing the first Ca2+ imaging experiments during dark flash habituation, we identify multiple distinct functional classes of neurons which have different adaptation profiles, including non-adapting and potentiating classes. These neurons are spread throughout the brain, indicating that habituation is a complex and distributed process.

      2) By performing a pharmacological screen for dark flash habituation modifiers, we confirm habituation behaviour manifests from multiple distinct molecular mechanisms that independently modulate different behavioural outputs. We also implicate multiple novel pathways in habituation plasticity, some of which we have validated through dose-response studies.

      3) By combining pharmacology and Ca2+ imaging, we did not observe a simple relationship between the behavioural effects of a drug treatment and functional alterations in neurons. This observation further supports our model that habituation is a multidimensional process, for which a simple circuit model will be insufficient.

      We would like to point out that, in our opinion, there appears to be a factual error in the final sentence of the eLife assessment:

      “However, the data presented are incomplete and do not show a convincing causative link between pharmacological manipulations, neural activity patterns, and behavioral outcomes”.

      We believe that a “convincing causative link” between pharmacological manipulations and behavioural outcomes has been clearly demonstrated for PTX, Melatonin, Estradiol and Hexestrol through our dose response experiments. Similarly a link between pharmacology and neural activity patterns has also been directly demonstrated. As mentioned in (3), we acknowledge that our data linking neural activity and behaviour is more tenuous, as will be more explicitly reflected in our revised manuscript.

      Nevertheless, we maintain that one of the primary strengths of our study is our attempt to integrate analyses that span the behavioural, pharmacological, and neural activity-levels.

      In our revised manuscript, we have substantially altered the Abstract and Discussion, removed the Model figure (previously Figure 8), and changed the title from :

      “Inhibition drives habituation of a larval zebrafish visual response”

      to:

      “Functional and pharmacological analyses of visual habituation learning in larval zebrafish”

      Text changes from the initial version are visible as track changes in the word document: “LamireEtAl_2022_eLifeRevisions.docx”

      Reviewer #1 (Public Review):

      This manuscript addresses the important and understudied issue of circuit-level mechanisms supporting habituation, particularly in pursuit of the possible role of increases in the activity of inhibitory neurons in suppressing behavioral output during long-term habituation. The authors make use of many of the striking advantages of the larval zebrafish to perform whole brain, single neuronal calcium imaging during repeated sensory exposure, and high throughput screening of pharmacological agents in freely moving, habituating larvae. Notably, several blockers/antagonists of GABAA(C) receptors completely suppress habituation of the O-bend escape response to dark flashes, suggesting a key role for GABAergic transmission in this form of habituation. Other substances are identified that strikingly enhance habituation, including melatonin, although here the suggested mechanistic insight is less specific. To add to these findings, a number of functional clusters of neurons are identified in the larval brain that has divergent activity through habituation, with many clusters exhibiting suppression of different degrees, in line with adaptive filtration during habituation, and a single cluster that potentiates during habituation. Further assessment reveals that all of these clusters include GABAergic inhibitory neurons and excitatory neurons, so we cannot take away the simple interpretation that the potentiating cluster of neurons is inhibitory and therefore exerts an influence on the other adapting (depressing) clusters to produce habituation. Rather, a variety of interpretations remain in play.

      Overall, there is great potential in the approach that has been used here to gain insight into circuit-level mechanisms of habituation. There are many experiments performed by the authors that cannot be achieved currently in other vertebrate systems, so the manuscript serves as a potential methodological platform that can be used to support a rich array of future work. While there are several key observations that one can take away from this manuscript, a clear interpretation of the role of GABAergic inhibitory neurons in habituation has not been established. This potential feature of habituation is emphasized throughout, particularly in the introduction and discussion sections, meaning that one is obliged as a reader to interrogate whether the results as they currently stand really do demonstrate a role for GABAergic inhibition in habituation. Currently, the key piece of evidence that may support this conclusion is that picrotoxin, which acts to block some classes of GABA receptors, prevents habituation. However, there are interpretations of this finding that do not specifically require a role for modified GABAergic inhibition. For instance, by lowering GABAergic inhibition, an overall increase in neural activity will occur within the brain, in this case below a level that could cause a seizure. That increase in activity may simply prevent learning by massively increasing neural noise and therefore either preventing synaptic plasticity or, more likely, causing indiscriminate synaptic strengthening and weakening that occludes information storage. Sensory processing itself could also be disrupted, for instance by altering the selectivity of receptive fields. Alternatively, it could be that the increase in neural activity produced by the blockade of inhibition simply drives more behavioral output, meaning that more excitatory synaptic adaptation is required to suppress that output. The authors propose two specific working models of the ways in which GABAergic inhibition could be implemented in habituation. An alternative model, in which GABAergic neurons are not themselves modified but act as a key intermediary between Hebbian assemblies of excitatory neurons that are modified to support memory and output neurons, is not explored. As yet, these or other models in which inhibition is not required for habituation, have not been fully tested.

      This manuscript describes a really substantial body of work that provides evidence of functional clusters of neurons with divergent responses to repeated sensory input and an array of pharmacological agents that can influence the rate of a fundamentally important form of learning.

      We thank the reviewer for their careful consideration of our work, and we agree that multiple models of how habituation occurs remain plausible. As discussed above and below in more detail, we have revised our manuscript to better reflect this. We hope the reviewer will agree that this has improved the manuscript.

      Reviewer #2 (Public Review):

      In this study, Lamire et al. use a calcium imaging approach, behavioural tests, and pharmacological manipulations to identify the molecular mechanisms behind visual habituation. Overall, the manuscript is well-written but difficult to follow at times. They show a valuable new drug screen paradigm to assess the impact of pharmacological compounds on the behaviour of larval zebrafish, the results are convincing, but the description of the work is sometimes confusing and lacking details.

      We thank the reviewer for identifying areas where our description lacked details. We apologize for these omissions and have attempted to add relevant details as described below. We note that all of the analysis code is available online, though we appreciate that navigating and extracting data from these files is not straightforward.

      The volumetric calcium imaging of habituation to dark flashes is valuable, but the mix of responses to visual cues that are not relevant to the dark flash escape, such as the slow increase back to baseline luminosity, lowers the clarity of the results. The link between the calcium imaging results and free-swimming behaviour is not especially convincing, however, that is a common issue of head-restrained imaging with larval zebrafish.

      We agree with the reviewer that the design of our stimulus, and specifically the slow increase back to baseline luminosity, is perhaps confusing for the interpretation of some of the response profiles of neurons. We originally chose this stimulus type (rather than a square wave of 1s of darkness, for example) in order to better highlight the responses of the larvae to the onset of darkness (rather than the response to abruptly returning to full brightness). We therefore believe that the slow return to baseline is an important feature of the stimulus,, which better separates activity related to the fast offset from activity related to light onset. And since all of the foundational behavioural data (Randlett et al., Current Biology 2019), and pharmacological data, used this stimulus type, we did not change it for the Ca2+ imaging experiments. Our use of relatively slow nuclear-targeted GCaMP indicators also means that the temporal resolution of our imaging experiments is relatively poor, and therefore we felt that using a stimulus that highlighted light offset might be best.

      We also fully acknowledge in the Results section that the behaviour of the head embedded fish is not the same as that of free-swimming fish, and that therefore establishing a direct link between these types of experiments is complicated. This is an unavoidable caveat in the head-embedded style experiments. To further emphasize this, we have also added a paragraph to the discussion where this is acknowledged explicitly.

      “We also found that the same pharmacological treatments that result in strong alterations to habituation behaviour in freely swimming larvae ([fig:5]), resulted in relatively subtle and complex functional alterations in the circuit ([fig:6]). Making direct comparisons between freely-swimming behaviour and head-fixed Ca2+ imaging is always challenging due to the differences in behaviour observed in the two contexts, and therefore our failure to identify a clear logic in these experiments may have technical explanations that will require approaches to measure neural activity from unrestrained and freely-behaving animals to resolve . Alternatively, these results are again consistent with the idea that habituation is a multidimensional and perhaps highly non-linear phenomenon in the circuit, which cannot be captured by a simple model.”

      The strong focus on GABA seems unwarranted based on the pharmacological results, as only Picrotoxinin gives clear results, but the other antagonists do not give a consistent results. On the other hand, the melatonin receptor agonists, and oestrogen receptor agonists give more consistent results, including more convincing dose effects.

      We agree that our manuscript focused too strongly on GABA and have toned this down. We are currently performing genetic experiments aimed at identifying the Melatonin, Estrogen and GABA receptors that function during habituation, which we think will be necessary to move beyond pharmacology and the necessary caveats that such experiments bring.

      The pharmacological manipulation of the habituation circuits mapped in the first part does not arrive at any satisfying conclusion, which is acknowledged by the authors. These results do reinforce the disconnect between the calcium imaging and the behavioural experiments and undercut somewhat the proposed circuit-level model.

      We agree with this criticism and have toned down the focus on GABA specifically in the circuit, and have removed the speculative model previously in Figure 8.

      Overall, the authors did identify interesting new molecular pathways that may be involved in habituation to dark flashes. Their screening approach, while not novel, will be a powerful way to interrogate other behavioural profiles. The authors identified circuit loci apparently involved in habituation to dark flashes, and the potentiation and no adaptation clusters have not been previously observed as far as I know.

      The data will be useful to guide follow-up experiments by the community on the new pathway candidates that this screen has uncovered, including behaviours beyond dark flash habituation.

      We again thank the reviewer for both their support of our approach, and in pointing out where our conclusions were not well supported by our data.

      Reviewer #3 (Public Review):

      To analyze the circuit mechanisms leading to the habituation of the O-bed responses upon repeated dark flashes (DFs), the authors performed 2-photon Ca2+ imaging in larvae expressing nuclear-targeted GCaMP7f pan-neuronally panning the majority of the midbrain, hindbrain, pretectum, and thalamus. They found that while the majority of neurons across the brain depress their responsiveness during habituation, a smaller population of neurons in the dorsal regions of the brain, including the torus longitudinalis, cerebellum, and dorsal hindbrain, showed the opposite pattern, suggesting that motor-related brain regions contain non-depressed signals, and therefore likely contribute to habituation plasticity.

      Further analysis using affinity propagation clustering identified 12 clusters that differed both in their adaptation to repeated DFs, as well as the shape of their response to the DF.

      Next by the pharmacological screening of 1953 small molecule compounds with known targets in conjunction with the high-throughput assay, they found that 176 compounds significantly altered some aspects of measured behavior. Among them, they sought to identify the compounds that 1) have minimal effects on the naive response to DFs, but strong effects during the training and/or memory retention periods, 2) have minimal effects on other aspects of behaviors, 3) show similar behavioral effects to other compounds tested in the same molecular pathway, and identified the GABAA/C Receptor antagonists Bicuculline, Amoxapine, and Picrotoxinin (PTX). As partial antagonism of GABAAR and/or GABACR is sufficient to strongly suppress habituation but not generalized behavioral excitability, they concluded that GABA plays a very prominent role in habituation. They also identified multiple agonists of both Melatonin and Estrogen receptors, indicating that hormonal signaling may also play a prominent role in habituation response.

      To integrate the results of the Ca2+ imaging experiments with the pharmacological screening results, the authors compared the Ca2+ activity patterns after treatment with vehicle, PTX, or Melatonin in the tethered larvae. The behavioral effects of PTX and Melatonin were much smaller compared with the very strong behavioral effects in freely-swimming animals, but the authors assumed that the difference was significant enough to continue further experiments. Based on the hypothesis that Melatonin and GABA cooperate during habituation, they expected PTX and Melatonin to have opposite effects. This was not the case in their results: for example, the size of the 12(Pot, M) neuron population was increased by both PTX and Melatonin, suggesting that pharmacological manipulations that affect habituation behavior manifest in complex functional alterations in the circuit, making capturing these effects by a simple difficult.

      Since the 12(𝑃𝑜𝑡, 𝑀) neurons potentiate their responses and thus could act to progressively depress the responses of other neuronal classes, they examined the identity of these neurons with GABA neurons. However, GABAergic neurons in the habituating circuit are not characterized by their Adaptation Profile, suggesting that global manipulations of GABAergic signaling through PTX have complex manifestations in the functional properties of neurons.

      Overall, the authors have performed an admirably large amount of work both in whole-brain neural activity imaging and pharmacological screening. However, they are not successful in integrating the results of both experiments into an acceptably consistent interpretation due to the incongruency of the results of different experiments. Although the authors present some models for interpretation, it is not easy for me to believe that this model would help the readers of this journal to deepen the understanding of the mechanisms for habituation in DF responses at the neural circuit level.

      This reviewer would rather recommend the authors divide this manuscript into two and publish two papers by adding some more strengthening data for each part such as cellular manipulations, e.g. ablation to prove the critical involvement of 12(Pot, M) neurons in habituation.

      We thank the reviewer for their careful consideration of our manuscript, and we agree that our emphasis on a particular model of DF habituation, namely the potentiation of GABAergic synapses, was overly speculative. We hope they will agree that our revised manuscript better reflect the results from our experiments, and we have tried to more specifically emphasize the incongruency in our behavioural and Ca2+ imaging data after pharmacological treatment, which we agree shows that a simple model is insufficient to capture both of these sets of observations.

      We have opted not to split the paper into two, since we feel that the collective message of this paper and approach combining molecular and functional analysis will be of interest. Moreover, we feel that the molecular and functional analyses feed off of each other and provide a level of complementarity that would be lost if the manuscript would be split, even if the message in this particular case is rather complex

      Reviewer #1 (Recommendations For The Authors):

      There is much to commend about this manuscript. The advantages of studying habituation in the zebrafish larva are very clearly demonstrated, including the wonderful calcium imaging across the brain and the relatively high throughput screening of large numbers of different pharmacological agents. The habituation to dark flashes in freely moving larvae is also striking and the very large effect size serves the screening beautifully. Thus, if we take the really substantial amount of work of a very high standard that has been done here, there is clearly potential for an important new contribution to the literature. However, as you will see from my public review, I am of the opinion that a specific role for the modification of GABAergic inhibitory systems has not yet been established through this work. While the potential role for GABAergic inhibitory neurons in habituation, either as the key modifiable element or as an intermediary between memory and motor output, is an attractive theory with many strengths, your study as it currently stands does not categorically demonstrate that one of those two options holds. For instance, the more traditional view, that adaptive filtration is mediated by weakened synaptic connectivity between excitatory sensory systems and excitatory motor output or reduced intrinsic excitability in those same neurons, could still be in operation here. By lowering GABAergic influence over post-synaptic targets with picrotoxin, it is possible that motor output remains highly active, and even lower activity or synaptic drive from those excitatory sensory systems that feed into the output may still reliably produce behavioral output. Alternatively, it could be the formation of a memory of the familiar stimulus is disrupted by reduced inhibition that alters sensory coding either by introducing noise or reducing the selectivity of receptive fields. I believe that there are several options to address these concerns:

      1) You could change the emphasis of the manuscript so that it is less focused on inhibition and instead emphasizes the categorization of clusters of neurons that have divergent responses during habituation, including either strong suppression to potentiation. To this, you add a high throughput screening system with a wide range of different agents being tested, several of which produce a significant effect on habituation in either direction. These observations in themselves provide powerful building blocks for future work.

      2) If GABAergic neurons play a key role in habituation in this paradigm, then picrotoxin is having its effect by blocking receptors on excitatory neurons. Thus, it seems that selectively imaging GABAergic neurons before and after the application of these drugs is not likely to reveal the contribution of GABAergic synaptic influence on excitatory targets. More important is to get a stronger sense of how the GABAergic neurons change their activity throughout habituation and then influence the downstream target neurons of those GABAergic neurons (some of which may themselves be inhibitory and participating in disinhibition). For instance, you could interrogate whether anti-correlations in activity levels exist between presynaptic inhibitory neurons and putative post-synaptic targets. This analysis could be further bolstered by removing that relationship in the presence of Picrotoxin, thereby demonstrating a direct influence of inhibition from a GABAergic presynaptic partner on a postsynaptic target. While this would constitute a lot more work, it is likely to yield greater insight into a specific role for GABAergic neurons in habituation, and I suspect much of that information is in the existing datasets.

      3) To really reveal causal roles for inhibition in this form of habituation, it seems to me that there needs to be some selective intervention in GABAergic neuronal activity, ideally bidirectionally, to transiently interrupt or enhance habituation. Optogenetic or chemogenetic stimulation/inactivation is one option in this regard, which I imagine would be challenging to implement and certainly involves a lot of further work, particularly if you are then going to target specific subpopulations of GABAergic neurons. I appreciate that this option seems way beyond the scope of a review process and would probably constitute a follow-up study.

      We agree with the reviewer that we have not “categorically demonstrated” that GABAergic inhibitory neurons drive habituation by increasing their influence on the circuit, and appreciate the suggestions for how to reformulate our manuscript to better reflect this. We have opted to follow suggestion (1), and have considerably changed the focus of the manuscript.

      The additional analysis suggested in (2) is very interesting, but since we can not identify which cells are inhibitory in our imaging experiments with picrotoxinin treatment, nor which are pre- or post-synaptic, we feel that this analysis will be very unconstrained. Also, if GABA is acting as an inhibitory neurotransmitter, it therefore is expected to act to drive anticorrelations among pre and postsynaptic neurons through inhibition. Therefore, blockage of GABA through PTX would be expected to result in increased correlations, regardless of our hypothesized role of neurons during habituation. Our current efforts are aimed at identifying critical neurons driving habituation plasticity, and we will perform such analysis once we have mechanisms for identifying these neurons.

      Finally, we agree that (3) is the obvious and only way to demonstrate causation here, and this is where we are working towards. However, since we currently have no means of genetically targeting these neurons, we are not able to perform these suggested experiments today.

      I have some additional concerns that I would really appreciate you addressing:

      1) The behavioral habituation is striking in the freely moving larvae, but very hard to monitor in the larvae that are immobilized for calcium imaging. Are there steps that could be taken in the long run to improve direct observation of the habituation effect in these semi-stationary fish? For instance, is it possible to observe eye movements or some more subtle behavioral readout than the O-bend reflex? I apologize if this is a naïve question, but I am not entirely familiar with this specific experimental paradigm.

      In the Dark Flash paradigm, we do not have readouts beyond the “O-bend” response itself, which is characterized by a large-angle bend of the tail and turning maneuver. We have not observed other, more subtle behavioural responses, such as eye or fin movements, for example. If we would be able to identify alternative behavioural outputs that were more robustly performed during head-embedded preparations, this would indeed be an advantage allowing us to more directly interpret the Ca2+ imaging results with respect to behaviour.

      2) The dark flash as a stimulus to which the larvae habituate is obviously used as a powerful and ethologically relevant stimulus. However, it does leave an element of traditional habituation paradigms out, which is a novel stimulus that can be used to immediately re-instate the habituated response (otherwise known as dishabituation). Is there a way that you can imagine implementing that with zebrafish larvae, for instance through systematically altering a visual feature, such as spatial frequency or orientation? This would be a powerful development in my view as it would not only allow you to rule out motor or sensory fatigue as an underlying cause of reduced behavior but also it would provide an extra feature that strengthens your assessment of neuronal response profiles in candidate populations of inhibitory and excitatory neurons.

      We agree that identifying a dishabituating stimulus would be very powerful for our experiments. For short-term habituation of the acoustic startle response, Wolman et al demonstrated that dishabituation occurs after a touch stimulus (Wolman et al., PNAS, 2011; https://doi.org/10.1073/pnas.1107156108). We attempted to dishabituate the O-Bend response with tap and touch stimuli, and this unfortunately did not occur. Our understanding of dishabituation is that this generally requires a second stimulus that elicits the same behaviour as the habituated stimulus (e.g. both acoustic and touch-stimuli elicit the Mauthner-dependent C-bend response). In zebrafish the only stimulus that has been identified that elicits the O-bend is a dark-flash. This lack of an appropriate alternative stimulus is perhaps why we have been unsuccessful in identifying a dishabituating stimulus.

      3) You have written about the concept of 'short' and 'long' response shapes when using calcium imaging as a proxy for neural activity, surmising that the short response shape may reflect transient bursting. Although calcium imaging obviously has many advantages, this feature reveals one notable limitation of calcium imaging in contrast to electrophysiology, in that the time course of the signal is considerably longer and does not allow you with confidence to fully detect the response profile of neurons. Is there some kind of further deconvolution process that you could implement to improve the fidelity of your calcium imaging to the occurrence of action potentials? The burstiness of neurons is obviously important as it can indicate a particular type of neuron (for instance fast-spiking inhibitory neurons) or it might reveal a changing influence on post-synaptic neurons. For instance, bursting can be a response to inhibition due to the triggering of T-type calcium channels in response to hyperpolarization.

      One of the major limitations to Ca2+ imaging is the lack of temporal resolution. In our particular approach, using nuclear-targeted H2B-GCaMP indicators, further reduces our temporal resolution. Deconvolution approaches can be used in some instances to approximate spike rate, since the rise-time of Ca2+ indicators can be relatively fast. However, in our imaging we chose to image larger volumes at the expense of scan rate, where our imaging is performed at only 2hz. Therefore, deconvolution and spike-rate estimation is not appropriate. Considering these limitations, we would argue that the fact that we can observe differences in kinetics of the 'short' and 'long' response shapes indicates that they likely show very different response kinetics, which we hope to confirm by electrophysiology once we have established ways of targeting these neurons for recordings.

      4) I note that among the many substances you screened with is MK801. An obvious candidate mechanism in habituation is the NMDA receptor, given the importance of this receptor for so many forms of learning and bidirectional synaptic plasticity. If I am to understand correctly, this NMDA receptor blocker actually enhances habituation in the zebrafish larvae, similar to melatonin. That is a very surprising observation, which is worth looking into further or at least discussed in the manuscript. The finding would, at least, be consistent with the idea that plasticity is not occurring at excitatory synapses and could potentially bolster the argument that plasticity of inhibitory synapses is at play in this particular form of habituation.

      This is a very important point. We were also particularly interested in MK801, which has been shown to inhibit other forms of habituation, like short-term acoustic habituation (Wolman et al., PNAS, 2011; https://doi.org/10.1073/pnas.1107156108). In our experiments we did see that fish become even less responsive to dark flashes when treated with MK-801 (SSMD fingerprint data: Prob-Train = -0.39, Prob-Test = -1.58) which would indicate that MK-801 promotes dark flash habituation, similar to Melatonin. However, we also observed that MK-801 caused a decrease in the performance in the other visual assay we tested: the optomotor response (OMR-Perf = -0.93), indicating that MK-801 causes a generalized decrease in visual responses, perhaps by acting on circuits within the retina. Therefore, based on these experiments with global drug applications, we cannot determine if MK-801 influences the plasticity process in dark-flash habituation, and this is why we did not pursue it further in this project.

      Anyway, I hope that you take these suggestions as constructive and, in the spirit that they are intended, as possible routes for improving an already very interesting manuscript.

      We are very grateful for your suggestions, which we feel has helped us to improve our manuscript substantially.

      Reviewer #2 (Recommendations For The Authors):

      Overall, the manuscript is well-written, but confusing at times. The results are not always presented in a consistent way, and I found myself having to dig in the raw data or code to find answers. There is a certain disconnect between the free-swimming results, and the calcium imaging, which is somewhat inevitable based on other published work. But I am unsure of what they each bring to the other, as the results from Fig.6 do not match at all the changes observed in the behavioural assays, it almost feels like two separate studies and the inconsistencies make the model appear unlikely.

      We agree that there is a disconnect at the behavioural level in our free-swimming and head-embedded imaging experiments. However, this does not necessarily mean that the activity we observe during the imaging experiments cannot be informative about processes that are also occurring in freely-swimming fish. For example, it is possible that the dark-flash circuit is responding and habitating similarly in the head-embedded and freely-swimming preparations, but that in the latter context there is an additional blockade on motor output that massively decreases the propensity of the fish to initiate any movements. In such a case, the “disconnect between the free-swimming results, and the calcium imaging” would indicate that the relationship between neural activity and habituation behaviour is rather complex.

      Without a method to record activity from freely swimming fish at our disposal, we can not determine this, one way or the other.

      We hope that we now acknowledge these concerns appropriately in the discussion:

      “We also found that the same pharmacological treatments that result in strong alterations to habituation behaviour in freely swimming larvae ([fig:5]), resulted in relatively subtle and complex functional alterations in the circuit ([fig:6]). Making direct comparisons between freely-swimming behaviour and head-fixed Ca2+ imaging is always challenging due to the differences in behaviour observed in the two contexts, and therefore our failure to identify a clear logic in these experiments may have technical explanations that will require approaches to measure neural activity from unrestrained and freely-behaving animals to resolve . Alternatively, these results are again consistent with the idea that habituation is a multidimensional and perhaps highly non-linear phenomenon in the circuit, which cannot be captured by a simple model. “

      I am not convinced by the results surrounding GABA, from the inconsistent GABA receptor antagonist profile to the post hoc identification of GABAergic neurons as it is currently done in the manuscript. I think that the current focus on GABA does a disservice to the manuscript. However, the novel findings surrounding the potential role of Melatonin, and Estrogen, in habituation are quite interesting.

      We agree that we focused too heavily on our hypothesized role for GABA in our original manuscript, and we hope that the reviewer agrees that our updated manuscript is an improvement. We also thank the reviewer for their interest in our Melatonin and Estrogen results, for which follow up studies are ongoing to characterize the effects of these hormones and their receptors on habituation.

      There is an assumption that all the adaptation profiles are related to the DF (although that is somewhat alleviated in the discussions of the ON responses) and not to the luminosity changes. But there is no easy way to deconvolve those two in the current experiments. I would like the timing of the fluorescence rise to be quantified compared to the dark flash stimulus onset, potentially spike inference methods could help with giving a better idea of the timing of those responses. Based on the behavioural responses that were <500ms in Randlet O et al, eLife, 2019; we would expect only the fastest DF responses to be linked to the behaviour.

      We agree that we are unable to disambiguate responses to the dark flash that initiate the O-bend response, and those that are related to only changes in luminosity. As discussed above, our Ca2+ imaging approach is severely limited in temporal resolution and therefore spike inference methods are not appropriate.

      Major comments

      Fig.1: There seems to be a very variable lag between the motor events and DF responses, furthermore, it does not seem that the motor responses follow a similar habituation rate as in 1Bi. Although this only shows the smoothed 'movement cluster' from the rastermap, it could hide individual variability. It would be important to know what the 'escape' rate was in the embedded experiment, as

      Fig.1 sup.1 seems to indicate there was little to no habituation. It would also be needed to know which motor events are considered linked to the DF stimulus, and how that was decided. Was there a movement intensity threshold and lag limit in the response?

      We interpret this concern as relating to the data presented in Figure 6A, where we quantify the habituation rate in the head-embedded experiments. As we have discussed, both above and in the manuscript, we saw very strongly muted responses to DFs in the head-embedded preparation, but we neglected to describe our method of quantifying the responses. We have added the following description to the methods:

      “To quantify responses to the dark flash stimuli we used motion artifacts in the imaging data to identify frames associated with movements ([fig:1]-[fig:S1]). Motion artifact was quantified using the “corrXY” parameter from suite2p, which reflects the peak of phase correlation comparing each acquired frame and reference image used for motion correction. The “motion power” was quantified as the standard deviation of a 3-frame rolling window, which was smoothed in time using a Savitzky-Golay filter (window length = 15 frames, polyorder = 2). A response to a dark flash was defined as a “motion power” signal greater than 3 (z-score) occurring within 10-seconds of the dark-flash onset, and was used to quantify habituation in the head-embedded preparation ([fig:6]A).“

      Line 94: This seems to be a strong claim based on the sparse presence of non-habituating, or potentiating, neurons in downstream regions. However, these neurons appear to be extremely rare, and as mentioned in my comment above, the behavioural habituation appears minimal. These neurons could encode the luminosity and be part of other responses, such as light-seeking in Karpenko S et al, eLife, 2020 or escape directionality in Heap et al, Neuron, 2018. Furthermore, dimming information has been shown to have parallel processing pathways in Robles E et al, JCN, 2020; so it would make sense that not all the observed responses in this manuscript would be involved in behavioural habituation to dark flashes.

      We agree that without functional interventions, we do not know which of the neurons we have categorized are specifically involved in the dark flash response habituation. It is possible that the non-adapting and potentiating neurons are involved in other behaviours. We have therefore removed this statement.

      Line 103: It appears that several of those responses are to the changes in luminosity and not the DF itself, especially the ON and sustained responses. Based on the previous DF habituation study from Randlet O et al, eLife, 2019; the latency of the response is below 0.5s. So the behaviour-relevant responses must only include the shortest latency one, as discussed above.

      We appreciate the point that the reviewer is making here, but we are less clear about what the difference between “changes in luminosity” and a “dark flash” response are, since a dark flash consists of a change in luminosity. We take it that the reviewer means the difference between a luminance stimulus that elicits an O-bend, from one that does not. In order to disambiguate the two, one would likely need to use stimuli where the luminosity changes, but do not elicit O-bends.

      Perhaps due to the limited temporal resolution of our Ca2+ imaging data, we do not see a clear difference in the onset of the stimulus response for any of the functional clusters that would help us to determine which neurons are more relevant to the acute DF response.

      Fig.2B. It is very difficult to make out the actual average z-scored fluorescence, a supplementary figure would help by making these bigger. A plot to quantify the maximum response would also be useful to judge how it changes between the first few and few last DF. Another plot to give the time between the onset of the responses and the onset of the DF stimulus is also needed to judge which cluster may be relevant to the DF escapes observed in the free-swimming experiments.

      We agree with the reviewer that interpreting these datasets are challenging. We did include the actual average z-scored fluorescence in Figure 6—figure supplement 1, panel D. This figure also includes a comparison between the predicted Ca2+ response to the dark flash (the stimulus convolved with the approximate GCaMP response kernel), which shows that all OFF-responding neuronal classes show very similar rise time response kinetics, and thus this analysis does not help to judge whether a cluster is more or less relevant to O-bend responses in the free-swimming experiments. We appreciate that there are differences in opinion about the best way to present the data, but we have opted to leave our original presentation.

      Line 130: Is a correlation below 0.1 meaningful or significant? It does not seem like this cluster would be a motor or decision cluster.

      Our goal with this correlational analysis to motor signals was to identify if certain clusters of DF responsive neurons were more associated with motor output, and therefore may be more downstream in the sensori-motor cascade. Cluster 4 showed the highest median correlation across the population of cells. Whether a median correlation of ~0.1 is “meaningful” is impossible for us to answer, but it is highly “significant” in the statistical sense, as is evident by the 99.99999% confidence intervals plotted. We note that these cells were not selected based on their correlation to the motor stimulus, but only to the dark flash stimulus. There are “motor” clusters that show much higher correlations to the motors signals, as is evident in Figure 1G.

      Line 165: Did the changes observed for Pimozide fall below the significance threshold, were lethal, or were the results not repeated? It does not appear in source data 2.

      Pimozide was lethal in our screen and therefore does not appear in the source data file. Indeed, in our previous experiments with Pimozide we had already established that a 10uM dose is lethal, and that the maximal effective dose we tried was 1uM as reported in (Randlett et al., Current Biology, 2019).

      We have clarified this in the text:

      “While the false negative rate is difficult to determine since so little is known about the pharmacology of the system, we note that of the three small molecules we previously established to alter dark flash habituation that were included in the screen, Clozapine, Haloperidol and Pimozide , the first two were identified among our hits while Pimozide was lethal at the 10\muM screening concentration.”

      Fig.1B and Fig.3B are the same data, which is awkward and should be explicitly stated. But the legends do not match in terms of the rest period. Which is correct? It is also important to note the other behavioural assays in the 'rest' period.

      We thank the reviewer for pointing out this discrepancy in the legend. We have corrected the typo in the figure legend of Figure 3B :

      “Habituation results in a progressive decrease in responsiveness to dark flashes repeated at 1-minute intervals, delivered in 4 training blocks of 60 stimuli, separated by 1hr of rest (from 0:00-7:00).”

      We have also added a statement that the data is the same as that in Figure 1B.

      Figure 3-4: SSMD fingerprint, there is no description of the different behavioural parameters. What they represent is left to the reader's inference. There is no mention of SpontDisp in the GitHub for example, so it is hard to know how these different parameters were measured. Even referring to the previous manuscript on habituation (Randlet O et al, eLife, 2019) does not shed light on most of them, for example, I suppose TwoMvmt represents the 'double responses' from the previous manuscript. Furthermore, there are inconsistencies between 3C and 4B, some minor (SpontDisp becomes SpntDisp), but Curve-Tap has disappeared for example, and I suspect became BendAmp-Tap. A more thorough description of these measures, and making the naming scheme consistent, are essential for readers to know what they are looking at.

      We again thank the reviewer for their careful assessment of our data, and we apologize for this sloppiness. We have gone through and made the naming of these parameters consistent in both figures, and have added another supplementary table that describes in more detail what each parameter is, and how it relates to the analysis code (Figure3_sourcedata3_SSMDFingerprintParameters.xls). This was an essential missing piece of information from our original manuscript.

      Line 206: While this prioritization makes sense, how was it implemented, how was the threshold decided and which were they? A table, or supplementary figure, would help to clarify the reason behind the choices. Fig.4C being cropped only around the response probability makes it impossible to judge if the criteria were respected, as the main heatmap is too small. For example, the choice of GABA receptor antagonists is somewhat puzzling, as besides PTX it does not seem that the other compounds had strong effects, with Amoxapine for example having seemingly as much effect on Naive and Train, with little in Test. And Bicuculline gave negative SSMD for prob in the three cases. The dose-response for PTX does lend credence to its effect, but I would have liked the other compounds, especially bicuculline. The melatonin results, for example, are much more convincing and interesting in our opinion.

      While in hindsight it may have been possible to do the hit prioritization in a systematic way using thresholding and ranking, we did this manually by inspecting the clustered fingerprints. We have clarified this in the text: “This manual prioritization led to the identification of the GABAA/C Receptor antagonists…”

      While we agree that it is not possible to judge how well we performed this prioritization based on the images presented, we note that we do provide the full fingerprint data in the supplementary data, for which the reader is welcome to draw their own conclusions.

      We have not performed further experiments with amoxapine, so we can not comment further on this. We did perform additional experiments with bicuculline, for which we did see effects similar to those of PTX, were habituation was inhibited. However, the effects are weaker and more variable than what we observe with PTX, and bicuculline also inhibits the initial responses of the larvae, causing their Naive response to be lower. Therefore we did not include it in our manuscript. We include these data here in Author response image 1 to reassure the Reviewer that picrotoxinin is not the only GABA Receptor antagonist for which we see inhibitory effects on habituation.

      Author response image 1.

      Fig.6: Why was the melatonin concentration used only 1um instead of 10um on the screen?

      Based on dose response experiments (Figure 5B, and others not shown), we found that the effect of Melatonin on habituation saturates at about 1uM, and therefore we used this dose.

      Line 277: As the correlation with motor output is marginal at best, and the authors recognize the lack of behaviour in tethered animals, I would be careful about such speculation. Especially since the other changes are complex and go in all directions.

      While we appreciate the reviewer's caution, we feel that our statement is appropriately hedged using “might be”. We have also removed the statement “and thus is most closely associated with behavioural initiation”.

      We now state:

      “However, opposite effects of PTX and Melatonin were observed for 4_L^{strgD} neurons ([fig:6]C), which we found to be most strongly correlated with motor output ([fig:2]F). Therefore, this class might be most critical for habituation of response Probability.”

      Fig.7: I am not sure how convincing these results are. 7F may have been more convincing, but to be thorough the authors would need to register the Gad1b identity to the calcium imaging and use their outline to extract the neuron's fluorescence. As it is, in the tectum, it is hard to be sure that all the identified neurons are indeed Gad1b positive, as that population is intermingled with other neuronal populations. The authors should consider the approach of Lovett-Barron M et al, Nat Neuro, 2020. Alternatively, the authors can tone down the language used in this section to match the confidence level of the association they propose.

      Figure 7A-E are what can be considered “virtual colocalization” analyses, where we are comparing the localization of data acquired in different experiments using image registration to common atlas coordinates. We agree that these results alone will never be very strong evidence for the identification of individual cells. The MultiMAP approach of Lovett-Barron is a powerful approach, though it makes the assumption that registration accuracy will be subcellular, which in practice may often not be the case. We believe that a better approach is to label the cells of interest during the Ca2+ imaging experiment itself, as we did 7F and G. The challenge in this experiment is binarizing the ROIs and thus deciding what is and is not a Gad1b-positive cell. In our opinion, the fact that these two independent experiments came to the same conclusion regarding Cluster 10 and 11 is good evidence that these cell types are likely predominantly GABAergic.

      As discussed above, we have re-written the manuscript to tone down our claims about the role of GABA and GABAergic neurons in habituation, which we hope the reviewer will agree better reflects the limitations of the data in Figure 6 and 7.

      Line 317: Based on the somewhat inconsistent results of the other GABA antagonists, I would be careful. Picrotoxin has been reported to antagonize other receptors besides GABA, see Das P et al, Neuropharma, 2003. So the results may be explained by a complex set of effects on multiple pathways with PTX.

      Off target effects are an important concern with any pharmacological experiment, and perhaps especially in zebrafish where receptors and targets can be quite divergent from those in mammals where most drug targets have been characterized. We have added this sentiment to the discussion:

      “We cannot rule out the possibility that off-targets of PTX, or subtle non-specific changes in excitatory/inhibitory balance alter habituation behaviour.”

      Line 400-403, 430: There are some conflicting statements regarding the potential role of clusters 1 and 2 in DF habituation. Do the authors think they play a role in the behaviour measured in this manuscript? Could they clarify what they mean?

      We see how our original statement in line 429 about the presence of cluster 1 and 2 neurons in the TL implied a role in dark flash habituation. This was not our intent, and we have removed “which also contains high concentrations of on-responding neurons”.

      Our thoughts on these neurons are now stated in the discussion as:

      “We also observed classes exhibiting an On-response profile ( and ). These neurons fire at the ramping increase in luminance after the DF, making it unlikely that they play a role in aspects of acute DF behaviour we measured here. These neurons exist in both non-adapting and depressing forms suggesting a yet unidentified role in behavioural adaptation to repeated DFs.“

      Minor comments

      Line 73 (and elsewhere): Why use adaptation instead of habituation (also in the adaptation profile)? Do you suspect your observations do not reflect habituation, but a sensory adaptation mechanism?

      We have used the convention that “habituation” refers to observations at the behavioural level, while “depression” and “potentiation” refer to observations at the neuronal level. We use the term “adaptation” to refer to neuronal adaptations of either sign (depression or potentiation), as in line 73.

      We believe that our observations reflect neuronal adaptations that underlie habituation behaviour.

      Line 71: It is debatable that the strongest learning happens in the first block, the difference between the first and last response seems to grow larger with each successive block. What do the authors mean by 'strongest'

      We agree that “strongest” was ambiguous. We have changed this to “initial”:

      “We focused on a single training block of 60 DFs to identify neuronal adaptations that occur during the initial phase of learning ”

      Fig.1F: there is no rastermap call in the GitHub repository, was the embedding done in the GUI? If so, it should also be shared for reproducibility's sake.

      Yes, Fig.1F was created using the suite2p GUI, as we have now clarified in the methods:

      “The clustered heatmap image of neural activity (([fig:3]F) was generated using the suite2p GUI using the “Visualize selected cells” function, and sorting the neurons using the rastermap algorithm ”

      The image is available in the “Figure1 - Ca2Imaging.svg” file available here: https://github.com/owenrandlett/lamire_2022/tree/main/LamireEtAl_2022

      Line 101: while true that AffinityPropagation does not require input on the number of clusters, preference can influence the number of clusters. It seems that at least two values were tested in the search for the clusters, can the authors comment on how many clusters the other preference value converged (or failed to converge) on?

      Indeed, as with any clustering approach, the resultant clusters are highly dependent on the input parameters, in this case the “preference”, as well as “damping” and the choice of affinity metric. By varying these parameters one can arrive at anywhere between 2 and hundreds of clusters.

      It is for this reason that we feel that the anatomical analyses of these clusters is very important, making the assumption that neurons of differing functional types will have different localizations in the brain, as we explained in the Results:

      “While these results indicate the presence of a dozen functionally distinct neuron types, such clustering analyses will force categories upon the data irrespective of if such categories actually exist. To determine if our cluster analyses identified genuine neuron types, we analyzed their anatomical localization ([fig:2]C-E). Since our clustering was based purely on functional responses, we reasoned that anatomical segregation of these clusters would be consistent with the presence of truly distinct types of neurons.”

      We also acknowledge in the Results that the clustering approach has limitations:

      “These results highlight a diversity of functional neuronal classes active during DF habituation. Whether there are indeed 12 classes of neurons, or if this is an over- or under-estimate, awaits a full molecular characterization. Independent of the precise number of neuronal classes, we proceed under the hypothesis that these clusters define neurons that play distinct roles in the DF response and/or its modulation during habituation learning“

      Fig.2. My understanding is that the cluster numbers are arbitrary unless there is a meaning to them, which then should be explained. I would recommend grouping the clusters per functional category as in Fig.6 to make it easier for the reader.

      Cluster number reflects the ordering in the hierarchical clustering tree shown in Figure 2B. We feel that this is the most logical representation of their functional similarity. We have clarified this in the Methods:

      “ We then used the Affinity Propagation clustering from scikit-learn , with “affinity” computed as the Pearson product-moment correlation coefficients (corrcoef in NumPy ), preference=-9, and damping=0.9, and clustered using Hierarchical clustering (cluster.hierarchy in SciPy ). Cluster number was assigned based on the ordering of the hierarchical clustering tree. ”

      Fig.3 SSMD fingerprint, it would be much easier for the readers if the list of parameters was clearer and rotated 90 degrees. Maybe in a supplementary figure to show what each represents.

      We agree that the SSMD fingerprint is very difficult to interpret. As discussed above, we have now included a supplementary table (Figure3_sourcedata2_SSMDFingerprintParameters.xlsx) where we have clarified what each parameter represents.

      Fig.4: The use of the same colours across the clustering methods is confusing, especially after the use of colours for the SSMD fingerprint in Fig.3. and at the bottom of 4A. Fig.4A for example could have been colour coded according to the most affected behaviour in the fingerprint at the bottom.

      Fig.4B the coloured text is difficult to read, especially for the lighter colours.

      We agree that our use of color is not perfect, but we have attempted to use them consistently: for example when referring to a functional cluster, or a drug manipulation. We don’t think that there is a sufficient number of distinguishable colors for us to never use the same color twice.

      Fig.4C if the goal is to show similarity, the relevant drugs could be placed adjacent to each other. One could also report the Euclidean distance, or compute how correlated the different fingerprints are within one pharmacological target space.

      The goal of Fig 4C is to highlight where Bicuculline, Amoxapine, Picrotoxinin, Melatonin, Ethinyl Estradiol and Hexestrol lie within the clustered heatmap of the behavioural fingerprints (Fig 4A), and<br /> demonstrate how the probability of response to dark flashes is modulated by these drugs. In our analyses, “similarity” is a function of the clustering distance.

      Fig.6D 'Same data as M, ...' I assume should be 'Same data as C,...'

      Indeed, thank you for pointing out this error that we have corrected.

      Fig. 7 How many GCaMP6s double transgenic larvae were imaged?

      6 fish were imaged, as is stated in the legend to Fig 7G

      Line 407: all is repeated.

      We apologize, but we do not see what is repeated at line 407. Can you please clarify?

      Line 481: Would testing spontaneous activity after training for 7h be unbiased, could there be fatigue effects?

      We tested for fatigue effects in our previous study, comparing larvae that received the training for 7hrs and those that did not, and we saw no deficits in spontaneous activity, tap response, or OMR performance (Figure S1, Randlett et al., Current Biology, 2019).

      Line 610: There are some inconsistencies between the authors' contributions in the manuscript and the one provided to eLife.

      Thank you, we will double check this in the resubmission forms. The authors' contributions in the manuscript are correct.

      Reviewer #3 (Recommendations For The Authors):

      I would rather recommend the authors divide this manuscript into two and publish two papers by adding some more strengthening data for each part such as cellular manipulations, e.g. ablation to prove the critical involvement of 12(Pot, M) neurons in habituation.

      We thank the reviewer for their suggestion, but have opted not to split the paper into two. We feel that the collective message of this paper and approach combining molecular and functional analysis will be of interest, and we believe the incongruencies in our results reflects the complexity inherent within the system.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife assessment:

      The study answers the important question of whether the conformational dynamics of proteins are slaved by the motion of solvent water or are intrinsic to the polypeptide. The results from neutron scattering experiments, involving isotopic labelling, carried out on a set of four structurally different proteins are convincing, showing that protein motions are not coupled to the solvent. A strength of this work is the study of a set of proteins using spectroscopy covering a range of resolutions, however, it suffers from some scholarly shortcomings and limited discussion of results. The work is of broad interest to researchers in the fields of protein biophysics and biochemistry.

      Reply 1: We thank the editors and reviewers for the positive and encouraging comments.

      Reviewer #1 (Public Review):

      Summary:

      Zheng et al. study the 'glass' transitions that occur in proteins at ca. 200K using neutron diffraction and differential isotopic labeling (hydrogen/deuterium) of the protein and solvent. To overcome limitations in previous studies, this work is conducted in parallel with 4 proteins (myoglobin, cytochrome P450, lysozyme, and green fluorescent protein) and experiments were performed at a range of instrument time resolutions (1ns - 10ps). The author's data looks compelling, and suggests that transitions in the protein and solvent behavior are not coupled and contrary to some previous reports, the apparent water transition temperature is a 'resolution effect'; i.e. instrument response is limited. This is likely to be important in the field, as a reassessment of solvent 'slaving' and the role of the hydration shell on protein dynamics should be reassessed in light of these findings.

      Strengths:

      The use of multiple proteins and instruments with a rate of energy resolution/ timescales.

      Reply 2: We thank the reviewer for highlighting our key findings.

      Weaknesses:

      The paper could be organised to better allow the comparison of the complete dataset collected. The extent of hydration clearly influences the protein transition temperature. The authors suggest that "water can be considered here as lubricant or plasticizer which facilitates the motion of the biomolecule." This may be the case, but the extent of hydration may also alter the protein structure.

      Reply 3: Following the reviewer’s suggestion, we studied the secondary structure content and tertiary structure of CYP protein at different hydration levels (h = 0.2 and 0.4) through molecular dynamics simulation. As shown in Table S2 and Figure S6, the extent of hydration does not alter the protein secondary structure content and overall packing. Thus, this result also suggests that water molecules have more influence on protein dynamics than on protein structure.

      Reviewer #2 (Public Review):

      Summary:

      The manuscript entitled "Decoupling of the Onset of Anharmonicity between a Protein and Its Surface Water around 200 K" by Zheng et al. presents a neutron scattering study trying to elucidate if at the dynamical transition temperature water and protein motions are coupled. The origin of the dynamical transition temperature has been highly debated for decades, specifically its relation to hydration.

      Strengths:

      The study is rather well conducted, with a lot of effort to acquire the perdeuterated proteins, and some results are interesting.

      Reply 4: We thank the reviewer for highlighting our key findings.

      Weaknesses:

      The present work could certainly contribute some arguments, but I have the feeling that not all known facts are properly discussed.

      The points the authors should carefully discuss are the following:

      (1) Daniel et al. (10.1016/S0006-3495(98)77694-5) have shown that enzymes can be functional below the dynamical transition temperature which is at odds with some of the claims of the authors.

      Reply 5: Following the reviewer’s suggestion, we added the following paragraph into the Introduction into the revised main text.

      “Although exceptions have been reported (Biophys. J. 1998, 75, 2504.), the dynamical transition has been linked to the thermal onset of function in a number of proteins, e.g, myoglobin (Biochemistry, 1975, 14, 5355-5373), ribonuclease (Nature, 1992, 357, 423-424.), elastase ( Biochemistry, 1994, 33, 9285-9293.) and bacteriorhodopsin (PNAS, 1993, 90, 9668-9672.), all of which become inactive below the dynamical transition temperature.”

      (2) It is not as easy to say that protonated proteins in D2O reflect protein dynamics while perdeuterated proteins in H2O reflect water dynamics. A recent study by Nidriche et al. (PRX LIFE 2, 013005 (2024)) reveals that H <-> D exchange is much faster than usually assumed and has important consequences for such studies.

      Reply 6: For the sample preparation, all the H-proteins were dissolved in D2O to allow full deuterium exchange of all exchangeable hydrogen atoms and then lyophilized for 12 hours to obtain the dry sample. The lyophilized H-protein is then put into a desiccator with D2O, placed in the glove box purged with nitrogen gas, to absorb D2O till the desired hydration level, h (gram water/gram protein). In contrast, the preparation of the deuterated proteins was conducted in the opposite way. The D-proteins were dissolved in H2O to allow full hydrogen exchange of all exchangeable deuterium atoms and then lyophilized for 12 hours to obtain the dry sample. The lyophilized D-protein is then put into a desiccator with H2O to absorb H2O till the desired h. This procedure can avoid H-D exchange during experiments. We added the above methods into the revised SI.

      (3) A publication by Jasnin et al. (10.1039/b923878f) on heparin sulfate shows a resolution effect.

      Reply 7: Based on the data from Jasnin et al. (10.1039/b923878f), we found that the dynamical transition of heparin sulfate did not exhibit a strong resolution effect. Estimating the dynamical transition of mean square displacement (MSD) for nanosecond motions in all heparan sulfate samples is challenging due to the absence of data on nanosecond motion of HS-dry.

      (4) The authors should discuss the impact of the chosen q-range on their findings (see Phys. Chem. Chem. Phys., 2012, 14, 4927-4934, where the authors see a huge effect!).

      Reply 8: Following the reviewer's suggestion, we calculated Ton of H-protein in D2O in the q-range from 0.45-0.9 Å⁻¹ and 1.1-1.75 Å⁻¹. The results are summarized in Table S2 and Table S3. As shown in Tables S2-3., the q-range does not alter the Ton of proteins. We added the above results into the revised SI.

      (5) The authors underline that the dynamical transition is intrinsic to the protein. However, Cupane et al. (ref 12) have shown that it can also be found in a mixture of amino acids without any protein backbone.

      Reply 9: Following the reviewer’s suggestion, we added the following discussion into the revised main text.

      “Unfreezing of the protein structural relaxation might facilitate these conformational jumps, turning on its functionality. However, as revealed by Ref (Journal of biological physics, 2010, 36, 291-297.), the denatured form of lysozyme also exhibits a dynamical transition, similar to that seen in its folded native form. Additionally, the dynamical transition also can be found in the mixture of amino acids (Physical Review Letters, 2012, 109, 128102.). Hence, one can argue that the activation of the structural relaxation of the biomolecule above the dynamical transition temperature is a necessary but insufficient condition for the protein to function, as the latter also requires the biomolecule assuming the correctly folded 3-dimensional structure.”

      (6) The authors say that they find similar dependences from MSD. They should explain that the MSD is inversely proportional to the summed intensities squared.

      Reply 10: Following the reviewer’s suggestion, we added the estimation of mean-squared atomic displacement (MSD) in the revised SI.

      “The mean-squared atomic displacement was estimated by performing Gaussian approximation, where . The values of q used for Gaussian fitting ranges from 0.45 to 0.9 Å (Biophys. J. 2006, 91, 2573.).”

      (7) A decoupling between water dynamics and membrane dynamics has already been discussed by K. Wood, G. Zaccai et al.

      Reply 11: Following the reviewer’s suggestion, we added the discussion in revised main text. “The results from the neutron scattering experiments suggest that the dynamical transition in proteins is an intrinsic property of the biomolecule and strongly depends on the amount of water surrounding it. Such an intrinsic transition can result either from a critical phase transition, e.g., water to ice (PNAS 2007, 104, 18049-18054.; JPCB, 1999, 103, 8036-8050), or from freezing of the structural relaxation of the system beyond the equilibrium time (~100-1000 s) of the experiment, in analogy to the glass transition in polymers from rubbery state to the glass form (Philosophical Magazine, 2004, 84, 1341-1353.; Science, 1995, 267, 1939-1945.; Colloid and Polymer Science, 1995, 273, 413-420.).”

      (8) The fact that transition temperature in lipid membranes is higher when the membrane is dry is also well known (A.V. Popova, D.K. Hincha, BMC Biophys. 4, 11 (2011)).

      Reply 12: We agree with the reviewer that transition temperature in lipid membranes is higher when the membrane is dry is well known. We cited this work as reference.

      (9) The authors should mention the slope (K/min) they used for DSC and discuss the impact of it on the results.

      Reply 13: Following the reviewer’s suggestion, we added DSC measurements in revised SI. “DSC measurements were performed by using the METTLER instruments DSC3+. The sample was sealed in a pan of aluminum. An empty pan was used as a reference. All the experiments were carried out in the temperature range from 150 to 300 K with a heating rate of 1 K/min. The heating rate of DSC is the same as neutron experiments.”

      (10) In the introduction, the authors should present the different explanations forwarded for the dynamical transition.

      Reply 14: Following the reviewer’s suggestion, we added different explanations forwarded for the dynamical transition in the Introduction in revised main text.

      “The dynamical transition of protein represents a significant change in the internal mobility of proteins, which has garnered various explanations. One theory suggests it's due to the behavior of water in the hydration shell, transitioning from rigid to fluid at certain temperatures, thus influencing protein flexibility. Another theory considers the transition as an inherent property of the protein, where thermal energy allows the protein to access a wider range of conformations. ”

      Reviewer #1 (Recommendations For The Authors):

      A major strength of the work is the parallel experiments performed on each of the 4 proteins. To allow better comparison of these it would be helpful to present these combined data in relevant figures to make a side-by-side comparison easier. A summary table of Ton (and potentially TDSC) values would also be helpful.

      Reply 15: Following the reviewer’s suggestion, we summarized the Ton of proteins in Table S5 and Table S6.

      The effect of hydration on protein structure should be considered. Alterations in protein secondary and tertiary structure would be expected to alter dynamics and thus could be seen as a change in Ton.

      Reply 16: The detailed analysis and discussion are presented in Reply 3.

      No uncertainty (error) in Ton values is presented. Could these be estimated from e.g. a comparison of protein Ton values measured under identical sample conditions with different spectrometers?

      Reply 17: It would be hard to compare Ton of proteins measured with different spectrometers because different spectrometers have different energy resolutions. For example, the energy resolutions of HFBS, DNA and OSIRIS are 1 μeV, 13 μeV, 25.4 μeV and 100 μeV, respectively.

      More detail is needed to correctly describe/define the proteins used for the study - e.g. P450 is a family of enzymes, so which one was used?

      Reply 18: We used P450 from Pseudomonas putida for the study. The PDB ID is 2ZAX. We added this information in the revised SI.

      P450 and myoglobin also have heme cofactors. Were these deuterated as part of the protein preparation?

      Reply 19: The heme cofactors were deuterated as part of the protein preparation.  For D-protein, all the cell culture for E.coli is deuterated.

    1. Author response:

      The following is the authors’ response to the current reviews.

      Public Reviews:

      Reviewer #2 (Public review):

      Summary:

      In this manuscript, the authors investigated how partial loss of SynGap1 affects inhibitory neurons derived from the MGE in the auditory cortex, focusing on their synaptic inputs and excitability. While haplo-insufficiently of SynGap1 is known to lead to intellectual disabilities, the underlying mechanisms remain unclear.

      Strengths:

      The questions are novel

      Weaknesses:

      Despite the interesting and novel questions, there are significant issues regarding the experimental design and potential misinterpretations of key findings. Consequently, the manuscript contributes little to our understanding of SynGap1 loss mechanisms.

      Major issues in the second version of the manuscript:

      In the review of the first version there were major issues and contradictions with the sEPSC and mEPSC data, and were not resolved after the revision, and the new control experiments rather confirmed the contradiction.

      In the original review I stated: "One major concern is the inconsistency and confusion in the intermediate conclusions drawn from the results. For instance, while the sEPSC data indicates decreased amplitude in PV+ and SOM+ cells in cHet animals, the frequency of events remains unchanged. In contrast, the mEPSC data shows no change in amplitudes in PV+ cells, but a significant decrease in event frequency. The authors conclude that the former observation implies decreased excitability. However, traditionally, such observations on mEPSC parameters are considered indicative of presynaptic mechanisms rather than changes of network activity.‎ The subsequent synapse counting experiments align more closely with the traditional conclusions. This issue can be resolved by rephrasing the text. However, it would remain unexplained why the sEPSC frequency shows no significant difference. If the majority of sEPSC events were indeed mediated by spiking (which is blocked by TTX), the average amplitudes and frequency of mEPSCs should be substantially lower than those of sEPSCs. Yet, they fall within a very similar range, suggesting that most sEPSCs may actually be independent of action potentials. But if that was indeed the case, the changes of purported sEPSC and mEPSC results should have been similar."<br /> Contradictions remained after the revision of the manuscript. On one hand, the authors claimed in the revised version that "We found no difference in mEPSC amplitude between the two genotypes (Fig. 1g), indicating that the observed difference in sEPSC amplitude (Figure 1b) could arise from decreased network excitability". On the other hand, later they show "no significative difference in either amplitude or inter-event intervals between sEPSC and mEPSC, suggesting that in acute slices from adult A1, most sEPSCs may actually be AP independent." The latter means that sEPSCs and mEPSCs are the same type of events, which should have the same sensitivity to manipulations.

      We understand that the data are confusing. Our results suggest a diverse population of PV+ cells, with varying reliance on action potential-dependent and -independent release. Several PV+ cells indeed show TTX sensitivity (reduced EPSC event amplitudes following TTX application: See Fig.1c-f, at the end of this document), but their individual responses are diluted when all cells are pooled together. To account for this variability, we are currently recording sEPSC followed by mEPSC from more mice of both genotypes. We will rephrase the text to reflect the updated data accordingly, keeping with the editors and reviewers’ suggestions.

      Concerns about the quality of the synapse counting experiments were addressed by showing additional images in a different and explaining quantification. However, the admitted restriction of the analysis of excitatory synapses to the somatic region represent a limitation, as they include only a small fraction of the total excitation - even if, the slightly larger amplitudes of their EPSPs are considered.

      We agree with the reviewer that restricting the anatomical analysis of excitatory synapses to PV cell somatic region is a limitation, which is what we have already highlighted in the discussion of the revised manuscript. Recent studies, based on serial block-face scanning electron microscopy, suggest that cortical PV+ interneurons receive more robust excitatory inputs to their perisomatic region as compared to pyramidal neurons (see for example, Hwang et al. 2021, Cerebral Cortex, http://doi.org/10.1093/cercor/bhaa378). It is thus possible that putative glutamatergic synapses, analysed by vGlut1/PSD95 colocalisation around PV+ cell somata, may be representative of a substantially major excitatory input population. Similar immunolabeling and quantification approach coupled with mEPSC analysis have been reported in several publications by other labs (for example Bernard et al 2022, Science 378, doi: 10.1126/science.abm7466; Exposito-Alonso et al, 2020 eLife, doi: 10.7554/eLife.57000). Since analysing putative excitatory synapses onto PV+ dendrites would be difficult and require a much longer time, we will re-phrase the text to more clearly highlight the rationale and limitation of this approach.

      New experiments using paired-pulse stimulation provided an answer to issues 3 and 4. Note that the numbering of the Figures in the responses and manuscript are not consistent.

      We are glad that the reviewer found that the new paired-pulse experiments answered previously raised concerns. We will correct the discrepancy in figure numbers in the manuscript.

      I agree that low sampling rate of the APs does not change the observed large differences in AP threshold, however, the phase plots are still inconsistent in a sense that there appears to be an offset, as all values are shifted to more depolarized membrane potentials, including threshold, AP peak, AHP peak. This consistent shift may be due to a non-biological differences in the two sets of recordings, and, importantly, it may negate the interpretation of the I/f curves results (Fig. 5e).

      We agree with the reviewers that higher sampling rate would allow to more accurately assess different parameters, such as AP height, half-width, rise time, etc., while it would not affect the large differences in AP threshold we observed between control and mutant mice. Since the phase plots to not add to our result analysis, we will remove them. The offset shown in Fig.5 was due to the unfortunate choice of two random neurons; this offset is not present in the different examples shown in Fig.7. We apologize for the confusion.

      Additional issues:

      The first paragraph of the Results mentioned that the recorded cells were identified by immunolabelling and axonal localization. However, neither the Results nor the Methods mention the criteria and levels of measurements of axonal arborization.

      As suggested, we will add this information in the revised manuscript.

      The other issues of the first review were adequately addressed by the Authors and the manuscript improved by these changes.

      Reviewer #3 (Public review):

      This paper compares the synaptic and membrane properties of two main subtypes of interneurons (PV+, SST+) in the auditory cortex of control mice vs mutants with Syngap1 haploinsufficiency. The authors find differences between control and mutants in both interneuron populations, although they claim a predominance in PV+ cells. These results suggest that altered PV-interneuron functions in the auditory cortex may contribute to the network dysfunctions observed in Syngap1 haploinsufficiency-related intellectual disability.

      The subject of the work is interesting, and most of the approach is rather direct and straightforward, which are strengths. There are also some methodological weaknesses and interpretative issues that reduce the impact of the paper.

      (1) Supplementary Figure 3: recording and data analysis. The data of Supplementary Figure 3 show no differences either in the frequency or amplitude of synaptic events recorded from the same cell in control (sEPSCs) vs TTX (mEPSCs). This suggests that, under the experimental conditions of the paper, sEPSCs are AP-independent quantal events. However, I am concerned by the high variability of the individual results included in the Figure. Indeed, several datapoints show dramatically different frequencies in control vs TTX, which may be explained by unstable recording conditions. It would be important to present these data as time course plots, so that stability can be evaluated. Also, the claim of lack of effect of TTX should be corroborated by positive control experiments verifying that TTX is working (block of action potentials, for example). Lastly, it is not clear whether the application of TTX was consistent in time and duration in all the experiments and the paper does not clarify what time window was used for quantification.

      We understand the reviewer’s concern about high variability. To account for this variability, we are currently recording sEPSC followed by mEPSC from more mice of both genotypes.

      Indeed, we confirmed that TTX was working several times through the time course of this study, in different aliquots prepared from the same TTX vial used for all experiments. The results of the last test we performed, showing that TTX application blocks action potentials (2 recordings, one from a SST+ and one from a PV+ interneuron), are shown in Fig.1a,b at the end of this document. TTX was applied using the same protocol for all recorded neurons. In particular, sEPSCs were first sampled over a 2 min period. TTX (1μM; Alomone Labs) was then perfused into the recording chamber at a flow rate of 2 mL/min. We then waited for 5 min before sampling mEPSCs over a 2 min period. We will add this information in the revised manuscript methods. Finally, Fig.1g-j shows series resistance (Rs) over time for 4 different PV+ interneurons, indicating recording stability. These results are representative of the entire population of recorded neurons, which we have meticulously analysed one by one.

      (2) Figure 1 and Supplementary Figure 3: apparent inconsistency. If, as the authors claim, TTX does not affect sEPSCs (either in the control or mutant genotype, Supplementary Figure 3 and point 1 above), then comparing sEPSC and mEPSC in control vs mutants should yield identical results. In contrast, Figure 1 reports a _selective_ reduction of sEPSCs amplitude (not in mEPSCs) in mutants, which is difficult to understand. The proposed explanation relying on different pools of synaptic vesicles mediating sEPSCs and mEPSCs does not clarify things. If this was the case, wouldn't it also imply a decrease of event frequency following TTX addition? However, this is not observed in Supplementary Figure 3. My understanding is that, according to this explanation, recordings in control solution would reflect the impact of two separate pools of vesicles, whereas, in the presence of TTX, only one pool would be available for release. Therefore, TTX should cause a decrease in the frequency of the recorded events, which is not what is observed in Supplementary Figure 3.

      Our results suggest a diverse population of PV+ cells, with varying reliance on action potential-dependent and -independent release. Several PV+ cells indeed show TTX sensitivity (reduced EPSC event amplitudes following TTX application: See Fig.1c-f, at the end of this document), but their individual responses are diluted when all cells are pooled together. As mentioned above, we are currently recording sEPSCs followed by mEPSCs from more mice of both genotypes, to account for the large variability. We will rephrase the text in the revised manuscript according to the updated data and reviewers’ suggestions.

      (3) Figure 1: statistical analysis. Although I do appreciate the efforts of the authors to illustrate both cumulative distributions and plunger plots with individual data, I am confused by how the cumulative distributions of Figure 1b (sEPSC amplitude) may support statistically significant differences between genotypes, but this is not the case for the cumulative distributions of Figure 1g (inter mEPSC interval), where the curves appear even more separated. A difference in mEPSC frequency would also be consistent with the data of Supplementary Fig 2b, which otherwise are difficult to reconciliate. I would encourage the authors to use the Kolmogorov-Smirnov rather than a t-test for the comparison of cumulative distributions.

      We thank the reviewer for this suggestion. We used both cumulative distribution and plunger plots with individual data because they convey 2 different kinds of information. Cumulative distributions highlight where the differences lie (the deltas between the groups), while plunger plots with individual data show the variability between data points. In histogram 1g, the variability is greater than in 1b (due to the smaller sample size in 1g), which leads to larger error bars and directly impacts the statistical outcome. So, while the delta is larger in 1g, the variability is also greater. In contrast, the delta in 1b is smaller, as is the variability, which in turn affects the statistical outcome. To address this issue, we are currently increasing N of recordings.

      We will include Kolmogorov-Smirnov analysis in the revision, as suggested; nevertheless, we will base our conclusions on statistical results generated by the linear mixed model (LMM), modelling animal as a random effect and genotype as the fixed effect. We used this statistical analysis since we considered the number of mice as independent replicates and the number of cells in each mouse as repeated/correlated measures. The reason we decided to use LMM for our statistical analyses is based on the growing concern over reproducibility in biomedical research and the ongoing discussion on how data are analysed (see for example, Yu et al (2022), Neuron 110:21-35 https://doi: 10.1016/j.neuron.2021.10.030; Aarts et al. (2014). Nat Neurosci 17, 491–496. https://doi.org/10.1038/nn.3648). We acknowledge that patch-clamp data has been historically analysed using t-test and analysis of variance (ANOVA), or equivalent non-parametric tests. However, these tests assume that individual observations (recorded neurons in this case) are independent of each other. Whether neurons from the same mouse are independent or correlated variables is an unresolved question, but does not appear to be likely from a biological point of view. Statisticians have developed effective methods to analyze correlated data, including LMM. In parallel, we also tested the data by using the standard parametric and non-parametric analyses and reported these results as well (Tables 1-9, and S1-S2).

      (4) Methods. I still maintain that a threshold at around -20/-15 mV for the first action potential of a train seems too depolarized (see some datapoints of Fig 5c and Fig7c) for a healthy spike. This suggest that some cells were either in precarious conditions or that the capacitance of the electrode was not compensated properly.

      As suggested by the reviewer, we will exclude the neurons with threshold at -20/-15 mV. In addition, we performed statistical analysis with and without these cells (data reported below) and found that whether these cells are included or excluded, the statistical significance of the results does not change.

      Fig.5c: including the 2 outliers from cHet group with values of -16.5 and 20.6 mV: -42.6±1.01 mV in control, n=33 cells from 15 mice vs -35.3±1.2 mV in cHet, n=40 cells from 17 mice, ***p<0.001, LMM; excluding the 2 outliers from cHet group -42.6±1.01 mV in control, n=33 cells from 15 mice vs -36.2±1.1 mV in cHet, n=38 cells from 17 mice, ***p<0.001, LMM.

      Fig.7c: including the 2 outliers from cHet group with values of -16.5 and 20.6 mV: -43.4±1.6 mV in control, n=12 cells from 9 mice vs -33.9±1.8 mV in cHet, n=24 cells from 13 mice, **p=0.002, LMM; excluding the 2 outliers from cHet group -43.4±1.6 mV in control, n=12 cells from 9 mice vs -35.4±1.7 mV in cHet, n=22 cells from 13 mice, *p=0.037, LMM.

      (5) The authors claim that "cHet SST+ cells showed no significant changes in active and passive membrane properties (Figure 8d,e); however, their evoked firing properties were affected with fewer AP generated in response to the same depolarizing current injection".<br /> This sentence is intrinsically contradictory. Action potentials triggered by current injections are dependent on the integration of passive and active properties. If the curves of Figure 8f are different between genotypes, then some passive and/or active property MUST have changed. It is an unescapable conclusion. The general _blanket_ statement of the authors that there are no significant changes in active and passive properties is in direct contradiction with the current/#AP plot.

      We shall rephrase the text according to the reviewer’s suggestion to better represent the data. As discussed in the first revision, it's possible that other intrinsic factors, not assessed in this study, may have contributed to the effect shown in the current/#AP plot.

      (6) The phase plots of Figs 5c, 7c, and 7h suggest that the frequency of acquisition/filtering of current-clamp signals was not appropriate for fast waveforms such as spikes. The first two papers indicated by the authors in their rebuttal (Golomb et al., 2007; Stevens et al., 2021) did not perform a phase plot analysis (like those included in the manuscript). The last work quoted in the rebuttal (Zhang et al., 2023) did perform phase plot analysis, but data were digitized at a frequency of 20KHz (not 10KHz as incorrectly indicated by the authors) and filtered at 10 kHz (not 2-3 kHz as by the authors in the manuscript). To me, this remains a concern.

      We agree with the reviewer that higher sampling rate would allow to more accurately assess different AP parameters, such as AP height, half-width, rise time, etc. The papers were cited in context of determining AP threshold, not performing phase plot analysis. We apologize for the confusion and error. Further, as mentioned above, we will remove the phase plots since they do not add relevant information.

      (7) The general logical flow of the manuscript could be improved. For example, Fig 4 seems to indicate no morphological differences in the dendritic trees of control vs mutant PV cells, but this conclusion is then rejected by Fig 6. Maybe Fig 4 is not necessary. Regarding Fig 6, did the authors check the integrity of the entire dendritic structure of the cells analyzed (i.e. no dendrites were cut in the slice)? This is critical as the dendritic geometry may affect the firing properties of neurons (Mainen and Sejnowski, Nature, 1996).

      As suggested by the reviewer, we will remove Fig.4. All the reconstructions used for dendritic analysis contained intact cells with no evidently cut dendrites.

      Author response image 1.

      (a, b) Representative voltage responses of a SST+ cell (a) and a PV+ cell (b) in absence (left) and presence (right) of TTX in response to depolarizing current injections corresponding to threshold current and 2x threshold current. (c-f) Cumulative histograms of sEPSCs/mEPSCs amplitude (bin width 0.5 pA) and frequency (bin width 10 ms) recorded from four PV+ cells.  sEPSC were recorded for 2 minutes, then TTX (1μM; Alomone Labs) was perfused into the recording chamber. After 5 minutes, mEPSC were recorded for 2 minutes. (g, h, i, j) Time course plots of series resistance (Rs) of the four representative PV+ cells shown in c-f before (sEPSC) and during the application of TTX (mEPSC).


      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      The study is designed to assess the role of Syngap1 in regulating the physiology of the MGE-derived PV+ and SST+ interneurons. Syngap1 is associated with some mental health disorders, and PV+ and SST+ cells are the focus of many previous and likely future reports from studies of interneuron biology, highlighting the translational and basic neuroscience relevance of the authors' work.

      Strengths of the study are using well-established electrophysiology methods and the highly controlled conditions of ex vivo brain slice experiments combined with a novel intersectional mouse line, to assess the role of Syngap1 in regulating PV+ and SST+ cell properties. The findings revealed that in the mature auditory cortex, Syngap1 haploinsufficiency decreases both the intrinsic excitability and the excitatory synaptic drive onto PV+ neurons from Layer 4. In contrast, SST+ interneurons were mostly unaffected by Syngap1 haploinsufficiency. Pharmacologically manipulating the activity of voltagegated potassium channels of the Kv1 family suggested that these channels contributed to the decreased PV+ neuron excitability by Syngap insufficiency. These results therefore suggest that normal Syngap1 expression levels are necessary to produce normal PV+ cell intrinsic properties and excitatory synaptic drive, albeit, perhaps surprisingly, inhibitory synaptic        transmission was not affected by Syngap1 haploinsufficiency.

      Since the electrophysiology experiments were performed in the adult auditory cortex, while Syngap1 expression was potentially affected since embryonic stages in the MGE, future studies should address two important points that were not tackled in the present study. First, what is the developmental time window in which Syngap1 insufficiency disrupted PV+ neuron properties? Albeit the embryonic Syngap1 deletion most likely affected PV+ neuron maturation, the properties of Syngap-insufficient PV+ neurons do not resemble those of immature PV+ neurons. Second, whereas the observation that Syngap1 haploinsufficiency affected PV+ neurons in auditory cortex layer 4 suggests auditory processing alterations, MGE-derived PV+ neurons populate every cortical area. Therefore, without information on whether Syngap1 expression levels are cortical area-specific, the data in this study would predict that by regulating PV+ neuron electrophysiology, Syngap1 normally controls circuit function in a wide range of cortical areas, and therefore a range of sensory, motor and cognitive functions. These are relatively minor weaknesses regarding interpretation of the data in the present study that the authors could discuss.

      We agree with the reviewer on the proposed open questions, which we now discuss in the revised manuscript. We do have experimental evidence suggesting that Syngap1 mRNA is expressed by PV+ and SST+ neurons in different cortical areas, during early postnatal development and in adulthood (Jadhav et al., 2024); therefore, we agree that it will be important, in future experiments, to tackle the question of when the observed phenotypes arise.

      Reviewer #2 (Public Review):

      Summary:

      In this manuscript, the authors investigated how partial loss of SynGap1 affects inhibitory neurons derived from the MGE in the auditory cortex, focusing on their synaptic inputs and excitability. While haplo-insufficiently of SynGap1 is known to lead to intellectual disabilities, the underlying mechanisms remain unclear.

      Strengths:

      The questions are novel

      Weaknesses:

      Despite the interesting and novel questions, there are significant concerns regarding the experimental design and data quality, as well as potential misinterpretations of key findings. Consequently, the current manuscript fails to contribute substantially to our understanding of SynGap1 loss mechanisms and may even provoke unnecessary controversies.

      Major issues:

      (1) One major concern is the inconsistency and confusion in the intermediate conclusions drawn from the results. For instance, while the sEPSC data indicates decreased amplitude in PV+ and SOM+ cells in cHet animals, the frequency of events remains unchanged. In contrast, the mEPSC data shows no change in amplitudes in PV+ cells, but a significant decrease in event frequency. The authors conclude that the former observation implies decreased excitability. However, traditionally, such observations on mEPSC parameters are considered indicative of presynaptic mechanisms rather than changes of network activity. The subsequent synapse counting experiments align more closely with the traditional conclusions. This issue can be resolved by rephrasing the text. However, it would remain unexplained why the sEPSC frequency shows no significant difference. If the majority of sEPSC events were indeed mediated by spiking (which is blocked by TTX), the average amplitudes and frequency of mEPSCs should be substantially lower than those of sEPSCs. Yet, they fall within a very similar range, suggesting that most sEPSCs may actually be independent of action potentials. But if that was indeed the case, the changes of purported sEPSC and mEPSC results should have been similar.

      We understand the reviewer’s perspective; indeed, we asked ourselves the very same question regarding why the sEPSC and mEPSC frequency fall within a similar range when we analysed neuron means (bar graphs). We thus recorded sEPSCs followed by mEPSCs from several PV neurons (control and cHet) and included this data to the revised version of the manuscript (new Supplementary Figure 3). We found that the average amplitudes and frequency of mEPSCs together with their respective cumulative probability curves were not significantly different than those of sEPSCs. We rephrased the manuscript to present potential interpretations of the data.

      We hope that we have correctly interpreted the reviewer's concern. If the question is why we do not observe a significant difference in the average frequency when comparing sEPSC and mEPSC in control mice, this could be explained by the fact that increased mean amplitude of sEPSCs was primarily driven by alterations in large sEPSCs (>9-10pA, as shown in cumulative probability in Fig. 1b right), with smaller ones being relatively unaffected. Consequently, a reduction in sEPSC amplitude may not necessarily result in a significant decrease in frequency since their values likely remain above the detection threshold of 3 pA. 

      If the question is whether we should see the same parameters affected by the genetic manipulation in both sEPSC and mEPSC, then another critical consideration is the involvement of the releasable pool in mEPSCs versus sEPSCs. Current knowledge suggests that activity-dependent and -independent release may not necessarily engage the same pool of vesicles or target the same postsynaptic sites. This concept has been extensively explored (Sara et al., 2005; Sara et al., 2011; reviewed in Ramirez and Kavalali, 2011; Kavalali, 2015). Consequently, while we may have traditionally interpreted activitydependent and -independent data assuming they utilize the same pool, this is no longer accurate. The current discussion in the field revolves around understanding the mechanisms underlying such phenomena. Therefore, comparisons between sEPSCs and mEPSCs may not yield conclusive data but rather speculative interpretations. 

      (2) Another significant concern is the quality of synapse counting experiments. The authors attempted to colocalize pre- and postsynaptic markers Vglut1 and PSD95 with PV labelling. However, several issues arise. Firstly, the PV labelling seems confined to soma regions, with no visible dendrites. Given that the perisomatic region only receives a minor fraction of excitatory synapses, this labeling might not accurately represent the input coverage of PV cells. Secondly, the resolution of the images is insufficient to support clear colocalization of the synaptic markers. Thirdly, the staining patterns are peculiar, with PSD95 puncta appearing within regions clearly identified as somas by Vglut1, hinting at possible intracellular signals. Furthermore, PSD95 seems to delineate potential apical dendrites of pyramidal cells passing through the region, yet Vglut1+ partners are absent in these segments, which are expected to be the marker of these synapses here. Additionally, the cumulative density of Vglut2 and Vglut1 puncta exceeds expectations, and it's surprising that subcortical fibers labeled by Vglut2 are comparable in number to intracortical Vglut1+ axon terminals. Ideally, N(Vglut1)+N(Vglut2) should be equal or less than N(PSD95), but this is not the case here. Consequently, these results cannot be considered reliable due to these issues.

      We apologize, as it appears that the images we provided in the first submission have caused confusion. The selected images represent a single focal plane of a confocal stack, which was visually centered on the PV cell somata. We chose just one confocal plane because we thought it showed more clearly the apposition of presynaptic and postsynaptic immunolabeling around the somata. In the revised version of the manuscript, we now provide higher magnification images, which will clearly show how we identified and selected the region of interest for the quantification of colocalized synaptic markers (Supplemental Figure 2). In our confocal stacks, we can also identify PV immunolabeled dendrites and colocalized vGlut1/PSD95 or vGlut2/PSD95 puncta on them; but these do not appear in the selected images because, as explained, only one focal plane, centered on the PV cell somata, was shown. 

      We acknowledge the reviewer's point that in PV+ cells the majority of excitatory inputs are formed onto dendrites; however, we focused on the somatic excitatory inputs to PV cells, because despite their lower number, they produce much stronger depolarization in PV neurons than dendritic excitatory inputs (Hu et al., 2010; Norenberg et al., 2010). Further, quantification of perisomatic putative excitatory synapses is more reliable since by using PV immunostaining, we can visualize the soma and larger primary dendrites, but smaller, higher order dendrites are not be always detectable. Of note, PV positive somata receive more excitatory synapses than SST positive and pyramidal neuron somata as found by electron microscopy studies in the visual cortex (Hwang et al., 2021; Elabbady et al., 2024).

      Regarding the comment on the density of vGlut1 and vGlut2 puncta, the reason that the numbers appear high and similar between the two markers is because we present normalized data (cHet normalized to their control values for each set of immunolabelling) to clearly represent the differences between genotypes. We now provide a more detailed explanation of our methods in the revised manuscript.  Briefly, immunostained sections were imaged using a Leica SP8-STED confocal microscope, with an oil immersion 63x (NA 1.4) at 1024 X 1024, z-step =0.3 μm, stack size of ~15 μm. Images were acquired from the auditory cortex from at least 3 coronal sections per animal. All the confocal parameters were maintained constant throughout the acquisition of an experiment. All images shown in the figures are from a single confocal plane. To quantify the number of vGlut1/PSD95 or vGlut2/PSD95 putative synapses, images were exported as TIFF files and analyzed using Fiji (Image J) software. We first manually outlined the profile of each PV cell soma (identified by PV immunolabeling). At least 4 innervated somata were selected in each confocal stack. We then used a series of custom-made macros in Fiji as previously described (Chehrazi et al, 2023). After subtracting background (rolling value = 10) and Gaussian blur (σ value = 2) filters, the stacks were binarized and vGlut1/PSD95 or vGlut2/PSD95 puncta were independently identified around the perimeter of a targeted soma in the focal plane with the highest soma circumference. Puncta were quantified after filtering particles for size (included between 0-2μm2) and circularity (included between 01). Data quantification was done by investigators blind to the genotype, and presented as normalized data over control values for each experiment.

      (3) One observation from the minimal stimulation experiment was concluded by an unsupported statement. Namely, the change in the onset delay cannot be attributed to a deficit in the recruitment of PV+ cells, but it may suggest a change in the excitability of TC axons.

      We agree with the reviewer, please see answer to point below.

      (4) The conclusions drawn from the stimulation experiments are also disconnected from the actual data. To make conclusions about TC release, the authors should have tested release probability using established methods, such as paired-pulse changes. Instead, the only observation here is a change in the AMPA components, which remained unexplained.

      As suggested, we performed additional paired-pulse ratio experiments at different intervals. We found that, in contrast with Control mice, evoked excitatory inputs to layer IV PV+ cells showed paired-pulse facilitation in cHet mice (Figure 3g, h), suggesting that thalamocortical presynaptic sites likely have decreased release probability in mutant compared to control mice.  We rephrased the text according to the data obtained from this new experiment.

      (5) The sampling rate of CC recordings is insufficient to resolve the temporal properties of the APs. Therefore, the phase-plots cannot be interpreted (e.g. axonal and somatic AP components are not clearly separated), raising questions about how AP threshold and peak were measured. The low sampling rate also masks the real derivative of the AP signals, making them apparently faster.

      We acknowledge that a higher sampling rate would provide a more detailed and smoother phase-plot. However, in the context of action potential parameters analysis here, it is acceptable to use sampling rates ranging from 10 kHz to 20 kHz (Golomb et al., 2007; Stevens et al., 2021; Zhang et al., 2023), which are considered adequate in the context of the present study. Indeed, our study aims to evaluate "relative" differences in the electrophysiological phenotype when comparing groups following a specific genetic manipulation. A sampling rate of 10 kHz is commonly employed in similar studies, including those conducted by our collaborator and co-author S. Kourrich (e.g., Kourrich and Thomas 2009, Kourrich et al., 2013), as well as others (Russo et al., 2013; Ünal et al., 2020; Chamberland et al., 2023). Despite being acquired at a lower sampling rate than potentially preferred by the reviewer, our data clearly demonstrate significant differences between the experimental groups, especially for parameters that are negligibly or not affected by the sampling rate used here (e.g., #spikes/input, RMP, Rin, Cm, Tm, AP amplitude, AP latency, AP rheobase).

      Regarding the phase-plots, a higher sampling rate would indeed have resulted in smoother curves. However, the differences were sufficiently pronounced to discern the relative variations in action potential waveforms between the experimental groups.

      A related issue is that the Methods section lacks essential details about the recording conditions, such as bridge balance and capacitance neutralization.

      We indeed performed bridge balance and neutralized the capacitance before starting every recording. We added the information in the methods.

      (6) Interpretation issue: One of the most fundamental measures of cellular excitability, the rheobase, was differentially affected by cHet in BCshort and BCbroad. Yet, the authors concluded that the cHet-induced changes in the two subpopulations are common.

      We are uncertain if we have correctly interpreted the reviewer's comment. While we observed distinct impacts on the rheobase (Fig. 7d and 7i), there seems to be a common effect on the AP threshold (Fig. 7c and 7h), as interpreted and indicated in the final sentence of the results section for Figure 7. If our response does not address the reviewer's comment adequately, we would greatly appreciate it if the reviewer could rephrase their feedback.

      (7) Design issue:

      The Kv1 blockade experiments are disconnected from the main manuscript. There is no experiment that shows the causal relationship between changes in DTX and cHet cells. It is only an interesting observation on AP halfwidth and threshold. However, how they affect rheobase, EPSCs, and other topics of the manuscript are not addressed in DTX experiments.

      Furthermore, Kv1 currents were never measured in this work, nor was the channel density tested. Thus, the DTX effects are not necessarily related to changes in PV cells, which can potentially generate controversies.

      While we acknowledge the reviewer's point that Kv1 currents and density weren't specifically tested, an important insight provided by Fig. 5 is the prolonged action potential latency. This delay is significantly influenced by slowly inactivating subthreshold potassium currents, namely the D-type K+ current. It's worth noting that D-type current is primarily mediated by members of the Kv1 family. The literature supports a role for Kv1.1containing channels in modulating responses to near-threshold stimuli in PV cells (Wang et al., 1994; Goldberg et al., 2008; Zurita et al., 2018). However, we recognize that besides the Kv1 family, other families may also contribute to the observed changes.

      To address this concern, we revised the manuscript by referring to the more accurate term "D-type K+ current", and rephrased the discussion to clarify the limit of our approach. It is not our intention to open unnecessary controversy, but present the data we obtained. We believe this approach and rephrasing the discussion as proposed will prevent unnecessary controversy and instead foster fruitful discussions.

      (8) Writing issues:

      Abstract:

      The auditory system is not mentioned in the abstract.

      One statement in the abstract is unclear. What is meant by "targeting Kv1 family of voltagegated potassium channels was sufficient..."? "Targeting" could refer to altered subcellular targeting of the channels, simple overexpression/deletion in the target cell population, or targeted mutation of the channel, etc. Only the final part of the Results revealed that none of the above, but these channels were blocked selectively.

      We agree with the reviewer and we will rephrase the abstract accordingly.

      Introduction:

      There is a contradiction in the introduction. The second paragraph describes in detail the distinct contribution of PV and SST neurons to auditory processing. But at the end, the authors state that "relatively few reports on PV+ and SST+ cell-intrinsic and synaptic properties in adult auditory cortex". Please be more specific about the unknown properties.

      We agree with the reviewer and we will rephrase more specifically.

      (9) The introduction emphasizes the heterogeneity of PV neurons, which certainly influences the interpretation of the results of the current manuscript. However, the initial experiments did not consider this and handled all PV cell data as a pooled population.

      In the initial experiments, we handled all PV cell data together because we wanted to be rigorous and not make assumptions on the different PV cells, which in later experiments we distinguished based on the intrinsic properties alone. Nevertheless, based on this and other reviewers’ comments, we completely rewrote the introduction in the revised manuscript to increase both focus and clarity.

      (10) The interpretation of the results strongly depends on unpublished work, which potentially provide the physiological and behavioral contexts about the role of GABAergic neurons in SynGap-haploinsufficiency. The authors cite their own unpublished work, without explaining the specific findings and relation to this manuscript.

      We agree with the reviewer and provided more information and updated references in the revised version of this manuscript. Our work is now in press in Journal of Neuroscience.

      (11) The introduction of Scholl analysis experiments mentions SOM staining, however, there is no such data about this cell type in the manuscript.

      We thank the reviewer for noticing the error; we changed SOM with SST (SOM and SST are two commonly used acronyms for Somatostatin expressing interneurons).

      Reviewer #3 (Public Review):

      This paper compares the synaptic and membrane properties of two main subtypes of interneurons (PV+, SST+) in the auditory cortex of control mice vs mutants with Syngap1 haploinsufficiency. The authors find differences at both levels, although predominantly in PV+ cells. These results suggest that altered PV-interneuron functions in the auditory cortex may contribute to the network dysfunction observed in Syngap1 haploinsufficiencyrelated intellectual disability. The subject of the work is interesting, and most of the approach is direct and quantitative, which are major strengths. There are also some weaknesses that reduce its impact for a broader field.

      (1) The choice of mice with conditional (rather than global) haploinsufficiency makes the link between the findings and Syngap1 relatively easy to interpret, which is a strength. However, it also remains unclear whether an entire network with the same mutation at a global level (affecting also excitatory neurons) would react similarly.

      We agree with the reviewer and now discuss this important caveat in the revised manuscript.

      (2) There are some (apparent?) inconsistencies between the text and the figures. Although the authors appear to have used a sophisticated statistical analysis, some datasets in the illustrations do not seem to match the statistical results. For example, neither Fig 1g nor Fig 3f (eNMDA) reach significance despite large differences. 

      We respectfully disagree, we do not think the text and figures are inconsistent. In the cited example, large apparent difference in mean values does not show significance due to the large variability in the data; further, we did not exclude any data points, because we wanted to be rigorous. In particular, for Fig.1g, statistical analysis shows a significant increase in the inter-mEPSC interval (*p=0.027, LMM) when all events are considered (cumulative probability plots), while there is no significant difference in the inter-mEPSCs interval for inter-cell mean comparison (inset, p=0.354, LMM).  Inter-cell mean comparison does not show difference with Mann-Whitney test either (p=0.101, the data are not normally distributed, hence the choice of the Mann-Whitney test). For Fig. 3f (eNMDA), the higher mean value for the cHet versus the control is driven by two data points which are particularly high, while the other data points overlap with the control values. The MannWhitney test show also no statistical difference (p=0.174).

      In the manuscript, discussion of the data is based on the results of the LMM analysis, which takes in account both the number of cells and the numbers of mice from which these cells are recorded. We chose this statistical approach because it does not rely on the assumption that cells recorded from same mouse are independent variables. In the supplemental tables, we provided the results of the statistical analysis done with both LMM and the most commonly used Mann Whitney (for not normally distributed) or t-test (for normally distributed), for each data set.

      Also, the legend to Fig 9 indicates the presence of "a significant decrease in AP half-width from cHet in absence or presence of a-DTX", but the bar graph does not seem to show that.

      We apologize for our lack of clarity. In legend 9, we reported the statistical comparisons between 1) vehicle-treated cHET vs control PV+ cells and 2) a-DTX-treated cHET vs control PV+ cells. We rephrased the legend of the figure to avoid confusion.

      (3) The authors mention that the lack of differences in synaptic current kinetics is evidence against a change in subunit composition. However, in some Figures, for example, 3a, the kinetics of the recorded currents appear dramatically different. It would be important to know and compare the values of the series resistance between control and mutant animals.

      We agree with the reviewer that there appears to be a qualitative difference in eNMDA decay between conditions, although quantified eNMDA decay itself is similar between groups. We have used a cutoff of 15 % for the series resistance (Rs), which is significantly more stringent as compared to the cutoff typically used in electrophysiology, which are for the vast majority between 20 and 30%. To answer this concern, we re-examined the Rs, we compared Rs between groups and found no difference for Rs in eAMPA (Control mice: 13.2±0.5, n=16 cells from 7 mice vs cHet mice: 13.7±0.3, n=14 cells from 7 mice; LMM, p=0.432) and eNMDA (Control mice: 12.7±0.7, n=6 cells from 3 mice vs cHet mice: 13.8±0.7 in cHet n=6 cells from 5 mice: LMM, p=0.231). Thus, the apparent qualitative difference in eNMDA decay stems from inter-cell variability rather than inter-group differences. Notably, this discrepancy between the trace (Fig. 3a) and the data (Fig. 3f, right) is largely due to inter-cell variability, particularly in eNMDA, where a higher but non-significant decay rate is driven by a couple of very high values (Fig. 3f, right). In the revised manuscript, we now show traces that better represent our findings.

      (4) A significant unexplained variability is present in several datasets. For example, the AP threshold for PV+ includes points between -50-40 mV, but also values at around -20/-15 mV, which seems too depolarized to generate healthy APs (Fig 5c, Fig7c).

      We acknowledge the variability in AP threshold data, with some APs appearing too depolarized to generate healthy spikes. However, we meticulously examined each AP that spiked at these depolarized thresholds and found that other intrinsic properties (such as Rin, Vrest, AP overshoot, etc.) all indicate that these cells are healthy. Therefore, to maintain objectivity and provide unbiased data to the community, we opted to include them in our analysis. It's worth noting that similar variability has been observed in other studies (Bengtsson Gonzales et al., 2020; Bertero et al., 2020).

      Further, we conducted a significance test on AP threshold excluding these potentially unhealthy cells and found that the significant differences persist. After removing two outliers from the cHet group with values of -16.5 and 20.6 mV, we obtain: -42.6±1.01 mV in control, n=33, 15 mice vs -36.2±1.1 mV in cHet, n=38 cells, 17 mice (LMM, ***p<0.001). Thus, whether these cells are included or excluded, our interpretations and conclusions remain unchanged.

      We would like to clarify that these data have not been corrected with the junction potential, as described in the revised version.

      (5) I am unclear as to how the authors quantified colocalization between VGluts and PSD95 at the low magnification shown in Supplementary Figure 2.

      We apologize for our lack of clarity. Although the analysis was done at high resolution, the figures were focused on showing multiple PV somata receiving excitatory inputs. We added higher magnification figures and more detailed information in the methods of the revised version. Please also see our response to reviewer #2.

      (6) The authors claim that "cHet SST+ cells showed no significant changes in active and passive membrane properties", but this claim would seem to be directly refused by the data of Fig 8f. In the absence of changes in either active or passive membrane properties shouldn't the current/#AP plot remain unchanged?

      While we acknowledge the theoretical expectation that changes in intrinsic parameters should correlate with alterations in neuronal firing, the absence of differences in the parameters analyzed in this study is not incompatible with the clear and significant decrease in firing rate observed in cHet SST+ cells. It's indeed possible that other intrinsic factors, not assessed in this study, may have contributed to this effect. However, exploring these mechanisms is beyond the scope of our current investigation. We rephrased the discussion and added this limitation of our study in the revised version.

      (7) The plots used for the determination of AP threshold (Figs 5c, 7c, and 7h) suggest that the frequency of acquisition of current-clamp signals may not have been sufficient, this value is not included in the Methods section.

      This study utilized a sampling rate of 10 kHz, which is a standard rate for action potential analysis in the present context. While we acknowledge that a higher sampling rate could have enhanced the clarity of the phase plot, our recording conditions, as detailed in our response to Rev#2/comment#5, were suitable for the objectives of this study.

      Reference list

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      Bertero A, Zurita H, Normandin M, Apicella AJ (2020) Auditory long-range parvalbumin cortico-striatal neurons. Frontiers in Neural Circuits 14:45 http://doi.org/10.3389/fncir.2020.00045

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      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Major points:

      (1) The introduction nicely summarizes multiple aspects of cortical auditory physiology and auditory stimulus processing, but the experiments in this study are performed ex vivo in acute slices. I wonder if it would be beneficial to shorten the initial parts of the introduction and consider a more focused approach highlighting, for example, to what extent Syngap1 expression levels change during development and/or vary across cortical areas. What cortical cell types express Syngap1 in addition to PV+ and SST+ cells? If multiple cell types normally express Syngap1, the introduction could clarify that the present study investigated Syngap1 insufficiency by isolating its effects in PV+ and SST+ neurons, a condition that may not reflect the situation in mental health disorders, but that would allow to better understand the global effects of Syngap1 deficiency.

      We thank the reviewer for this very helpful suggestion. We have changed the introduction as suggested.

      (2) Because mEPSCs are not affected in Syngap+/- interneurons, the authors conclude that the lower sEPSC amplitude is due to decreased network activity. However, it is likely that the absence of significant difference (Fig 1g), is due to lack of statistical power (control: 18 cells from 7 mice, cHet: 8 cells from 4 mice). By contrast, the number of experiments recording sIPSCs and mIPSCs (Fig 2) is much larger. Hence, it seems that adding mEPSC data would allow the authors to more to convincingly support their conclusions. To more directly test whether Syngap insufficiency affects excitatory inputs by reducing network activity, ideally the authors would want to record sEPSCs followed by mEPSCs from each PV+ neuron (control or cHet). Spontaneous event frequency and amplitude should be higher for sEPSCs than mEPSCs, and Syngap1 deficiency should affect only sEPSCs, since network activity is abolished following tetrodotoxin application for mEPSC recordings.

      We agreed with the reviewer’s suggestion, and recorded sEPSCs followed by mEPSCs from PV+ neurons in control and cHet mice (Figure supplement 3). In both genotypes, we found no significative difference in either amplitude or inter-event intervals between sEPSC and mEPSC, suggesting that in acute slices from adult A1, most sEPSCs may actually be action potentialindependent. While perhaps surprisingly at first glance, this result can be explained by recent published work suggesting that action potentials-dependent (sEPSC) and -independent (mEPSC) release may not necessarily engage the same pool of vesicles or target the same postsynaptic sites (Sara et al., 2005; Sara et al., 2011; reviewed in Ramirez and Kavalali, 2011; Kavalali, 2015). Consequently, while we may have traditionally interpreted activity-dependent and -independent data assuming they utilize the same pool, this is no longer accurate; and indeed, the current discussion in the field revolves around understanding the mechanisms underlying such phenomena.

      Therefore, comparisons between sEPSCs and mEPSCs may not yield conclusive data but rather speculative interpretations. We have added this caveat in the result section.

      (3) The interpretation of the data of experiments studying thalamic inputs and single synapses should be clarified and/or rewritten. First, it is not clear why the authors assume they are selectively activating thalamic fibers with electrical stimulation. Presumably the authors applied electrical stimulation to the white matter, but the methods not clearly explained? Furthermore, the authors could clarify how stimulation of a single axon was verified and how could they distinguish release failures from stimulation failures, since the latter are inherent to using minimal stimulation conditions. Interpretations of changes in potency, quantal content, failure rate, etc, depend on the ability to distinguish release failures from stimulation failures. In addition, can the authors provide information on how many synapses a thalamic axon does establish with each postsynaptic PV+ cell from control or Syngap-deficient mice? Even if stimulating a single thalamic axon would be possible, if the connections from single thalamic axons onto single PV+ or SST+ cells are multisynaptic, this would make the interpretation of minimal stimulation experiments in terms of single synapses very difficult or unfeasible. In the end, changes in EPSCs evoked by electrical stimulation may support the idea that Syngap1 insufficiency decreases action potential evoked release, that in part mediates sEPSC, but without indicating the anatomical identity of the stimulated inputs (thalamic, other subcortical or cortico-cortical?

      We agree with the reviewer, our protocol does not allow the stimulation of single synapses/axons, but rather bulk stimulation of multiple axons. We thank the reviewer for bringing up this important point.  In our experiment, we reduced the stimulus intensity until no EPSC was observed, then increased it until we reached the minimum intensity at which we could observe an EPSC. We now explain this approach more clearly in the method and changed the results section by removing any reference to “minimal” stimulation.

      Electrical stimulation of thalamic radiation could indeed activate not only monosynaptic thalamic fibers but also polysynaptic (corticothalamic and/or corticocortical) EPSC component. To identify monosynaptic thalamocortical connections, we used as criteria the onset latencies of EPSC and the variability jitter obtained from the standard deviation of onset latencies, as previously published by other studies (Richardson et al., 2009; Blundon et al., 2011; Chun et al., 2013). Onset latencies were defined as the time interval between the beginning of the stimulation artifact and the onset of the EPSC. Monosynaptic connections are characterized by short onset latencies and low jitter variability (Richardson et al., 2009; Blundon et al., 2011; Chun et al., 2013). In our experiments, the initial slopes of EPSCs evoked by white matter stimulation had short onset latencies (mean onset latency, 4.27 ± 0.11 ms, N=16 neurons in controls, and 5.07 ± 0.07 ms, N=14 neurons in cHet mice) and low onset latency variability jitter (0.24 ± 0.03 ms in controls vs 0.31 ± 0.03 ms in cHet mice), suggestive of activation of monosynaptic thalamocortical monosynaptic connections (Richardson et al., 2009; Blundon et al., 2011; Chun et al., 2013). Of note, a previous study in adult mice (Krause et al., 2014) showed that local field potentials evoked by electrical stimulation of medial geniculate nucleus or thalamic radiation were comparable. The information is included in the revised manuscript, in the methods section.

      (4) The data presentation in Fig 6 is a bit confusing and could be clarified. First, in cluster analysis (Fig 6a), the authors may want to clarify why a correlation between Fmax and half width is indicative of the presence of subgroups. Second, performing cluster analysis based on two variables alone (Fmax and half-width) might not be very informative, but perhaps the authors could better explain why they chose two variables and particularly these two variables? For reference, see the study by Helm et al. 2013 (cited by the authors) using multivariate cluster analysis. Additionally, the authors may want to clarify, for non-expert readers, whether or not finding correlations between variables (heatmap in the left panel of Fig 6b) is a necessary condition to perform PCA (Fig 6b right panel).

      We apologize for the confusion and thank the reviewer for the comment. The choice of Fmax and half width to cluster PV+ subtypes was based on past observation of atypical PV+ cells characterized by a slower AP half-width and lower maximal AP firing frequency (Nassar et al., 2015; Bengtsson Gonzales et al., 2018; Ekins et al., 2020; Helm et al., 2013). Based on these previous studies we performed hierarchical clustering of AP half-width and Fmax-initial values based on Euclidean distance. However, in our case some control PV+ cells showed no correlation between these parameters (as it appears in Fig 6a left, right, and 6b left), requiring the use of additional 11 parameters to perform Principal Component Analysis (PCA). PCA takes a large data set with many variables per observation and reduces them to a smaller set of summary indices (Murtagh and Heck 1987).  We choose in total 13 parameters that are largely unrelated, while excluding others that are highly correlated and represent similar features of membrane properties (e.g., AP rise time and AP half-width). PCA applies a multiexponential fit to the data, and each new uncorrelated variable [principal component (PC)] can describe more than one original parameter (Helm et al., 2013). We added information in the methods section as suggested.

      Minor points:

      (1) In Fig 3a, the traces illustrating the effects of syngap haplo-insufficiency on AMPA and NMDA EPSCs do not seem to be the best examples? For instance, the EPSCs in syngap-deficient neurons show quite different kinetics compared with control EPSCs, however Fig 3f suggests similar kinetics.

      We changed the traces as suggested.

      (2) In the first paragraph of results, it would be helpful to clarify that the experiments are performed in acute brain slices and state the age of animals.

      Done as suggested.

      (3) The following two sentences are partly redundant and could be synthesized or merged to shorten the text: "Recorded MGE-derived interneurons, identified by GFP expression, were filled with biocytin, followed by posthoc immunolabeling with anti-PV and anti-SST antibodies. PV+ and SST+ interneuron identity was confirmed using neurochemical marker (PV or SST) expression and anatomical properties (axonal arborisation location, presence of dendritic spines)."

      We rewrote the paragraph to avoid redundancy, as suggested.

      (4) In the following sentence, the mention of dendritic spines is not sufficiently clear, does it mean that spine density or spine morphology differ between PV and SST neurons?: "PV+ and SST+ interneuron identity was confirmed using neurochemical marker (PV or SST) expression and anatomical properties (axonal arborisation location, presence of dendritic spines)."

      We meant absence or presence of spines. PV+ cells typically do not have spines, while SST+ interneurons do. We corrected the sentence to improve clarity.

      (5) The first sentence of the discussion might be a bit of an overinterpretation of the data? Dissecting the circuit mechanisms of abnormal auditory function with Syngap insufficiency requires experiments very different from those reported in this paper. Moreover, that PV+ neurons from auditory cortex are particularly vulnerable to Syngap deficiency is possible, but this question is not addressed directly in this study because the effects on auditory cortex PV+ neurons were not thoroughly compared with those on PV+ cells from other cortical areas.

      We agreed with the reviewer and changed this sentence accordingly.

      Reviewer #2 (Recommendations For The Authors):

      Minor issues:

      "glutamatergic synaptic inputs to Nkx2.1+ interneurons from adult layer IV (LIV) auditory cortex" it would be more correct if this sentence used "in adult layer IV" instead of "from".

      We made the suggested changes.

      It would be useful information to provide whether the slice quality and cellular health was affected in the cHet animals.

      We did not observe any difference between control and cHet mice in terms of slices quality, success rate of recordings and cellular health. We added this sentence in the methods.

      Were BCshort and BCbroad observed within the same slice, same animals? This information is important to exclude the possibility of experimental origin of the distint AP width.

      We have indeed found both type of BCs in the same animal, and often in the same slice.

      Reviewer #3 (Recommendations For The Authors):

      (1) The introduction is rather diffuse but should be more focused on Syngap1, cellular mechanisms and interneurons. For example, the authors do not even define what Syngap1 is.

      We thank the reviewer for this very helpful suggestion. We have changed the introduction as suggested.

      (2) Some of the figures appear very busy with small fonts that are difficult to read. Also, it is very hard to appreciate the individual datapoints in the blue bars. Could a lighter color please be used?

      We thank the reviewer for this helpful suggestion. We made the suggested changes.

      (3)     The strength/limit of using a conditional knockout should be discussed.

      Done as suggested, in the revised Discussion.

      (4) Statistical Methods should be described more in depth and probably some references should be added. Also, do (apparent?) inconsistencies between the text and the figures depend on the analysis used? For example, neither Fig 1g nor Fig 3f (eNMDA) reach significance despite large differences in the illustration. Maybe the authors could acknowledge this trend and discuss potential reasons for not reaching significance. Also, the legend to Fig 9 indicates the presence of "a significant decrease in AP half-width from cHet in absence or presence of a-DTX", but the bar graph does not show that.

      The interpretation of the data is based on the results of the LMM analysis, which takes in account both the number of cells and the numbers of mice from which these cells are recorded. We chose this statistical approach because it does not rely on the assumption that cells recorded from same mouse are independent variables. We further provided detailed information about statistical analysis done in the tables associated to each figure where we show both LMM and the most commonly used Mann Whitney (for not normally distributed) or t-test (for normally distributed), for each data set.  As suggested, we added reference about LMM in Methods section.

      (5) Were overall control and mutant mice of the same average postnatal age? Is there a reason for the use of very young animals? Was any measured parameter correlated with age?

      Control and mutant mice were of the same postnatal age. In particular, the age range was 75.5 ± 1.8 postnatal days for control group and 72.1 ± 1.7 postnatal days in cHet group (mean ± S.E.M.). We did not use any young mice. We have added this information in the methods.

      (6) Figure 6. First, was the dendritic arborization of all cells fully intact? Second, if Figure 7 uses the same data of Figure 5 after a reclassification of PV+ cells into the two defined subpopulations, then Figure 5 should probably be eliminated as redundant. Also, if the observed changes impact predominantly one PV+ subpopulation, maybe one could argue that the synaptic changes could be (at least partially) explained by the more limited dendritic surface of BC-short (higher proportion in mutant animals) rather than only cellular mechanisms.

      All the reconstructions used for dendritic analysis contained intact cells with no evidently cut dendrites. We added this information in the methods section.

      Regarding Figure 5 we recognize the reviewer’s point of view; however, we think both figures are informative. In particular, Figure 5 shows the full data set, avoiding assumptions on the different PV cells subtype classification, and can be more readily compared with several previously published studies.

      We apologize for our lack of clarity, which may have led to a misunderstanding. In Figure 6i our data show that BC-short from cHet mice have a larger dendritic surface and a higher number of branching points compared to BC-short from control mice. 

      (7) I am rather surprised by the AP threshold of ~-20/-15 mV observed in the datapoints of some figures. Did the authors use capacitance neutralization for their current-clamp recordings? What was the sampling rate used? Some of the phase plots (Vm vs dV/dT) suggests that it may have been too low.

      See responses to public review.

      (8) Please add the values of the series resistance of the recordings and a comparison between control and mutant animals.

      As suggested, we re-examined the series resistance values (Rs), comparing Rs between groups and found no difference for Rs in eAMPA (Control mice: 13.2±0.5,  n=16 cells from 7 mice; cHet mice: 13.7±0.3, n=14 cells from 7 mice; LMM, p=0.432) and eNMDA (Control mice: 12.7±0.7, n=6 cells from 3 mice; cHet mice: 13.8±0.7, n=6 cells from 5 mice;  LMM, p=0.231).

      (9) I am unclear as to how the authors quantified colocalization between VGluts and PSD95 at the low magnification shown in Supplementary Figure 2. Could they please show images at higher magnification?

      Quantification was done on high resolution images. Immunostained sections were imaged using a Leica SP8-STED confocal microscope, with an oil immersion 63x (NA 1.4) at 1024 X 1024, zoom=1, z-step =0.3 μm, stack size of ~15 μm. As suggested by the reviewer, we changed the figure by including images at higher magnification.

      (10) The authors claim that "cHet SST+ cells showed no significant changes in active and passive membrane properties", but this claim would seem to be directly refused by the data of Fig 8f. In the absence of changes in either active or passive membrane properties shouldn't the current/#AP plot remain unchanged?

      The reduction in intrinsic excitability observed in SST+ cells from cHet mice could be due to intrinsic factors not assessed in this study. However, exploring these mechanisms is beyond the scope of our current investigation. We rephrased the discussion and added this limitation of our study in the revised version.

      (11) Please check references as some are missing from the list.

      Thank you for noticing this issue, which is now corrected.

      References  

      Bengtsson Gonzales C, Hunt S, Munoz-Manchado AB, McBain CJ, Hjerling-Leffler J (2020) Intrinsic electrophysiological properties predict variability in morphology and connectivity among striatal Parvalbumin-expressing Pthlh-cells Scientific Reports 10:15680 https://doi.org/10.1038/s41598-020-72588-1

      Blundon JA, Bayazitov IT, Zakharenko SS (2011) Presynaptic gating of postsynaptically expressed plasticity at mature thalamocortical synapses The Journal of Neuroscience 31:1601225 https://doi.org/10.1523/JNEUROSCI.3281-11.2011

      Chun S, Bayazitov IT, Blundon JA, Zakharenko SS (2013) Thalamocortical long-term potentiation becomes gated after the early critical period in the auditory cortex The journal of Neuroscience 33:7345-57 https://doi.org/10.1523/JNEUROSCI.4500-12.2013.

      Ekins TG, Mahadevan V, Zhang Y, D’Amour JA, Akgül G, Petros TJ, McBain CJ (2020) Emergence of non-canonical parvalbumin-containing interneurons in hippocampus of a murine model of type I lissencephaly eLife 9:e62373 https://doi.org/10.7554/eLife.62373

      Helm J, Akgul G, Wollmuth LP (2013) Subgroups of parvalbumin-expressing interneurons in layers 2/3 of the visual cortex Journal of Neurophysiology 109:1600–1613 https://doi.org/10.1152/jn.00782.2012

      Kavalali E (2015) The mechanisms and functions of spontaneous neurotransmitter release Nature Reviews Neuroscience 16:5–16 https://doi.org/10.1038/nrn3875

      Krause BM, Raz A, Uhlrich DJ, Smith PH, Banks MI (2014) Spiking in auditory cortex following thalamic stimulation is dominated by cortical network activity Frontiers in Systemic Neuroscience 8:170. https://doi.org/10.3389/fnsys.2014.00170

      Murtagh F, Heck A (1987) Multivariate Data Analysis. Dordrecht, The Netherlands: Kluwer Academic.

      Nassar M, Simonnet J, Lofredi R, Cohen I, Savary E, Yanagawa Y, Miles R, Fricker D (2015) Diversity and overlap of Parvalbumin and Somatostatin expressing interneurons in mouse presubiculum Frontiers in Neural Circuits 9:20. https://doi.org/10.3389/fncir.2015.00020

      Ramirez DM, Kavalali ET (2011) Differential regulation of spontaneous and evoked neurotransmitter release at central synapses Current Opinion in Neurobiology 21:275-282 https://doi.org/10.1016/j.conb.2011.01.007

      Richardson RJ, Blundon JA, Bayazitov IT, Zakharenko SS (2009) Connectivity patterns revealed by mapping of active inputs on dendrites of thalamorecipient neurons in the auditory cortex. The Journal of Neuroscience 29:6406-17 https://doi.org/10.1523/JNEUROSCI.3028-09.2009

      Sara Y, Virmani T, Deák F, Liu X, Kavalali ET (2005) An isolated pool of vesicles recycles at rest and drives spontaneous neurotransmission Neuron 45:563-573 https://doi.org/10.1016/j.neuron.2004.12.056

      Sara Y, Bal M, Adachi M, Monteggia LM, Kavalali ET (2011) Use-dependent AMPA receptor block reveals segregation of spontaneous and evoked glutamatergic neurotransmission Journal of Neuroscience 14:5378-5382 https://doi.org/10.1523/JNEUROSCI.5234-10.2011

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      In this study, the authors examined the role of IBTK, a substrate-binding adaptor of the CRL3 ubiquitin ligase complex, in modulating the activity of the eiF4F translation initiation complex. They find that IBTK mediates the non-degradative ubiquitination of eiF4A1, promotes cap-dependent translational initiation, nascent protein synthesis, oncogene expression, and tumor cell growth. Correspondingly, phosphorylation of IBTK by mTORC1/ S6K1 increases eIF4A1 ubiquitination and sustains oncogenic translation.

      Strengths:

      This study utilizes multiple biochemical, proteomic, functional, and cell biology assays to substantiate their results. Importantly, the work nominates IBTK as a unique substrate of mTORC1, and further validates eiF4A1 (a crucial subunit of the ei44F complex) as a promising therapeutic target in cancer. Since IBTK interacts broadly with multiple members of the translational initial complex - it will be interesting to examine its role in eiF2alpha-mediated ER stress as well as eiF3-mediated translation. Additionally, since IBTK exerts pro-survival effects in multiple cell types, it will be of relevance to characterize the role of IBTK in mediating increased mTORC1 mediated translation in other tumor types, thus potentially impacting their treatment with eiF4F inhibitors.

      Limitations/Weaknesses:

      The findings are mostly well supported by data, but some areas need clarification and could potentially be enhanced with further experiments:

      (1) Since eiF4A1 appears to function downstream of IBTK1, can the effects of IBTK1 KO/KD in reducing puromycin incorporation (in Fig 3A), cap-dependent luciferase reporter activity (Fig 3G), reduced oncogene expression (Fig 4A) or 2D growth/ invasion assays (Fig 4) be overcome or bypassed by overexpressing eiF4A1? These could potentially be tested in future studies.

      We appreciate the reviewer for bringing up this crucial point. As per the reviewer's suggestion, we conducted experiments where we overexpressed Myc-eIF4A1 in IBTK-KO SiHa cells. Our findings indicate that increasing levels of eIF4A1 through ectopic overexpression is unable to reverse the decrease in puromycin incorporation (Fig. S3C) and protein expression of eIF4A1 targets caused by IBTK ablation (Fig. S4E). These results clearly demonstrate that IBTK ablation-induced eIF4A1 dysfunctions cannot be rescued by simply elevating eIF4A1 protein levels. Given the above results are negative, the impacts of eIF4A1 overexpression on the 2D growth/invasion capacities of IBTK-KO cells were not further examined. We sincerely appreciate the reviewer's understanding regarding this matter.

      (2) The decrease in nascent protein synthesis in puromycin incorporation assays in Figure 3A suggest that the effects of IBTK KO are comparable to and additive with silvesterol. It would be of interest to examine whether silvesterol decreases nascent protein synthesis or increases stress granules in the IBTK KO cells stably expressing IBTK as well.

      We appreciate the reviewer for bringing up this crucial point. We have showed that silvestrol treatment still decreased nascent protein synthesis in IBTK-KO cells overexpressing FLAG-IBTK as well (Fig. S3B).

      (3) The data presented in Figure 5 regarding the role of mTORC1 in IBTK- mediated eiF4A1 ubiquitination needs further clarification on several points:

      • It is not clear if the experiments in Figure 5F with Phos-tag gels are using the FLAG-IBTK deletion mutant or the peptide containing the mTOR sites as it is mentioned on line 517, page 19 "To do so, we generated an IBTK deletion mutant (900-1150 aa) spanning the potential mTORC1-regulated phosphorylation sites" This needs further clarification.

      We appreciate the reviewer for bringing up this crucial point. The IBTK deletion mutant used in Fig. 5F is FLAG-IBTK900-1150aa. We have annotated it with smaller font size in the panel (red box) in Author response image 1.

      Author response image 1.

      • It may be of benefit to repeat the Phos tag experiments with full-length FLAG- IBTK and/or endogenous IBTK with molecular weight markers indicating the size of migrated bands.

      We appreciate the reviewer for bringing up this crucial point. We attempted to perform Phos-tag assays to detect the overexpressed full-length FLAG-IBTK or endogenous IBTK. However, we encountered difficulties in successfully transferring the full-length FLAG-IBTK or endogenous IBTK onto the nitrocellulose membrane during Phos-tag WB analysis. This is likely due to the limitations of this technique. Based on our experience, phos-tag gel is less efficient in detecting protein motility shifts with large molecular weights. As the molecular weight of IBTK protein is approximately 160 kDa, it falls within this category. Considering these technical constraints, we did not include Phos-tag assay results for full-length IBTK in our study. We sincerely appreciate the reviewer's understanding regarding this matter.

      The binding of Phos-tag to phosphorylated proteins induces a mobility shift during gel electrophoresis or protein separation techniques. This shift allows for the visualization and quantification of phosphorylated proteins separately from non-phosphorylated proteins. It's important to note that these mobility shifts indicate phosphorylation status, rather than actual molecular weights. pre- stained protein markers are typically used as a reference to assess the efficiency of protein transfer onto the membrane [Ref: 1]. Considering the aforementioned reasons, we did not add molecular weights to the WB images.

      Reference [1]. FUJIFILM Wako Pure Chemical Corporation, https://www.wako- chemicals.de/media/pdf/c7/5e/20/FUJIFILM-Wako_Phos-tag-R.pdf

      • Additionally, torin or Lambda phosphatase treatment may be used to confirm the specificity of the band in separate experiments.

      We appreciate the reviewer for bringing up this crucial point. Torin1 is a synthetic mTOR inhibitor by preventing the binding of ATP to mTOR, leading to the inactivation of both mTORC1 and mTORC2, whereas rapamycin primarily targets mTORC1 activity and may inhibit mTORC2 in certain cell types after a prolonged treatment. We have identified that the predominant mediator of IBTK phosphorylation is the mTORC1/S6K1 complex. Therefore, in this context, we think that rapamycin is sufficient to inactivate the mTORC1/S6K1 pathway. As shown in Fig. 5F, the phosphorylated IBTK900-1150aa was markedly decreased while the non-phosphorylated form was simultaneously increased in rapamycin- treated cells. As per the reviewer's suggestion, we treated FLAG-IBTK900-1150aa overexpressed cells with lambda phosphatase. As shown in Fig. 5G, lambda phosphatase treatment completely abolished the mobility shifts of phosphorylated FLAG-IBTK900-1150aa. Additionally, the lowest band displayed an abundant accumulation of the non-phosphorylated form of FLAG-IBTK900-1150aa. These findings confirm that the mobility shifts observed in WB analysis correspond to the phosphorylated forms of FLAG-IBTK900-1150aa.

      • Phos-tag gels with the IBTK CRISPR KO line would also help confirm that the non-phosphorylated band is indeed IBTK.

      We appreciate the reviewer for bringing up this crucial point. As we state above, we performed Phos-tag assays to detect the mobility shifts of phosphorylated FLAG-IBTK900-1150aa. Anti-FLAG antibody, but not the anti-IBTK antibody was used for WB detection. This antibody does not exhibit cross-reactivity with endogenous IBTK.

      • It is unclear why the lower, phosphorylated bands seem to be increasing (rather than decreasing) with AA starvation/ Rapa in Fig 5H.

      We appreciate the reviewer for bringing up this crucial point. We think the panel the reviewer mentioned is Fig. 5F. According to the principle of Phos-tag assays, proteins with higher phosphorylation levels have slower migration rates on SDS-PAGE, while proteins with lower phosphorylation levels have faster migration rates.

      As shown in Author response image 2, the green box indicates the most phosphorylated forms of FLAG-IBTK900-1150aa, the red box indicates the moderately phosphorylated forms of FLAG-IBTK900-1150aa, and the yellow box indicates the non-phosphorylated forms of FLAG-IBTK900-1150aa. AA starvation or Rapamycin treatment reduced the hyperphosphorylated forms of FLAG-IBTK900-1150aa (green box), while simultaneously increasing the hypophosphorylated (red box) and non- phosphorylated (yellow box) forms of FLAG-IBTK900-1150aa. Thus, we conclude that AA starvation or Rapamycin treatment leads to a marked decrease in the phosphorylation levels of FLAG-IBTK900-1150aa.

      Author response image 2.

      Reviewer #2 (Public Review):

      Summary:

      This study by Sun et al. identifies a novel role for IBTK in promoting cancer protein translation, through regulation of the translational helicase eIF4A1. Using a multifaceted approach, the authors demonstrate that IBTK interacts with and ubiquitinates eIF4A1 in a non-degradative manner, enhancing its activation downstream of mTORC1/S6K1 signaling. This represents a significant advance in elucidating the complex layers of dysregulated translational control in cancer.

      Strengths:

      A major strength of this work is the convincing biochemical evidence for a direct regulatory relationship between IBTK and eIF4A1. The authors utilize affinity purification and proximity labeling methods to comprehensively map the IBTK interactome, identifying eIF4A1 as a top hit. Importantly, they validate this interaction and the specificity for eIF4A1 over other eIF4 isoforms by co- immunoprecipitation in multiple cell lines. Building on this, they demonstrate that IBTK catalyzes non-degradative ubiquitination of eIF4A1 both in cells and in vitro through the E3 ligase activity of the CRL3-IBTK complex. Mapping IBTK phosphorylation sites and showing mTORC1/S6K1-dependent regulation provides mechanistic insight. The reduction in global translation and eIF4A1- dependent oncoproteins upon IBTK loss, along with clinical data linking IBTK to poor prognosis, support the functional importance.

      Weaknesses:

      While these data compellingly establish IBTK as a binding partner and modifier of eIF4A1, a remaining weakness is the lack of direct measurements showing IBTK regulates eIF4A1 helicase activity and translation of target mRNAs. While the effects of IBTK knockout/overexpression on bulk protein synthesis are shown, the expression of multiple eIF4A1 target oncogenes remains unchanged.

      Summary:

      Overall, this study significantly advances our understanding of how aberrant mTORC1/S6K1 signaling promotes cancer pathogenic translation via IBTK and eIF4A1. The proteomic, biochemical, and phosphorylation mapping approaches established here provide a blueprint for interrogating IBTK function. These data should galvanize future efforts to target the mTORC1/S6K1-IBTK-eIF4A1 axis as an avenue for cancer therapy, particularly in combination with eIF4A inhibitors.

      Reviewer #1 (Recommendations For The Authors):

      (1) Certain references should be provided for clarity. For e.g.,: Page 15, line 418 " The C-terminal glycine glycine (GG) amino acid residues are essential for Ub conjugation to targeted proteins".

      We appreciate the reviewer for bringing up this crucial point. We have taken two fundamental review papers (PMID: 22524316, 9759494) on the ubiquitin system as references in this sentence.

      (2) Please describe the properties of the ΔBTB mutant on page 15 when first describing it. What motifs does it lack and has it been described before in functional studies?

      We appreciate the reviewer for bringing up this crucial point. We added a sentence to describe the properties of the ΔBTB mutant. This mutant lacks the BTB1 and BTB2 domains (deletion of aa 554–871), which have been previously demonstrated to be essential for binding to CUL3. The original reference has been added to the revised manuscript.

      (3) In Figure 2G how do the authors explain the fact that co-expression of the Ub K-ALLR mutant, which is unable to form polyubiquitin chains, formed only a moderate reduction in IBTK-mediated eIF4A1 ubiquitination?

      We appreciate the reviewer for bringing up this crucial point. The Ub K-ALLR mutant can indeed conjugate to substrate proteins, but it cannot form chains due to its absence of lysine residues, resulting in mono-ubiquitination. Multi- mono-ubiquitination refers to the attachment of single ubiquitin molecules to multiple lysine residues on a substrate protein. It's worth noting that a poly- ubiquitinated protein and a multi-mono-ubiquitinated protein appear strikingly similar in Western blot. Our findings demonstrated that the co-expression of the Ub K-ALL-R mutant resulted in only a modest reduction in IBTK-mediated eIF4A1 ubiquitination (Fig. 2G), and that eIF4A1 was ubiquitinated at twelve lysine residues when co-expressed with IBTK (Fig. S2F). As such, we conclude that the CRL3IBTK complex primarily catalyzes multi-mono-ubiquitination on eIF4A1. .

      (4) In Figure 5, The identity of the seven sites in the IBTK 7ST A mutants should be specified.

      We appreciate the reviewer for bringing up this crucial point. We have specified the seven mutation sites in the IBTK-7ST A mutant (Fig. 6A).

      (5) In Figure 5, the rationale for generating antibodies only to S990/992/993, as opposed to the other mTORC1/S6K motifs should be specified.

      We appreciate the reviewer for bringing up this crucial point. Upon demonstrating that IBTK can be phosphorylated—with evidence from positive Phos-tag and in vitro phosphorylation assays—we sought to directly detect changes in the phosphorylation levels using an antibody specific to IBTK phosphorylation. However, the expense of generating seven phosphorylation- specific antibodies for each site is significant. Recognizing that S990/992/993 are three adjacent sites, we deemed it appropriate to generate a single antibody to recognize the phospho-S990/992/993 epitope. Moreover, out of the seven phosphorylation sites, S992 perfectly matches the consensus motif for S6K1 phosphorylation (RXRXXS). Utilizing this antibody allowed us to observe a substantial decrease in the phosphorylation levels of these three adjacent Ser residues in IBTK following either AA deprivation or Rapamycin treatment (Fig. 5L). We have specified these points in the manuscript.

      Reviewer #2 (Recommendations For The Authors):

      The following suggestions would strengthen the study:

      (1) Directly examine the effects of IBTK modulation (knockdown/knockout/ overexpression) on eIF4A1 helicase activity.

      We appreciate the reviewer for bringing up this crucial point. We agree with the reviewer's suggestion that evaluating IBTK's influence on eIF4A1 helicase activity directly would enhance the strength of our conclusion. However, the current eIF4A1 helicase assays, as described in previous publications [Ref: 1, 2], can only be conducted using in vitro purified recombinant proteins. For instance, it is feasible to assess the varying levels of helicase activity exhibited by recombinant wild-type or mutant EIF4A1 proteins [Ref: 2]. Importantly, there is currently no reported methodology for evaluating the helicase activity of EIF4A1 in vivo, as mentioned by the reviewer in gene knockdown, knockout, or overexpression cellular contexts. Therefore, we have not performed these assays and we sincerely appreciate the reviewer's understanding in this regard. We sincerely appreciate the reviewer's understanding regarding this matter.

      Reference:

      [1] Chu J, Galicia-Vázquez G, Cencic R, Mills JR, Katigbak A, Porco JA, Pelletier J. CRISPR-mediated drug-target validation reveals selective pharmacological inhibition of the RNA helicase, eIF4A. Cell reports. 2016 Jun 14;15(11):2340-7.

      [2] Chu J, Galicia-Vázquez G, Cencic R, Mills JR, Katigbak A, Porco JA, Pelletier J. CRISPR-mediated drug-target validation reveals selective pharmacological inhibition of the RNA helicase, eIF4A. Cell reports. 2016 Jun 14;15(11):2340-7.

      (2) Justify why the expression of some but not all eIF4A1 target oncogenes is affected in IBTK-depleted/overexpressing cells. This is important if IBTK should be considered as a therapeutic target. The authors should consider which of the eIF4A1 targets are most impacted by IBTK KO. This would provide a more focused therapeutic approach in the future.

      We appreciate the reviewer for bringing up this crucial point. As the reviewer has pointed out, we assessed the protein levels of ten reported eIF4A1 target genes across three cancer cell lines (Fig.4, Fig. S4A, C). We observed that IBTK depletion led to a substantial reduction in the protein levels of most eIF4A1- regulated oncogenes upon IBTK depletion, although there were some exceptions. For instance, IBTK KO in H1299 cells exerted minimal influence on the protein levels of ROCK1 (Fig. S4A). Several possible explanations might account for this observation: firstly, given that our list of eIF4A1 target genes collected from previous studies conducted using distinct cell lines, it is not unexpected for different lines to exhibit subtle differences in regulation of eIF4A1 target genes. Secondly, as a CRL3 adaptor, IBTK potentially performs other biological functions via ubiquitination of specific substrates; dysregulation of these could buffer the impact of IBTK KO on the protein expression of some eIF4A1 target genes. We added these comments to the Discussion section of the revised manuscript.

      (3) Expand mTOR manipulation experiments (inhibition, Raptor knockout, activation) and evaluate impacts on IBTK phosphorylation, eIF4A1 ubiquitination, and translation.

      The mTORC1 signaling pathway is constitutively active under normal culture conditions. In order to inhibit mTORC1 activation, we employed several approaches including AA starvation, Rapamycin treatment, or Raptor knockout. Our results have demonstrated that both AA starvation and rapamycin treatment led to a reduction in eIF4A1 ubiquitination (Fig. 5M). Moreover, we have included new findings in the revised manuscript, which highlight that Raptor knockout specifically decreases eIF4A1 ubiquitination (Fig. 5N). It is worth mentioning that the impacts of mTOR inhibition or activation on protein translation have been extensively investigated and documented in numerous studies. Therefore, in our study, we did not feel it necessary to examine these treatments further.

      (4) Although not absolutely necessary, it would be nice to see if some of these findings are true in other cancer cell types.

      We appreciate the reviewer for bringing up this crucial point. We concur with the reviewer's suggestion that including data from other cancer cell types would enhance the strength of our conclusion. While the majority of our data is derived from two cervical cancer cell lines, we have corroborated certain key findings— such as the impact of IBTK on eIF4A1 and its target gene expression—in H1299 cells (human lung cancer) (Fig. 2C, Fig. S4A, B) and in CT26 cells (murine colon adenocarcinoma) (Fig. S4C, D). Additionally, we demonstrated that IBTK promotes IFN-γ-induced PD-L1 expression and tumor immune escape in both the H1299 and CT26 cells (Fig. S6A-K).

    1. Author Response:

      The following is the authors’ response to the original reviews.

      General response

      (1) Evaluation of mitochondrial activity in mox-YG overexpression cells

      To determine whether the observed “mitochondrial development” seen in transcriptomic, proteomic, and microscopic analyses corresponds to an actual phenotypic shift toward respiration, we measured oxygen consumption in mox-YG overexpression cells. The results showed that oxygen consumption rates were indeed elevated in these cells, suggesting a metabolic shift from fermentation toward respiration. These findings have been incorporated into the revised manuscript as new Figure 4E and Figure 4—figure supplement 9, along with the corresponding descriptions in the Results section.

      (2) Evaluation of TORC1 Pathway Inactivation in mox-YG Overexpression Cells

      While the proteomic response in mox-YG overexpression cells overlapped with known responses to TORC1 pathway inactivation, we had not obtained direct evidence that TORC1 activity was indeed reduced. To address this, we assessed TORC1 activity by testing the effect of rapamycin, a TORC1 inhibitor, and by attempting to detect the phosphorylation state of known TORC1 targets. Our results showed that mox-YG overexpressing cells exhibited reduced sensitivity to rapamycin compared to vector control cells, supporting the idea that TORC1 is already inactivated in the mox-YG overexpression condition.

      In parallel, we attempted to detect phosphorylation of TORC1 targets Sch9 and Atg13 by Western blotting. Specifically, we tested several approaches: detecting phospho-Sch9 using a phospho-specific antibody, assessing the band shift of HA-tagged Sch9, and monitoring Atg13 band shift using an anti-Atg13 antibody. While we were unable to detect Sch9 phosphorylation, likely due to technical limitations, we finally succeeded in detecting Atg13 with the help of our new co-author, Dr. Kamada. However, we observed a marked reduction in Atg13 protein levels in mox-YG overexpression cells, making it difficult to interpret the biological significance of any apparent decrease in phosphorylation. Therefore, we decided not to pursue further experiments on TORC1 phosphorylation within the current revision period.

      These findings have been summarized in new Figure 4—figure supplement 7, and the relevant description has been added to the Results section.

      (3) Phenotypes of Gpm1-CCmut

      We focused our initial analysis on the phenotypes of cells overexpressing mox-YG, the protein with the lowest Neutrality Index (NI) in our dataset, as a model of protein burden. However, it remained unclear to what extent the phenotypes observed in mox-YG overexpression cells are generalizable to protein burden as a whole. We agree with the reviewers’ suggestion that it is important to examine whether similar phenotypes are also observed in cells overexpressing Gpm1-CCmut, which was newly identified in this study as having a similarly low NI. We therefore performed validation experiments using Gpm1-CCmut overexpression cells to assess whether they exhibit the characteristic phenotypes observed in mox-YG overexpression cells. These phenotypes included: transcriptional responses, mitochondrial development, metabolic shift toward respiration, and nucleolar shrinkage.

      As a result, mitochondrial development and nucleolar shrinkage were also observed in Gpm1-CCmut overexpression cells, consistent with mox-YG. In contrast, the transcriptional response associated with amino acid starvation and the metabolic shift toward respiration were not observed. Furthermore, an abnormal rounding of cell morphology—absent in mox-YG overexpression cells—was uniquely observed in Gpm1-CCmut cells. These results suggest that the phenotypes observed under mox-YG overexpression may comprise both general effects of protein burden and effects specific to the mox-YG protein. Alternatively, it is possible that Gpm1-CCmut imposes a different kind of constraint or toxicity not shared with mox-YG. In any case, these findings highlight that the full range of phenotypes associated with protein burden cannot yet be clearly defined and underscore the need for future analyses using a variety of “non-toxic” proteins.

      Given that these results form a coherent set, we have relocated original Figure 3—which previously presented the NI values of Gpm1 and Tdh3 in the original version—to new Figure 6, which now includes all related phenotypic analyses. Correspondingly, we have added new Figures 6—figure supplement 1 through 6—figure supplement 7. The associated results have been incorporated into the Results section, and we have expanded the Discussion to address this point

      As a result of these revisions, the order of figures has changed from the original version. The correspondence between the original and revised versions is as follows:

      original→ Revised

      Figure 1 → Figure 1<br />  Figure 2 → Figure 2<br />  Figure 3 → Figure 6<br />  Figure 4 → Figure 3<br />  Figure 5 → Figure 4<br />  Figure 6 → Figure 5

      Public Reviews:

      Reviewer #1 (Public Review):

      Weaknesses:

      While the introduction of the neutrality index seems useful to differentiate between cytotoxicity and protein burden, the biological relevance of the effects of overexpression of the model proteins is unclear.

      Thank you for your comment. This point is in fact the core message we wished to convey in this study. We believe that every protein possesses some degree of what can be described as “cytotoxicity,” and that this should be defined by the expression limit—specifically, the threshold level at which growth inhibition occurs. This index corresponds to what we term the neutrality index. We further argue that protein cytotoxicity arises from a variety of constraints inherent to each protein. These constraints act in a stepwise manner to determine the expression limit (i.e., the neutrality) of a given protein (Figure 1A). To demonstrate the real existence of such constraints, there are two complementary approaches: an inductive one that involves large-scale, systematic investigation of naturally occurring proteins, and a deductive one that tests hypotheses using selected model proteins. Our current study follows the latter approach. In addition, we define protein burden as a phenomenon that can only be elicited by proteins that are ultimately harmless (Figure 1B). We assume that such burden results in a shared physiological state, such as depletion of cellular resources. Through continued efforts to identify a protein suitable for investigating this phenomenon, we eventually arrived at mox-YG. As the reviewer rightly pointed out, examining only mox-YG does not reveal the full picture of protein burden. In fact, in response to the reviewer’s suggestion, we investigated the physiological consequences of overexpressing a mutant glycolytic protein, Gpm1-CCmut (General Response 3). We found that the resulting phenotype was notably different from that observed in cells overexpressing mox-YG. Going forward, we believe that our study provides a foundation for further systematic exploration of “harmless proteins” and the cellular impacts of their overexpression.

      Reviewer #2 (Public Review):

      Weaknesses:

      The authors concluded from their RNA-seq and proteomics results that cells with excess mox-YG expression showed increased respiration and TORC1 inactivation. I think it will be more convincing if the authors can show some characterization of mitochondrial respiration/membrane potential and the TOR responses to further verify their -omic results.

      These points are addressed in General Response 1 and 2.

      In addition, the authors only investigated how overexpression of mox-YG affects cells. It would be interesting to see whether overexpressing other non-toxic proteins causes similar effects, or if there are protein-specific effects. It would be good if the authors could at least discuss this point considering the workload of doing another RNA-seq or mass-spectrum analysis might be too heavy.

      These points are addressed in General Response 3.

      Reviewer #3 (Public Review):

      Weaknesses:

      The data are generally convincing, however in order to back up the major claim of this work - that the observed changes are due to general protein burden and not to the specific protein or condition - a broader analysis of different conditions would be highly beneficial.

      These points are addressed in General Response 3.

      Major points:

      (1) The authors identify several proteins with high neutrality scores but only analyze the effects of mox/mox-YG overexpression in depth. Hence, it remains unclear which molecular phenotypes they observe are general effects of protein burden or more specific effects of these specific proteins. To address this point, a proteome (and/or transcriptome) of at least a Gpm1-CCmut expressing strain should be obtained and compared to the mox-YG proteome. Ideally, this analysis should be done simultaneously on all strains to achieve a good comparability of samples, e.g. using TMT multiplexing (for a proteome) or multiplexed sequencing (for a transcriptome). If feasible, the more strains that can be included in this comparison, the more powerful this analysis will be and can be prioritized over depth of sequencing/proteome coverage.

      This comment has been addressed in General Response 3. Gpm1-CCmut overexpression cells exhibited both phenotypes that were shared with, and distinct from, those observed in mox-YG overexpression cells. To define a unified set of phenotypes associated with "protein burden," we believe that extensive omics analyses targeting multiple "non-toxic" protein overexpression strains will be necessary. However, such an effort goes beyond the scope of the current study, and we would like to leave it as an important subject for future investigation.

      (2) The genetic tug-of-war system is elegant but comes at the cost of requiring specific media conditions (synthetic minimal media lacking uracil and leucine), which could be a potential confound, given that metabolic rewiring, and especially nitrogen starvation are among the observed phenotypes. I wonder if some of the changes might be specific to these conditions. The authors should corroborate their findings under different conditions. Ideally, this would be done using an orthogonal expression system that does not rely on auxotrophy (e.g. using antibiotic resistance instead) and can be used in rich, complex mediums like YPD. Minimally, using different conditions (media with excess or more limited nitrogen source, amino acids, different carbon source, etc.) would be useful to test the robustness of the findings towards changes in media composition.

      We appreciate the reviewer’s clear understanding of both the advantages and limitations of the gTOW system. As rightly pointed out, since our system relies on leucine depletion, it is essential to carefully consider the potential impact this may have on cellular metabolism. Another limitation—though it also serves as one of the strengths—of the gTOW system is its reliance on copy number variation to achieve protein overexpression. This feature limits the possibility of observing rapid responses, as immediate induction is not feasible. To address this issue, we have recently developed a strong and inducible promoter that minimizes effects on other metabolic systems (Higuchi et al., 2024), and we believe this tool will be essential in future experiments.

      In response to the reviewer’s comments, we conducted two additional sets of experiments. First, we established a new overexpression system in nutrient-rich conditions (YPD medium) that is conceptually similar to gTOW but uses aureobasidin A and the AUR1d resistance gene to promote gene amplification (new Figure 4—figure supplement 2). Using this system, we observed that non-fluorescent YG mutants led to increased expression of mox. Total protein levels appeared to rise correspondingly, suggesting that the overall synthetic capacity of cells might be higher in YPD compared to SC medium. However, the degree of overexpression achieved in this system was insufficient to strongly inhibit growth, meaning we could not replicate the stress conditions observed with the original gTOW system. Further studies will be needed to determine whether stronger induction under these nutrient-rich conditions will yield comparable responses.

      Second, we performed a control experiment to examine whether the amino acid starvation response observed in mox-YG overexpressing cells could be attributed to leucine depletion from the medium (new Figure 3—figure supplement 3). By titrating leucine concentrations in SC medium, we confirmed that lower leucine levels reduced the growth rate of vector control cells, indicating leucine limitation. However, GAP1 induction was not observed under these conditions. In contrast, mox-YG overexpression led to strong GAP1 induction under similar growth-inhibitory conditions, suggesting that the amino acid starvation response is not simply due to environmental leucine depletion, but rather a consequence of the cellular burden imposed by mox-YG overexpression.

      These findings have been incorporated into the manuscript, along with the corresponding figures (new Figure 4—figure supplement 2, Figure 3—figure supplement 3), and relevant descriptions have been added to the Results and Discussion sections.

      (3) The authors suggest that the TORC1 pathway is involved in regulating some of the changes they observed. This is likely true, but it would be great if the hypothesis could be directly tested using an established TORC1 assay.

      This comment has been addressed in General Response 2. We assessed the rapamycin sensitivity of mox-YG overexpression cells—which was found to be reduced—and attempted to detect phosphorylation of the TORC1 target Atg13, although the latter was only partially successful. These findings have been incorporated into the Results section.

      (4) The finding that the nucleolus appears to be virtually missing in mox-YG-expressing cells (Figure 6B) is surprising and interesting. The authors suggest possible mechanisms to explain this and partially rescue the phenotype by a reduction-of-function mutation in an exosome subunit. I wonder if this is specific to the mox-YG protein or a general protein burden effect, which the experiments suggested in point 1 should address. Additionally, could a mox-YG variant with a nuclear export signal be expressed that stays exclusively in the cytosol to rule out that mox-YG itself interferes with phase separation in the nucleus?

      As also described in our General Response 3, we observed nucleolar shrinkage upon Gpm1-CCmut overexpression as well (new Figure 6E and 6—figure supplement 7), suggesting that this phenomenon may represent a general feature of protein burden. The reviewer’s suggestion to test whether this effect persists when mox-YG is excluded from the nucleus is indeed intriguing. However, based on our previous work, we have shown that overexpression of NES-tagged proteins (e.g., NES-EGFP) causes severe growth inhibition due to depletion of nuclear export factors (Kintaka et al., 2020). Unfortunately, this technical limitation makes it difficult for us to carry out the proposed experiment as suggested.

      Minor points:

      (5) It would be great if the authors could directly compare the changes they observed at the transcriptome and proteome levels. This can help distinguish between changes that are transcriptionally regulated versus more downstream processes (like protein degradation, as proposed for ribosome components).

      We also considered this point to be important, and therefore compared the transcriptomic and proteomic changes associated with mox-YG overexpression. However, somewhat unexpectedly, we found little correlation between these two layers of response. As shown in new Figure 3 and 4 (original Figures 4 and 5), while genes related to oxidative phosphorylation were consistently upregulated at both the mRNA and protein levels in mox-YG overexpressing cells, ribosomal proteins showed a discordant pattern: their mRNA levels were significantly increased, whereas their protein levels were significantly decreased.

      Several factors may explain this discrepancy: (1) differences in analytical methods between transcriptomics and proteomics; (2) temporal mismatches arising from the dynamic changes in mRNA and protein expression during batch culture; and (3) the possibility that, under protein burden conditions, specific regulatory mechanisms may govern the selective translation or targeted degradation of certain proteins. However, at this point, we were unable to clearly determine which of these factors account for the observed differences.

      For this reason, we did not originally include a global transcriptome–proteome comparison in the manuscript. In response to the reviewer’s comment, however, we have now included the comparison data (new Figure 4—figure supplement 3D).

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      Major points:

      (1) While the study provides a detailed description of physiological changes, the underlying mechanisms remain speculative. For example, the exact reasons for nitrogen source depletion or increased respiration are unclear. The transcriptomic and proteomic data should be complemented by basic growth assay tests on rapamycin or glycerol to strengthen these observations.

      This comment has been addressed in General Responses 1 and 2. We conducted oxygen consumption assays and growth assays in the presence of rapamycin, and incorporated these results into the revised version of the manuscript.

      We also performed culture experiments using glycerol as a carbon source. However, both the vector control and mox-YG overexpression cells showed extremely poor growth. Although there was a slight difference between the two, we judged that it would be difficult to draw any meaningful conclusions from these results. Therefore, we have chosen not to include them in the main text (the data are attached below for reference).

      Author response image 1.

      (2) The study mainly focuses on two proteins, mox-YG/ FP proteins and Gpm1-CCmut. Did the authors look also at a broader range of proteins with varying degrees of cytotoxicity to validate the neutrality index and generalize their findings? Such as known cytotoxic proteins.

      In our calculation of the Neutrality Index (NI), we use two parameters: the maximum growth rate (expressed as %MGR relative to the control) and the protein expression level. For the latter, we measure the abundance of the overexpressed protein as a percentage of total cellular protein, based on the assumption that the protein is expressed at a sufficiently high level to be detectable by SDS-PAGE. In our view, proteins typically regarded as “cytotoxic” cannot be overexpressed to levels detectable by SDS-PAGE without the use of more sensitive techniques such as Western blotting. This limitation in expression itself is an indication of their high cytotoxicity. Consequently, for such proteins, NI is determined solely by the MGR value, and will inherently fall below 100.

      To test whether this interpretation is valid, we re-evaluated a group of EGFP variants previously reported by us to exhibit higher cytotoxicity than EGFP (Kintaka et al., 2016), due to overloading of specific cellular transport pathways. These include EGFPs tagged with localization signals. At the time of the original study, we had not calculated their NI values. Upon re-analysis, we found that all of these localization-tagged EGFP variants indeed have NI values below 100.

      This result has been included as a new Figure 2—figure supplement 3, and the relevant descriptions have been added to the Results section.

      (3) The partial rescue of ribosomal biosynthesis defects by a mutation in the nuclear exosome is intriguing but not fully explored. The specific role of the nuclear exosome in managing protein burden remains unclear. This result could be supported by alternative experiments. For example, would tom1 deletion or proteasome inhibition (degradation of ribosomal proteins in the nucleus) partially rescue the nuclear formation?

      As described in the main text, our interest in exosome mutants was prompted by our previous SGA (Synthetic Genetic Array) analysis, in which these mutants exhibited positive genetic interactions with GFP overexpression—namely, they acted in a rescuing manner (Kintaka et al., 2020). In contrast, proteasome mutants did not show such positive interactions in the same screening. On the contrary, proteasome mutants that displayed negative genetic interactions have been identified, such as the pre7ts mutant. Furthermore, the proteasome is involved in various aspects of proteostasis beyond just orphan ribosomal proteins, making the interpretation of its effects potentially quite complex.

      Regarding the TOM1 mutant raised by the reviewer, we attempted to observe nucleolar morphology using the NSR1-mScarlet-I marker in the tom1Δ deletion strain. However, we were unsuccessful in constructing the strain. This failure may be due to the strong detrimental effects of this perturbation in the tom1Δ background. As we were unable to complete this experiment within the revision period, we would like to address this issue in future work.

      Minor comments:

      (1) It would be interesting to include long-term cellular and evolutionary responses to protein overexpression to understand how cells adapt to chronic protein burden.

      Thank you for the suggestion. We are currently conducting experiments related to these points. However, as they fall outside the scope of the present study, we would like to refrain from including the data in this manuscript.

      (2) The microscopy of Nsr1 in Figure 6G does not clearly demonstrate the restored formation of the nucleolus in the mrt4-1 mutant. Electron microscopy images would be a better demonstration.

      The restoration of nucleolar size in the mtr4-1 mutant, as shown in Figure 5—figure supplement 5 (original Figure 6_S5), is statistically significant. However, as described in the main text, the degree of rescue by the mutation is partial, and, as the reviewer notes, not clearly distinguishable by eye. It becomes apparent only when analyzing a large number of cells, allowing for detection as a statistically significant difference. Given that electron microscopy images are inherently limited in the number of cells that can be analyzed and pose challenges for statistical evaluation, we believe it would be difficult to detect such a subtle difference using this method. Therefore, we respectfully ask for your understanding that we will not include additional EM experiments in this revision.

      (3) On page 24, line 451 it says that of the 84 ribosomal proteins... latest reviews and structures described/ identified 79 ribosomal proteins in budding yeast of which the majority are incorporated into the pre-ribosomal particles in the nucleolus. We could not find this information in the provided reference. Please align with the literature.

      Thank you for the comment. In S. cerevisiae, many ribosomal protein genes are duplicated due to gene duplication events, resulting in a total of 136 ribosomal proteins (http://ribosome.med.miyazaki-u.ac.jp/rpg.cgi?mode=genetable). However, not all of them are duplicated, and among the duplicated pairs, some can be distinguished by proteomic analysis based on differences in amino acid sequences, while others cannot. As a result, we report that 84 ribosomal proteins were “detected” in our proteomic analysis. To avoid confusion, we have added the following explanation to the legend of Figure 5—figure supplement 1 (original Figure 6_S1), as follows.

      “Note that when the amino acid sequences of paralogs are identical, they cannot be distinguished by proteomic analysis, and the protein abundance of both members of the paralog pair is represented under the name of only one.”

      Reviewer #2 (Recommendations for the authors):

      (1) The authors mentioned that based on their proteomics results, overexpressing mox-YG appears to increase respiration. I think it is worth doing some quick verification, such as oxygen consumption experiments or mitochondrial membrane potential staining to provide some verification on that.

      This comment has been addressed in General Response 1. We measured oxygen consumption in mox-YG overexpression cells and found that it was indeed elevated, suggesting a metabolic shift from fermentation toward aerobic respiration.

      (2) Similar to point 1, the authors concluded from their proteomics data that the mox-YG overexpression induced responses that are similar to TORC1 inactivation. It might be worth testing whether there is any actual TORC1 inactivation, e.g. by detecting whether there is reduced Sch9 phosphorylation by western blot.

      This comment has been addressed in General Response 2. We assessed the rapamycin sensitivity of mox-YG overexpression cells—which was found to be reduced—and attempted to detect phosphorylation of the TORC1 target Atg13, although the latter was only partially successful. These findings have been incorporated into the Results section.

      (3) The authors showed that overexpressing excess mox-YG caused downregulated glycolysis pathways. It is worth discussing whether overexpressing glycolysis-related non-toxic proteins such as Gpm1-CCmut will also lead to similar results.

      This comment has been addressed in General Response 3. Gpm1-CCmut overexpression cells exhibited both phenotypes shared with mox-YG overexpression and distinct ones. These findings suggest that a unified set of phenotypes associated with "protein burden" has yet to be clearly defined, and further investigation will be necessary to elucidate this.

      Reviewer #3 (Recommendations for the authors):

      (1) The authors identify several proteins with high neutrality scores but only analyze the effects of mox/mox-YG overexpression in depth. Hence, it remains unclear which molecular phenotypes they observe are general effects of protein burden or more specific effects of these specific proteins. To address this point, a proteome (and/or transcriptome) of at least a Gpm1-CCmut expressing strain should be obtained and compared to the mox-YG proteome. Ideally, this analysis should be done simultaneously on all strains to achieve a good comparability of samples, e.g. using TMT multiplexing (for a proteome) or multiplexed sequencing (for a transcriptome). If feasible, the more strains that can be included in this comparison, the more powerful this analysis will be and can be prioritized over depth of sequencing/proteome coverage.

      This comment has been addressed in General Response 3. Gpm1-CCmut overexpression cells exhibited both phenotypes that were shared with, and distinct from, those observed in mox-YG overexpression cells. To define a unified set of phenotypes associated with "protein burden," we believe that extensive omics analyses targeting multiple "non-toxic" protein overexpression strains will be necessary. However, such an effort goes beyond the scope of the current study, and we would like to leave it as an important subject for future investigation.

      (2) The genetic tug-of-war system is elegant but comes at the cost of requiring specific media conditions (synthetic minimal media lacking uracil and leucine), which could be a potential confound, given that metabolic rewiring, and especially nitrogen starvation are among the observed phenotypes. I wonder if some of the changes might be specific to these conditions. The authors should corroborate their findings under different conditions. Ideally, this would be done using an orthogonal expression system that does not rely on auxotrophy (e.g. using antibiotic resistance instead) and can be used in rich, complex mediums like YPD. Minimally, using different conditions (media with excess or more limited nitrogen source, amino acids, different carbon source, etc.) would be useful to test the robustness of the findings towards changes in media composition.

      We appreciate the reviewer’s clear understanding of both the advantages and limitations of the gTOW system. As rightly pointed out, since our system relies on leucine depletion, it is essential to carefully consider the potential impact this may have on cellular metabolism. Another limitation—though it also serves as one of the strengths—of the gTOW system is its reliance on copy number variation to achieve protein overexpression. This feature limits the possibility of observing rapid responses, as immediate induction is not feasible. To address this issue, we have recently developed a strong and inducible promoter that minimizes effects on other metabolic systems (Higuchi et al., 2024), and we believe this tool will be essential in future experiments.

      In response to the reviewer’s comments, we conducted two additional sets of experiments. First, we established a new overexpression system in nutrient-rich conditions (YPD medium) that is conceptually similar to gTOW but uses aureobasidin A and the AUR1d resistance gene to promote gene amplification (new Figure 4—figure supplement 2). Using this system, we observed that non-fluorescent YG mutants led to increased expression of mox. Total protein levels appeared to rise correspondingly, suggesting that the overall synthetic capacity of cells might be higher in YPD compared to SC medium. However, the degree of overexpression achieved in this system was insufficient to strongly inhibit growth, meaning we could not replicate the stress conditions observed with the original gTOW system. Further studies will be needed to determine whether stronger induction under these nutrient-rich conditions will yield comparable responses.

      Second, we performed a control experiment to examine whether the amino acid starvation response observed in mox-YG overexpressing cells could be attributed to leucine depletion from the medium (new Figure 3—figure supplement 3). By titrating leucine concentrations in SC medium, we confirmed that lower leucine levels reduced the growth rate of vector control cells, indicating leucine limitation. However, GAP1 induction was not observed under these conditions. In contrast, mox-YG overexpression led to strong GAP1 induction under similar growth-inhibitory conditions, suggesting that the amino acid starvation response is not simply due to environmental leucine depletion, but rather a consequence of the cellular burden imposed by mox-YG overexpression.

      These findings have been incorporated into the manuscript, along with the corresponding figures (new Figure 4—figure supplement 2, Figure 3—figure supplement 3), and relevant descriptions have been added to the Results and Discussion sections.

      (3) The authors suggest that the TORC1 pathway is involved in regulating some of the changes they observed. This is likely true, but it would be great if the hypothesis could be directly tested using an established TORC1 assay.

      This comment has been addressed in General Response 2. We assessed the rapamycin sensitivity of mox-YG overexpression cells—which was found to be reduced—and attempted to detect phosphorylation of the TORC1 target Atg13, although the latter was only partially successful. These findings have been incorporated into the Results section.

      (4) The finding that the nucleolus appears to be virtually missing in mox-YG-expressing cells (Figure 6B) is surprising and interesting. The authors suggest possible mechanisms to explain this and partially rescue the phenotype by a reduction-of-function mutation in an exosome subunit. I wonder if this is specific to the mox-YG protein or a general protein burden effect, which the experiments suggested in point 1 should address. Additionally, could a mox-YG variant with a nuclear export signal be expressed that stays exclusively in the cytosol to rule out that mox-YG itself interferes with phase separation in the nucleus?

      As also described in our General Response 3, we observed nucleolar shrinkage upon Gpm1-CCmut overexpression as well (new Figure 6E and 6—figure supplement 7), suggesting that this phenomenon may represent a general feature of protein burden. The reviewer’s suggestion to test whether this effect persists when mox-YG is excluded from the nucleus is indeed intriguing. However, based on our previous work, we have shown that overexpression of NES-tagged proteins (e.g., NES-EGFP) causes severe growth inhibition due to depletion of nuclear export factors (Kintaka et al., 2020). Unfortunately, this technical limitation makes it difficult for us to carry out the proposed experiment as suggested.

      (5) It would be great if the authors could directly compare the changes they observed at the transcriptome and proteome levels. This can help distinguish between changes that are transcriptionally regulated versus more downstream processes (like protein degradation, as proposed for ribosome components).

      We also considered this point to be important, and therefore compared the transcriptomic and proteomic changes associated with mox-YG overexpression. However, somewhat unexpectedly, we found little correlation between these two layers of response. As shown in new Figure 3 and 4 (original Figures 4 and 5), while genes related to oxidative phosphorylation were consistently upregulated at both the mRNA and protein levels in mox-YG overexpressing cells, ribosomal proteins showed a discordant pattern: their mRNA levels were significantly increased, whereas their protein levels were significantly decreased.

      Several factors may explain this discrepancy: (1) differences in analytical methods between transcriptomics and proteomics; (2) temporal mismatches arising from the dynamic changes in mRNA and protein expression during batch culture; and (3) the possibility that, under protein burden conditions, specific regulatory mechanisms may govern the selective translation or targeted degradation of certain proteins. However, at this point, we were unable to clearly determine which of these factors account for the observed differences.

      For this reason, we did not originally include a global transcriptome–proteome comparison in the manuscript. In response to the reviewer’s comment, however, we have now included the comparison data (new Figure 4—figure supplement 3D).

      Minor points:

      (1) The authors repeatedly state that 'mitochondrial function' is increased. This is inaccurate in two ways: first, mitochondria have multiple functions, and it should be specified which one is referred to (probably mitochondrial respiration); second, the claim is based solely on the abundance of transcripts/proteins, which may or may not reflect increased activity.

      The authors should either perform functional tests (e.g. measure oxygen consumption or extracellular acidification), or change their wording to more accurately reflect the findings.

      To more directly reflect our findings, we revised two instances of the phrase “mitochondrial function” to “mitochondrial proteins” in the manuscript. Furthermore, as described in General Response 1, we confirmed that oxygen consumption is elevated in mox-YG overexpression cells. This observation suggests that mitochondrial respiratory activity is indeed enhanced under these conditions.

      (2) Similarly, the authors state that FPs are 'not localized' (e.g. line 137). This should be specified (e.g. 'not actively sorted into cellular compartments other than the cytosol').

      As pointed out by the reviewer, we have revised the relevant sections accordingly.

      (3) In Figure 4D, some of the reporter assays don't fully recapitulate the RNAseq findings (e.g. for PHO84 and ZPS1, where mox-FS and mox-YG behave differently in the reporter assay, but not in the RNAseq data). This may stem from technical limitations given that the reporter assay relies on RFP expression which could generally be affected by protein overexpression (cf. ACT1pro in mox-FS), but it should be mentioned in the text.

      We apologize for the confusion caused by our insufficient explanation of "moxFS" in new Figure 3D (original Figure 4D). As clarified here, "moxFS" refers to a frameshift mutant in which the mRNA is transcribed but the protein is not translated due to an early frameshift mutation. This is not a functional mox protein. The behavior of this mutant is nearly identical to that of the vector control, indicating that the transcriptional response observed in this assay is not triggered by mRNA expression itself, but rather by events occurring after protein synthesis begins. Importantly, the transcriptional responses identified by RNA-seq in mox-YG overexpression cells are largely recapitulated by this reporter assay, supporting the reliability of our experimental design.

      We appreciate the reviewer’s comment, which helped us recognize the lack of clarity in our original description. In response, we have added an explanation of the FS mutation to the figure legend (new Figure 3D), and we have also expanded the description of the moxFS experimental results in the Results section.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public review):

      Summary:

      In this manuscript, Arimura et al describe MagIC-Cryo-EM, an innovative method for immune-selective concentrating of native molecules and macromolecular complexes for Cryo-EM imaging and single-particle analysis. Typically, Cryo-EM imaging requires much larger concentrations of biomolecules than that are feasible to achieve by conventional biochemical fractionation. Overall, this manuscript is meticulously and clearly written and may become a great asset to other electron microscopists and chromatin researchers.

      Strengths:

      Previously, Arimura et al. (Mol. Cell 2021) isolated from Xenopus extract and resolved by Cryo-EM a sub-class of native nucleosomes conjugated containing histone H1.8 at the on-dyad position, similar to that previously observed by other researchers with reconstituted nucleosomes. Here they sought to analyze immuno-selected nucleosomes aiming to observe specific modes of H1.8 positioning (e.g. on-dyad and off-dyad) and potentially reveal structural motifs responsible for the decreased affinity of H1.8 for the interphase chromatin compared to metaphase chromosomes. The main strength of this work is a clever and novel methodological design, in particular the engineered protein spacers to separate captured nucleosomes from streptavidin beads for a clear imaging. The authors provide a detailed step-by-step description of MagIC-Cryo-EM procedure including nucleosome isolation, preparation of GFP nanobody attached magnetic beads, optimization of the spacer length, concentration of the nucleosomes on graphene grids, data collection and analysis, including their new DUSTER method to filter-out low signal particles. This tour de force methodology should facilitate considering of MagIC-CryoEM by other electron microscopists especially for analysis of native nucleosome complexes.

      In pursue of biologically important new structures, the immune-selected H1.8-containing nucleosomes were solved at about 4A resolution; their structure appears to be very similar to the previously determined structure of H1.8-reconstituted nucleosomes. There were no apparent differences between the metaphase and interphase complexes suggesting that the on-dyad and off-dyad positioning does not explain the differences in H1.8 - nucleosome binding. However, they were able to identify and solve complexes of H1.8-GFP with histone chaperone NPM2 in a closed and open conformation providing mechanistic insights for H1-NPM2 binding and the reduced affinity of H1.8 to interphase chromatin as compared to metaphase chromosomes.

      Weaknesses:

      Still, I feel that there are certain limitations and potential artifacts resulting from formaldehyde fixation, use of bacterial-expressed recombinant H1.8-GFP, and potential effects of magnetic beads and/or spacer on protein structure, that should be more explicitly discussed. 

      We thank the reviewer for recognizing the significance of our methods and for constructive comments. To respond to the reviewer's criticism, we revised the “Limitation of the study” section (page 12, line 420) as indicated by the underlines below.

      “While MagIC-cryo-EM is envisioned as a versatile approach suitable for various biomolecules from diverse sources, including cultured cells and tissues, it has thus far been tested only with H1.8-bound nucleosome and H1.8-bound NPM2, both using antiGFP nanobodies to isolate GFP-tagged H1.8 from chromosomes assembled in Xenopus egg extracts after pre-fractionation of chromatin. To apply MagIC-cryo-EM for the other targets, the following factors must be considered: 1) Pre-fractionation. This step (e.g., density gradient or gel filtration) may be necessary to enrich the target protein in a specific complex from other diverse forms (such as monomeric forms, subcomplexes, and protein aggregates). 2) Avoiding bead aggregation. Beads may be clustered by targets (if the target complex contains multiple affinity tags or is aggregated), nonspecific binders, and the target capture modules. To directly apply antibodies that recognize the native targets and specific modifications, optimization to avoid bead aggregation will be important. 3) Stabilizing complexes. The target complexes must be stable during the sample preparation. Crosslink was necessary for the H1.8-GFP-bound nucleosome. 4) Loading the optimum number of targets on the bead. The optimal number of particles per bead differs depending on target sizes, as larger targets are more likely to overlap. For H1.8-GFP-bound nucleosomes, 500 to 2,000 particles per bead were optimal. We expect that fewer particles should be coated for larger targets.”

      We would like to note that while the use of bacterially expressed GFP-tagged H1.8 and MagIC-cryo-EM may potentially influence the structure of the H1.8-bound nucleosome, the structures of GFP-tagged H1.8-bound nucleosomes isolated from chromosomes assembled in Xenopus egg extract are essentially identical to the endogenous H1.8bound nucleosome structure we previously determined. In addition, we have shown that GFP-H1.8 was able to replace the function of endogenous H1.8 to support the proper mitotic chromosome length (Fig. S3), which is based on the capacity of H1.8 to compete with condensin as we have previously demonstrated (PMID 34406118). Therefore, we believe that the effects of GFP-tagging to be minimal. This point incorporated into the main result section (page 6, line 215) to read as “The structures of GFP-tagged H1.8bound nucleosomes isolated from Xenopus egg extract chromosomes are essentially identical to the endogenous H1.8-bound nucleosome structure we previously determined. Therefore, although the usage of GFP-tagged H1.8 and MagIC-cryo-EM potentially influence the structure of the H1.8-bound nucleosome, we consider these influences to be minimal.”

      Also, the GFP-pulled down H1.8 nucleosomes should be better characterized biochemically to determine the actual linker DNA lengths (which are known to have a strong effect of linker histone affinity) and presence or absence of other factors such as HMG proteins that may compete with linker histones and cause the multiplicity of nucleosome structural classes (such as shown on Fig. 3F) for which the association with H1.8 is uncertain.

      We addressed the concerns brought by the reviewer as following:

      (1) DNA length

      As the reviewer correctly pointed out, linker DNA length is critical for linker histone binding, and conventional ChIP protocols often result in DNA over-digestion to lengths of 140–150 bp. To minimize DNA over-digestion and structural damage, we have optimized a gentle chromosomal nucleosome purification protocol that enabled the cryoEM analysis of chromosomal nucleosomes (PMID: 34478647). This protocol involves DNA digestion with a minimal amount of MNase at 4ºC, producing nucleosomal DNA fragments of 180–200 bp. Additionally, before each chromatin extraction, we performed small-scale MNase assays to ensure that the DNA lengths consistently fell within the 180–200 bp range (Fig. S4B). These DNA lengths are sufficient for linker histone H1 binding, in agreement with previous findings indicating that >170 bp is adequate for linker histone association (PMID: 26212454). 

      This information has been incorporated into the main text and Methods section; 

      On page 5, line 178, the sentence was added to read, “To prevent dissociation of H1.8 from nucleosomes during DNA fragmentation, the MNase concentration and the reaction time were optimized to generate DNA fragment lengths with 180–200 bp (Fig. S4B), which is adequate for linker histone association (PMID 26212454).”

      On page 32, line 1192, the sentence was added to read, “To digest chromatin, MNase concentration and reaction time were tested on a small scale and optimized to the condition that produces 180-200 bp DNA fragments.”

      (2) Co-associated proteins with H1-GFP nucleosome.

      We now include mass spectrometry (MS) data for the proteins in the sucrose density gradient fraction 5 used for MagIC-cryo-EM analysis of GFP-H1.8-bound chromatin proteins as well as MS of proteins isolated with the corresponding MagIC-cryo-EM beads (Table S2 and updated Table S5). As the reviewer expected, HMG proteins (hmga2.L and hmga2.S in Table S2) were present in interphase sucrose gradient fraction 5, but their levels were less than 2% of H1.8. Accordingly, none of the known chromatin proteins besides histones and the nucleoplasmin were detected by MS in the GFP-nanobody MagIC-cryo-EM beads, including the FACT complex and PCNA, whose levels in the sucrose fraction were comparable to H1.8 (Table S2), suggesting that our MagIC-cryo-EM analysis was not meaningfully affected by HMG proteins and other chromatin proteins. Consistent with our interpretation, the structural features of H1.8bound nucleosomes isolated from interphase and metaphase chromosomes were essentially identical.

      Reviewer #2 (Public review):

      Summary:

      The authors present a straightforward and convincing demonstration of a reagent and workflow that they collectively term "MagIC-cryo-EM", in which magnetic nanobeads combined with affinity linkers are used to specifically immobilize and locally concentrate complexes that contain a protein-of-interest. As a proof of concept, they localize, image, and reconstruct H1.8-bound nucleosomes reconstructed from frog egg extracts. The authors additionally devised an image-processing workflow termed "DuSTER", which increases the true positive detections of the partially ordered NPM2 complex. The analysis of the NPM2 complex {plus minus} H1.8 was challenging because only ~60 kDa of protein mass was ordered. Overall, single-particle cryo-EM practitioners should find this study useful.

      Strengths:

      The rationale is very logical and the data are convincing.

      Weaknesses:

      I have seen an earlier version of this study at a conference. The conference presentation was much easier to follow than the current manuscript. It is as if this manuscript had undergone review at another journal and includes additional experiments to satisfy previous reviewers. Specifically, the NPM2 results don't seem to add much to the main story (MagIC-cryo-EM), and read more like an addendum. The authors could probably publish the NPM2 results separately, which would make the core MagIC results (sans DusTER) easier to read.

      We thank the reviewer for constructive comments. We regret to realize that the last portion of the result section, where we have described a detailed analysis of NPM2 structures, was erroneously omitted from the submission due to MS Word's formatting error. We hope that the inclusion of this section will justify the inclusion of the NPM2 analysis. Specifically, we decided to include NPM2 structures to demonstrate that our method successfully determined the structure that had never been reported. Conformational changes in the NPM family have been proposed in previous studies using techniques such as NMR, negative stain EM, and simulations, and these changes are thought to play a critical role in regulating NPM function (PMID: 25772360, 36220893, 38571760), but there has been a confusion in the literature, for example, on the substrate binding site and on whether NPM2 recognizes the substrate as a pentamer or decamer. Despite their low resolution, our new cryo-EM structures of NPM2 suggest that NPM2 recognizes the substrate as a pentamer, identifies potential substrate-binding sites, and indicates the mechanisms underlying NPM2 conformational changes. We believe that publishing these results will provide valuable insights into the NPM research field and help guide and inspire further investigations.

      Reviewer #3 (Public review):

      Summary:

      In this paper, Arimura et al report a new method, termed MagIC-Cryo-EM, which refers to the method of using magnetic beads to capture specific proteins out of a lysate via, followed immunoprecipitation and deposition on EM grids. The so-enriched proteins can be analzyed structurally. Importantly, the nanoparticles are further functionalized with protein-based spacers, to avoid a distorted halo around the particles. This is a very elegant approach and allows the resolution of the stucture of small amounts of native proteins at atomistic resolution.

      Here, the authors apply this method to study the chromatosome formation from nucleosomes and the oocyte-specific linker histone H1.8. This allows them to resolve H1.8-containing chromatomosomes from oocyte extract in both interphase and metaphase conditions at 4.3 A resolution, which reveal a common structure with H1 placed right at the dyad and contacting both entry-and exit linker DNA.

      They then investigate the origin of H1.8 loss during interphase. They identify a nonnucleosomal H1.8-containing complex from interphase preparations. To resolve its structure, the authors develop a protocol (DuSTER) to exclude particles with ambiguous center, revealing particles with five-fold symmetry, that matches the chaperone NPM2. MS and WB confirms that the protein is present in interphase samples but not metaphase. The authors further separate two isoforms, an open and closed form that coexist. Additional densities in the open form suggest that this might be bound H1.8.

      Strengths:

      Together this is an important addition to the suite of cryoEM methods, with broad applications. The authors demonstrate the method using interesting applications, showing that the methods work and they can get high resolution structures from nucleosomes in complex with H1 from native environments.

      Weaknesses:

      The structures of the NPM2 chaperone is less well resolved, and some of the interpretation in this part seems only weakly justified.

      We thank the reviewer for recognizing the significance of our methods and for constructive comments. We regret to realize that the last portion of the result section where we have described detailed analysis of NPM2 structures was erroneously omitted from the submission due to the MS word's formatting error. We hope that inclusion of this section will justify the inclusion of NPM2 analysis. Specifically, we agree that our NPM2 structures are low-resolution and that our interpretations may be revised as higher-resolution structures become available, although we believe that publishing these results will provide valuable insights into the NPM research field and also will illustrate the power of MagIC-cryo-EM and DuSTER. To respond to this criticism, the revised manuscript now clearly describes the limitations of our NPM2 structures while highlighting the key insights. In page 12 line 452, the sentence was added to read, “While DuSTER enables the structural analysis of NPM2 co-isolated with H1.8-GFP, the resulting map quality is modest, and the reported numerical resolution may be overestimated. Furthermore, only partial density for H1.8 is observed. Although structural analysis of small proteins is inherently challenging, it is possible that halo-like scattering further hinder high-resolution structural determination by reducing the S/N ratio. More detailed structural analyses of the NPM2-substrate complex will be addressed in future studies.

      Reviewer #1 (Recommendations for the authors): 

      (1) To assess the advantage provided by the new technique for imaging of isolated pure or enriched fractions of native chromatin, the nucleosome structure analysis should be matched by a proper biochemical characterization of the isolated nucleosomes. Nucleosome DNA size is known to greatly affect linker histone affinity and additional proteins like HMG may compete with linker histone for binding. SDS-PAGE of the sucrose gradient fractions (Fig. 3E) shows many nonhistone proteins where H1-GFP appears to be a minor component. However, the gradient fractions contain both bound and unbound proteins. I would suggest that a larger-scale pull-down using the same GFP antibodies and streptavidin beads should be conducted and the captured nucleosome DNA and proteins characterized. 

      We addressed the concerns brought by the reviewer as following:

      (1) DNA length

      As the reviewer correctly pointed out, linker DNA length is critical for linker histone binding, and conventional ChIP protocols often result in DNA over-digestion to lengths of 140–150 bp. To minimize DNA over-digestion and structural damage, we have optimized a gentle chromosomal nucleosome purification protocol that enabled the cryoEM analysis of chromosomal nucleosomes (PMID: 34478647). This protocol involves DNA digestion with a minimal amount of MNase at 4ºC, producing nucleosomal DNA fragments of 180–200 bp. Additionally, before each chromatin extraction, we performed small-scale MNase assays to ensure that the DNA lengths consistently fell within the 180–200 bp range (Fig. S4B). These DNA lengths are sufficient for linker histone H1 binding, in agreement with previous findings indicating that >170 bp is adequate for linker histone association (PMID: 26212454). 

      This information has been incorporated into the main text and Methods section. 

      On page 5, line 178, the sentence was added to read, “To prevent dissociation of H1.8 from nucleosomes during DNA fragmentation, the MNase concentration and the reaction time were optimized to generate DNA fragment lengths with 180–200 bp (Fig. S4B), which is adequate for linker histone association (PMID 26212454).”

      On page 32, line 1192, the sentence was added to read, “To digest chromatin, MNase concentration and reaction time were tested on a small scale and optimized to the condition that produces 180-200 bp DNA fragments.”

      (2) Co-associated proteins with H1-GFP nucleosome.

      We now include mass spectrometry (MS) data for the proteins in the sucrose density gradient fraction 5 used for MagIC-cryo-EM analysis of GFP-H1.8-bound chromatin proteins as well as MS of proteins isolated with the corresponding MagIC-cryo-EM beads (Table S2 and updated Table S5). As the reviewer expected, HMG proteins (hmga2.L and hmga2.S in Table S2) were present in interphase sucrose gradient fraction 5, but their levels were less than 2% of H1.8. Accordingly, none of known chromatin proteins besides histones and the nucleoplasmin were detected by MS in the GFP-nanobody MagIC-cryo-EM beads, including the FACT complex and PCNA, whose levels in the sucrose fraction were comparable to H1.8 (Table S2), suggesting that our MagIC-cryo-EM analysis was not meaningfully affected by HMG proteins and other chromatin proteins. Consistent with our interpretation, the structural features of H1.8bound nucleosomes isolated from interphase and metaphase chromosomes were essentially identical.

      (2) A similar pull-down analysis with quantitation of NPM2 and GFP (in addition to analysis of sucrose gradient fractions) should be conducted to show whether the immune-selected particles do indeed contains a stoichiometric complex of H1.8 with NPM2.  

      Proteins isolated using MagIC-cryo-EM beads were identified through mass spectrometry (Fig. 4D). The MS signal suggests that the molar ratio of NPM2 is higher than that of H1.8 or sfGFP. This observation is consistent with the idea that an NPM2 pentamer can bind between one and five H1.8-GFP molecules.

      (3) The use of recombinant, bacterial produced H1.8- GFP and just one type of antibodies (GFP) are certain limitations of this work. These limitations as well as future steps needed to use antibodies specific for native antigens, such as histone variants and epigenetic modifications should be discussed.  

      We clarified these points in the “Limitation of the study” section (page 12, line 420). The revised sections are indicated by the underlines below.

      “While MagIC-cryo-EM is envisioned as a versatile approach suitable for various biomolecules from diverse sources, including cultured cells and tissues, it has thus far been tested only with H1.8-bound nucleosome and H1.8-bound NPM2, both using antiGFP nanobodies to isolate GFP-tagged H1.8 from chromosomes assembled in

      Xenopus egg extracts after pre-fractionation of chromatin. To apply MagIC-cryo-EM for the other targets, the following factors must be considered: 1) Pre-fractionation. This step (e.g., density gradient or gel filtration) may be necessary to enrich the target protein in a specific complex from other diverse forms (such as monomeric forms, subcomplexes, and protein aggregates). 2) Avoiding bead aggregation. Beads may be clustered by targets (if the target complex contains multiple affinity tags or is aggregated), nonspecific binders, and the target capture modules. To directly apply antibodies that recognize the native targets and specific modifications, optimization to avoid bead aggregation will be important. 3) Stabilizing complexes. The target complexes must be stable during the sample preparation. Crosslink was necessary for the H1.8-GFP-bound nucleosome. 4) Loading the optimum number of targets on the bead. The optimal number of particles per bead differs depending on target sizes, as larger targets are more likely to overlap. For H1.8-GFP-bound nucleosomes, 500 to 2,000 particles per bead were optimal. We expect that fewer particles should be coated for larger targets.”

      Reviewer #2 (Recommendations for the authors):  

      General: 

      Figures: Most of the figures have tiny text and schematic items (like Fig. 2B). To save readers from having to enlarge the paper on their computer screen, consider enlarging the smallest text & figure panels. 

      We enlarged the text in the main figures.

      Is it possible that the MagIC method also keeps more particles "submerged", i.e., away from the air:water interface? Does MagIC change the orientation distribution?  

      In theory, the preferred orientation bias should be reduced in MagIC-cryo-EM, as particles are submerged, and the bias is thought to arise from particle accumulation at the air-water interface. However, while the preferred orientation appears to be mitigated, the issue is not completely resolved, as demonstrated in Author response image 1.

      Author response image 1.

      A possible explanation for the remaining preferred orientation bias in MagIC-cryo-EM data is that many particles are localized on graphene-water interfaces.

      Consider adding a safety note to warn about possible pinching injuries when handling neodymium magnets. 

      This is a good idea. We added a sentence in the method section (page 24, line 878), “The two pieces of strong neodymium magnets have to be handled carefully as magnets can leap and slam together from several feet apart.”

      In the methods section, the authors state that the grids were incubated on magnets, followed by blotting and plunge freezing in the Vitrobot. Presumably, the blotting was performed in the absence of magnets. The authors may want to clarify this in the text. If so, can the authors speculate how the magnet-treated beads are better retained on the grids during blotting? Is it due to the induced aggregation and/or deposition of the nanobeads on the grid surface? 

      In the limitation section (page 12 line 446), the sentence was added to read:

      “The efficiency of magnetic bead capture can be further improved. In the current MagICcryo-EM workflow, the cryo-EM grid is incubated on a magnet before being transferred to the Vitrobot for vitrification. However, since the Vitrobot cannot accommodate a strong magnet, the vitrification step occurs without the magnetic force, potentially resulting in bead loss. This limitation could be addressed by developing a new plunge freezer capable of maintaining magnetic force during vitrification.”

      In the method section (page 27 line 993), the sentence was modified. The revised sections are indicated by underlines.

      “The grid was then incubated on the 40 x 20 mm N52 neodymium disc magnets for 5 min within an in-house high-humidity chamber to facilitate magnetic bead capture. Once the capture was complete, the tweezers anchoring the grid were transferred and attached to the Vitrobot Mark IV (FEI), and the grid was vitrified by employing a 2second blotting time at room temperature under conditions of 100% humidity.”

      Do you see an extra density corresponding to the GFP in your averages?  

      Since GFP is connected to H1.8 via a flexible linker, the GFP structure was observed in complex with the anti-GFP nanobody, separate from the H1.8-nucleosome and H1.8NPM2 complexes, as shown in Fig. S10.

      Fig. 5 & Fig. S11: The reported resolutions for NPM2 averages were ~5Å but the densities appear - to my eyes - to resemble a lower-resolution averages.  

      Although DuSTER enables the 3D structural determination of NPM2 co-isolated with H1-GFP, we recognize that the quality of the NPM2 map falls short of the standard expected for a typical 5 Å-resolution map. To appropriately convey the quality of the NPM2 maps, we have included the 3D FSC and local resolution map of the NPM2 structure (new Fig. S12). Furthermore, we have revised the manuscript to deemphasize the resolution of the NPM2 structure to avoid any potential misinterpretation.

      Fig. 5D: The cartoon says: "less H1.8 on interphase nucleosome" and "more H1.8 on metaphase nucleosome". Please help the readers understand this conclusion with the gel in Fig. 3C and the population histograms in Fig. 3F. 

      As depicted in Fig. 3A, we previously identified the preferential binding of H1.8 to metaphase nucleosomes (PMID: 34478647). In this study, to obtain sufficient H1.8bound nucleosomes for MagIC-cryo-EM, we used 2.5 times more starting material for interphase samples compared to M-phase samples. This discrepancy complicates the comparison of H1-GFP binding ratios in western blots. However, in GelCode<sup>TM</sup> Blue staining (Fig. S4A), where both H1-GFP and histone bands are visible, the preferential binding of H1.8 to metaphase nucleosomes can be observed (See fractions 11 in interphase and metaphase).

      Abstract - that removes low signal-to-noise ratio particles -> to exclude low signal-tonoise ratio particles; The term "exclude" is more accurate and is in the DuSTER acronym itself. 

      We edited it accordingly. 

      P1 - to reduce sample volume/concentration -> to lower the sample volume/concentration needed 

      We edited it accordingly.

      P1 - Flow from 1st to 2nd paragraph could be improved. It's abrupt. Maybe say that some forms of nucleoprotein complexes are rare, with one example being H1.8-bound nucleosomes in interphase chromatin? 

      We have revised the text to address the challenges involved in the structural characterization of native chromatin-associated protein complexes. The revised text reads, “Structural characterization of native chromatin-associated protein complexes is particularly challenging due to their heterogeneity and scarcity: more than 300 proteins directly bind to the histone core surface, while each of these proteins is targeted to only a fraction of nucleosomes in chromatin.”

      P2 - interacts both sides of the linker DNA -> interacts with both the entry and exit linker DNA 

      We have edited it accordingly.

      P2 - "from the chromatin sample isolated from metaphase chromosomes but not from interphase chromosomes" - meaning that the interphase nucleosomes don't have H1.8 densities at all, or that they do, but the H1.8 only interacts with one of the two linker DNAs? 

      In our original attempt to analyze nucleosome structures assembled in Xenopus egg extracts without MagIC-cryo-EM, we were not able to detect the density confidently assigned to H1.8 in interphase chromatin samples. To avoid potential confusion, the revised text reads, “We were able to resolve the 3D structure of the H1.8-bound nucleosome isolated from metaphase chromosomes but not from interphase chromosomes(3). The resolved structure indicated that H1.8 in metaphase is most stably bound to the nucleosome at the on-dyad position, in which H1 interacts with both the entry and exit linker DNAs(21–24). This stable H1 association to the nucleosome in metaphase likely reflects its role in controlling the size and the shape of mitotic chromosomes through limiting chromatin accessibility of condensins(25), but it remains unclear why H1.8 binding to the nucleosome in interphase is less stable. Since the low abundance of H1.8-bound nucleosomes in interphase chromatin might have prevented us from determining their structure, we sought to solve this issue by enriching H1.8bound nucleoprotein complexes through adapting ChIP-based methods.”

      P1, P2 - The logical leap from "by adapting ChIP-based methods" to MagIC is not clear. 

      We addressed this point by revising the text as shown above.

      P2 - "Intense halo-like noise" - This is an awkward term. These are probably the Fresnel fringes that arise from underfocus. I wouldn't call this phenomenon "noise". https://www.jeol.com/words/emterms/20121023.093457.php  

      We re-phrased it as “halo-like scattering”.

      P3 -It may help readers to explain how cryo-EM structures of the H1.8-associated interphase nucleosomes would differentiate from the two models in Fig. 3A.  

      We have revised the introduction section (lines 43~75), including the corresponding paragraph to address the comments above, highlighting the motivation behind determining the structures of interphase and metaphase H1.8-associated nucleosomes. We hope the revisions are now clear.

      P6 - "they were masked by background noise from the ice, graphene". I thought that graphene would be contribute minimal noise because it is only one-carbon-layer thick? 

      That is a valid point. We have removed the term ‘graphene’ from the sentence.

      P6 - What was the rationale to focus on particles with 60 - 80Å dimensions? 

      We observed that 60–80 Å particles were captured by MagIC-cryo-EM beads, as numerous particles of this size were clearly visible in the motion-corrected micrographs surrounding the beads. To clarify this, we revised the sentence to read: 'Topaz successfully picked most of the 60–80 Å particles visible in the motion-corrected micrographs and enriched around the MagIC-cryo-EM beads (Figure S6A).

      P7 - Please explain a technical detail about DuSTER: do independent runs of Topaz picks give particle centers than differ by up to ~40Å or is it that 2D classification gives particle centers that differ by up to ~40Å? Is it possible to distinguish these two possibilities by initializing CryoSPARC on two independent 2D classification jobs on the same set of Topaz picks?  

      Due to the small particle size of NPM2, the former type is predominantly generated when Topaz fails to pick the particles reproducibly. The first cycle of DuSTER removes both former-type particles (irreproducibly picked particles) and latter-type particles (irreproducibly centered particles), while subsequent cycles specifically target and remove the latter type. We have added the following sentence to clarify this (page 7, line 249). The revised sections are indicated by underlines below: “To assess the reproducibility of the particle recentering during 2D classification, two independent particle pickings were conducted by Topaz so that each particle on the grid has up to two picked points (Figure 4A, second left panel). Some particles that only have one picked point will be removed in a later step. These picked points were independently subjected to 2D classification. After recentering the picked points by 2D classification, distances (D) between recentered points from the first picking process and other recentered points from the second picking process were measured. DuSTER keeps recentered points whose D are shorter than a threshold distance (D<sub>TH</sub>). By setting D<sub>TH</sub> = 20 Å, 2D classification results were dramatically improved in this sample; a five-petal flower-shaped 2D class was reconstructed (Figure 4B). This step also removes the particles that only have one picked point.“

      P8 - NPM2 was introduced rather abruptly (it was used as an initial model for 3D refinement). I see NPM2 appear in the supplemental figures cited before the text in P8, but the significance of NPM2 was not discussed there. The authors seem to have made a logical leap that is not explained. 

      We have removed the term NPM2 in P8.

      P9 - "extra cryo-EM densities, which likely represent H1." This statement would be better supported if the resolution of the reconstruction was high enough to resolve H1specific amino acids in the "extra densities" protruding from the petals. 

      We concurred and softened the statement to read “extra cryo-EM densities, which may represent H1.8,”

      P9 - "Notably, extra cryo-EM densities, which likely represent H1.8, are clearly observed in the open form but much less in the closed form near the acidic surface regions proximal to the N terminus of beta-1 and the C terminus of beta-8 (Fig. 5A and 5B)."  It would be helpful to point out where the "extra densities" are in the figure for the open and closed form. Some readers may not be able to extrapolate from the single red arrow to the other extra densities. 

      Thank you for your comment. We have pointed out the density in the Fig 5A as well.

      P9 - "Supporting this idea, the acidic tract A1 (aa 36-40) and A2 (aa 120-140) are both implicated in the recognition of basic substrates such as core histones..."  Did this sentence get cut off in the next column?  

      We apologize for our oversight on this error. Due to an MS Word formatting error, the sentences (lines 316–343) were hidden beneath a figure. We have retrieved the missing sentences:

      “Supporting this idea, the acidic tract A1 (aa 36-40) and A2 (aa 120-140), which are both implicated in recognition of basic substrates such as core histones(43,50), respectively interact with and are adjacent to the putative H1.8 density (Figure 5B). In addition, the NPM2 surface that is in direct contact with the putative H1.8 density is accessible in the open form while it is internalized in the closed form (Figure 5C). This structural change of NPM2 may support more rigid binding of H1.8 to the open NPM2, whereas H1.8 binding to the closed form is less stable and likely occurs through interactions with the C-terminal A2 and A3 tracts, which are not visible in our cryo-EM structures.

      In the aforementioned NPM2-H1.8 structures, for which we applied C5 symmetry during the 3D structure reconstruction, only a partial H1.8 density could be seen (Figure 5B). One possibility is that H1.8 structure in NPM2-H1.8 does not follow C5 symmetry. As the size of the NPM2-H1.8 complex estimated from sucrose gradient elution volume is consistent with pentameric NPM2 binding to a single H1.8 (Figure 3C and Table S3), applying C5 symmetry during structural reconstruction likely blurred the density of the monomeric H1.8 that binds to the NPM2 pentamer. The structural determination of NPM2-H1.8 without applying C5 symmetry lowered the overall resolution but visualized multiple structural variants of the NPM2 protomer with different degrees of openness coexisting within a NPM2-H1.8 complex (Figure S14), raising a possibility that opening of a portion of the NPM2 pentamer may affect modes of H1.8 binding. Although more detailed structural analyses of the NPM2-substrate complex are subject of future studies, MagIC-cryo-EM and DuSTER revealed structural changes of NPM2 that was co-isolated H1.8 on interphase chromosomes.

      Discussion 

      MagIC-cryo-EM offers sub-nanometer resolution structural determination using a heterogeneous sample that contains the target molecule at 1~2 nM, which is approximately 100 to 1000 times lower than the concentration required for conventional cryo-EM methods, including affinity grid approach(9–11).”

      Reviewer #3 (Recommendations for the authors):  

      All with regards to the NPM2 part: 

      It would be great if the authors could provide micrographs where the particles are visible, in addition to the classes. 

      The particles on the motion-corrected micrographs are available in Fig S9.

      Also, the angular distribution in the SI looks very uniform. 

      I also wonder, if the authors could indicate the local resolution for all structures. 

      Could the authors provide the 3D FSC for NPM2?  

      Although DuSTER enables the 3D structural determination of NPM2 co-isolated with H1-GFP, we recognize that the quality of the NPM2 map falls short of the standard expected for a typical 5 Å resolution map. To appropriately convey the quality of the NPM2 maps, we have included the 3D FSC and local resolution map of the NPM2 structure (new Fig. S12).

      I really cannot see a difference between the open and closed forms. Looking at the models, I am skeptical that the authors can differentiate the two forms with the available resolution. Could they provide statistics that support their assignments? 

      To better highlight the structural differences between the two forms, we added a new figure to compare the maps between open and closed forms (Fig S12J-K).

      Also, the 'additional density' representing H1.8 in the NPM2 structures - I cannot see it. 

      We pointed out the density with the red arrow in the revised Fig 5A.

      Minor comments: 

      Something is missing at the end of Results, just before the beginning of the Discussion.  The figure legend for Fig. S12 is truncated, so it is unclear what is going on 

      We apologize for our oversight on this error. Due to an MS Word formatting error, the sentences (lines 316–343) were hidden beneath a figure. We have retrieved the missing sentences:

      “Supporting this idea, the acidic tract A1 (aa 36-40) and A2 (aa 120-140), which are both implicated in recognition of basic substrates such as core histones(43,50), respectively interact with and are adjacent to the putative H1.8 density (Figure 5B). In addition, the NPM2 surface that is in direct contact with the putative H1.8 density is accessible in the open form while it is internalized in the closed form (Figure 5C). This structural change of NPM2 may support more rigid binding of H1.8 to the open NPM2, whereas H1.8 binding to the closed form is less stable and likely occurs through interactions with the C-terminal A2 and A3 tracts, which are not visible in our cryo-EM structures.

      In the aforementioned NPM2-H1.8 structures, for which we applied C5 symmetry during the 3D structure reconstruction, only a partial H1.8 density could be seen (Figure 5B). One possibility is that H1.8 structure in NPM2-H1.8 does not follow C5 symmetry. As the size of the NPM2-H1.8 complex estimated from sucrose gradient elution volume is consistent with pentameric NPM2 binding to a single H1.8 (Figure 3C and Table S2), applying C5 symmetry during structural reconstruction likely blurred the density of the monomeric H1.8 that binds to the NPM2 pentamer. The structural determination of NPM2-H1.8 without applying C5 symmetry lowered the overall resolution but visualized multiple structural variants of the NPM2 protomer with different degrees of openness coexisting within a NPM2-H1.8 complex (Figure S14), raising a possibility that opening of a portion of the NPM2 pentamer may affect modes of H1.8 binding. Although more detailed structural analyses of the NPM2-substrate complex are subject of future studies, MagIC-cryo-EM and DuSTER revealed structural changes of NPM2 that was co-isolated H1.8 on interphase chromosomes.

      Discussion 

      MagIC-cryo-EM offers sub-nanometer resolution structural determination using a heterogeneous sample that contains the target molecule at 1~2 nM, which is approximately 100 to 1000 times lower than the concentration required for conventional cryo-EM methods, including affinity grid approach(9–11).”

      Figure S13: I am not sure how robust these assignments are at this low resolution. Are these real structures or classification artifacts? It feels very optimistic to interpret these structures  

      We agree that our NPM2 structures are low-resolution and that our interpretations may be revised as higher-resolution structures become available, although we believe that publishing these results will provide valuable insights into the NPM research field and also will illustrate the power of MagIC-cryo-EM and DuSTER. Conformational changes in the NPM family have been proposed in previous studies using techniques such as NMR, negative stain EM, and simulations, and these changes are thought to play a critical role in regulating NPM function (PMID: 25772360, 36220893, 38571760), but there has been a confusion in the literature, for example, on the substrate binding site and on whether NPM2 recognizes the substrate as a pentamer or decamer. Despite their low resolution, our new cryo-EM structures of NPM2 suggest that NPM2 recognizes the substrate as a pentamer, identify potential substrate-binding sites, and indicate the mechanisms underlying NPM2 conformational changes. We believe that publishing these results will provide valuable insights into the NPM research field and help guide and inspire further investigations. 

      To respond to this criticism, we have revised the manuscript to clearly describe the limitations of our NPM2 structures while highlighting the key insights. On page 12, line 452, the sentence was added to read, “While DuSTER enables the structural analysis of NPM2 co-isolated with H1.8-GFP, the resulting map quality is modest, and the reported numerical resolution may be overestimated. Furthermore, only partial density for H1.8 is observed. Although structural analysis of small proteins is inherently challenging, it is possible that halo-like scattering further hinders high-resolution structural determination by reducing the S/N ratio. More detailed structural analyses of the NPM2-substrate complex will be addressed in future studies.”

    1. Author response:

      The following is the authors’ response to the original reviews.

      Response to Reviews

      All reviewers were positive about the rigor and impact of our work and offered a number of very helpful suggestions. We have done a number of suggested experiments, whose results have been added to the revision. We have also used their suggestions to improve the clarity and precision with which we describe and interpret our results.

      Reviewer 1 found the paper to be clearly written, with novel results, and the conclusions relevant and solid. This review offered many insights and thoughtful suggestions, which we have adopted to greatly improve the manuscript. The referee’s points are listed below with our responses.

      The study chooses to examine growth only in the prospective wing blade (the "pouch") rather than the wing disc as a whole. This can create biases, as fat and ds manipulations often cause stronger effects on growth, and on Hippo signaling targets, in the adjacent hinge regions of the disc. So I am curious about this choice. 

      Actually, several experiments described in the manuscript measured growth in regions of the wing disc that did not include the pouch (Fig 1 supplement 4). We found that in the second phase of allometric growth, growth of the pouch was greater than growth of the hinge-notum (Fig.1G and Fig 1 supplement 4).  We also looked at the effect of Ds and Fat on growth of the hinge-notum (Fig 4 supplement 1 and Fig 5 supplement 2). Loss of Ds or Fat also affected allometric growth of the pouch differently from their effects on allometric growth of the hinge-notum. We therefore treated analysis of each region independently. Greater focus was given to wing pouch growth because it was in this region that we detected the interesting gradient properties in Fat and Ds expression.

      The limitation to the wing region also creates some problems for the measurements themselves. The division between wing and pouch is not a strict lineage boundary, and thus cells can join or leave this region, creating two different reasons for changes in wing pouch size; growth of cells already in the region, or recruitment of cells into or out of the region. The authors do not discuss the second mechanism.

      We agree with this assessment that pouch growth can occur via lineage-restricted growth or by recruitment of cells into the region. This has now been clarified in the Introduction and the Discussion with discussion of the second mechanism.

      It is not at all clear that the markers for the pouch used by the authors are stable during development. One of these is Vg expression, or the Vg quadrant enhancer. But the Vgexpressing region is thought to increase by recruitment over late second and third instar through a feed-forward mechanism by which Vg-expressing cells induce Vg expression in adjacent cells. In fact, this process is thought to be driven in part by Fat and Ds (Zecca et al 2010). So when the authors manipulate Fat and Ds are they increasing growth or simply increasing Vg recruitment? I would prefer that this limitation be addressed. 

      There is the possibility that the feedforward recruitment of disc cells to express Vg leads to some expansion of the measured pouch domain. However, we argue that the recruitment mechanism may not be contributing significantly to the phenomena we measured in this study. 1) We limited our analysis of pouch growth to the third instar stage. In Fig.2, Zecca and Struhl (2007 doi 10.1242/dev.006411) found that recruitment was much stronger in clones induced at first instar rather than third instar, and so they limited their clonal analysis throughout the paper to first instar induced clones. Thus, it is unclear how much the feedforward recruitment mechanism contributes to pouch growth in the mid-to-late third instar. 2) We detected an effect of Ds and Fat on how rapidly the cell cycle slows down over time in pouch cells. The effect is entirely consistent with it having a causal effect on wing pouch growth. For example, nub>Ds(RNAi) causes the average third instar pouch cell to divide ~25% more rapidly than normal, when comparing the slopes in Figure 6. Note that at the beginning of the third instar, the average pouch cell has a similar doubling time whether lacking Ds or not (Figure 6). When we measured the final size of the wing pouch at the end of the third instar, nub>Ds(RNAi) caused the pouch to be ~30% larger than normal (Figure 5). This effect is quite comparable to the effect of Ds RNAi on cell doubling.

      To provide more rigorous evidence that the effect of Fat and Ds on cell cycle dynamics is primarily responsible for their effects on wing growth that we measured, we have adapted the simple growth modeling framework from Wartlick et al (2011) and fit our cell cycle measurements made for different genotypes. These fits give us estimates for instantaneous cell growth rates over time, and using these estimates, we simulated the theoretical growth trajectory of the entire wing pouch for wildtype and ds / fat RNAi animals. When we compare these model predictions of wing growth to our pouch volume measurements over time, they agree very well with one another. These

      analyses and results are now discussed in the Results and presented in Fig. 6 supplement 2. Overall, it supports a model that Fat and Ds regulate cell cycle dynamics in the wing pouch during third instar and this effect is primarily responsible for Fat and Ds’s effect on overall wing pouch growth in that timeframe. It does not rule out that Fat and Ds might also affect Vg recruitment at third instar, but such effects must be small relative to the primary effect on the cell cycle. It is feasible that Fat and Ds work via the feedforward mechanism at earlier larval stages. We have now discussed all this in detail in the Discussion considering the limitation of recruitment. 

      The second pouch marker the authors use is epithelial folding, but this also has problems, as Fat and Ds manipulations change folding. Even in wild type, the folding patterns are complex. For instance, to make folding fit the Vg-QE pattern at late third the authors appear to be jumping in the dorsal pouch between two different sets of folds (Fig 1S2A). The authors also do not show how they use folding patterns in younger, less folded discs, nor provide evidence that the location of the folds are the same and do not shift relative to the cells. They also do not explain how they use folds and measure at later wpp and bpp stages, as the discs unfold and evert, exposing cells that were previously hidden in the folds.

      The primary marker we used for the pouch boundary were the folds. We agree with the reviewer that our original description of how we defined the pouch boundary using the folds was inadequate. We now have substantially expanded the Methods section describing how we defined the boundary at all stages using the folds, including a supplementary figure (Fig 1 supplement 2). Importantly, in our measurements, we did not exclude the pouch regions within the folds but included them (see also the next point). Our microscopy detected fluorescence in the folds, and surface rendering allowed us to visualize fold structure and its contents. In younger discs with less folding, we defined the boundary by the location of the Wg inner ring. The folds were more prominent in older L3 larval discs and in the WPP and later stages since the wings had not fully everted yet. Therefore, we used accepted morphological definitions of the pouch boundary from the literature to define the boundaries. We were able to do so even though, as the reviewer notes, the fold architecture evolves as the larvae age. We agree with the reviewer that defining a boundary based on morphology could be error prone, especially prone to systematic error based on age. It is the main reason we directly compared the morphologically defined boundaries to boundaries defined by the Vg quadrant expression domain for many wing discs across all ages. As seen in Fig 1 supplement 3C, the two methods are in strong agreement with one another for discs of all ages. There is a slight overestimate of the pouch boundary using the morphological method, but the error is small (2.5%) and independent of disc size.  

      Finally, the authors limit their measurements to cells with exposed apical faces and thus a measurable area but apparently ignore the cells inside the folds. At late third, however, a substantial amount of the prospective wing blade is found within the folds, especially where they are deepest near the A/P compartment boundary. Using the third vein sensory organ precursors as markers, the L3-2 sensillum is found just distal to the fold, the L3-1 and the ACV sensilla are within the fold, and the GSR of the distal hinge is found just proximal to the fold. That puts the proximal half of the central wing blade in the fold, and apparently uncounted in their assays. These cells will however be exposed at wpp and especially bpp stages. How are the authors adjusting for this? 

      We apologize for not describing the methods of measurement thoroughly in the original submission. In fact, we did make measurements of cells located within the folds of the wing pouch at all stages. Z stacks of optical sections were collected that transversed the disc, including the folds. Using surface detection algorithms, we could make spatial measurements (xyz distances and areas) of the material within the folds enveloping the apical pouch. Therefore, we could measure the surface area and volume of the wing pouch that included the folds. This was indeed what we did and reported in the original submission. A much more complete description of the process has now been added to the Methods.

      On the other hand, we could not reliably measure Fat-GFP or Ds-GFP fluorescence intensity in cells deep in the folds due to light scattering. Therefore, we did not assay the entire gradient across the pouch. Of the cells we did measure, we know their relative distance to the center of the pouch, defined as the intersection of the AP and DV boundaries. Therefore, fluorescence intensities could be directly compared across stages since they were calibrated by the centerpoint of the pouch. We have added text to the Methods to clarify this.

      Stabilizing and destabilizing interactions between Fat and Ds- The authors describe a distal accumulation of Fat protein in the wing, and show that this is unlikely to be through Fat transcription. They further try to test whether the distal accumulation depends on destabilization of proximal Fat by proximal Ds by looking at Fat in ds mutant discs. However, the authors do not describe how they take into account the stabilizing effects of heterophilic binding between the extracellular domains (ECDs) of Fat and Ds; without one, the junctional levels and stability of the other is reduced (Ma et al., 2003; Hale et al. 2015). So when they show that the A-P gradient of Fat is reduced in a ds mutant, is this because of the loss of a destabilizing effect of Ds on Fat, as they assume, or is it because all junctional Fat has been destabilized by loss of extracelluarlar binding to Ds? The description of the Fat gradient in Ds mutants is also confusing (see note 6 below), making this section difficult for the reader to follow. 

      We did not intend to imply that Ds actively inhibits Fat. We now describe the implications of the result more clearly in the Results and Discussion with reference to the prior Hale and Ma study of heterophilic stabilization. It is worth noting that Ma et al 2003 saw elevated junctional Fat in ds mutant cells if they were surrounded by other ds mutant cells. This is consistent with our results. We also apologize for the confusion in describing the Fat gradient and have reworded the section in the Results to make it more clear.

      The authors do not propose or test a mechanism for the proposed destabilization. Fat and Ds bind not only through their ECDs, but binding has now also been demonstrated through their ICDs (Fulford et al. 2023)

      We now discuss possible mechanisms in the Discussion and include the Fulford reference in the Results.

      Ds gradient scales by volume, rather than cell number - This is an intriguing result, but the authors do not discuss possible mechanisms.

      We have now added discussion of possible mechanisms in the Discussion.

      Fat and Ds are already known to have autonomous effects on growth and Hippo signaling from clonal analyses and localized knockdowns. One novelty here is showing that localized knockdown does not delay pupariation in the way that whole animal knockdown does, although the mechanism is not investigated. Another novelty is that the authors find stronger wing pouch overgrowth after localized ds RNAi or whole disc loss of fat than after localized fat RNAi, the latter being only 11% larger. The fat RNAi result would have been strengthened by testing different fat RNAi stocks, which vary in their strength and are commonly weaker than null mutations, or stronger drivers such as the ap-gal4 they used for some of their ds-RNAi experiments or use of UAS-dcr2. Another reason for caution is that Garoia (2005) found much stronger overgrowth in fat mutant clones, which were about 75% larger than control clones.

      We thank the reviewer for this suggestion. Indeed, the weak effect of Fat RNAi had been due to the specific RNAi driver. We followed the reviewer’s suggestion and tested other RNAi stocks. We had in hand an RNAi driver against GFP that we had found in unrelated studies to be a very potent repressor of GFP expression. Since we had been using a knock-in allele of GFP inserted in frame to Fat throughout this study, we applied nub>Gal4 UAS-GFP RNAi to knock down homozygous Fat-GFP. The effect of the knockdown was very strong, as measured by residual 488nm fluorescence above background autofluorescence after knockdown. Correcting for background autofluorescence, we estimate that only 4.5% of Fat-GFP remained under RNAi conditions (Figure 5 - figure supplement 3). 

      Using the more potent RNAi reagent, we repeated the various experiments related to

      Fat. We observed a 42% increase in wing pouch growth, which is similar to that of Ds RNAi. We also observed an effect of Fat RNAi on the average cell cycle time of wing pouch cells. There was still a linear coupling between the cell cycle duration and wing pouch size, but the slope of the coupling was smaller with Fat RNAi. This was very similar to what Ds RNAi does to the cell cycle. Therefore, we have replaced the data from the original Fat RNAi experiments with the new data and modified the text throughout the manuscript to describe the new results.

      Flattening of Ds gradient does not slow growth. One model suggests that the flattening of the Ds gradient, and thus polarized Ds-Fat binding, account for slowed growth in older discs. The difficulty in the past has been that two ways of flattening the Ds gradient, either removing Ds or overexpressing Ds uniformly, give opposite results; the first increases growth, while the latter slows it. Both experiments have the problem of not just flattening the gradient, but also altering overall levels of Ds-Fat binding, which will likely alter growth independent of the gradients. Here, the authors instead use overexpression to create a strong Ds gradient (albeit a reversely oriented one) that does not flatten, and show that this does not prevent growth from slowing and arresting.

      To make sure that this is not some effect caused by using a reverse gradient, one might instead induce a more permanent normally oriented Ds gradient and see if this also does not alter growth; there is a ds Trojan gal4 line available that might work for this, and several other proximal drivers.

      Again, we thank the reviewer for this suggestion. We followed the reviewer’s suggestion and generated Trojan-Gal4 mediated overexpression of Ds. The Ds protein gradient was strongly amplified by Trojan-Gal4 but remained normally oriented. However, it only caused a modest (12%) increase in wing pouch volume. It did not significantly alter Fat expression dynamics nor the dynamics of cell cycle duration. This new data has been added to the Results (Fig. 7 and Fig 7 supplement 2) and discussed at length in the text.

      Another possible problem is that, unlike previous studies, the authors have not blocked the Four-jointed gradient; Fj alters Fat-Ds binding and might regulate polarity independently of Ds expression. A definitive test would be to perform the tests above in four-joined mutant discs.

      We examined a fj null mutant (fjp1/d1) and found that it did not alter final wing pouch size (Fig. 2 - figure supplement 3E). Moreover, neither Fat nor Ds expression were altered in the fj mutant (Fig. 2- figure supplement 3C,D). 

      The Discussion of these data should be improved. The authors state in the Discussion "The significance of these dynamics is unclear, but the flattening of the Fat gradient is not a trigger for growth cessation." While the Discussion mentions the effects of Ds on Fat distribution in some detail, this is the only phrase that discusses growth, which is surprising given how often the gradient model of growth control is mentioned elsewhere. The reader would be helped if details are given about what experiment supports this conclusion, the effect on not only growth cessation but cell cycle time, and why the result differs from those of Rogjula 2008 and Willecke 2008 using Ds and Fj overexpression.

      We have rewritten the Discussion to better reflect the results and incorporate the reviewer’s criticisms.

      The authors spend much of the discussion speculating on the possibility that Fat and Ds control growth by changing the wing's sensitivity to the BMP Dpp. As the manuscript contains no new data on Dpp, this is somewhat surprising. The discussion also ignores Schwank (2011), who argues that Fat and Dpp are relatively independent. There have also been studies showing genetic interactions between Fat and signaling pathways such as Wg (Cho and Irvine 2004) and EGF (Garoia 2005).

      We have modified the discussion to be more inclusive of mechanisms connecting Fat and other signaling pathways, and we deleted some of the speculation about Dpp. However, since Dpp is the only known growth factor whose local concentration linearly scales with average cell doubling time (the process we found Ds/Fat regulates), there is a logical connection that readers deserve to know about. Therefore, we have retained some discussion of the hypothesis that the two might be linked through cell cycle duration. It is for future studies to test that hypothesis as it is beyond the scope of this paper.

      That said, there are studies that discount the work of Wartlick’s Dpp model, eg. Schwank et al 2012, arguing that Dpp regulates growth permissively by limiting an antigrowth factor, Brinker. We have added this reference and the others in the Discussion to discuss alternative models where Fat/Ds act in parallel to Dpp. 

      Wpp and Bpp- First, the charts treat wpp as if it is a fixed number of hours after 5 day larvae, but this will not be true in fat and ds mutants with extended larval life. This should be mentioned.

      We have clarified this distinction in the figure legends.

      How are the authors limiting bpp to 1 hr from wpp? Prepupa are brown and lack air bubbles, but that spans 5 hours of disc changes from barely everted to fully wing-like.

      We deliberately chose 1 hour post WPP because we wanted to measure final wing volume with minimal eversion. We agree with the reviewer’s concerns with calling this BPP and we now call it WPP+1  

      "However, growth of the wing pouch ceased at the larva-pupa molt and its size remained constant".

      The transition from late third to wpp shown in the figure is not the pupal molt. Unlike in most insects, in Drosophila the larval cuticle is not molted away, it is remodeled during pupariation into the prepupal case. The pupal cuticle is not formed until 6 hr APF, which is why the initial stages are termed pre-pupal. Also, there is at least one more set of cell divisions that occur in later pupal stages (for instance, see recent work from the Buttitta lab).

      We have changed the reference of pupal molt to larva-prepupal transition throughout the manuscript.

      "In contrast, the notum-hinge exhibited simpler linear-like positive allometric growth (Fig. 1 - figure supplement 3C) 

      This oversimplifies, as there is still a strong inflection after the third time point, albeit not as large as with the wing because there is less notal growth.

      We have reworded the text as suggested. 

      "whereas at the WPP stage, dividing cells were only found in a narrow zone where sensory organ precursor cells undergo two divisions to generate future sensory organs (Fig. 1 - figure supplement 4C-E)."

      While there are more dividing cells at the anterior D/V, which will form sensory bristles, there are also dividing cells elsewhere, including in the posterior and scattered through the pouch, where there are no sensory precursors. Sensory organs are limited to the wing margin and the very few campaniform sensilla found on the prospective third vein. The Sens-GFP shown here, meant to identify sensory precursors, does not look much like the Sens expression in Nolo et al 2000. Anterior is on the left in 1S4A-D, but on the right in E.

      We thank the reviewer for this observation. Indeed, the Sens-GFP signal in the figure is too broad. This was owing to bleed-through of the PHH3 signal. Since the pattern of dividing cells at the WPP stage has been so well characterized in the literature, as has the pattern of Sens+ cells at that stage (ie, Nolo et al 2000), we have removed these panels and now simply cite the relevant literature.  

      "The gradient was asymmetric along the AP axis, being lower at the A margin than the P margin."

      The use of "margin" here is a bit confusing, as the term is usually used to describe the wing margin; that is, the D/V compartment boundary in the disc that forms the edge of the wing. Can the authors use a different term? It would also be helpful to point out that the A and P extremes are also, because of the geometry of the disc, the prospective proximal portions of the wing margin, and the hinge, especially since the authors are including the regions proximal to the most distal fold.

      We have reworded it as suggested.   

      The graphed loss of the Fat A-P gradient between day 5 third and wpp is dramatic. Given that the changes in folding at wpp might alter which cells are being graphed, can the authors show a photo?

      We have now included a photo of Fat-GFP at WPP in Fig 2 - figure supplement 2E.

      "Since Ds levels are highest and most steep near the margins, perhaps Ds inhibits Fat expression in a dose- or gradient-dependent manner. We also followed Fat-GFP dynamics in the ds mutant. We did not observe the progressive flattening of the FatGFP profile to the WPP wing (Fig. 2 - figure supplement 3A). Instead, the Fat-GFP profile was graded at the WPP stage and flattened somewhat more by the BPP stage (Fig. 2 - figure supplement 3B)."

      This description does not tell the reader if there is any less grading of Fat in the ds mutant compared with wild type; instead, it sounds like it is more graded, as gradation continues at wpp. This would then contradict the hypothesis that proximal Ds is required to create the distal Fat gradient.

      The Fat signals for the two genotypes are directly comparable as the samples were imaged together with the same microscope settings.  Fig 2M shows that the Fat gradient is less graded compared to the wildtype. We have reworded the text to make this more clear. But this graded expression persists longer into WPP, not the level of gradation. The reason for this is not understood.

      The figure, on the other hand, looks like Fat is less graded, although as noted above this could instead be caused by loss of the stable Ds-bound Fat normally found at junctions. 

      Fig 2M shows an increase in Fat levels at the proximal regions of the ds mutant pouch, where Ds is normally most concentrated. This makes the overall profile look less graded. 

      Confusingly, in the Discussion the authors state: "Loss of Ds affects the Fat gradient such that distribution of Fat is uniformly upregulated to peak levels." There is no mention of "peak levels" in the Results, and no mention of "graded" expression in the Discussion. I am unclear on how the absolute levels are being determined and would be surprised if there were peak levels after loss of Ds-bound Fat from junctions.

      The absolute levels between the genotypes were determined by carefully calibrated fluorescence of Fat-GFP from samples imaged at the same time with the same settings. We used the word peak to refer to the highest level of Fat-GFP within a given gradient profile. Clearly, the description is confusing and so we have deleted the word and modified the text to clarify the meaning.

      "Interestingly, the reversed Ds gradient caused a change in the Fat gradient (Fig. 7E). Its peak also became skewed to the anterior and did not normally flatten at the WPP stage."

      This result contradicts the author's earlier model that proximal Ds destabilizes Fat. Instead, the result fits the stabilization of Fat caused by binding to endogenous or overexpressed Ds or Ds ECD (Ma et al. 2003; Matakatsu and Blair, 2004; 2006; Hale et al. 2015).

      We agree that the reversed Ds affects Fat differently than the loss-of-function ds phenotype. We were not intending to propose a model based on the ds mutant, but a simple interpretation of the result. The reversed Ds experiment generates on its own a simple interpretation that is not consistent with the other. This speaks to the complexity of the system. We have changed the text in the Results to make this less confusing.

      Reviewer 2 found the paper to provide insights into normal growth of the wing and useful tools for measurement of growth features. This review offered many insights and thoughtful suggestions, which we have adopted to greatly improve the manuscript. The referee’s points are listed below with our responses.

      Although the approach used to measure volume is new to this study, the basic finding that imaginal disc growth slows at the mid-third instar stage has been known for some time from studies that counted disc cell number during larval development (Fain and Stevens, 1982; Graves and Schubiger, 1982). Although these studies did not directly measure disc volume, because cell size in the disc is not known to change during larval development, cell number is an accurate measure of tissue volume. However, it is worth noting that the approach used here does potentially allow for differential growth of different regions of the disc.

      We had cited the older literature in reference to our results. We have now noted the approach’s usefulness in measuring different disc regions such as the pouch.

      Related to point 1, a main conclusion of this study, that cell cycle length scales with growth of the wing, is based on a developmentally limited analysis that is restricted to the mid-third instar larval stage and later (early third instar begins at 72 hr - the authors' analysis started at 84 hr). The previous studies cited above made measurements from the beginning of the 3rd instar and combined them with previous histological analyses of cell numbers starting at the beginning of the 2nd instar. Interestingly, both studies found that cell number increases exponentially from the start of the 2nd instar until mid-third instar, and only after that point does the cell cycle slow resulting in the linear growth reported here. The current study states that growth is linear due to scaling of cell cycle with disc size as though this is a general principle, but from the earlier studies, this is not the case earlier in disc development and instead applies only to the last day of larval life.

      We apologize for not making this distinction clearer in the original manuscript. Indeed, growth is initially exponential and shifts to a more linear-like regime in the mid third instar. Our focus in the manuscript is primarily this latter phase. We have now rewritten the text in the Introduction, Results and Discussion to make this very clear. 

      While cell number and pouch volume increase exponentially from the start of the 2nd instar, the cell cycle already begins to slow down during the 2nd instar, as found with mitotic index measurements done by Wartlick et al 2011. Using their data to model cell cycle duration as a function of pouch area, we find that during the 2nd instar, cell cycle duration also increases as the size of the wing pouch increases. This is shown in the figure (panel C) below. Note that this relationship appears nonlinear and is quantitatively distinct from the relationship for third instar wing growth.

      Author response image 1.

      The analysis of the roles of Fat and Dachsous presented here has weaknesses that should be addressed. It is very curious that the authors found that depletion of Fat by RNAi in the wing blade had essentially no effect on growth while depletion of Dachsous did, given that the loss of function overgrowth phenotype of null mutations in fat is more severe than that of null mutations in dachsous (Matakatsu and Blair, 2006). An obvious possibility is that the Fat RNAi transgene employed in these experiments is not very efficient. The authors tried to address this by doubling the dose of the transgene, but it is not clear to me that this approach is known to be effective. The authors should test other RNAi transgenes and additionally include an analysis of growth of discs from animals homozygous for null alleles, which as they note survive to the late larval stages.

      We thank the reviewer for this suggestion. Indeed, the weak effect of Fat RNAi had been due to the specific RNAi driver. We followed the reviewer’s suggestion and tested other RNAi stocks. We had in hand an RNAi driver against GFP that we had found in unrelated studies to be a very potent repressor of GFP expression. Since we had been using a knock-in allele of GFP inserted in frame to Fat throughout this study, we applied nub>Gal4 UAS-GFP RNAi to knock down homozygous Fat-GFP. The effect of the knockdown was very strong, as measured by remaining 488nm fluorescence above background fluorescence after knockdown. Correcting for background fluorescence, we estimated that only 4.5% of Fat-GFP remained under RNAi conditions (Figure 5 - figure supplement 3). 

      Using the more potent RNAi reagent, we repeated the various experiments related to Fat. We observed a 42% increase in wing pouch growth, which is similar to that of Ds RNAi. We also observed an effect of Fat RNAi on the average cell cycle time of wing pouch cells. There was still a linear coupling between the cell cycle duration and wing pouch size, but the slope of the coupling was smaller with Fat RNAi. This was very similar to what Ds RNAi does to the cell cycle. Therefore, we have replaced the data from the original Fat RNAi experiments with the new data and modified the text throughout the manuscript to describe the new results.

      It is surprising that the authors detect a gradient of Fat expression that has not been seen previously given that this protein has been extensively studied. It is also surprising that they find that expression of Nubbin Gal4 is graded across the wing blade given that previous studies indicate that it is uniform (ie. Martín et al. 2004). These two surprising findings raise the possibility that the quantification of fluorescence could be inaccurate. The curvature of the wing blade makes it a challenging tissue to image, particularly for quantitative measurements.

      Fat protein expression not being uniform has been observed before but not carefully quantified (see Mao et al., 2009, Strutt and Strutt 2002).  Martin et al. 2004 (doi 10.1242/dev.013) claimed that Nub-Gal4 is uniform without actually measuring it. Please consult Fig 1A and 2A in their paper, which clearly shows stronger expression in the center/distal region of the pouch. 

      Regarding systematic errors in quantification, we took great pains to minimize them. We carefully divided the complex folded disc’s z stack into an apical region of interest (ROI) that included the distal domain of the wing pouch and a basal ROI that included the folds encompassing the pouch. We then used a published and widely used surface detection algorithm (ImSAnE) that captures a 3D region of interest (ROI) that can be curved and complex in shape (in z space) because the user creates a surface spline of the ROI. The resulting output treats the ROI as a virtual 2D object. This obviates the need to perform max projections of confocal stacks, which often create artifacts that the reviewer speaks of. Instead, ImSAnE eliminates such artifacts, and it is the gold standard for image processing of ROIs with 3D curvature. 

      Moreover, our pipeline does detect uniform expression if it is there. We used a da-Gal4 driver in Fig. 2K,L - this driver is widely acknowledged to be uniformly expressed in tissues of the fly. When it drives a control fluorescent marker (Bazooka-mCherry), our analysis pipeline detects a uniform expression pattern across the wing pouch (Fig. 2L). When the same Gal4 transgene drives Fat-HA in the same tissue, our pipeline detects a graded expression pattern of Fat-HA (Fig. 2L). In fact, this experiment co-expressed both Fat-HA and the control marker in the same disc. Thus, we feel confident that our analysis is not inaccurate.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Recommendations For The Authors):

      All comments made in the public section.

      We would like to thank the reviewer for their assessment of our study and for suggestions for additional experiments to follow up our studies.

      Reviewer #2 (Recommendations For The Authors):

      ‐ Preparation of spike proteins and VLPs. Although Triton‐X114 extraction was done to remove endotoxin from the recombinant spike protein preparations, its removal efficiency depends on the levels of endotoxin in the samples. Therefore, the residual endotoxin levels in each of the test samples and batches should be measured. Even very low but varying levels of residual endotoxin would substantially impact the reported results, as they create inconsistent data that are not interpretable.

      Certainly, endotoxin contamination in instilled materials is always an issue. Established protocols for inducing acute inflammatory responses using endotoxin outline specific ranges of endotoxin levels in the instillation materials. To induce acute lung inflammation in mice at least 2 µg of endotoxin must be instilled. We have endeavored to reduce the possibility of endotoxin contamination in our recombinant proteins by using a mammalian expression system; careful aseptic culture and protein purification techniques; and a final Triton-X114 partitioning protocol. We assessed the possibility of endotoxin contamination using the Pierce™ Chromogenic Endotoxin Quant Kit, which is based on the amebocyte lysate assay. Our analysis revealed that the endotoxin level in the purified recombinant protein preparation is below 1.0 EU/ml, which closely aligns with the levels specified for recombinant proteins. An endotoxin concentration of 1.0 EU/ml is equivalent to approximately 0.1 ng/ml. Throughout all mouse nasal instillation experiments, the total volume of recombinant protein administered did not exceed 6 µl. The amount of contaminant endotoxin instilled did not exceed 1 pg (50 µl of 0.02 ng/ml of endotoxin). Consequently, we can confirm that the extent of endotoxin contamination is at trace levels. Moreover, our study reveals multiple results indicating that the level of endotoxin contamination in the recombinant protein was inadequate to independently induce neutrophil recruitment in the cremaster muscle, lymph nodes, and liver. For further insights, refer to Figure 5.

      ‐ Doses of spike and VLPs: The amount of spike protein incorporated into HIV Gag‐based VLPs should be determined and compared to that found in the native SARS‐CoV‐2 virus particles. This should provide more physiologic doses (or dose ranges/titration) of spike than the arbitrary doses (3 ug or 5 ug) used in the mouse experiments.

      To visualize the acquisition of spike protein and track cells that have acquired the spike protein, we conducted a series of tests and optimizations using different concentrations of Alexa 488 labeled spike protein, ranging from 0.5 to 5 µg. During the processing of lung tissue for microscopic imaging, it was of utmost importance to preserve the integrity of the labeled spike protein in the tissue samples. We determined that instillation of 3 µg of Alexa 488 labeled spike protein yielded the optimal signal strength across the lung sections. Notably, in many mouse models employing intra-nasal instillation protocols for SARS-CoV2 spike protein or RBD domain-only recombinant proteins, a dosage of approximately 3 µg or higher were commonly used. Regarding the titer of spike-incorporated VLPs, it is important to highlight that we did not directly compare the quantity of spike protein present in NL4.3 VLPs to that of the naïve SARS-CoV-2 virus. HIV-1 and SARS-CoV-2 viruses typically carry around 70 gp120 spikes and 30 spikes, respectively. We estimated that SARS-CoV-2 spike-incorporated NL4.3 VLPs may display twice the number of spikes compared to naïve SARS-CoV-2. Notably, our measurements of SARS-CoV-2 spike on NL4.3 VLPs demonstrated similar behavior to SARS-CoV-2 in terms of specific binding to ACE2-expressing 293T cells, indicating their functional similarity in this context.

      Author response image 1.

      Spike protein-incorporated NL4.3 VLPs test with human ACE2-transfected HEK293 cells. The wild-type spike protein-incorporated VLPs and delta envelope NL4.3 VLPs were analyzed using human ACE2-transfected HEK293 cells. The first plot shows ACE2 expression levels in HEK293 cells. The second plot displays the binding pattern of Delta Env NL4.3 VLPs on ACE2-expressing HEK293 cells. The third plot illustrates the binding pattern of wild-type spike protein-incorporated NL4.3 VLPs on ACE2expressing HEK293 cells. The histogram provides a comparison of VLP binding strength to ACE2expressing HEK293 cells.

      ‐ The PNGase F‐treated protein was not studied in Fig 1. In Fig 2, glycan‐removal by PNGaseF has little effects on cell uptake and cell recruitment in the lung. If binding to one of the Siglec lectins is a critical initial step, experiments should be designed to evaluate this aspect of the spike‐cell interaction in a greater depth.

      As the reviewer states results with the PNGase F-treated protein were not shown in Fig. 1 although we showed results in Figs. 2 & 3. See discussion below about our preparation of the PNGase F-treated protein. Perhaps because we elected to use a purified fraction that retained ACE2 binding, the protein we used likely retained some complex glycans. As the reviewer notes the PNGase F treated protein had similar overall cellular recruitment and uptake profiles compared to the untreated spike protein. The PNGase Ftreated fraction we used no longer bound Siglec-F in the flow-based assay, shown in Fig. 7. This argues that the initial uptake and cellular recruitment following intranasal instillation of the Spike protein did not depend upon the engagement of Siglec-F. While Siglec-F on the murine alveolar macrophage can likely efficiently capture the spike proteins other cellular receptors contribute and the overall impact of the spike protein on alveolar macrophages likely reflects its engagement of multiple receptors.

      • Enzymatic removal of sialic acids from spike may be one parameter to explore. The efficiency of enzymatic removal should also be verified prior to experiments. Finally, the authors need to assess whether the proteins remained functional, folded properly, and did not aggregate.

      To obtain the de-glycosylated form of the SARS-CoV-2 spike protein, we employed PNGase F enzymatic digestion to remove glycans. Subsequently, the spike protein was purified using a size exclusion column. During this purification process, the PNGase F-treated spike protein segregated into two distinct fractions, specifically fraction 6 to 8 and fraction 9 to 11 (see revised Figure 1- figure supplement 1).

      Author response image 2.

      Size exclusion chromatography. The peak lines represent the absorbance at 280 nm. PNGase F-treated spike proteins were loaded onto a Superdex 26/60 column, resolved at a flow rate of 1.0 ml/min, and collected in 1 ml fractions.

      The Coomassie blue staining of an SDS-PAGE gel revealed that fractions 6 to 8 likely underwent a more pronounced de-glycosylation by PNGase F compared to fractions 9 to 11. Additionally, during the size column purification, we noticed that fraction 6 to 8 exhibited a faster mobility than the untreated spike protein, implying a potentially substantial modification of the protein's conformation. To probe the functional characteristics of the de-glycosylated spike protein in fraction 6 to 8, we conducted binding tests with human ACE2. Strikingly, the spike protein in fraction 6 to 8 completely lost its binding affinity to ACE2, indicating a loss of its ACE2-binding capability. Conversely, the protein in fraction 9 to 11 showed partial de-glycosylation but still retained its original functionality to bind to ACE2 and its antibody.

      Author response image 3.

      FACS analysis of various spike protein-bound beads. Protein bound beads were detected with labeled spike antibody, recombinant human ACE2, and recombinant mouse Siglec-F.

      Based on these results, we concluded that fraction 9 to 11 would be the most suitable choice for further studies as the de-glycosylated spike protein, considering its retained functional properties relevant for ligating ACE2 and antibody motifs yet had lost Siglec-F binding. In the revised manuscript we have describe in more detail the purification of the PNGase F treated Trimer and its functional assessment.

      ‐ Increases in macrophages and alveolar macrophages by Kifunensine Tx spike in Fig 2A suggest effects that are not related to Siglec lectins. These effects are not seen with the wild type or D614 spike trimers, so the relevance of high‐ mannose spike is unclear. On the other hand, there were clear differences between Wuhan and D614 trimers seen in Fig 2A and 2B, but there was no verification to ascertain whether these differences were indeed due to strain differences and not due to batch‐to‐batch variability of the recombinant protein production. The overall glycan contents of the Wuhan and D614 spike protein samples should be measured. If Siglec interaction is the main interest in this study, the terminal sialic acid contents should be determined and compared to those in the corresponding strains in the context of native SARS‐CoV‐2 virions.

      Our initial observation that Siglec-F positive alveolar macrophages (AMs) avidly acquired spike proteins followed by a rapid leukocyte recruitment provided the rational for us to examine the impact of modifying the glycosylation pattern on the spike protein (de-glycosylated and spike variants) on their binding tropism and their cellular recruitment profiles in the lung. In this context, we examined the influence of several glycan modification on spike proteins, hypothesizing that these modifications would alter the acquisition of the spike protein by mouse AMs compared to the wild-type trimer. While we did not conduct an indepth analysis of the glycan composition and terminal sialic acid contents of the SARS-CoV-2 spike proteins we used we did verify that the different proteins behaved as expected. Most of the biochemical studies were performed in Jim Arthos’ laboratory, which has a long interest in the glycosylation of the HIV envelope protein. On SDS-PAGE the SARS-CoV-2 spike protein purified from the Kifunesine treated CHO cells exhibited a 12 kDa reduction. It bound much better to L-Sign, DC-Sign, and maltose binding lectin, and poorly to Siglec-F. In the cellular studies it bound less well to most of the cellular subsets examined including murine alveolar macrophages. In studies with human blood leukocytes, it relied on cations for binding. However, it retained its toxicity directed at mouse and human neutrophils and it elicited a similar cytokine profile when added to human macrophages. The D614G mutation increased the spike protein binding to P-Selectin, CD163, and snowdrop lectin (mannose binding) suggesting that the mutation had altered the glycan content of the protein. We used the D614G spike protein in a limited number of experiments as it behaved like the wild-type protein except for a slightly altered cellular retention pattern 18 hrs after intranasal instillation. In the revised manuscript we have included its binding to peripheral blood leukocytes. The D614G mutation conferred stronger binding to human monocytes than the original Spike protein. As discussed above, we recovered two fractions following the PNGase F treatment, one with a 40 kDa reduction on SDS-PAGE and the other a 60 kDa decrease and we chose to evaluate the fraction with a 40 kDa reduction in subsequent experiments. Consistent with a loss of N-linked glycans the PNGase F treatment reduced the binding to the lectin PHA, which recognizes complex carbohydrates, and it resulted in a sharp reduction in Siglec-F binding. The lower molecular weight fraction recovered after PNGase F treatment no longer bound ACE2. While our studies showed that alveolar macrophages likely employ Siglec-F as a capturing receptor they possess other receptors that also can capture the spike protein. The downstream consequences of engaging SiglecF and other Siglecs by the SARS-CoV-2 spike protein will require additional studies.

      While acknowledging the possibility of some batch-batch variation in recombinant protein preparation, we don’t think this was a major issue. We have noted some batch-batch variations in yield- efficiency, however the purified proteins consistently gave similar results in the various experiments.

      ‐ Fig 3: The same concern described above applies to the hCoV‐HKU1 spike protein. In Panel D, the PNGase and Kifunensine treatment did not appear to abrogate the neutrophil recruitment. Panel A did not include PNGase and Kif Tx spike proteins. Quantification of images in panel D is missing and should be done on many randomly selected areas.

      We analyzed the neutrophil count of images in panel D and the results are presented. (Figure 3-figure supplement 1C). The Kifunensine treatment reduced the neutrophil recruitment at 3 hours, while the PNGase F treated Spike protein recruited as well or slightly more neutrophils. The hCoV-HKU1 S1 domain did not differ much from the saline control.

      ‐ Fig 4: Kifunensine Tx spike caused more increase in neutrophil damage after intrascrotal injections. PNGase Tx spike was not tested. Connection between Siglec‐spike binding and neutrophil recruitment/damage is lacking.

      Exteriorized cremaster muscle imaging functions as a model system for monitoring neutrophil behavior recruited by spike proteins within the local tissue, distinct from Siglec F-positive alveolar macrophages residing in lung tissue. Hence, our primary focus was not on investigating the Siglec/Spike protein interaction. Consequently, we did not utilize PNGase F-treated spike protein in these experiments. To clarify this issue, we added a sentence in main text ‘Although this model lacks Siglec F-positive macrophages, it is worth monitoring the effect of the SARS-CoV-2 Spike protein on neutrophils recruited in the inflammatory local tissue.’

      ‐ Fig 5. Neutrophil injury was also seen after inhalation (intranasal) of spike protein in mice and in vitro with human neutrophils. Panel B shows no titrating effects of spike (from 0.1 to 2) on Netosis of murine neutrophils. Panel C: Netosis was seen with human neutrophils at 1 but not 0.1. Is this species difference important?

      Given the observation of neutrophil NETosis in the mouse imaging experiment, our objective was to characterize the direct impact of the spike protein on human and murine neutrophils. The origins of the neutrophils are different as the murine neutrophils were purified from mouse bone marrow while the human neutrophils were purified from human blood. Both purification protocols led to greater than 98% neutrophils. However, the murine neutrophils contain many more immature cells (50-60%) because the bone marrow served as their source. Furthermore, the murine neutrophils are from 6–8-week-old mice while the human neutrophils are from 30-50 year-old humans. More work would be needed to sort out whether there is any difference between human and mouse neutrophils in their propensity to undergo netosis in response to Spike protein.

      ‐ Kifunensine Tx again did not cause any reduction, indicating the lack of involvement of sialic acid. How was this related to Siglec participation directly or indirectly? There was no quantification for Panel D.

      We do not think that Siglecs play a role in the induction of neutrophil netosis as the Spike proteins lacking Siglec interactions induced similar levels of netosis. Likely other neutrophil receptors are important. As noted in the text,

      "human neutrophils express several C-type lectin receptors including CLEC5A, which has been implicated in SARS-CoV-2 triggered neutrophil NETosis." Our goal with the data in Panel D was to visualize human neutrophil NETosis on trimer-bearing A549 cells we relied on the flow cytometry assays for quantification.

      ‐ The rationale for testing cation dependence is unclear and should be described. What is the significance of "cations enhanced leukocyte binding particularly so with the high mannose protein"? Are there cationdependent receptors for spike independent of glycans and huACE‐2? If so, how is this relevant to the main topic of this paper?

      It is well known that many glycan bindings by C-type lectins are calcium-dependent, involving specific amino acid residues that coordinate with calcium ions and bind to the hydroxyl groups of sugars. As discussed in our previous draft, the C-type lectin receptor L-SIGN has been suggested as a calciumdependent receptor for SARS-CoV-2, specifically interacting with high-mannose-type N-glycans on the SARS-CoV-2 spike protein. Therefore, it was worthwhile to investigate the calcium-dependent manner of spike protein binding to various types of immune cells. We added some data to this figure. It now includes the binding profile of the D614G protein. In addition, we corrected the binding data by subtracting the fluorescent signal from the unstained control cells.

      ‐ Fig 7: human Siglec 5 and 8 were studied in comparison with mouse Siglec F. Recombinant protein data are not congruent with transfected 293 cell data. Panel A, the best binding to hSiglec 5 and 8 are the PNGase F Tx spike protein; how to interpret these data? Panel B: only the WT and D614G spike proteins binding to Siglec 5 and 8 on transfected cells. It made sense that kif Tx (high‐mannose) and PNGaseF Tx (no glycan) spike would not bind to the Siglecs, but they did not bind to ACE2 either, indicative of nonfunctional spike proteins.

      We discussed this as follows: ‘The closest human paralog of mouse Siglec-F is hSiglec-8 (reference 40). While expressed on human eosinophils and mast cells, human AMs apparently lack it. In contrast, human AMs do express Siglec-5 (reference 37). Along with its paired receptor, hSiglec-14, Siglec-5 can modulate innate immune responses (reference 41). When tested in a bead binding assay, in contrast to Siglec-F, neither hSiglec-5 or -8 bound the recombinant spike protein, yet their expression in a cellular context allowed binding. The in vitro bead binding assay we established demonstrated the specific binding of the bait molecule to target molecules. However, it does have limitations in replicating the complexities of the actual cellular environment. As discussed previously the PNGase Tx fraction we used in these experiments retained ACE2 binding, but loss binding to Siglec-F in the bead assay. In a biacore assay, not shown, the PNGase Tx fraction bound L-Sign and DC-Sign better than the untreated trimer, and it retained human ACE2 binding although it bound less well than wild type-trimer. Why the PNGase Tx fractions bound poorly to the human ACE2 transfected HEK293 cells is unclear. A higher density of recombinant ACE2 on the beads compared to that expressed on the surface of HEK293 may explain the difference. Alternatively in the bead assay we used a recombinant human ACE2-Fc fragment fusion protein purified from HEK293 cells, while in the transfection assay, we expressed human full length ACE2. The biacore, the bead binding, and the functional assays we performed all suggest that we had used intact recombinant proteins.

      ‐ Fig 8: This last set of experiment was to measure cytokine release by different types of macrophage cultures treated with spike from different cells with vs without Kifunensine Tx. The connection of these experiments to the rest is tenuous and is not explained. This is one of the examples where bits of data are presented without tying them together.

      Dysregulated cytokine production significantly contributes to the pathogenesis of severe COVID-19 infection. Since we had observed strong binding of the spike protein to human monocytes and murine alveolar macrophages, we tested whether the spike protein altered cytokine production by human monocyte-derived macrophages. Depending on the culture conditions human monocytes can be differentiated M0, M1, or M2 phenotypes. Each type of macrophage responds differently to stimulants, often leading to distinct patterns of cytokine secretion. These patterns offer valuable insights into the immune response. The cytokine profiling conducted in this study enhances our understanding of how distinct macrophage types react to the spike protein.

      ‐ Discussion section did not describe how the various experiments and data are tied together. The authors explained the interactions of spike with different cell types in each paragraph separately, leaving this reviewer really confused as to what the authors want to convey as the main message of the paper.

      We have modified discussion to address this issue.

      Reviewer #3 (Recommendations For The Authors):

      ‐ The authors may want to refer to "intranasal instillation" to distinguish it from inhalation of an aerosolised liquid. How was the dose of the spike protein selected? There is some dose information in different settings, but usually between 0.1‐1 µg/ml or 0.1 µg‐5 µg range for in vivo injection, but the rationale for these ranges should be discussed. Is this mimicking a real situation during infections or a condition that might be used for vaccines?

      While inhalation of aerosolized liquid closely mimics the natural route of human exposure to respiratory infectious materials, intranasal instillation with a liquid inoculum remains a widely accepted standard approach for virus or vaccine inoculation across various laboratory species. To clearly define our mouse model, we are changing the term 'inhalation' to 'instillation'. We previously answered to Reviewer #2 as following: To visualize the acquisition of spike protein and track cells that have acquired the spike protein, we conducted a series of tests and optimizations using different concentrations of Alexa Fluor 488 labeled spike protein, ranging from 0.5 to 5 µg. During the processing of lung tissue for microscopic imaging, it was of utmost importance to preserve the integrity of the labeled spike protein on the tissue samples. Through our investigations, we determined that an instillation of 3 µg of Alexa Fluor 488 labeled spike protein yielded the most optimal signal strength across the lung sections. Notably, in many mouse models employing intra-nasal instillation protocols for SARS-CoV-2 spike protein or RBD domain-only recombinant proteins, a dosage of approximately 3 µg or higher was commonly used. Hence, based on these references and our preliminary studies, we selected 3 µg as the optimal concentration of instilled spike protein per mouse.

      ‐ Controls are not evenly applied. In some cases, the control for the large and complex SARS‐CoV2 spiker trimer is PBS. This seems insufficient to control against effects of injecting such complex proteins that can undergo significant conformational changes after uptake by a cell. In some cases, human coronavirus spike proteins from different viruses are used, but not much is said about these proteins and the different glycoforms are not explored. Are these prepared in the same way and do they have similar glycoforms. For example, if the Siglecs bind sialic acid on N‐linked glycans, then why do the purified Siglecs or Siglecs expressed in cells not bind the HKU‐1 spike, which would have such sialic acids if expressed in the same way as the CoV2 spike?

      We have taken careful consideration to select an appropriate control material for these experiments. Initially, we opted to employ Saline or PBS for intranasal instillation as a vehicle control, a choice aligned with the approach taken in numerous previous studies involving lung inflammation mouse models. However, as the reviewer pointed out, we share the concern for achieving more meaningful and comparable control materials, particularly considering the size and complexity of the recombinant protein. In accordance with this perspective, we introduced glycan-modified spike proteins and the HCoV-HKU1 S1 subunit. Figure 3 illustrates our comprehensive evaluation of various spike proteins in terms of their impact on neutrophil recruitment. The diversity of sialic acid structures observed on recombinant proteins expressed within the same cell emerges from the intricate interplay of multiple factors within the cellular glycosylation machinery. This complex enzymatic process empowers cells to finely modulate glycan structures and sialic acid patterns, tailoring them to suit the diverse biological functions of distinct proteins. Despite structural similarities between the HCoV-HKU1 and SARS-CoV-2 spike proteins, their glycan modifications vary, thereby leading to distinct binding properties with various Siglec subtypes. All recombinant proteins used in this study except for the S1 subunits were generated within our laboratory. These include the wild-type spike protein, the D614G Spike protein, the Kifunensine-treated high mannose spike proteins, and the PNGase F-treated deglycosylated spike proteins. All the proteins were produced using the same protocol using CHO cells or on occasion HEK293F cells. We have indicated in the manuscript where we used HEK293F cells for the protein production otherwise they were produced in CHO cells.

      ‐ Figure 1 F‐I, there should be a control for VLP without SARS‐CoV2 spike as the VLP will contain other components that may be active in the system.

      We tested the delta Env VLP for alveolar macrophage acquisition and neutrophil recruitment. We found a similar alveolar macrophage acquisition of the VLPs, but significantly less neutrophil recruitment compared to the free Spike protein. Since the uptake pattern with the VLPs matched that of the spike protein we did not consider adding a non-spike bearing VLP as a control. The rapid VLPs clearance into the lymphatics shortly after instillation may account for the reduced neutrophil recruitment following their instillation (Figure 1 figure supplement 2B, C).

      ‐ In Figure 1H, that do they mean by autofluorescence? Is this the cyan signal?

      Is the green signal also autofluorescence as this is identified as the VLP?

      We appreciate reviewer pointing out the typo regarding autofluorescence in the figure image. To provide clarity regarding the background in all lung section images, we have included additional supplemental data. During the fixation process of lung tissue, various endogenous elements in the tissue sample contribute to autofluorescence when exposed to lasers in the confocal microscope. Specifically, collagen and elastin present in the lung vasculature, including airways and blood vessels, are dominant structures that generate autofluorescence. To address this issue, we have implemented optimizations to distinguish between real signals and the noise caused by autofluorescence. We inadvertently failed to indicate the source of the strong cyan signal. The signal is due to Evans Blue dye delineating lung airway structures, which contain collagen and elastin—known binding materials for Evans Blue dye. This explains the strong fluorescence signals observed in the airways. We conjugated the recombinant spike protein with Alexa Fluor 488, and viral-like particles (VLPs) were visualized with gag-GFP. (Figure 1 figure supplement 2A, D)

      ‐ The control for SARS‐CoV2 spike trimer is PBS, but how can the authors distinguish patterns specific to the spike trimer from any other protein delivered by intranasal instillation. Could they use another channel with a control glycoprotein to determine if there is anything unique about the pattern for spike trimer?

      Alveolar macrophages employ numerous receptors to capture glycoproteins that have mannose, Nacetylglucosamine, or glucose exposed. Galactose-terminal glycoproteins are typically not bound. We do not think that the Spike protein is unique in its propensity to target alveolar macrophages.

      ‐ What is the parameter measured in Figure S2B?

      The percentage of the different cell types that have retained the instilled Spike protein at the three-hour time point. .

      ‐ The Spike trimer with high mannose oligosaccharides may gain binding to the mannose receptor. It may be helpful to state the distribution of this receptor and comment is it could be responsible for this having the largest effect size for some cell types.

      We agree that the spike trimer with high mannose should target cells bearing the mannose receptor. We have modified the discussion to address this point and have mentioned some of the cell types likely to bind the high mannose bearing spike protein.

      ‐ A key experiment is the Evans Blue measure of lung injury in Figure 3A. A control with the HKU‐1 spike is also performed, but more details on the matching of this proteins production to the SARS‐CoV2 spike trimer and the quantification of these comparative result should be provided. To show that the SARSCoV2 spike trimer can cause tissue injury on its own seems like a very important result, but the impact is currently reduced by the inconsistent application of controls and quantification of key results. Furthermore, if these results can be repeated in the B6 and B6 K18‐hACE2 mouse model it might further increase the impact by demonstrating whether or not hACE2 contributes to this effect.

      We repeated the lung permeability assay using the S1 subunit from the original SARS-CoV-2 and the S1 subunit from HCoV-HKU1. Both proteins were made by the same company using a similar expression system and purification protocol. Consistent with our original data, the instillation of the SARS-CoV-2 S1 subunit led to an increase in lung vasculature permeability, whereas the HCoV-HKU-1 S1 subunit had a minimal impact. (Figure 3 figure supplement 1A). This experiment suggests that it the S1 subunit that leads to the increase in vascular permeability. To address the contribution of hACE2 in this phenomenon, we conducted a lung permeability assay using K18-hACE2 transgenic mice. The K18-hACE2 transgenic mice exhibited a slight increase in lung vasculature permeability upon SARS-CoV-2 trimer instillation compared to the non-transgenic mice. This suggests that the hACE2-Spike protein interaction may contribute to an increase in lung vascular permeability during SARS-CoV-2 lung infection (Figure 3 figure supplement 1B).

      ‐ For Figure 4A, could they provide quantification. The neutrophil extravasation with Trimer appears quite robust, but the authors seem to down‐play this and it's not clear without quantification.

      To address this issue, we analyzed and graphed the neutrophil numbers in each image. Injection of the trimer along with IL-1β significantly increased neutrophil infiltration. (Figure 4 figure supplement 1)

      ‐ In Figure 4B, there are no neutrophils at all in the BSA condition. Is this correct? Intravascular neutrophils were detected with PBS injection in Figure 4A.

      We demonstrated that the neutrophil behaviors occur within the infiltrated tissue rather than within the blood vessels. Even when examining the blood vessels in all other images, it is challenging to identify neutrophils adhering to the endothelium of the blood vessels. Neutrophils observed in the PBS 3-hour control group are likely acute responders to the local injection, as a smaller number of neutrophils were observed in the 6-hour image.

      ‐ In Figure 5A the observation of neutrophil response in lung slices seems to be presented an anecdotal account. The neutrophil appears to polarize, but is this a consistent observation? How many such observations were made?

      We have consistent observations across three different experiments. In addition, highly polarized and fragmented neutrophils were consistently observed in the fixed lung section images.

      ‐ The statement: "human Siglec‐5 and Siglec‐8 bound poorly despite being the structural and functional equivalents of Siglec F, respectively (37)". How can one Siglec be the structural and the other the functional equivalent of Siglec‐F? It might help to provide a little more detail as to how these should be seen.

      Mouse Siglec-F has two distinct counterparts in the human Siglec system, both in terms of structure and function. In the context of domain structure, human Siglec-5 serves as the counterpart to mouse Siglec-F. However, it's important to note that while human Siglec-8 is not a genetic ortholog of mouse Siglec-F, it is expressed on similar cellular populations and functions as a functional paralog.

      ‐ The assay using purified proteins and proteins expressed in cells don't fully agree. For example, it's very surprising that recombinant Siglec 5 and 8 bind better to the non‐glycosylated form than to the glycosylated trimer. It appears from Figure S1 that the PNGaseF treated Spike contains at least partly glycosylated monomers and it also appears that the Kifunesine effect may be partial. PNGaseF may have a hard time removing some glycans from a native protein.

      We were also surprised by the results using the PNGase F treated Spike protein in that it lost binding to Siglec-F and retained binding to human Siglec-5 and 8 in the bead assay, shown in Figure 7A. As explained above we used a purified fraction of the PNGase F treated protein that retained some functional activity as assessed in the ACE2 binding assay and in biacore assays not shown. The persistent binding of Siglec-5 and Siglec-8 suggests that removal of some of the complex glycans had revealed sites capable of binding Siglec-5 and 8. We would agree with the reviewer that the PNGase treatment we used only removed some of the glycans from the native protein. In data not shown the high mannose spike protein behaved as predicted in biacore assays, binding better to DC-SIGN and maltose binding lectin, but less well to PHA and less well to ACE2. The high mannose trimer also bound less to the HEK293 cells expressing ACE2, Siglec-5, or Siglec-8 as well as peripheral blood leukocytes.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public reviews:

      Reviewer #1 (Public Review):

      Summary:

      In this study, Kume et al examined the role of the protein Semaphorin 4a in steady-state skin homeostasis and how this relates to skin changes seen in human psoriasis and imiquimod-induced psoriasis-like disease in mice. The authors found that human psoriatic skin has reduced expression of Sema4a in the epidermis. While Sema4a has been shown to drive inflammatory activation in different immune populations, this finding suggested Sema4a might be important for negatively regulating Th17 inflammation in the skin. The authors go on to show that Sema4a knockout mice have skin changes in key keratinocyte genes, increased gdT cells, and increased IL-17 similar to differences seen in non-lesional psoriatic skin, and that bone marrow chimera mice with WT immune cells and Sema4a KO stromal cells develop worse IMQ-induced psoriasis-like disease, further linking expression of Sema4a in the skin to maintaining skin homeostasis. The authors next studied downstream pathways that might mediate the homeostatic effects of Sema4a, focusing on mTOR given its known role in keratinocyte function. As with the immune phenotypes, Sema4a KO mice had increased mTOR activation in the epidermis in a similar pattern to mTOR activation noted in non-lesional psoriatic skin. The authors next targeted the mTOR pathway and showed rapamycin could reverse some of the psoriasis-like skin changes in Sema4a KO mice, confirming the role of increased mTOR in contributing to the observed skin phenotype.

      Strengths:

      The most interesting finding is the tissue-specific role for Sema4a, where it has previously been considered to play a mostly pro-inflammatory role in immune cells, this study shows that when expressed by keratinocytes, Sema4a plays a homeostatic role that when missing leads to the development of psoriasis-like skin changes. This has important implications in terms of targeting Sema4a pharmacologically. It also may yield a novel mouse model to study mechanisms of psoriasis development in mice separate from the commonly used IMQ model. The included experiments are well-controlled and executed rigorously.

      Weaknesses:

      A weakness of the study is the lack of tissue-specific Sema4a knockout mice (e.g. in keratinocytes only). The authors did use bone marrow chimeras, but only in one experiment. This work implies that psoriasis may represent a Sema4a-deficient state in the epidermal cells, while the same might not be true for immune cells. Indeed, in their analysis of non-lesional psoriasis skin, Sema4a was not significantly decreased compared to control skin, possibly due to compensatory increased Sema4a from other cell types. Unbiased RNA-seq of Sema4a KO mouse skin for comparison to non-lesional skin might identify other similarities besides mTOR signaling. Indeed, targeting mTOR with rapamycin reveres some of the skin changes in Sema4a KO mice, but not skin thickness, so other pathways impacted by Sema4a may be better targets if they could be identified. Utilizing WT→KO chimeras in addition to global KO mice in the experiments in Figures 6-8 would more strongly implicate the separate role of Sema4a in skin vs immune cell populations and might more closely mimic non-lesional psoriasis skin.

      We sincerely appreciate your summary and for pointing out the strengths and weaknesses of our study. Although we were unfortunately unable to perform all these experiments due to limitations in our resources, we fully agree with the importance of studying tissue-specific Sema4A KO mice. As an alternative, we compared the IL-17A-producing potential of skin T cells between WT→KO mice and KO→KO mice following 4 consecutive days of IMQ treatment using flow cytometry. The results were comparable between the two groups. Additionally, we performed RNA-seq on the epidermis of WT and Sema4A KO mice. While we did not find similarities between Sema4A KO skin and non-lesional psoriasis except for S100a8 expression, we will further try to seek for the mechanisms how Sema4A KO skin mimics non-lesional psoriasis skin as a future project.

      Although targeting mTOR with rapamycin did not reverse the epidermal thickness in Sema4A KO mice, rapamycin was effective in reducing epidermal thickness in a murine psoriasis model induced by IMQ in Sema4A KO mice. These results suggest potential clinical relevance for treating active, lesional psoriatic skin changes, which would be of interest to clinicians. Thank you once again for your valuable insights.

      Reviewer #2 (Public Review):

      Summary:

      Kume et al. found for the first time that Semaphorin 4A (Sema4A) was downregulated in both mRNA and protein levels in L and NL keratinocytes of psoriasis patients compared to control keratinocytes. In peripheral blood, they found that Sema4A is not only expressed in keratinocytes but is also upregulated in hematopoietic cells such as lymphocytes and monocytes in the blood of psoriasis patients. They investigated how the down-regulation of Sema4A expression in psoriatic epidermal cells affects the immunological inflammation of psoriasis by using a psoriasis mice model in which Sema4A KO mice were treated with IMQ. Kume et al. hypothesized that down-regulation of Sema4A expression in keratinocytes might be responsible for the augmentation of psoriasis inflammation. Using bone marrow chimeric mice, Kume et al. showed that KO of Sema4A in non-hematopoietic cells was responsible for the enhanced inflammation in psoriasis. The expression of CCL20, TNF, IL-17, and mTOR was upregulated in the Sema4AKO epidermis compared to the WT epidermis, and the infiltration of IL-17-producing T cells was also enhanced.

      Strengths:

      Decreased Sema4A expression may be involved in psoriasis exacerbation through epidermal proliferation and enhanced infiltration of Th17 cells, which helps understand psoriasis immunopathogenesis.

      Weaknesses:

      The mechanism by which decreased Sema4A expression may exacerbate psoriasis is unclear as yet.

      We greatly appreciate your summary and thoughtful feedback on the strengths and weaknesses of our study. In response, we have included the results of additional experiments on IL-23-mediated psoriasis-like dermatitis, which showed that epidermal thickness was significantly greater in KO mice compared to WT mice. When we analyzed the T cells infiltrating the ears using flow cytometry, the proportion of IL-17A producing Vγ2 and DNγδ T cells within the CD3 fraction of the epidermis was significantly higher in Sema4A KO mice, consistent with the results from IMQ-induced psoriasis-like dermatitis. Furthermore, we examined STAT3 expression in the epidermis of WT and Sema4A KO mice using Western blot analysis, and the results were comparable between the two groups. However, the mechanism by which decreased Sema4A expression may exacerbate psoriasis remains unclear. We have added some explanations and presumptions to the limitations section. Thank you once again for your valuable insights.

      Recommendations For The Authors:

      Reviewer #1 (Recommendations For The Authors):

      Figure 1C

      What statistics were used? The supplemental notes adjusted the P value, what correction for multiple comparisons was utilized? Could the authors instead show logFC for the DEGs between Ctl and L in each cluster? This might be best demonstrated with a volcano plot, highlighting SEMA4A, and other genes known to be DE in psoriasis.

      We apologize for not including the detailed analysis methods in the original manuscript submission. We analyzed the scRNA-seq data using Cellxgene VIP with Welch’s t-test. Multiple comparisons were performed using the Benjamini-Hochberg procedure, setting the false discovery rate (FDR) at 0.05. These details are now explained in the MATERIALS AND METHODS section of the resubmitted manuscript. We also added a log2FC-log10 p-value graph for the DEGs in keratinocytes between Ctl and L to Figure 1-figure supplement 1D. The log2FC values in keratinocytes, dendritic cells, and macrophages were -0.07, 0.00, and -0.05, respectively. Although the log2FC is low in keratinocytes, the adjusted p-value (padj) for Sema4A is 2.83×10-39, indicating a statistically significant difference.

      Page 8 Line 111 in the resubmitted manuscript:

      “The adjusted p-value (padj) for SEMA4A in keratinocytes between Ctl and L was 2.83×10-39, indicating a statistically significant difference despite not being visually prominent in the volcano plot, which shows comprehensive differential gene expression in keratinocytes (Figure 1C; Figure 1-figure supplement 1D).”

      Page 54: In the Figure legend of Figure 1-figure supplement 1D in the resubmitted manuscript:

      “(D) The volcano plot displays changes in gene expression in psoriatic L compared to Ctl.”

      Page 30 Line 481 in the resubmitted manuscript: In the “Data processing of single-cell RNA-sequencing and bulk RNA-sequencing” section.

      “The data was integrated into an h5ad file, which can be visualized in Cellxgene VIP (K. Li et al., 2022). We then performed differential analysis between two groups of cells to identify differential expressed genes using Welch’s t-test. Multiple comparisons were controlled using the Benjamini-Hochberg procedure, with the false discovery rate set at 0.05 and significance defined as padj < 0.05.”

      Figure 2B

      The results narrative notes WT->WT is comparable to KO->WT. No statistics are given for this comparison. It appears the difference is less than the other comparisons, but still may be significant. Also, in the supplemental for Figure 2B, there appear to be missing columns for the 4 BM chimera groups (columns for WT and KO, but not 4 columns for each donor: recipient pair).

      We sincerely apologize for any confusion. We presented the results of the chimeric mice in Figure 3, and Figure 3-source data 1 shows the 4 BM chimera groups. In Figure 3B, the p-value for the comparison between WT->WT mice and KO->WT mice was 0.7988, as indicated in Figure 3-source data 1.

      Figure 3B

      While ear skin is not easily obtainable at day 0 for comparison, why not also include back skin at Wk 8? If the back skin epidermis is thicker like the ear skin, it supports the ear skin conclusion and adds a more consistent comparison. If the back skin epidermis is not thicker, what would be the author's explanation as to the why only ear skin epidermis is thicker in KO mice at 8 weeks?

      We appreciate and completely agree with the reviewer’s insightful comment. We have added images and dot plots of the back skin at Week 8 in Figure 4B. Since the back skin epidermis is thicker, similar to the ear skin, these results support the conclusion drawn from the ear skin data. Regarding Figure 4C, which shows the expression of Sema4a in the epidermis and dermis of 8-week-old WT mouse ear, we have modified the sentence in the manuscript to ‘the epidermis of WT ear at Week 8’ for clarification.

      Page 12 Line 180 in the resubmitted manuscript:

      “While epidermal thickness of back skin was comparable at birth (Figure 4B), on week 8, epidermis of Sema4AKO back and ear skin was notably thicker than that of WT mice (Figure 4B), suggesting that acanthosis in Sema4AKO mice is accentuated post-birth.”

      Page 47: In the Figure legend of Figure 4B in the resubmitted manuscript:

      “(B) Left: representative Hematoxylin and eosin staining of Day 0 back and Wk 8 back and ear. Scale bar = 50 μm. Right: Epi and Derm thickness in Day 0 back (n = 5) and Wk 8 back (n = 5) and ear (n = 8).”

      Figures 3C&D, Figures 4 D-F

      The figures might be easier to read if some of the data is moved to supplemental, especially in Figure 4, which has 36 panels just in D-F. Conversely, the dLN data is important in establishing the skin microenvironment as important in the accumulation of γδ cells and IL-17 production in the setting of Sema4a KO, so this might be more impactful if moved to the main figure.

      We appreciate and agree with your comments. As recommended, we have moved data from Figure 3C and 4D-F to the supplemental section. The dLN data have been moved to the main figure as Figure 4E. This has improved the readability of the figures.

      Figure 5 and Figure 6 might work better if combined. The differences in keratinocytes in psoriasis are well-known, so the novelty is how Sema4a KO skin appears to share similar differences. This would be easier to see if compared side-by-side in the same figure. Also, there is an opportunity to show this more rigorously by performing RNA-seq on WT vs Sema4a KO skin. Showing a larger set of DEGs that trend similarly between Ctl/NL psoriasis and WT/Sema4a KO skin in a heatmap would bolster the conclusion that Sema4a deficiency contributes to a psoriasis-like skin defect.

      We appreciate your valuable suggestion. Following your recommendation, we have combined Figures 5 and 6 to facilitate a side-by-side comparison. This highlights the similarities between Sema4AKO skin and psoriasis, making it easier to observe differences in keratinocytes. Additionally, we performed RNA-seq on WT and Sema4a KO epidermis (n = 3 per group). We analyzed the raw count data using iDEP 2.0 (Ge S.X., BMC Bioinformatics, 2018), setting the minimal counts per million to 0.5 in at least one library. Differential gene expression analysis was conducted using DEseq2, with an FDR cutoff of 0.1 and a minimum fold change of 2. As a result, we identified 46 upregulated and 70 downregulated genes in Sema4AKO mice compared to WT mice (see the volcano plot and heat map). However, except for S100a8, we did not observe significant expression changes in non-lesional psoriasis-related genes between WT and Sema4AKO mice. In the future, we aim to identify subtle stimuli that could cause gene expression changes between these groups and we would like to perform additional RNA-seq experiments.

      Author response image 1.

      Author response image 2.

      Page 48: The Figure title of Figure 5 in the resubmitted manuscript:

      “Figure 5: Sema4AKO skin shares the features of human psoriatic NL.”

      SEMA4A is not significantly DE between Ctl and NL in the psoriasis RNA-seq data. If a lower expression of SEMA4A in psoriasis skin is a driving part of the phenotype, why is this not observed in the RNA-seq data? Presumably, this could be explained by infiltration of immune cells with increased SEMA4A expression, like in the scRNA-seq data in Figure 1. If so, might it be useful to analyze WT->KO chimera mice similarly to global KO mice in Figures 6-8? This might more accurately reflect what is happening in psoriasis, if epidermal SEMA4A expression is low, but immune expression is not. The KO data on their own nicely show a skin phenotype, but these additional experiments might more closely mimic psoriatic disease and increase the rigor and impact of the study.

      We really appreciate your insightful comments. Due to the limitations of the animal experimentation facility, we regret that we are unable to create additional chimeric mice. Although our analysis is limited, we compared IL-17A production from T cells of WT→KO mice and KO→KO mice following 4 consecutive days of IMQ treatment using flow cytometry (see Author response image 3 below; n = 6 for WT→KO, n = 4 for KO→KO). This comparison revealed that IL-17A production from T cells was comparable, regardless of whether they were derived from WT or Sema4AKO mice, when the skin constituent cells were derived from Sema4AKO. We appreciate the value of your advice, and agree that investigating keratinocyte differentiation and mTOR signaling in the epidermis, using either WT→KO chimeric mice or keratinocyte-specific Sema4A-deficient mice, is a crucial next step in our research.

      Author response image 3.

      Figure 8

      Rapamycin was able to partially reverse the psoriasis-like skin phenotype in Sema4a KO mice. Would rapamycin also be effective in the more severe disease induced by IMQ in Sema4a KO mice? While partially reducing the effect of Sema4a KO on steady-state skin with rapamycin strengthens the link to mTOR dysregulation, it did not change skin thickness. It's unclear if this would be useful clinically for patients with well-controlled psoriasis (NL skin). Would it be useful to reverse active, lesional psoriatic skin changes? Testing this might yield results more relevant to clinicians and patients.

      We are grateful for your valuable feedback. Rapamycin showed effectiveness in reducing epidermal thickness in a murine psoriasis model induced by IMQ in Sema4AKO mice. Rapamycin treatment downregulated the expression of Krt10, Krt14, and Krt16. We included these results to Figure 7-figure supplement 2. These results suggest potential clinical relevance for treating active, lesional psoriatic skin changes and may be of interest to clinicians and patients.

      Page 17 Line 269 in the resubmitted manuscript:

      “Next, we investigated whether intraperitoneal rapamycin treatment effectively downregulates inflammation in the IMQ-induced murine model of psoriasis in Sema4AKO mice (Figure 7-figure supplement 2A). Rapamycin significantly reduced epidermal thickness compared to vehicle treatment (Figure 7-figure supplement 2B). Additionally, rapamycin treatment downregulated the expression of Krt10, Krt14, and Krt16 (Figure 7-figure supplement 2C). While the upregulation of Il17a in the Sema4AKO epidermis in IMQ model was not clearly modified by rapamycin (Figure 7-figure supplement 2C), immunofluorescence revealed a decrease in the number of CD3 T cells in Sema4AKO epidermis by rapamycin (Figure 7-figure supplement 2D). In the naive states, mTORC1 primarily regulates keratinocyte proliferation, whereas mTORC2 mainly involved in the keratinocyte differentiation through Sema4A-related signaling pathways. Conversely, in the psoriatic dermatitis state, rapamycin downregulated both keratinocyte differentiation and proliferation markers. The observed similarities in Il17a expression following treatment with rapamycin and JR-AB2-011, regardless of additional IMQ treatment, suggest that Il17a production is not significantly dependent on Sema4A-related mTOR signaling.”

      Page 29 Line 461 in the resubmitted manuscript: In the “Inhibition of mTOR” section.

      “To analyze the preventive effectiveness of rapamycin in an IMQ-induced murine model of psoriatic dermatitis, Sema4AKO mice were administered either vehicle or rapamycin intraperitoneally from Day 0 to Day 17, and IMQ was topically applied to both ears for 4 days starting on Day 14. Then, on Day 18, ears were collected for further analysis.”

      Page 71: Figure 7-figure supplement 2 in the resubmitted manuscript:

      “Figure 7-figure supplement 2: Rapamycin treatment reduced the epidermal swelling observed in IMQ-treated Sema4AKO mice.

      (A) Experimental scheme. (B) The Epi thickness on Day 18. (n = 10 for Ctl, n = 12 for Rapamycin). (C) Relative expression of keratinocyte differentiation markers and Il17a in Sema4AKO Epi (n = 10 for Ctl, n = 12 for Rapamycin). (D) The number of T cells in the Epi (left) and Derm (right), under Ctl or rapamycin and IMQ treatments (n = 10 for Ctl, n = 12 for Rapamycin). Each dot represents the sum of numbers from 10 unit areas across 3 specimens. A-C: *p < 0.05, **p < 0.01. NS, not significant.”

      Reviewer #2 (Recommendations For The Authors):

      (1) To know whether the decrease of Sema4A in the epidermis of psoriasis patients is a result or a cause of psoriasis, it is necessary to show how the expression of Sema4A in epidermal cells is regulated. Shouldn't the degree of change in the expression of essential molecules (which is the cause of psoriasis) be more pronounced in L than in NL?

      We surveyed transcription factors of human Sema4A using GeneCards and found that NF-κB is the transcription factor most frequently associated with psoriasis. Wang et al. (Arthritis Res Ther. 2015) indicated NF-κB-dependent modulation of Sema4A expression in synovial fibroblasts of rheumatoid arthritis. However, since NF-κB expression is reportedly upregulated in psoriasis lesions, other transcription factors may function as key modulators of Sema4A expression in the epidermis.

      Although the molecules causing psoriasis remain to be elucidated, we investigated the correlation between the expression of psoriasis-related essential molecules in keratinocytes—such as S100A7A, S100A7, S100A8, S100A9, and S100A12—and SEMA4A expression in L and NL samples using qRT-PCR. We could not identify a correlation between these molecules and SEMA4A expression. We added a note to the limitations section to acknowledge that we were not able to reveal how Sema4A expression is regulated and that we could not determine the relationships between Sema4A expression and the essential molecules upregulated in psoriatic keratinocytes.

      Page 21 Line 328 in the resubmitted manuscript:

      “We were not able to reveal how Sema4A expression is regulated. Although we showed that downregulation of Sema4A is related to the abnormal cytokeratin expression observed in psoriasis, we could not determine the relationships between Sema4A expression and the essential molecules upregulated in psoriatic keratinocytes.”

      (2) Using bone marrow chimeric mice, it has already been reported that hematopoietic cells contain keratinocyte stem cells. Therefore, their interpretation is not supported by the results of their bone marrow chimeric mice experiment, and it is essential to generate keratinocyte-specific Sema4A knockout mice and perform similar experiments to support their interpretation.

      We value the reviewer’s insightful comment. We have assessed the expression of Sema4a in the epidermis of WT→KO chimeric mice using qRT-PCR. Our findings indicate that Sema4a expression levels in the epidermis of these mice are minimal (cycle threshold values of Sema4a ranged from 31.9 to not detected in WT→KO chimeric mice, whereas they ranged from 24.5 to 26.2 in WT→ WT mice). Consequently, we believe that the impact of keratinocyte stem cells derived from WT-hematopoietic cells is limited in this model. We appreciate this opportunity to clarify our results and will consider the generation of keratinocyte-specific Sema4A knockout mice for future experiments to further substantiate our interpretation.

      Page 11 Line 159 in the resubmitted manuscript:

      “Since it has already been reported that bone marrow cells contain keratinocyte stem cells (Harris et al., 2004; Wu, Zhao, & Tredget, 2010), we confirmed that epidermis of mice deficient in non-hematopoietic Sema4A (WT→KO) showed no obvious detection of Sema4a, thereby ruling out the impact of donor-derived keratinocyte stem cells infiltrating the host epidermis (Figure 3-figure supplement 1A).”

      Page 60: In the Figure legend of Figure 3-figure supplement 1A in the resubmitted manuscript:

      “(A) Sema4a expression in the Epi of WT→ WT mice and WT→ KO mice (n = 8 for WT→ WT, n = 7 for WT→ KO).”

      (3) Since Sema4A KO mice already have immunological and epidermal cell characteristics similar to psoriasis, albeit weak, it is possible that the nonspecific stimulus of simply topical IMQ may have appeared to exacerbate psoriasis. It is advisable to confirm whether a more psoriasis-specific stimulus, IL-23 administration, would produce similar results.

      Thank you for your suggestion. Following your advice, we have analyzed IL-23-mediated psoriasis-like dermatitis. To induce the model, 20 μl of phosphate-buffered saline containing 500 ng of recombinant mouse IL-23 was injected intradermally into both ears for 4 consecutive days. Unlike with the application of IMQ, there was no significant difference in ear thickness. However, H&E staining revealed that the epidermal thickness was significantly greater in KO mice compared to WT mice. Although a longer period of IL-23 induction might result in more pronounced ear swelling, we conducted this experiment over the same duration as the IMQ application experiment to maintain consistency. When we analyzed the T cells infiltrating the ears using flow cytometry, the proportion of IL-17A producing Vγ2 and DNγδ T cells in CD3 fraction in the epidermis was significantly higher in Sema4A KO mice, consistent with the results from IMQ-induced psoriasis-like dermatitis.

      The lack of significant difference in ear thickness changes with IL-23 administration might be due to IL-23 administration not reflecting upstream events of IL-23 production.

      We consider that in psoriasis, the expression of Sema4A in keratinocytes is likely more important than in T cells. Therefore, it makes sense that the phenotype difference was more pronounced with IMQ, which likely has a greater effect on keratinocytes compared to IL-23.

      Page 9 Line 137 in the resubmitted manuscript:

      “Though the imiquimod model is well-established and valuable murine psoriatic model (van der Fits et al., 2009), the vehicle of imiquimod cream can activate skin inflammation that is independent of toll-like receptor 7, such as inflammasome activation, keratinocyte death and interleukin-1 production (Walter et al., 2013). This suggests that the imiquimod model involves complex pathway. Therefore, we subsequently induced IL-23-mediated psoriasis-like dermatitis (Figure2-figure supplement 2A), a much simpler murine psoriatic model, because IL-23 is thought to play a central role in psoriasis pathogenesis (Krueger et al., 2007; Lee et al., 2004). Although ear swelling on day 4 was comparable between WT mice and Sema4AKO mice (Figure2-figure supplement 2B), the epidermis, but not the dermis, was significantly thicker in Sema4AKO mice compared to WT mice (Figure2-figure supplement 2C). We found that the proportion of CD4 T cells among T cells was significantly higher in Sema4A KO mice compared to WT mice, while the proportion of Vγ2 and DNγδ T cells among T cells was comparable between them (Figure 2-figure supplement 2D). On the other hand, focusing on IL-17A-producing cells, the proportion of IL-17A-producing Vγ2 and DNγδ T cells in CD3 fraction in the epidermis was significantly higher in Sema4A KO mice, consistent with the results from imiquimod-induced psoriasis-like dermatitis. (Figure 2-figure supplement 2E).”

      Page 24 Line 363 in the resubmitted manuscript: In the “Mice” section.

      “To induce IL-23-mediated psoriasis-like dermatitis, 20 μl of phosphate-buffered saline containing 500 ng of recombinant mouse IL-23 (BioLegend, San Diego, CA) was injected intradermally into both ears of anesthetized mice using a 29-gauge needle for 4 consecutive days.”

      Page 58: In the Figure legend of Figure 2-figure supplement 2 in the resubmitted manuscript:

      “IL-23-mediated psoriasis-like dermatitis is augmented in Sema4AKO mice.

      (A) An experimental scheme involved intradermally injecting 20 μl of phosphate-buffered saline containing 500 ng of recombinant mouse IL-23 into both ears of WT mice and KO mice for 4 consecutive days. Samples for following analysis were collected on Day 4. (B and C) Ear thickness (B) and Epi and Derm thickness (C) of WT mice and KO mice on Day 4 (n = 12 per group). (D and E) The percentages of Vγ3, Vγ2, DNγδ, CD4, and CD8 T cells (D) and those with IL-17A production (E) in CD3 fraction in the Epi (top) and Derm (bottom) of WT and KO ears (n = 5 per group). Each dot represents the average of 4 ear specimens. B-E: *p < 0.05, **p < 0.01. NS, not significant.”

      (4) How is STAT3 expression in the epidermis crucial in the pathogenesis of psoriasis in Sem4AKO mice?

      We appreciate your insightful comment. In our study, given the established role of activated STAT3 in psoriasis, we investigated both total STAT3 and phosphorylated STAT3 (p-STAT3) levels in the naive epidermis of WT and Sema4AKO mice (See the figure below). Our findings indicate that STAT3 activation does not occur in the epidermis of Sema4AKO mice. Therefore, we speculated that the hyperkeratosis observed in Sema4AKO mice is due to aberrant mTOR signaling rather than STAT3 activation. STAT3 may be relevant to other pathways independent of Sema4A signaling, or it may function as a complex with other molecules in the Sema4A signaling.

      Author response image 4.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      There is a long-standing idea that choices influence evaluation: options we choose are re-evaluated to be better than they were before the choice. There has been some debate about this finding, and the authors developed several novel methods for detecting these re-evaluations in task designs where options are repeatedly presented against several alternatives. Using these novel methods the authors clearly demonstrate this re-evaluation phenomenon in several existing datasets.

      Strengths:

      The paper is well-written and the figures are clear. The authors provided evidence for the behaviour effect using several techniques and generated surrogate data (where the ground truth is known) to demonstrate the robustness of their methods.

      Weaknesses:

      The description of the results of the fMRI analysis in the text is not complete: weakening the claim that their re-evaluation algorithm better reveals neural valuation processes.

      We appreciate the reviewer’s comment regarding the incomplete account of the fMRI results. In response, we implemented Reviewer #2's suggestion to run additional GLM models for a clearer interpretation of our findings. We also took this opportunity to apply updated preprocessing to the fMRI data and revise the GLM models, making them both simpler and more comprehensive. The results section is thus substantially revised, now including a new main figure and several supplemental figures that more clearly present our fMRI findings. Additionally, we have uploaded the statistical maps to NeuroVault, allowing readers to explore the full maps interactively rather than relying solely on the static images in the paper. The new analyses strengthen our original conclusion: dynamic values (previously referred to as revalued values, following the reviewer’s suggestion) better explain BOLD activity in the ventromedial prefrontal cortex, a region consistently associated with valuation, than static values (values reported prior to the choice phase in the auction procedure).

      Reviewer #2 (Public Review):

      Summary:

      Zylberberg and colleagues show that food choice outcomes and BOLD signal in the vmPFC are better explained by algorithms that update subjective values during the sequence of choices compared to algorithms based on static values acquired before the decision phase. This study presents a valuable means of reducing the apparent stochasticity of choices in common laboratory experiment designs. The evidence supporting the claims of the authors is solid, although currently limited to choices between food items because no other goods were examined. The work will be of interest to researchers examining decision-making across various social and biological sciences.

      Strengths:

      The paper analyses multiple food choice datasets to check the robustness of its findings in that domain.

      The paper presents simulations and robustness checks to back up its core claims.

      Weaknesses:

      To avoid potential misunderstandings of their work, I think it would be useful for the authors to clarify their statements and implications regarding the utility of item ratings/bids (e-values) in explaining choice behavior. Currently, the paper emphasizes that e-values have limited power to predict choices without explicitly stating the likely reason for this limitation given its own results or pointing out that this limitation is not unique to e-values and would apply to choice outcomes or any other preference elicitation measure too. The core of the paper rests on the argument that the subjective values of the food items are not stored as a relatively constant value, but instead are constructed at the time of choice based on the individual's current state. That is, a food's subjective value is a dynamic creation, and any measure of subjective value will become less accurate with time or new inputs (see Figure 3 regarding choice outcomes, for example). The e-values will change with time, choice deliberation, or other experiences to reflect the change in subjective value. Indeed, most previous studies of choice-induced preference change, including those cited in this manuscript, use multiple elicitations of e-values to detect these changes. It is important to clearly state that this paper provides no data on whether e-values are more or less limited than any other measure of eliciting subjective value. Rather, the paper shows that a static estimate of a food's subjective value at a single point in time has limited power to predict future choices. Thus, a more accurate label for the e-values would be static values because stationarity is the key assumption rather than the means by which the values are elicited or inferred.

      Thank you for this helpful comment. We changed the terminology following the reviewer’s suggestion. The “explicit” values (e-values or ve) are now called “static” values (s-values or vs). Accordingly, we also changed the “Reval” values (r-values or vr) to “dynamic” values (d-values or vd).

      We also address the reviewer's more general point about the utility of item ratings/bids (s-values) and whether our results are likely to hold with other ways of eliciting subjective values. We added a new sub-section in Discussion addressing this and other limitations of our study. To address the reviewer’s point, we write:

      “One limitation of our study is that we only examined tasks in which static values were elicited from explicit reports of the value of food items. It remains to be determined if other ways of eliciting subjective values (e.g., Jensen and Miller, 2010) would lead to similar results. We think so, as the analysis of trials with identical item pairs (Fig. 3) and the difference between forward and backward Reval (Fig. 7) are inconsistent with the notion that values are static, regardless of their precise value. It also remains to be determined if our results will generalize to non-food items whose value is less sensitive to satiety and other dynamic bodily states. Perceptual decisions also exhibit sequential dependencies, and it remains to be explored whether these can be explained as a process of value construction, similar to what we propose here for the food-choice task (Gupta et al., 2024; Cho et al., 2002; Zylberberg et al., 2018; Abrahamyan et al., 2016).”

      There is a puzzling discrepancy between the fits of a DDM using e-values in Figure 1 versus Figure 5. In Figure 1, the DDM using e-values provides a rather good fit to the empirical data, while in Figure 5 its match to the same empirical data appears to be substantially worse. I suspect that this is because the value difference on the x-axis in Figure 1 is based on the e-values, while in Figure 5 it is based on the r-values from the Reval algorithm. However, the computation of the value difference measure on the two x-axes is not explicitly described in the figures or methods section and these details should be added to the manuscript. If my guess is correct, then I think it is misleading to plot the DDM fit to e-values against choice and RT curves derived from r-values. Comparing Figures 1 and 5, it seems that changing the axes creates an artificial impression that the DDM using e-values is much worse than the one fit using r-values.

      We agree with the reviewer that this way of presenting the DDM fits could be misleading. In the previous version of the manuscript, we included the two fits in the same figure panel to make it clear that the sensitivity (slope) of the choice function is greater when we fit the data using the r-values (now d-values) than when we fit them using the e-values (now s-values). In the revised version of Figure 5, we include the data points already shown in Figure 1, so that each DDM fit is shown with their corresponding data points. Thus we avoid giving the false impression that the DDM model fit using the s-values is much worse than the one fit using the d-values. This said, the fit is indeed worse, as we now show with the formal model comparison suggested by the reviewer (next comment).

      Relatedly, do model comparison metrics favor a DDM using r-values over one using e-values in any of the datasets tested? Such tests, which use the full distribution of response times without dividing the continuum of decision difficulty into arbitrary hard and easy bins, would be more convincing than the tests of RT differences between the categorical divisions of hard versus easy.

      We now include the model comparison suggested by the reviewer. The comparison shows that the DDM model using dynamic values explains the choice and response time data better than one using static values. One potential caveat of this comparison, which explains why we did not include it in the original version of the manuscript, is that the d-values are obtained from a fit to the choice data, which could bias the subsequent DDM comparison. We control for this in three ways: (1) by calculating the difference in Bayesian Information Criterion (BIC) between the models, penalizing the DDM model that uses the d-values for the additional parameter (δ); (2) by comparing the difference in BIC against simulations of a model in which the choice and RT data were obtained assuming static values; this analysis shows that if values were static, the DDM using static values would be favored in the comparison despite having one fewer parameter; (3) ignoring the DDM fit to the choices in the model comparison, and just comparing how well the two models explain the RTs; this comparison is unbiased because the δ values are fit only to the choice data, not the RTs. These analyses are now included in Figure 5 and Figure 5–Figure supplement 2.

      Revaluation and reduction in the imprecision of subjective value representations during (or after) a choice are not mutually exclusive. The fact that applying Reval in the forward trial order leads to lower deviance than applying it in the backwards order (Figure 7) suggests that revaluation does occur. It doesn't tell us if there is also a reduction in imprecision. A comparison of backwards Reval versus no Reval would indicate whether there is a reduction in imprecision in addition to revaluation. Model comparison metrics and plots of the deviance from the logistic regression fit using e-values against backward and forward Reval models would be useful to show the relative improvement for both forms of Reval.

      We agree with the reviewer that the occurrence of revaluation does not preclude other factors from affecting valuation. Following the reviewer’s suggestion we added a panel to Figure 6 (new panel B), in which we show the change in the deviance from the logistic regression fits between Reval (forward direction) and no-Reval. The figure clearly shows that the difference in deviance for the data is much larger than that obtained from simulations of choice data generated from the logistic fits to the static values (shown in red).

      Interestingly, we also observe that the deviance obtained after applying Reval in the backward direction is lower than that obtained using the s-values. We added a panel to figure 7 showing this (Fig. 7B). This observation, however, does not imply that there are factors affecting valuation besides revaluation (e.g.,”reduction in imprecision”). Indeed, as we now show in a new panel in Figure 11 (panel F), the same effect (lower deviance for backward Reval than no-Reval) is observed in simulations of the ceDDM.

      Besides the new figure panels (Fig. 6B, 7B, 11F), we mention in Discussion (new subsection, “Limitations...”, paragraph #2) the possibility that there are other non-dynamic contributions to the reduction in deviance for Backward Reval compared to no-Reval:

      “Another limitation of our study is that, in one of the datasets we analyzed (Sepulveda et al. 2020), applying Reval in the forward direction was no better than applying it in the backward direction (Fig. 10). We speculate that this failure is related to idiosyncrasies of the experimental design, in particular, the use of alternating blocks of trials with different instructions (select preferred vs. select non-preferred). More importantly, Reval applied in the backward direction led to a significant reduction in deviance relative to that obtained using the static values. This reduction was also observed in the ceDDM, suggesting that the effect may be explained by the changes in valuation during deliberation. However, we cannot discard a contribution from other, non-dynamic changes in valuation between the rating and choice phase including contextual effects (Lichtenstein and Slovic, 2006), stochastic variability in explicit value reporting (Polania et al., 2019), and the limited range of numerical scales used to report value.”

      Did the analyses of BOLD activity shown in Figure 9 orthogonalize between the various e-valueand r-value-based regressors? I assume they were not because the idea was to let the two types of regressors compete for variance, but orthogonalization is common in fMRI analyses so it would be good to clarify that this was not used in this case. Assuming no orthogonalization, the unique variance for the r-value of the chosen option in a model that also includes the e-value of the chosen option is the delta term that distinguishes the r and e-values. The delta term is a scaled count of how often the food item was chosen and rejected in previous trials. It would be useful to know if the vmPFC BOLD activity correlates directly with this count or the entire r-value (e-value + delta). That is easily tested using two additional models that include only the r-value or only the delta term for each trial.

      We did not orthogonalize the static value and dynamic value regressors. We have included this detail in the revised methods. We thank the reviewer for the suggestion to run additional models to improve our ability to interpret our findings. We have substantially revised all fMRI-related sections of the paper. We took this opportunity to apply standardized and reproducible preprocessing steps implemented in fmriprep, present whole-brain corrected maps on a reconstructed surface of a template brain, and include links to the full statistical maps for the reader to navigate the full map, rather than rely on the static image in the figures. We implemented four models in total: model 1 includes both static value (Vs) obtained during the auction procedure prior to the choice phase and dynamic value (Vd) output by the revaluation algorithm (similar to the model presented in the first submission); model 2 includes only delta = Vd - Vs; model 3 includes only Vs; model 4 includes only Vd. All models included the same confound and nuisance regressors. We found that Vd was positively related to BOLD in vmPFC when accounting for Vs, correcting for familywise error rate at the whole brain level. Interestingly, the relationship between delta and vmPFC BOLD did not survive whole-brain correction and the effect size of the relationship between Vd and vmPFC bold in model 4 was larger than the effect size of the relationship between Vs and vmPFC bold in model 3 and survived correction at the whole brain level encompassing more of the vmPFC. Together, these findings bolster our claim that Vd better accounts for BOLD variability in vmPFC, a brain region reliably linked to valuation.

      Please confirm that the correlation coefficients shown in Figure 11 B are autocorrelations in the MCMC chains at various lags. If this interpretation is incorrect, please give more detail on how these coefficients were computed and what they represent.

      We added a paragraph in Methods explaining how we compute the correlations in Figure 11B (last paragraph of the sub-section “Correlated-evidence DDM” in Methods):

      “The correlations in Fig. 11B were generated using the best-fitting parameters for each participant to simulate 100,000 Markov chains. We generate Markov chain samples independently for the left and right items over a 1-second period. To illustrate noise correlations, the simulations assume that the static value of both the left and right items is zero. We then and for each of the Markov chains (𝑥). Pearson's𝑥 correlation is computed between these 𝑡 calculate the difference in dynamic value ( ) between the left and right items at each time (𝑡) differences at time zero, 𝑥𝑖(𝑡 = 0), and at time 𝑥𝑖(𝑡 = τ), for different time lags τ. Correlations were calculated independently for each participant. Each trace in Fig. 11B represents a different participant.”

      The paper presents the ceDDM as a proof-of-principle type model that can reproduce certain features of the empirical data. There are other plausible modifications to bounded evidence accumulation (BEA) models that may also reproduce these features as well or better than the ceDDM. For example, a DDM in which the starting point bias is a function of how often the two items were chosen or rejected in previous trials. My point is not that I think other BEA models would be better than the ceDDM, but rather that we don't know because the tests have not been run. Naturally, no paper can test all potential models and I am not suggesting that this paper should compare the ceDDM to other BEA processes. However, it should clearly state what we can and cannot conclude from the results it presents.

      Indeed, the ceDDM should be interpreted as a proof-of-principle model, which shows that drifting values can explain many of our results. It is definitely wrong in the details, and we are open to the possibility that a different way of introducing sequential dependencies between decisions may lead to a better match to the experimental data. We now mention this in a new subsection of Discussion, “Limitations...” paragraph #3:

      “Finally, we emphasize that the ceDDM should be interpreted as a proof-of-principle model used to illustrate how stochastic fluctuations in item desirability can explain many of our results. We chose to model value changes following an MCMC process. However, other stochastic processes or other ways of introducing sequential dependencies (e.g., variability in the starting point of evidence accumulation) may also explain the behavioral observations. Furthermore, there likely are other ways to induce changes in the value of items other than through past decisions. For example, attentional manipulations or other experiences (e.g., actual food consumption) may change one's preference for an item. The current version of the ceDDM does not allow for these influences on value, but we see no fundamental limitation to incorporating them in future instantiations of the model.”

      This work has important practical implications for many studies in the decision sciences that seek to understand how various factors influence choice outcomes. By better accounting for the context-specific nature of value construction, studies can gain more precise estimates of the effects of treatments of interest on decision processes.

      Thank you!

      That said, there are limitations to the generalizability of these findings that should be noted.

      These limitations stem from the fact that the paper only analyzes choices between food items and the outcomes of the choices are not realized until the end of the study (i.e., participants do not eat the chosen item before making the next choice). This creates at least two important limitations. First, preferences over food items may be particularly sensitive to mindsets/bodily states. We don't yet know how large the choice deltas may be for other types of goods whose value is less sensitive to satiety and other dynamic bodily states. Second, the somewhat artificial situation of making numerous choices between different pairs of items without receiving or consuming anything may eliminate potential decreases in the preference for the chosen item that would occur in the wild outside the lab setting. It seems quite probable that in many real-world decisions, the value of a chosen good is reduced in future choices because the individual does not need or want multiples of that item. Naturally, this depends on the durability of the good and the time between choices. A decrease in the value of chosen goods is still an example of dynamic value construction, but I don't see how such a decrease could be produced by the ceDDM.

      These are all great points. The question of how generalizable our results are to other domains is wide open. We do have preliminary evidence suggesting that in a perceptual decision-making task with two relevant dimensions (motion and color; Kang, Loffler et al. eLife 2021), the dimension that was most informative to resolve preference in the past is prioritized in future decisions. We believe that a similar process underlies the apparent change in value in value-based decisions. We decided not to include this experiment in the manuscript, as it would make the paper much longer and the experimental designs are very different. Exploring the question of generality is a matter for future studies.

      We also agree that food consumption is likely to change the value of the items. For example, after eating something salty we are likely to want something to drink. We mention in the revised manuscript that time, choice deliberation, attentional allocation and other experiences (including food consumption) are likely to change the value of the alternatives and thus affect future choices and valuations.

      The ceDDM captures only sequential dependencies that can be attributed to values that undergo diffusion-type changes during deliberation. While the ceDDM captures many of the experimental observations, the value of an item may change for reasons not captured by the ceDDM. For example, food consumption is likely to change the value of items (e.g., wanting something to drink after eating something salty). The reviewer is correct that the current version of ceDDM could not account for these changes in value. However, we see no fundamental limitation to extending the ceDDM to account for them.

      We discuss these issues in a new subsection in Discussion (“Limitations...” paragraph #3).

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      Summary

      The authors address assumptions of bounded accumulation of evidence for value-based decision-making. They provide convincing evidence that subjects drift in their subjective preferences across time and demonstrate valuable methods to detect these drifts in certain task designs.

      My specific comments are intended to assist the authors with making the paper as clear as possible. My only major concern is with the reporting of the fMRI results.

      Thank you, please see our responses above for a description of the changes we made to the fMRI analyses.

      Specific comments

      - In the intro, I would ask the authors to consider the idea that things like slow drift in vigilance/motivation or faster drifts in spatial attention could also generate serial dependencies in perceptual tasks. I think the argument that these effects are larger in value-based tasks is reasonable, but the authors go a bit too far (in my opinion) arguing that similar effects do not exist *at all* in perceptual decision-making.

      We added a sentence in the Discussion (new section on Limitations, paragraph #1) mentioning some of the literature on sequential dependencies in perceptual tasks and asking whether there might be a common explanation for such dependencies for perceptual and value-based decisions. We tried including this in the Introduction, but we thought it disrupted the flow too much.

      - Figure 1: would it not be more clear to swap the order of panels A and B? Since B comes first in the task?

      We agree, we swapped the order of panels A and B.

      - Figure 2: the label 'simulations' might be better as 'e-value simulations'

      Yes, we changed the label ‘simulations’ to ‘simulations with s-values’ (we changed the term explicit value to static value, following a suggestion by Reviewer #2).

      - For the results related to Figure 2, some citations related to gaps between "stated versus revealed preferences" seem appropriate.

      We added a few relevant citations where we explain the results related to Figure 2.

      - Figure 3: in addition to a decrease in match preferences over the session, it would be nice to look at other features of the task which might have varied over the session. e.g. were earlier trials more likely to be predicted by e-value?

      We do see a trend in this direction, but the effect is not significant. The following figure shows the consistency of the choices with the stated values, as a function of the |∆value|, for the first half (blue) and the second half (red) of the trials. The x-axis discretizes the absolute value of the difference in static value between the left and right items, binned in 17 bins of approximately equal number of trials.

      Author response image 1.

      The slope is shallower for the second half, but a logistic regression model revealed that the difference is not significant:

      ,

      where Ilate is an indicator variable that takes a value of 1 for the second half of the trials and zero otherwise.

      As expected from the figure β2 was negative (-0.15) but the effect was not significant (p-value =0.32, likelihood ratio test).

      We feel we do not have much to say about this result, which may be due to lack of statistical power, so we would rather not include this analysis in the revised manuscript.

      It is worth noting that if we repeat the analysis using the dynamic values obtained from Reval instead of the static values, the consistency is overall much greater and little difference is observed between the first and second halves of the experiment:

      Author response image 2.

      - The e-value DDM fit in Figure 1C/D goes through the points pretty well, but the e-value fits in 5A do not because of a mismatch with the axis. The x-axis needs to say whether the value difference is the e-value or the r-value. Also, it seems only fair to plot the DDM for the r-value on a plot with the x-axis being the e-value.

      Thank you for this comment, we have now changed Figure 5A, such that both sets of data points are shown (data grouped by both e-values and by r-values). We agree that the previous version made it seem as if the fits were worse for the DDM fit to the e-values. The fits are indeed worse, as revealed by a new DDM model comparison (Figure 5–Figure supplement 2), but the effect is more subtle than the previous version of the figure implied.

      - How is Figure 5B "model free" empirical support? The fact that the r-value model gives better separation of the RTs on easy and hard trials doesn't seem "model-free" and also it isn't clear how this directly relates to being a better model. It seems that just showing a box-plot of the R2 for the RT of the two models would be better?

      We agree that “model free” may not be the best expression, since the r-values (now d-values) are derived from a model (Reval). Our intention was to make clear that because Reval only depends on the choices, the relationship between RT and ∆vdynamic is a prediction. We no longer use the term, model free, in the caption. We tried to clarify the point in Results, where we explain this figure panel. We have also included a new model comparison (Figure 5–Figure supplement 2), showing that the DDM model fit to the d-values explains choice and RT better than one fit to the s-values.

      This said, we do consider the separation in RTs between easy and hard trials to be a valid metric to compare the accuracy of the static and dynamic values. The key assumption is that there is a monotonically decreasing relationship between value difference, ∆v, and response time. The monotonic relationship does not need to hold for individual trials (due to the noisiness of the RTs) but should hold if one were to average a large enough number of trials for each value of ∆v.

      Under this assumption, the more truthful a value representation is (i.e., the closer the value we infer is to the true subjective value of the item on a given trial, assuming one exists), the greater the difference in RTs between trials judged to be difficult and those considered easy. To illustrate this with an extreme case, if an experimenter’s valuation of the items is very inaccurate (e.g., done randomly), then on average there will be no difference between easy and difficult RTs as determined by this scoring.

      - Line 189: Are the stats associated with Eq 7, was the model fit subject by subject? Combining subjects? A mixed-effects model? Why not show a scatter plot of the coefficients of Δvₑ and Δvᵣ (1 point/subject).

      The model was not fit separately for each subject. Instead, we concatenated trials from all subjects, allowing each subject to have a different bias term (β0,i ).

      We have now replaced it with the analysis suggested by the reviewer. We fit the logistic regression model independently for each participant. The scatter plot suggested by the reviewer is shown in Figure 5–Figure supplement 1. Error bars indicate the s.e. of the regression coefficients:

      It can be seen that the result is consistent with what we reported before: βd is significantly positive for all participants, while βs is not.

      - I think Figure S1 should be a main figure.

      Thank you for this suggestion, we have now included the former Figure S1 as an additional panel in Figure 5.

      - Fig 9 figure and text (line 259) don't exactly match. In the text it says that the BOLD correlated with vᵣ and not vₑ, but the caption says there were correlations with vᵣ after controlling for vₑ. Is there really nothing in the brain that correlated with vₑ? This seems hard to believe given how correlated the two estimates are. In the methods, 8 regressors are described. A more detailed description of the results is needed.

      Thank you for pointing out the inconsistency in our portrayal of the results in the main text and in the figure caption. We have substantially revised all fMRI methods, re-ran fMRI data preprocessing and implemented new, simpler, and more comprehensive GLM models following Reviewer #2's suggestion. Consequently, we have replaced Figure 9, added Figure 9 — Figure Supplement 1, and uploaded all maps to NeuroVault. These new models and maps allow for a clearer interpretation of our findings. More details about the fMRI analyses in the methods and results are included in the revision. We took care to use similar language in the main text and in the figure captions to convey the results and interpretation. The new analyses strengthen our original conclusion: dynamic values better explain BOLD activity in the ventromedial prefrontal cortex, a region consistently associated with valuation, than static values.

      - It's great that the authors reanalyzed existing datasets (fig 10). I think the ΔRT plots are the least clear way to show that _reval_ is better. Why not a figure like Figure 6a and Figure 7 for the existing datasets?

      We agree with the reviewer. We have replaced Fig. 10 with a more detailed version. For each dataset, we show the ΔRT plots, but we also show figures equivalent to Fig. 6a, Fig. 7a, and the new Fig. 6b (Deviance with and without Reval).

      Reviewer #2 (Recommendations For The Authors):

      I assume that the data and analysis code will be made publicly and openly available once the version of record is established.

      Yes, the data and analysis code is now available at: https://github.com/arielzylberberg/Reval_eLife_2024

      We added a Data Availability statement to the manuscript.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1

      Major comments:

      1) The authors conclude that the bone growth defects are chondrocyte-specific, highlighting no changes in the IGF pathway. However, other bone cells such as mesenchymal progenitors, osteoblasts, osteocytes, and marrow stromal cells are also lateral plate mesoderm derived and likely have roles in the bone growth phenotypes (a). Additionally, while the size decrease of the proliferative zone was stated, no actual proliferation assays such as BrdU were conducted (b). With the elements being of such small size in the mutants, the defects are likely to be found at the earliest stages of limb development at E11.5-E13.5 and may be due to mesenchymal to chondrocyte transitions or defects in osteoblast lineage development (c). Overall, the skeletal characterization is not rigorous and does not identify even a likely cellular mechanism. Further, a molecular mechanism by which SMN functions in mesenchymal progenitors, chondrocytes, or osteoblast lineage cells has not been assessed (d).

      (a, c) As the reviewer commented, it seems to be a very important point to evaluate whether there is any problem in embryonic development from the time of mesenchymal cell condensation of the limb bud to the primary ossification center. However, when Hensel et al evaluated bone growth in P3 of severe SMA mice, the growth defect was not very large, with control femur length 3.5 mm and mutant 3.2 mm. it seems that even if SMN defects occur, there is no major problem with endochondral bone formation in the embryonic period (Hensel et al., 2020).

      In this study, the SMN2 1-copy mutant with the bone growth defect was found to have a similar reduction in SMN protein to the severe SMA mouse model in experiments quantifying SMN protein. When Hensel et al. performed an in vitro ossification test on primary osteoblasts from the other severe SMA mouse model (Taiwanese severe SMA), they found no significant difference compared to controls. In femurs at P3 from severe SMA mice, they found no difference in bone voxel density and bone thickness (Hensel et al., 2020). In our data, bone thickness was not different in Figure 1 and Figure 1 – figure supplement 2, and BMD was actually greater. Thus, we believe that osteoblast and osteocyte function does not appear to be impaired by the absence of SMNs. When we looked at cortical osteoblasts in our new Figure 1-figure supplement 2, there did not appear to be a significant difference in density.

      Furthermore, it is unlikely that BMSCs contributed to the bone growth we observed up to 2 weeks of age. the Lepr+Cxcl12+ BMSC population, which constitutes 94% ± 4% of CFU-F colonies formed by bone marrow cells (Zhou et al.k, 2014), is Prrx1-positive, and is known to be capable of osteogenesis in vivo, was only shown to differentiate into osteoblasts and form new bone in adults over 8 weeks of age. In the Lepr-cre; tdTomato; Col2.3-GFP mouse model, few cells expressing the osteoblast marker Col2.3-GFP are found before 2 months, and only about 3% of femur trabecular and cortical osteocytes express tdTomato at 2 months (Zhou et al., 2014). In Cxcl12-CreER; tdTomato; Col2.3-GFP mouse model, the researchers did not find tomato positivity in osteoblasts and osteocytes even after administration of tamoxifen at P3 and analysis 1 year later (Matsushita et al., 2020).

      We, therefore, concluded that the bone growth abnormalities observed in SMN2 1-copy mutants are due to problems in endochondral ossification caused by chondrocyte defects and not due to other Prrx1-lineage skeletal cells.

      (b) According to the reviewer's suggestion, we evaluated cell proliferation in the new Figure 1J-L by performing immunostaining for the Ki67 proliferation marker in growth plates.

      (d) As the reviewer pointed out, we enhanced the mechanism study and found the reduction of chondrocyte-derived IGF signaling and hypertrophic marker in new Figure 2. We evaluated the density of osteoblasts and osteoclasts, which can affect bone mineralization. We highlighted the limited impact of BMSCs on bone growth in the first two weeks of life. In a previous study, SMN-deleted osteoblasts did not show any issues with ossification (Hensel et al., 2020). In fact, osteoblast density in the SMN2 1-copy mutant was not different from the control, indicating that the skeletal abnormalities can largely be attributed to deficiencies in endochondral ossification caused by chondrocytes. Since chondrocytes are the local source of IGF and our mutants exhibit phenotypes similar to mouse models with reduced IGF, such as downregulated expression of Igf1 and Igfbp3, downregulated IGF-induced hypertrophic gene expression, reduced AKT phosphorylation, proliferation, and growth plate zone length, SMN-deleted chondrocytes probably showed these phenotypes due to decreased IGF secretion. Now, we added new Figure 2A-C, and E.

      2) Is the liver the only organ/tissue that supplied IGF to the chondrocytes or are other lateral plate mesoderm-derived cells potential suppliers? It's not possible to pin SMN deletion in chondrocytes as intrinsic ignoring the other bone cell types that it is depleted from in the Prrx1Cre genetic model.

      Recently, Oichi et al. reported that the local IGF source in the growth plate is chondrocytes by in situ hybridization and p-AKT staining (Oichi et al., 2023). When we measured IGF in chondrocytes isolated from articular cartilage, the expressions of Igf1 andIgfbp3 were markedly reduced in chondrocytes with SMN deletion compared to controls (New Figure 2E), suggesting that intrinsic SMN expression in chondrocytes plays an important role in the growth plate.

      3) Why is SMN protein being isolated from FAPs to assess levels in the null/SMN2 single copy/double copy mutants when the bone defects are supposed to be a chondrocyte-specific phenotype? This protein expression needs to be confirmed in chondrocytes themselves, and or other Prrx1Cre lineaged skeletal cells.

      According to the reviewer’s suggestion, we attempted to evaluate the protein levels in chondrocytes of the SMN2 1-copy mutant. However, we were unable to obtain sufficient numbers of chondrocytes, because of poor proliferation of mutant chondrocytes compared to controls in culture conditions. We could obtain ~10^4 viable cells from 1 mouse of SMN2 1-copy mutant. Therefore, our only options for confirming SMN deletion in chondrocytes were DNA and RNA work. As in the Prrx1-lineage FAPs that the amount of SMN protein correlates with the expression levels of full-length SMN mRNA (Figure 2H-J), we expect that the SMN protein in chondrocytes would be fully depleted due to poor full-length SMN mRNA expression (Figure 2H).

      4) Figure 2E should have example images of each type of NMJ characterization.

      We revised our figure by adding the example images in new Figure 3E.

      5) What are the overall NMJ numbers in the normal formation period? Are these constant into the juvenile period when the authors say the deterioration occurs?

      We appreciate the reviewer's constructive comments, and it would be interesting to see if we could see a difference in the total number of NMJs. However, there is one NMJ in every myofiber, and each muscle has hundreds to thousands of myofibers. The technical difficulty of confocal imaging an entire muscle, which can be several millimeters across, precludes experiments that count every NMJ and show a difference. It may be possible to do so by combining clearing and confocal line scanning techniques. In our analysis of the NMJ, the formation of the NMJ in the mutant appears to be normal. Additionally, the number of myofibers seems to be the same, and there may be no difference in the total NMJ number.

      6) For transplantation experiments the authors sorted YFP or TOMATO+ cells from the Prrx1Cre mice muscles, but refer to them as FAPs. It is known that other cells including tenocyte-like cells, pericytes, and vascular smooth muscle cells are identified by this reporter line. Staining for TOMATO colocalization with PDGFRA would help to clarify this.

      In the method ‘Hindlimb fibro-adipogenic progenitors isolation’ section, we sorted 7AAD–Lin–Vcam–Sca1+ population refers to FAPs. For FAPs transplantation, we also used YFP or TOMATO+ FAPs (7AAD–Lin–Vcam–Sca1+). The ‘FAPs transplantation’ method section did not specify the FAPs population in detail. This has been fixed in the new method. Sca1 (Ly6a) is an effective marker for identifying FAPs within Prrx1-lineage cells, as well as Pdgfra (Leinroth et al., 2022).

      7) The authors only compare the SMN2 single copy mutant transplantation to contralateral to show rescue, but how does this compare to overall wt morphology?

      According to the reviewer’s constructive comment, we compared them with wild-type morphology (new Figure 7A-D).

      8) The asterisks of TOMATO+ in Figure 6A are confusing. FAPs do not usually clump together to form such large plaques and are normally much thinner tendrils. What is the reason for this?

      As the reviewer states, FAPs have a fibroblast-like morphology with elongated thinner tendrils. The Figure 6A image in the figure shows a Z-sliced cell body portion of FAP, where the nucleus is located, and it appears blunt. We attached imaged tomato+ FAPs, in which their cell body parts are plaque-like.

      Author response image 1.

      Tomato+ FAPs in muscle

      9) Would transplantation of healthy FAPs after NMJ maturation in SMN mutants still rescue the phenotype? Assessment of this is key for therapy intervention timelines moving forward.

      It will be very interesting to see if the phenotype improves after NMJ maturation by healthy FAPs transplantation, but this is a technically difficult experiment to do because we found that FAPs do not implant effectively when injected into naive adult muscle. The transplantation into the adult is sufficiently possible if accompanied by an injury, but this eventually leads to new formation of NMJ again. Thus, it seems impossible to do transplantation experiment after NMJ maturation through general methods. If we discover a method to efficiently rescue SMNs from FAPs or identify a factor that affects FAPs' influence on NMJ, then we may be able to conduct this experiment.

      Reference

      Hensel, N., Brickwedde, H., Tsaknakis, K., Grages, A., Braunschweig, L., Lüders, K. A., Lorenz, H. M., Lippross, S., Walter, L. M., Tavassol, F., Lienenklaus, S., Neunaber, C., Claus, P., & Hell, A. K. (2020). Altered bone development with impaired cartilage formation precedes neuromuscular symptoms in spinal muscular atrophy. Human Molecular Genetics, 29(16), 2662–2673. https://doi.org/10.1093/hmg/ddaa145

      Leinroth, A. P., Mirando, A. J., Rouse, D., Kobayahsi, Y., Tata, P. R., Rueckert, H. E., Liao, Y., Long, J. T., Chakkalakal, J. V., & Hilton, M. J. (2022). Identification of distinct non-myogenic skeletal-muscle-resident mesenchymal cell populations. Cell Reports, 39(6), 110785. https://doi.org/10.1016/j.celrep.2022.110785

      Matsushita, Y., Nagata, M., Kozloff, K. M., Welch, J. D., Mizuhashi, K., Tokavanich, N., Hallett, S. A., Link, D. C., Nagasawa, T., Ono, W., & Ono, N. (2020). A Wnt-mediated transformation of the bone marrow stromal cell identity orchestrates skeletal regeneration. Nature Communications, 11(1). https://doi.org/10.1038/s41467-019-14029-w

      Oichi, T., Kodama, J., Wilson, K., Tian, H., Imamura Kawasawa, Y., Usami, Y., Oshima, Y., Saito, T., Tanaka, S., Iwamoto, M., Otsuru, S., & Enomoto-Iwamoto, M. (2023). Nutrient-regulated dynamics of chondroprogenitors in the postnatal murine growth plate. Bone Research, 11(1). https://doi.org/10.1038/s41413-023-00258-9

      Zhou, B. O., Yue, R., Murphy, M. M., Peyer, J. G., & Morrison, S. J. (2014). Leptin-receptor-expressing mesenchymal stromal cells represent the main source of bone formed by adult bone marrow. Cell Stem Cell, 15(2), 154–168. https://doi.org/10.1016/j.stem.2014.06.008

      Reviewer #2

      Major comments:

      1) Regarding bone deficits - CT analysis of bones should be more comprehensive than Figure 1A shows. How about cross-sections? (a) Are bone phenotypes also age-dependent? (b) PCR was done only for SMA and related proteins (such as IGF). IGF protein in the blood and relevant organs should be studied. Why not include biomarkers of osteoblasts or/and osteoclasts and their regulators? (c)

      (a) We appreciate the reviewer’s constructive comment. we added longitudinal section views in new Figure 1A and a description of trabecular bone volume and secondary ossification center in the main text.

      (b) Age-dependent evaluation is an important point. By adulthood, the difference between the SMN2 1-copy mutant and the control is much larger, and even at birth there is a slight difference, although not as large as at 2 weeks of age. We focused our phenotyping on bone growth at 2 weeks of age, a time when new bone formation by BMSCs is less influential, when bone growth is primarily driven by endochondral ossification of chondrocytes, and before the defect in the NMJ is primarily manifested.

      (c) As the reviewer comments, it is important that IGF are evaluated in tissues other than liver. However, the liver is most likely the source of systemic IGF, as shown by the liver-specific deletion of Igf1 and knockout of Igfals, a protein that forms the IGF ternary complex, which is predominantly expressed in the liver. This resulted in a 90% drop in serum IGF levels and a phenotype of shortened femur length and growth plates in the double KO mice (Yakar et al., 2002).

      The local IGF source in the growth plate is chondrocytes confirmed by Igf1 in situ hybridization and p-AKT staining (Oichi et al., 2023). From the In situ hybridization data, we can observe that bone marrow and bone do not express Igf1 at all, but only perichondrium and chondrocytes in the resting zone express Igf1 mRNA. Therefore, we can see that the only supplier of IGF among LPM-derived cells is chondrocytes, and in the new figure 2, we measured IGF pathway expression and AKT phosphorylation in chondrocytes. We have confirmed that the expression of Igf1/Igfbp3 is reduced in chondrocytes with SMN deletion.

      To assess serum IGF level, we could not set up this experiment condition during our revision period due to the requirement of administrative procedures for purchasing new apparatuses and the limitation of our research funds. However, as previously stated, there is no difference in the expression of Igf1 and Igfals in the liver, which accounts for 90% of serum IGF levels. Therefore, we did not anticipate significant variations in serum IGF levels.

      Evaluation of osteoblasts or osteoclasts was done by section staining due to sampling difficulties for PCR. we assessed osteoblasts and osteoclasts state in new Figure 1-figure supplement 2.

      2) What is the relationship between deficits of bone deficits and muscle deficits or even NMJ deficits? Are they inter-related? Is skeletal muscle development also defective in Smn∆MPC mice? Can NMJ deficits result from bone deficits? Or vice versa?

      Unfortunately, the reviewer's comments are very difficult to clarify in our study using the Prrx1-cre model. In skeletal muscle development, the myofiber number was not significantly different in our mouse models. A study has shown that inactivating noggin, a BMP antagonist expressed in condensed cartilage and immature chondrocytes, results in severe skeletal defects without affecting the early stages of muscle differentiation (Tylzanowski et al., 2006). Therefore, bone may not have a significant impact on the early development of muscle, but later in postnatal development it may have an impact on motor performance issues. The relationship between bone and NMJ hasn't been studied. The impact of bone defects on motor skill may result in muscle weakness and NMJ problems. In our study, we showed that NMJ deficit rescue by transplantation of FAPs and decreased IGF in chondrocytes, a key source of local IGF. This suggests that the functions of FAPs in NMJ and chondrocytes in bone deficit are crucial, rather than each other's influence.

      3) Regarding the rescue experiment, the interpretation of the data should be careful. Evidently, healthy FAPs (td-Tomato positive) were transplanted into TA muscles of 10 days-old SMN2 1-copy SmnΔMPC mice, and NMJs were looked at P56. The control was contralateral TA that was injected with the vehicle. As described above, the data had huge SEM and were difficult to interpret or believe. The control perhaps was wrong if FAPs act by releasing "chemicals" because FAPs from one leg may go to other muscles via blood. Second, if FAPs act via contact, the data shown did not support this. Two red FAPs were shown in Figure 6, one of which was superimposed with a nerve track to one of the three NMJs. This NMJ however did not show any difference to the other two, which did not support a contact mechanism. These rescue data were not convincing.

      We appreciate the reviewer’s critical comment, but the reviewer appears to have confused the minimum and maximum range bars in the box-and-whisker plot with the SEM error bar in the bar graph. We apologize for the insufficient description of the figure legends section. We revised them. New Figure 7C, which is a bar graph, has a sufficiently short SEM error bar. In contrast, box-and-whisker plots B and D depict the minimum and maximum range, instead of the SEM, and they are significantly different with a p-value of less than 0.001. If FAPs affect the NMJ via a paracrine factor or ECM with a short range of action, they may rescue the NMJ defect in a non-contact-dependent manner, without affecting the contralateral muscle. Also, the FAPs are heterogeneous, so if only a certain subpopulation rescues, the tomato+ FAP in the figure may not be the rescuing cells.

      4) For most experiments, the "n" numbers were too small. 3-5 mice were used for bone characterization. For the NMJ, most experiments were done with 3 mice. It was unclear how many NMJs were looked at. Perhaps due to small n numbers, the SEM values were enormous (for example, in Figure 6).

      As with the response to the previous comment, this is due to confusion between box-and-whisker plots and bar graphs, and our data was determined to be significant using the appropriate statistical method.

      5) Also for experimental design, some experiments included four genotypes of mice (Fig. 1 J,K) whereas some had only three (Fig.1 A, B, C, D and Fig.3) and others had two (many other figures).

      In the first experiments to confirm the phenotypes, we tested the 2-copy mutant, but it was not significantly different from the wild type, and in subsequent experiments, we mainly tested the only 1-copy mutant.

      6) What was the reason why mixed muscles were used for NMJ characterization (TA versus EDL)? Why not pick a type I-fiber muscle and a type II-fiber muscle?

      We appreciate the constructive comment from the reviewer. Firstly, we conducted a phenotype analysis on the TA muscle. For electrophysiological recording, the EDL muscle should be used for intact nerve with muscle preparation, technically. Additionally, for TEM imaging, EDL was a suitable muscle to locate NMJ positions before TEM processing. Both TA and EDL muscles are adjacent and have similar fiber-type compositions. It would be important to observe in different fiber types of muscles, but when we first identified the phenotype, various types of limb muscles showed similar defects, so we focused on specific muscles.

      7) The description of mouse strains was confusing. SMN2 transgenic mice (with different copies) were not described in the methods.

      We apologize for the insufficient description of the method section. By crossing mice with the SMN2+/+ homologous allele, SMN2 heterologous mice with only one SMN2 allele are SMN2 1-copy mice (SMN2+/0) and SMN2 homologous mice are SMN2 2-copy mice (SMN2+/+). We revised our manuscript method ‘Animals’ section.

      Reference Oichi, T., Kodama, J., Wilson, K., Tian, H., Imamura Kawasawa, Y., Usami, Y., Oshima, Y., Saito, T., Tanaka, S., Iwamoto, M., Otsuru, S., & Enomoto-Iwamoto, M. (2023). Nutrient-regulated dynamics of chondroprogenitors in the postnatal murine growth plate. Bone Research, 11(1). https://doi.org/10.1038/s41413-023-00258-9

      Tylzanowski, P., Mebis, L., and Luyten, F. P. (2006). The noggin null mouse phenotype is strain dependent and haploinsufficiency leads to skeletal defects. Dev. Dyn. 235, 1599–1607. doi: 10.1002/dvdy.20782

      Yakar, S., Rosen, C. J., Beamer, W. G., Ackert-Bicknell, C. L., Wu, Y., Liu, J. L., Ooi, G. T., Setser, J., Frystyk, J., Boisclair, Y. R., & LeRoith, D. (2002). Circulating levels of IGF-1 directly regulate bone growth and density. Journal of Clinical Investigation, 110(6), 771–781. https://doi.org/10.1172/JCI0215463

      Reviewer #3

      1) The authors used Prrx1Cre mouse with floxed Smn exon7(Smnf7) mouse carrying multiple (one or two) copies of the human SMN2 gene. Is it expressed both in chondrocytes and mesenchymal progenitors in the limb?

      We appreciate the reviewer's comment. We analyzed the deletion of Smn in chondrocytes and FAPs via Cre using genomic PCR and qRT-PCR, as depicted in new Figure 2. The SMN2 allele, which is expressed throughout the body, can rescue Smn knockout mouse lethality (Monani et al., 2000). Indeed, the short limb length and lethality observed in SMN2 0-copy mutants were mitigated by the presence of multiple copies of SMN2. Therefore, both Chondrocytes and FAPs may express SMN2 transcripts from the transgenic SMN2 allele.

      2) Page 10 regarding Fig.2E, please show pretzel-like structure. In Figure 2E, plaque, perforated, open, and branched are shown; however, the pretzel is not shown. The same issue is for the Fig. 3D explanation in the text on page 12.

      We appreciate the reviewer's constructive feedback. We included illustrative figures of all types of NMJ characterization, and the branched type is identical to the pretzel type. Therefore, we have replaced ‘branched’ with ‘pretzel’ in our text and revised Figure 3E by incorporating the example images.

      3) The explanation of the electrophysiology for Fig.4 in the text on pages 12 and 15 (RRP) is not so convincing for the readers. It is advisable to add TEM data for transplantation if it is not technically difficult.

      We appreciate the reviewer's critical feedback. Because we did not measure RRP directly, we removed speculation about the possibility of RRP difference. If observing the active zone with TEM and the docking synaptic vesicle would help quantify RRP, it is technically difficult to obtain images of sufficient quality to distinguish the active zones with our current TEM imaging technique.

      4) The authors used the word FAP for 7AAD(-)Lin(-)Vcam(-)Sca1(+). It is recommended to show the expression of PDGFR alpha. Furthermore, as the authors stated in the text, mesenchymal progenitors (FAPs) are heterogeneous. Please discuss this point further. Other reports show at least 6 subpopulations using single-cell analyses (Cell Rep. 2022).

      In the report, Ly6a (Sca1) is a good marker for FAPs, as well as Pdgfra (Leinroth et al., 2022). The 6 subpopulations expressed Ly6a. The one of subpopulations associated with NMJ was discovered. This population expressed Hsd11b1, Gfra1, and Ret and is located adjacent to the NMJ and responds to denervation, indicating an increased possibility of interaction with the NMJ organization. In further our study, we aim to determine which subpopulations are crucial for NMJ maturation by transplanting them to mutants for rescue.

      5) How do authors determine the number of FAP cells for transplantation?

      The FAPs transplantation was performed according to a previously reported our study (Kim et al., 2021).

      Reference Kim, J. H., Kang, J. S., Yoo, K., Jeong, J., Park, I., Park, J. H., Rhee, J., Jeon, S., Jo, Y. W., Hann, S. H., Seo, M., Moon, S., Um, S. J., Seong, R. H., & Kong, Y. Y. (2022). Bap1/SMN axis in Dpp4+ skeletal muscle mesenchymal cells regulates the neuromuscular system. JCI Insight, 7(10). https://doi.org/10.1172/jci.insight.158380

      Leinroth, A. P., Mirando, A. J., Rouse, D., Kobayahsi, Y., Tata, P. R., Rueckert, H. E., Liao, Y., Long, J. T., Chakkalakal, J. V., & Hilton, M. J. (2022). Identification of distinct non-myogenic skeletal-muscle-resident mesenchymal cell populations. Cell Reports, 39(6), 110785. https://doi.org/10.1016/j.celrep.2022.110785

      Monani, U. R., Sendtner, M., Coovert, D. D., Parsons, D. W., Andreassi, C., Le, T. T., Jablonka, S., Schrank, B., Rossol, W., Prior, T. W., Morris, G. E., & Burghes, A. H. M. (2000). The human centromeric survival motor neuron gene (SMN2) rescues embryonic lethality in Smn(-/-) mice and results in a mouse with spinal muscular atrophy. Human Molecular Genetics, 9(3), 333–339. https://doi.org/10.1093/hmg/9.3.333

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Previous studies have used a randomly induced label to estimate the number of hematopoietic precursors that contribute to hematopoiesis. In particular, the McKinneyFreeman lab established a measurable range of precursors of 50-2500 cells using random induction of one of the 4 fluorescent proteins (FPs) of a Confetti reporter in the fetal liver to show that hundreds of precursors establish lifelong hematopoiesis. In the presented work, Liu and colleagues aim to extend the measurable range of precursor numbers previously established and enable measurement in a variety of contexts beyond embryonic development. To this end, the authors investigated whether the random induction of a given Confetti FP follows the principles of binomial distribution such that the variance inversely correlates with the precursor number. They tested their hypothesis using a simplified 2-color in vitro system, paying particular attention to minimizing sources of experimental error (elimination of outliers, sample size, events recorded, etc.) that may obscure the measurement of variance. As a result, the data generated are robust and show that the measurable range of precursors can be extended up to 105 cells. They use tamoxifen-inducible Scl-CreER, which is active in hematopoietic stem and progenitor cells (HSPCs) to induce Confetti labeling, and investigated whether they could extend their model to cell numbers below 50 with in vivo transplantation of high versus low numbers of Confetti total bone marrow (BM) cells. The premise of binomial distribution requires that the number of precursors remains constant within a group of mice. The rare frequency of HSPCs in the BM means that the experimentally generated "low" number recipient animals showed some small variability of seeding number, which does not follow the requirement for binomial distribution. While variance due to differences in precursor numbers still dominates, it is unclear how accurate estimated numbers are when precursor numbers are low (<10).

      According to our simulation, the differences between estimated numbers and the corresponding expected numbers are more profound at numbers below 10, but they are still relatively small. Since Figure S4A is in log-scale, it might be difficult for readers to appreciate the magnitude in difference from the graph. We plan to add a linear scale figure to Figure S4A for better visualization of the absolute value differences (left). We also plan to provide an additional graph quantifying the value differences between estimated and expected values for numbers below 15 (right). From both graphs, the maximum difference between estimated n and expected n occurs at 10 precursor numbers (estimated as 7.6). We admit that these numbers are not numerically the same, and some minor correction of the formula may be needed if a very accurate absolute number is warrant. However, we also want to emphasize that 1. most estimated n values are within 25% range of the expected n; 2. despite the minor discrepancy, the estimated n is still highly correlated with the expected n, so the comparison between different precursor numbers was not affected.

      Author response image 1.

      The authors then apply their model to estimate the number of hematopoietic precursors that contribute to hematopoiesis in a variety of contexts including adult steady state, fetal liver, following myeloablation, and a genetic model of Fanconi anemia. Their modeling shows:

      - thousands of precursors (~2400-2600) contribute to adult myelopoiesis, which is in line with results from a previous study (Sun et al, 2014).

      - myeloablation (single dose 5-FU), while reducing precursor numbers of myeloid progenitors and HSPCs, was not associated with a reduction in precursor numbers of LTHSCs.

      - no major expansion of precursor number in the fetal liver derived from labeling at E11.5 versus E14.5, consistent with recent findings from Ganuza et al, 2022.

      - normal precursor numbers in Fancc-/- mice at steady state and from competitive transplantation of young Fancc-/- BM cells, suggesting that reduced Fancc-/- cell proliferation may underlie the reduced chimerism upon transplantation.

      - reduced number of lymphoid precursors following transplantation of BM cells from 9month-old Fancc-/- animals (beyond this age animals have decreased survival).

      Although this system does not permit the tracing of individual clones, the modeling presented allows measurements of clonal activity covering nearly the entire HSPC population (as recently estimated by Cosgrove et al, 2021) and can be applied to a wide range of in vivo contexts with relative ease. The conclusions are generally sound and based on high-quality data. Nevertheless, some results could benefit from further explanation or discussion:

      - The estimated number of LT-HSCs that contribute to myelopoiesis is not specifically provided, but from the text, it would be calculated to be 1958/5 = ~391. Data from Busch et al, 2015 suggest that the number of differentiation-active HSCs is 5.2x103, which is considered the maximum limit. There is nevertheless a more than 10-fold difference between these two estimates, and it is unclear how this discrepancy arises.

      First, we would like to clarify a sentence in the manuscript. 

      “The average myeloid precursor number at the time of BM analysis (1958) matched the average precursor number calculated from BM myeloid progenitors (MP, Lin-Sca-1-cKit+) and HSPCs (1773 and 1917), but it was five-fold higher than that of LT-HSC (Figure 3E).”

      In this sentence, we compared the number of precursors calculated from peripheral blood myeloid cells to the those calculated from BM myeloid progenitor, HSPC and LT-HSC. However, we did not intend to imply that those precursors numbers calculated from HSPC and LT-HSC specifically contribute to myelopoiesis. To avoid misunderstanding, we propose to change this sentence to read:

      “The average precursor number calculated from PB myeloid cells at the time of BM analysis (1958) matched those calculated from BM myeloid progenitors (MP, Lin-Sca-1-cKit+) and HSPCs (1773 and 1917), but it was fivefold higher than that of LT-HSC (Figure 3E).”

      Nonetheless, we appreciate the reviewers’ comment on the gap between the precursor numbers of LT-HSC and the number of differentiation-active HSCs reported in Busch et al, 2015. We propose the following explanation: 

      First of all, precursor numbers reflect LT-HSC self-renewal by symmetric division and maintenance by asymmetric division but not differentiation. To compare the number of differentiation-active LT-HSC, precursor numbers measured from differentiated progeny (progenitors) is a better choice. As our system does not differentiate the origin of a precursor, measuring the precursor number of differentiation-active LT-HSC is difficult, since progenitors may also derive from other long-lived MPPs. However, if we assume that most divisions of LT-HSC are asymmetric division, generating one LT-HSC and one progenitor, then we can approximate the number of differentiation-active HSCs with the precursor numbers of LT-HSC.

      Second, when Busch et al, 2015 calculated the number of differentiation-active HSC, they measured the cumulative activity of stem cells by following the mice up to 36 weeks postinduction. Our method measured the recent but not accumulative activity of HSC, thus the number of differentiation-active HSC in Busch et al 2015 is predicted to be higher. 

      Third, Busch et al, 2015 used Tie2MCM Cre to trace HSC. It has been shown that Tie2+ HSC have a higher reconstitution capacity (Ito et al 2016, Science), but no one has compared the in situ activity of Tie2+ and Tie2- HSC in a native environment. Since the behavior of HSCs in situ may be very different from their behavior in a transplantation setting, it is possible that Tie2+ HSC are more prone to differentiation than Tie2- HSC in a native environment, leading to an overestimation of differentiation-active HSC in the HSC pool. 

      - Similarly, in Figure 3E, the estimated number of precursors is highest in MPP4, a population typically associated with lymphoid potential and transient myeloid potential, whereas the numbers of MPP3, traditionally associated with myeloid potential, tend to be higher but are not significantly different than those found in HSCs.

      We believe this question results from similar confusion of the nomenclature of myeloid precursors in the previous question. As explained previously, the precursors quantified reflect a variety of possible differentiation routes, not just myelopoiesis. Thus, Figure 3E did not suggest that the lymphoid-biased MPP4 has more myeloid precursors than LTHSC. Instead, it simply means more precursors contribute to MPP4 population than the LT-HSC pool. We apologize for the confusion.

      - The requirement for estimating precursor numbers at stable levels of Confetti labeling is not well explained. As a result, it is unclear how accurate the estimates of B cell precursors upon transplantation of Fancc-/- cells are. In previous experiments on normal Confetti mice (Figure 3B), the authors do not estimate precursors of lymphopoiesis because Confetti labeling of B cells is not saturated, and this appears to be the case in Fanc-/- animals as well (Fig. 5B).

      We appreciate the request for clarification. Our approach required the labeling level to be stable in peripheral blood because we calculate the total number of precursors by normalizing precursor numbers in Confetti+ population with the labeling level (precursor numbers in Confetti+ population divided by labeling efficiency). If the labeling level is not saturated, then the calculation of total precursors will be overestimated. This requirement is more important in native hematopoiesis, since it takes a long time for the mature population, especially the lymphoid population, to be fully replaced by the progenies from the labeled HSPC population (as suggested by Busch et al 2015 and Säwen et al 2018). In transplantation, since lethal irradiation was performed, mature blood cells were rapidly generated by HSPCs, thus saturation of labeling level is not a major concern for precursor quantification. We plan to add Author response image 2 as evidence that Confetti labeling level was stable in mice transplanted with Fancc-/- cells.  

      Author response image 2.

      - Do 9-month-old Fanc-/- animals have reduced lymphoid precursors as well?

      Because of the non-saturated labeling in peripheral blood B cells and extra-HSPC induction of Confetti in T cells, we cannot accurately measure lymphoid precursor numbers in 9-month-old Fancc-/- animals. As an alternative, the precursor number of lymphoid biased MPP4 population were comparable between Fancc+/+ and Fancc-/- animals (Figure 5D).   We plan to add the frequency of common lymphoid progenitors (defined by Lin-IL-7Ra+Sca-1midcKitmid) add a supplementary figure to show were CLP frequencies between these two genotypes.

      Author response image 3.

      Reviewer #2 (Public Review):

      Summary:

      This manuscript by Liu et al. uses Confetti labeling of hematopoietic stem and progenitor cells in situ to infer the clonal dynamics of adult hematopoiesis. The authors apply a new mathematical framework to analyze the data, allowing them to increase the range of applicability of this tool up to tens of thousands of precursors. With this tool, they (1) provide evidence for the large polyclonality of adult hematopoiesis, (2) offer insights on the expansion dynamics in the fetal liver stage, (3) assess the clonal dynamics in a Fanconi anemia model (Fancc), which has engraftment defects during transplantation.

      Strengths:

      The manuscript is well written, with beautiful and clear figures, and both methods and mathematical models are clear and easy to understand.

      Since 2017, Mikel Ganuza and Shannon McKinney-Freeman have been using these Confetti approaches that rely on calculating the variance across independent biological replicates as a way to infer clonal dynamics. This is a powerful tool and it is a pleasure to see it being implemented in more labs around the world. One of the cool novelties of the current manuscript is using a mathematical model (based on a binomial distribution) to avoid directly regressing the Confetti labeling variance with the number of clones (which only has linearity for a small range of clone numbers). As a result, this current manuscript of Liu et al. methodologically extends the usability of the Confetti approach, allowing them more precise and robust quantification.

      They then use this model to revisit some questions from various Ganuza et al. papers, validating most of their conclusions. The application to the clonal dynamics of hematopoiesis in a model of Fanconi anemia (Fancc mice) is very much another novel aspect, and shows the surprising result that clonal dynamics are remarkably similar to the wild-type (in spite of the defect that these Fancc HSCs have during engraftment).

      Overall, the manuscript succeeds at what it proposes to do, stretching out the possibilities of this Confetti model, which I believe will be useful for the entire community of stem cell biologists, and possibly make these assays available to other stem cell regenerating systems.

      Weaknesses:

      My main concern with this work is the choice of CreER driver line, which then relates to some of the conclusions made. Scl-CreER succeeds at being as homogenous as possible in labeling HSC/MPPs... however it is clear that it also labels a subcompartment of HSC clones that become dominant with time... This is seen as the percentage of Confettirecombined cells never ceases to increase during the 9-month chase of labeled cells, suggesting that non-labeled cells are being replaced by labeled cells. The reason why this is important is that then one cannot really make conclusions about the clonal dynamics of the unlabeled cells (e.g. for estimating the total number of clones, etc.).

      We appreciate the reviewers’ comments. We also agree that this is especially a concern for measuring B cell precursors in native hematopoiesis. For myeloid cells, the increase was much less profound (0.5% per month) after month four post-induction. One way to investigate the dynamics of unlabeled cells is to induce different groups of mice with different doses of tamoxifen so that labeling efficiency varies among different groups. With 14 days of tamoxifen treatment, maximum 60% of HSPC can be labeled (RFP+CFP+YFP). If the unlabeled cells behave similarly with labeled cells, then varying the labeling efficiency shouldn’t affect the total number of precursors calculated (if excluding the potential effect of longer tamoxifen treatment on HSC). While we haven’t extensively performed such lengthy experiment, we have performed one measurement (5 mice) with 14-days of tamoxifen treatment and showed that peripheral blood myeloid precursor numbers calculated from this experiment were comparable to the ones from Figure 3 (2-day tamoxifen).

      Author response image 4.

      It's possible that those HSPC that are never labeled with Confetti even during longer tamoxifen treatment could behave differently. In this case, a different Cre driver may provide insight into the total precursor numbers.

      I am not sure about the claims that the data shows little precursor expansion from E11 to E14. First, these experiments are done with fewer than 5 replicates, and thus they have much higher error, which is particularly concerning for distinguishing differences of such a small number of clones. Second, the authors do see a ~0.5-1 log difference between E11 and E14 (when looking at months 2-3). When looking at months 5+, there is already a clear decline in the total number of clones in both adult-labeled and embryonic-labeled, so these time points are not as good for estimating the embryonic expansion. In any case, the number of precursors at E11 (which in the end defines the degree of expansion) is always overestimated (and thus, the expansion underestimated) due to the effects of lingering tamoxifen after injection (which continues to cause Confetti allele recombination as stem cell divide). Thus, I think these results are still compatible with expansion in the fetal liver (the degree of which still remains uncertain to me).

      We agreed adding additional replicates will reducing any error and boost confidence in our conclusions. The dilemma of comparing fetal- and adult-labeled cohorts is that HSPC activities could not be synchronized among different developmental stages. At fetal to neonatal stage, HSPC proliferate faster to generate new blood cells and support developmental need, while at adult stage HSPC proliferate much slower. Thus, it takes long time for the mature myeloid cells in the adult-labeled cohort to reach a stable Confetti labeling and provide an accurate quantification of precursor. While we agree that it might be better to compare precursor numbers in earlier months, we preferred to compare precursor numbers at later time points for the aforementioned reasons. The other option is to compare the number of HSPC precursors in the BM at earlier time points, as no equilibration of labeling level is required in HSPC, but this requires earlier sacrifice, compromising long term assessment.    

      We did not revisit questions about the lingering effect of tamoxifen, as this has been studied by Ganuza et al 2017. They showed that tamoxifen was not able to induce additional Confetti recombination if given one day ahead, suggesting the effective window for tamoxifen is less than 24h.

      Based on our data, the expansion of lifelong precursors range anywhere from 1.4 to 7.0 (Figure 4G). It’s possible that we might observe a higher level of expansion if the comparison was done in earlier time points. Nonetheless, the assertion that the expansion of life-long HSPC is not as profound as evidenced by transplantation, emphasizes value of HSPC activity analysis in situ.

      Reviewer #3 (Public Review):

      Summary:  

      Liu et al. focus on a mathematical method to quantify active hematopoietic precursors in mice using Confetti reporter mice combined with Cre-lox technology. The paper explores the hematopoietic dynamics in various scenarios, including homeostasis, myeloablation with 5-fluorouracil, Fanconi anemia (FA), and post-transplant environments. The key findings and strengths of the paper include (1) precursor quantification: The study develops a method based on the binomial distribution of fluorescent protein expression to estimate precursor numbers. This method is validated across a wide dynamic range, proving more reliable than previous approaches that suffered from limited range and high variance outside this range; (2) dynamic response analysis: The paper examines how hematopoietic precursors respond to myeloablation and transplantation; (3) application in disease models: The method is applied to the FA mouse model, revealing that these mice maintain normal precursor numbers under steady-state conditions and posttransplantation, which challenges some assumptions about FA pathology. Despite the normal precursor count, a diminished repopulation capability suggests other factors at play, possibly related to cell proliferation or other cellular dysfunctions. In addition, the FA mouse model showed a reduction in active lymphoid precursors post-transplantation, contributing to decreased repopulation capacity as the mice aged. The authors are aware of the limitation of the assumption of uniform expansion. The paper assumes a uniform expansion from active precursor to progenies for quantifying precursor numbers. This assumption may not hold in all biological scenarios, especially in disease states where hematopoietic dynamics can be significantly altered. If non-uniformity is high, this could affect the accuracy of the quantification. Overall, the study underscores the importance of precise quantification of hematopoietic precursors in understanding both normal and pathological states in hematopoiesis, presenting a robust tool that could significantly enhance research in hematopoietic disorders and therapy development. The following concerns should be addressed.

      Major Points:

      • The authors have shown a wide range of seeded cells (1 to 1e5) (Figure 1D) that follow the linear binomial rule. As the standard deviation converges eventually with more seeded cells, the authors need to address this limitation by seeding the number of cells at which the assumption fails.

      While number range above 105 is not required for our measurement of hematopoietic precursors in mice, we agree that it will be valuable to understand the upper limit of experimental measurement. we plan to seed 106-107 cells per replicate to address reviewer’s comments. 

      • Line 276: This suggests myelopoiesis is preferred when very few precursors are available after irradiation-mediated injury. Did the authors see more myeloid progenitors at 1 month post-transplantation with low precursor number? The authors need to show this data in a supplement.

      While we appreciate the concern, we did not generate this dataset because this requires take down of a substantial number of animals at one-month post-transplantation. 

      Minor Points:

      • Please cite a reference for line 40: a rare case where a single HSPC clone supports hematopoiesis.

      • Line 262-263: "This discrepancy may reflect uneven seeding of precursors to the BM throughout the body after transplantation and the fact that we only sampled a part of the BM (femur, tibia, and pelvis)." Consider citing this paper (https://doi.org/10.1016/j.cell.2023.09.019) that explores the HSPCs migration across different bones.

      • Lines 299 and 304. Misspellings of RFP.

      We appreciate reviewer’s suggestions and will modify as suggested. 

      • The title is misleading as the paper's main focus is the precursor number estimator using the binomial nature of fluorescent tagging. Using a single-copy cassette of Confetti mice cannot be used to measure clonality.

      We appreciate reviewer’s suggestions and plan to modify the title of the manuscript to read: “Dynamic Tracking of Native Precursors in Adult Mice”.

    1. Author response:

      The following is the authors’ response to the current reviews.

      Public Reviews: 

      Reviewer #1 (Public Review):

      In the article by Dearlove et al., the authors present evidence in strong support of nucleotide ubiquitylation by DTX3L, suggesting it is a promiscuous E3 ligase with capacity to ubiquitylate ADP ribose and nucleotides. The authors include data to identify the likely site of attachment and the requirements for nucleotide modification. 

      While this discovery potentially reveals a whole new mechanism by which nucleotide function can be regulated in cells, there are some weaknesses that should be considered. Is there any evidence of nucleotide ubiquitylation occurring cells? It seems possible, but evidence in support of this would strengthen the manuscript. The NMR data could also be strengthened as the binding interface is not reported or mapped onto the structure/model, this seems of considerable interest given that highly related proteins do have the same activity. 

      The paper is for the most part well well-written and is potentially highly significant 

      Comments on revised version: 

      The revised manuscript has addressed many of the concerns raised and clarified a number of points. As a result the manuscript is improved. 

      The primary concern that remains is the absence of biological function for Ub-ssDNA/RNA and the inability to detect it in cells. Despite this the manuscript will be of interest to those in the ubiquitin field and will likely provoke further studies and the development of tools to better assess the cellular relevance. As a result this manuscript is important. 

      We agree with the reviewer’s assessment.

      Minor issue: 

      Figure 1A - the authors have now included the constructs used but it would be more informative if the authors lined up the various constructs under the relevant domains in the full-length protein. 

      Figure 1 will be fixed in the Version of Record.

      Reviewer #2 (Public Review):

      The manuscript by Dearlove et al. entitled "DTX3L ubiquitin ligase ubiquitinates single-stranded nucleic acids" reports a novel activity of a DELTEX E3 ligase family member, DTX3L, which can conjugate ubiquitin to the 3' hydroxyl of single-stranded oligonucleotides via an ester linkage. The findings that unmodified oligonucleotides can act as substrates for direct ubiquitylation and the identification of DTX3 as the enzyme capable of performing such oligonucleotide modification are novel, intriguing, and impactful because they represent a significant expansion of our view of the ubiquitin biology. The authors perform a detailed and diligent biochemical characterization of this novel activity, and key claims made in the article are well supported by experimental data. However, the studies leave room for some healthy skepticism about the physiological significance of the unique activity of DTX3 and DTX3L described by the authors because DTX3/DTX3L can also robustly attach ubiquitin to the ADP ribose moiety of NAD or ADP-ribosylated substrates. The study could be strengthened by a more direct and quantitative comparison between ubiquitylation of unmodified oligonucleotides by DTX3/DTX3L with the ubiquitylation of ADP-ribose, the activity that DTX3 and DTX3L share with the other members of the DELTEX family.

      Comment on revised version:

      In my opinion, reviewers' comments are constructively addressed by the authors in the revised manuscript, which further strengthens the revised submission and makes it an important contribution to the field. Specifically, the authors perform a direct quantitative comparison of two distinct ubiquitylation substrates, unmodified oligonucleotides and fluorescently labeled NADH and report that kcat/Km is 5-fold higher for unmodified oligos compared to NADH. This observation suggests that ubiquitylation of unmodified oligos is not a minor artifactual side reaction in vitro and that unmodified oligonucleotides may very well turn out to be the physiological substrates of the enzyme. However, the true identity of the physiological substrates and the functionally relevant modification site(s) remain to be established in further studies. 

      We agree with the reviewer’s assessment.


      The following is the authors’ response to the original reviews.

      Public Reviews: 

      Reviewer #1 (Public Review): 

      In the article by Dearlove et al., the authors present evidence in strong support of nucleotide ubiquitylation by DTX3L, suggesting it is a promiscuous E3 ligase with capacity to ubiquitylate ADP ribose and nucleotides. The authors include data to identify the likely site of attachment and the requirements for nucleotide modification. 

      While this discovery potentially reveals a whole new mechanism by which nucleotide function can be regulated in cells, there are some weaknesses that should be considered. Is there any evidence of nucleotide ubiquitylation occurring cells? It seems possible, but evidence in support of this would strengthen the manuscript. The NMR data could also be strengthened as the binding interface is not reported or mapped onto the structure/model, this seems of considerable interest given that highly related proteins do have the same activity. 

      The paper is for the most part well well-written and is potentially highly significant, but it could be strengthened as follows: 

      (1) The authors start out by showing DTX3L binding to nucleotides and ubiquitylation of ssRNA/DNA. While ubiquitylation is subsequently dissected and ascribed to the RD domains, the binding data is not followed up. Does the RD protein alone bind to the nucleotides? Further analysis of nucleotide binding is also relevant to the Discussion where the role of the KH domains is considered, but the binding properties of these alone have not been analysed. 

      We thank the reviewer for the suggestion. We have tested DTX3L RD for ssDNA binding using NMR (see Figure 4A and Figure S2), which showed that DTX3L RD binds ssDNA. We have now tested the DTX3L KH domains for RNA/ssDNA binding using an FP experiment. However, the FP experiment did not show significant changes upon titrating RNA/ssDNA, suggesting that the KH domains alone are not sufficient to bind RNA/ssDNA. We have opted to put this data in the response-to-review as future investigation will be required to examine whether other regions of DTX3L cooperate with RD to bind RNA/ssDNA. We have revised the Discussion on the KH domains. We now state that “Our findings show the DTX3L DTC domain binds nucleic acids but whether the KHL domains contribute to nucleic acid binding requires further investigation.”

      Author response image 1.

      Fold change of fluorescence polarisation of 6-FAM-labelled ssDNA D4 upon titrating with DTX3L variants. DTX3L KH domain fragments were expressed with a N-terminal His-MBP tag to increase the molecular weight to enhance the signal.

      (2) With regard to the E3 ligase activity, can the authors account for the apparent decreased ubiquitylation activity of the 232-C protein in Figure 1/S1 compared to FL and RD? 

      We found that the 232-C protein batch used in the assay was not pure and have subsequently re-purified the protein. We have repeated the ubiquitination of ssDNA and RNA (Fig. 1H and 1I) and 232-C exhibited similar activity as WT. Furthermore, we performed autoubiquitination (Fig. S1G) and E2~Ub discharge assay (Fig. S1H) to compare the activity. 232-C was slower in autoubiquitination (Fig. S1G), but showed similar activity in the E2~Ub discharge assay as WT. These findings suggest that the RING domain in 232-C is functional and 232-C likely lacks ubiquitination site(s) present in 1-231 region necessary for autoubiquitination.

      (3) Was it possible to positively identify the link between Ub and ssDNA/RNA using mass spectrometry? This would overcome issues associated with labels blocking binding rather than modification. 

      We have tried to use mass spectrometry to detect the linkage between Ub and ssDNA/RNA, but was unable to do so. We suspect that the oxyester linkage might be labile, posing a challenge for mass spectrometry techniques. Similarly, a recent preprint from Ahel lab, which utilises LC-MS, detects the Ub-NMP product rather than the linkage (https://www.biorxiv.org/content/10.1101/2024.04.19.590267v1.full.pdf).

      (4) Furthermore, can a targeted MS approach be used to show that nucleotides are ubiquitylated in cells? 

      This will require future development and improvement of the MS approach, specifically the isolation of labile oxyester-linked products from cells and the optimisation of the MS detection method.

      (5) Do the authors have the assignments (even partial?) for DTX3L RD? In Figure 4 it would be helpful to identify the peaks that correspond to the residues at the proposed binding site. Also do the shifts map to a defined surface or do they suggest an extended site, particularly for the ssDNA.

      We only collected HSQC spectra which was insufficient for assignments. We have performed a competition experiment using ADPr and labelled ssDNA, showing that ADPr competes against the ubiquitination of ssDNA (Figure 4D). We have also provided an additional experiment showing that ssDNA with a blocked 3’-OH can compete against ubiquitination of ADPr (Figure 4E). These data, together with our NMR analysis, further strengthen the evidence that ssDNA and ADPr compete the same binding pocket in DTX3L RD. Understanding how DTX3L RD binds ssDNA/RNA is an ongoing research in the lab.

      (6) Does sequence analysis help explain the specificity of activity for the family of proteins? 

      We have performed sequence alignment and structure comparison of DTX proteins using both RING and DTC domains (Fig. S3). These analyses showed that DTX3 and DTX3L RING domains lack a N-terminal helix and two loop insertions compared to DTX1, DTX2 and DTX4. These additions make DTX1, DTX2 and DTX4 RING domain larger than DTX3L and DTX3. It is not clear how these would influence the orientation of the recruited E2~Ub. Comparison of the DTC domain showed that DTX1, DTX2 and DTX4 contain an Ala-Arg motif, which causes a bulge at one end of DTC pocket. In the absence of Ala-Arg motif, DTC pockets of DTX3 and DTX3L contain an extended groove which might accommodate one or more of the nucleotides 5' to the targeted terminal nucleotide. It seems that both features of RING and DTC domains might attribute to the specificity of DTX3L and DTX3. We have included these comparisons in the discussion and suggested that future structural characterization is necessary to unveil the specificity.

      (7) While including a summary mechanism (Figure 5I) is helpful, the schematic included does not necessarily make it easier for the reader to appreciate the key findings of the manuscript or to account for the specificity of activity observed. While this figure could be modified, it might also be helpful to highlight the range of substrates that DTX3L can modify - nucleotide, ADPr, ADPr on nucleotides etc. 

      We have modified this Figure to include the range of substrates.

      Reviewer #2 (Public Review): 

      Summary: 

      The manuscript by Dearlove et al. entitled "DTX3L ubiquitin ligase ubiquitinates single-stranded nucleic acids" reports a novel activity of a DELTEX E3 ligase family member, DTX3L, which can conjugate ubiquitin to the 3' hydroxyl of single-stranded oligonucleotides via an ester linkage. The findings that unmodified oligonucleotides can act as substrates for direct ubiquitylation and the identification of DTX3 as the enzyme capable of performing such oligonucleotide modification are novel, intriguing, and impactful because they represent a significant expansion of our view of the ubiquitin biology. The authors perform a detailed and diligent biochemical characterization of this novel activity, and key claims made in the article are well supported by experimental data. However, the studies leave room for some healthy skepticism about the physiological significance of the unique activity of DTX3 and DTX3L described by the authors because DTX3/DTX3L can also robustly attach ubiquitin to the ADP ribose moiety of NAD or ADP-ribosylated substrates. The study could be strengthened by a more direct and quantitative comparison between ubiquitylation of unmodified oligonucleotides by DTX3/DTX3L with the ubiquitylation of ADP-ribose, the activity that DTX3 and DTX3L share with the other members of the DELTEX family. 

      Strengths: 

      The manuscript reports a novel and exciting observation that ubiquitin can be directly attached to the 3' hydroxyl of unmodified, single-stranded oligonucleotides by DTX3L. The study builds on the extensive expertise and the impactful previous studies by the Huang laboratory of the DELTEX family of E3 ubiquitin ligases. The authors perform a detailed and diligent biochemical characterization of this novel activity, and all claims made in the article are well supported by experimental data. The manuscript is clearly written and easy to read, which further elevates the overall quality of submitted work. The findings are impactful and will help illuminate multiple avenues for future follow-up investigations that may help establish how this novel biochemical activity observed in vitro may contribute to the biological function of DTX3L. The authors demonstrate that the activity is unique to the DTX3/DTX3L members of the DELTEX family and show that the enzyme requires at least two single-stranded nucleotides at the 3' end of the oligonucleotide substrate and that the adenine nucleotide is preferred in the 3' position. Most notably, the authors describe a chimeric construct containing RING domain of DTX3L fused to the DTC domain DTX2, which displays robust NAD ubiquitylation, but lacks the ability to ubiquitylate unmodified oligonucleotides. This construct will be invaluable in the future cell-based studies of DTX3L biology that may help establish the physiological relevance of 3' ubiquitylation of nucleic acids. 

      Weaknesses: 

      The main weakness of the study is in the lack of direct evidence that the ubiquitylation of unmodified oligonucleotides reported by the authors plays any role in the biological function of DTX3L. The study leaves plenty of room for natural skepticism regarding the physiological relevance of the reported activity, because, akin to other DELTEX family members, DTX3 and DTX3L can also catalyze attachment of ubiquitin to NAD, ADP ribose and ADP-ribosylated substrates. Unfortunately, the study does not offer any quantitative comparison of the two distinct activities of the enzyme, which leaves plenty of room for doubt. One is left wondering, whether ubiquitylation of unmodified oligonucleotides is just a minor and artifactual side activity owing to the high concentration of the oligonucleotide substrates and E2~Ub conjugates present in the in-vitro conditions and the somewhat lower specificity of the DTX3 and DTX3L DTC domains (compared to DTX2 and other DELTEX family members) for ADP ribose over other adenine-containing substrates such as unmodified oligonucleotides, ADP/ATP/dADP/dATP, etc. The intriguing coincidence that DTX3L, which is the only DTX protein capable of ubiquitylating unmodified oligonucleotides, is also the only family member that contains nucleic acid interacting domains in the N-terminus, is suggestive but not compelling. A recently published DTX3L study by a competing laboratory (PMID: 38000390), which is not cited in the manuscript, suggests that ADP-ribose-modified nucleic acids could be the physiologically relevant substrates of DTX3L. That competing hypothesis appears more convincing than ubiquitylation of unmodified oligonucleotides because experiments in that study demonstrate that ubiquitylation of ADP-ribosylated oligos is quite robust in comparison to ubiquitylation of unmodified oligos, which is undetectable. It is possible that the unmodified oligonucleotides in the competing study did not have adenine in the 3' position, which may explain the apparent discrepancy between the two studies. In summary, a quantitative comparison of ubiquitylation of ADP ribose vs. unmodified oligonucleotides could strengthen the study. 

      We thank the reviewer for the constructive feedback. We agree that evidence for the biological function is lacking. While we have tried to detect Ub-ssDNA/RNA from cells, we found that isolating and detecting labile oxyester-linked Ub-ssDNA/RNA products remain challenging due to (1) low levels of Ub-ssDNA/RNA products, (2) the presence of DUBs and nucleases that rapidly remove the products during the experiments, and (3) our lack of a suitable MS approach to detect the product. For these reasons, we feel that discovering the biological function will require future effort and expertise and is beyond the scope of our current manuscript.

      In the manuscript (PMID: 38000390), the authors used PARP10 to catalyse ADP-ribosylation onto 5’-phosphorylated ssDNA/RNA. They used the following sequences which lacks 3’-adenosine, which could explain the lack of ubiquitination.

      E15_5′P_RNA [Phos]GUGGCGCGGAGACUU

      E15_5′P_DNA [Phos]GTGGCGCGGAGACTT

      We have performed the experiment using this sequence to verify this (see Author response image 2 below). We have cited this manuscript but for some reasons, Pubmed has updated its published date from mid 2023 to Jan 2024. We have updated the Endnote in the revised manuscript.

      Author response image 2.

      Fluorescently detected SDS-PAGE gel of in vitro ubiquitination catalysed by DTX3L-RD in the presence ubiquitination components and 6-FAM-labelled ssDNA D4 or D31.

      We agree that it is crucial to compare ubiquitination of oligonucleotides and ADPr by DTX3L to find its preferred substrate. We have challenged oligonucleotide ubiquitination by adding excess ADPr and found that ADPr efficiently competes with oligonucleotide (Figure 4D). We have also performed an experiment showing that ssDNA with a blocked 3’-OH can compete against ubiquitination of ADPr (Figure 4E). These data support that ADPr and ssDNA compete for the same binding site on DTX3L.

      We also performed kinetic analysis of ubiquitination of fluorescently labelled ssDNA (D4) and NAD+ by DTX3L-RD (Fig. 4F and Fig. S2D–G) to assess substrate preferences. Here, we used fluorescent-labelled NAD+ (F-NAD+) in place of ADPr as labelled NAD+ is commercially available. With the known concentration of fluorescently labelled ssDNA and NAD+ as the standard, we could estimate the rate of ubiquitinated product formation across different substrate concentrations. We have included this finding in the main text “DTX3L-RD displayed _k_cat value of 0.0358 ± 0.0034 min-1 and a _K_m value of 6.56 ± 1.80 mM for Ub-D4 formation, whereas the Michaelis-Menten curve did not reach saturation for Ub-F-NAD+ formation (Fig. 4F and fig. S2, D-G). Comparison of the estimated catalytic efficiency (_k_cat/_K_m = 5457  M-1 min-1 for D4 and estimated _k_cat/_K_m = 1190  M-1 min-1 for F-NAD+; Fig. 4F) suggested that DTX3L-RD exhibited 4.5-fold higher catalytic efficiency for D4 than F-NAD+. This difference primarily results from a better _K_m value for D4 compared to F-NAD+. Although DTX3L-RD showed weak _K_m for F-NAD+, it displays a higher rate for converting F-NAD+ to Ub-F-NAD+ at higher substrate concentration (Fig. 4F). Thus, substrate concentration will play a role in determining the preference.”

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors): 

      Writing/technical points: 

      (1) The introduction is relatively complex and the last paragraph, which reviews the discoveries on the paper, is long. It may be helpful to highlight the significance and frame the experiments as what they have addressed, rather than detailing each set of experiments completed. 

      We have modified the last paragraph in the introduction to highlight the major discovery of our work.

      (2) Line 24, Abstract. 'Its N-terminal region' is not obvious 

      We have changed “Its N-terminal region” to “the N-terminal region of DTX3L”.

      (3) Line 44 - split sentence to emphasize E3 ligase point? 

      We have modified the sentence as suggested.

      (4) Figures 1B and 1C could be larger - currently they are not very helpful. Also atoms (ADPr?) are shown, but not indicated in the legend or labelled on the panel. 

      We have enlarged Figures 1B and 1C and indicated RNA on the structure.

      (5) The structure of the D2 domain of DTX3L has recently been reported (Vela-Rodriguez et al). It might be helpful to comment on this manuscript. 

      We have now commented on D2 domain in the results section and in the discussion.

      (6) It would be helpful to indicate the DTX3L constructs used in Figure 1a. 

      We have included all DTX3L constructs used in Figure 1a.

      (7) Interpretation of Figure 4A is difficult, the authors may wish to consider other ways to visualize the data. 

      We have now removed the black arrow in Figure 4A as it was confusing. Instead, we drew a black box on the cross-peak where the close-up views are shown in Figures 4B and 4C.

      (8) Figure 4A. Please indicate which binding partner is highlighted by red/black arrows. 

      We have removed black arrow. The red arrows indicate cross-peaks which undergo chemical shift perturbation when DTX3L-RD was titrated with ssDNA or ADPr, highlighting their binding sites on DTX3L-RD overlap.

      (9) Line 284 - please indicate the bulge in Figure S3. 

      We have indicated the bulge on Figure S3.

      (10) Aspects of the discussion are speculative, given that evidence of Ub conjugated to nucleotides in cells is yet to be obtained and the functional consequences of modification are uncertain. 

      We understand that the discussion on the potential roles of ubiquitination of ssNAs is speculative. We have now modified it to: “Based on the known functions of the DTX3L/PARP9 complex and the findings of this study, we propose several hypotheses for future research”, so that readers will understand that these are speculative.

      (11) Line 295 onwards - this paragraph discusses the role of the KH domains in nucleotide binding, but it is not clear that the authors have directly demonstrated that the KH domains bind nucleotides as all constructs used in the binding experiments in Figure 1/S1 include the RING-DTC domains. 

      We found that KH domains alone did not bind ssDNA or RNA. We have modified line 295. This section now reads “Typically, KH domains contain a GXXG motif within the loop between the first and second α helix (22). However, analysis of the sequence of the KHL domains in DTX3L shows these domains lack this motif. Multiple studies have shown that mutation in this motif abolishes binding to nucleic acids (23-26). Our findings show the DTX3L DTC domain binds nucleic acids but whether the KHL domains contribute to nucleic acid binding requires further investigation. Additionally, the structure of the first KHL domain was recently reported and shown to form a tetrameric assembly (20). Our analysis with DTX3L 232-C, which lacks the first KHL domain and RRM, indicate that it can still bind ssDNA and ssRNA. Despite this, a more detailed analysis will be required to determine whether oligomerization plays a role in nucleic acid binding and ubiquitination.”

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1:

      Summary:

      In this study, Nishi et al. claim that the ratio of long-term hematopoietic stem cell (LT-HSC) versus short-term HSC (ST-HSC) determines the lineage output of HSCs and reduced ratio of ST-HSC in aged mice causes myeloid-biased hematopoiesis. The authors used Hoxb5 reporter mice to isolate LT-HSC and ST-HSC and performed molecular analyses and transplantation assays to support their arguments. How the hematopoietic system becomes myeloid-biased upon aging is an important question with many implications in the disease context as well. However, their study is descriptive with remaining questions.

      Weaknesses:

      Comment #1-1: The authors may need conceptual re-framing of their main argument because whether the ST-HSCs used in this study are functionally indeed short-term "HSCs" is questionable. The data presented in this study and their immunophenotypic definition of ST-HSCs (Lineage negative/Sca-1+/c-Kit+/Flk2-/CD34-/CD150+/Hoxb5-) suggest that authors may find hematopoietic stem cell-like lymphoid progenitors as previously shown for megakaryocyte lineage (Haas et al., Cell stem cell. 2015) or, as the authors briefly mentioned in the discussion, Hoxb5- HSCs could be lymphoid-biased HSCs.

      The authors disputed the idea that Hoxb5- HSCs as lymphoid-biased HSCs based on their previous 4 weeks post-transplantation data (Chen et al., 2016). However, they overlooked the possibility of myeloid reprogramming of lymphoid-biased population during regenerative conditions (Pietras et al., Cell stem cell., 2015). In other words, early post-transplant STHSCs (Hoxb5- HSCs) can be seen as lacking the phenotypic lymphoid-biased HSCs.

      Thinking of their ST-HSCs as hematopoietic stem cell-like lymphoid progenitors or lymphoidbiased HSCs makes more sense conceptually as well.

      Response #1-1: We appreciate this important suggestion and recognize the significance of the debate on whether Hoxb5- HSCs are ST-HSCs or lymphoid-biased HSCs.

      HSCs are defined by their ability to retain hematopoietic potential after a secondary transplantation1-2. If Hoxb5- HSCs were indeed lymphoid-biased HSCs, they would exhibit predominantly lymphoid hematopoiesis even after secondary transplantation. However, functional experiments demonstrate that these cells lose their hematopoietic output after secondary transplantation3 (see Fig. 2 in this paper). Based on the established definition of HSCs in this filed, it is appropriate to classify Hoxb5- HSCs as ST-HSCs rather than lymphoid-biased HSCs.

      Additionally, it has been reported that myeloid reprogramming may occur in the early posttransplant period, around 2-4 weeks after transplantation, even in lymphoid-biased populations within the MPP fraction, due to high inflammatory conditions4. However, when considering the post-transplant hematopoiesis of Hoxb5- HSC fractions as ST-HSCs, they exhibit almost the same myeloid hematopoietic potential as LT-HSCs not only during the early 4 weeks after transplantation but also at 8 weeks post-transplantation3, when the acute inflammatory response has largely subsided. Therefore, it is difficult to attribute the myeloid production by ST-HSCs post-transplant solely to myeloid reprogramming.

      References

      (1) Morrison, S. J. & Weissman, I. L. The long-term repopulating subset of hematopoietic stem cells is deterministic and isolatable by phenotype. Immunity 1, 661–673 (1994).

      (2) Challen, G. A., Boles, N., Lin, K. K. Y. & Goodell, M. A. Mouse hematopoietic stem cell identification and analysis. Cytom. Part A 75, 14–24 (2009).

      (3) Chen, J. Y. et al. Hoxb5 marks long-term haematopoietic stem cells and reveals a homogenous perivascular niche. Nature 530, 223–227 (2016).

      (4) Pietras, E. M. et al. Functionally Distinct Subsets of Lineage-Biased Multipotent Progenitors Control Blood Production in Normal and Regenerative Conditions. Cell Stem Cell 17, 35–46 (2015).

      Comment #1-2: ST-HSCs come from LT-HSCs and further differentiate into lineage-biased multipotent progenitor (MPP) populations including myeloid-biased MPP2 and MPP3. Based on the authors' claim, LT-HSCs (Hoxb5- HSCs) have no lineage bias even in aged mice. Then these LT-HSCs make ST-HSCs, which produce mostly memory T cells. These memory T cell-producing ST-HSCs then produce MPPs including myeloid-biased MPP2 and MPP3.

      This differentiation trajectory is hard to accept. If we think Hoxb5- HSCs (ST-HSCs by authors) as a sub-population of immunophenotypic HSCs with lymphoid lineage bias or hematopoietic stem cell-like lymphoid progenitors, the differentiation trajectory has no flaw.

      Response #1-2: Thank you for this comment, and we apologize for the misunderstanding regarding the predominance of memory T cells in ST-HSCs after transplantation. 

      Our data show that ST-HSCs are not biased HSCs that predominantly produce memory T cells, but rather, ST-HSCs are multipotent hematopoietic cells. ST-HSCs lose their ability to self-renew within a short period, resulting in the cessation of ST-HSC-derived hematopoiesis. As a result, myeloid lineage with a short half-life disappears from the peripheral blood, and memory lymphocytes with a long half-life remain (see Figure 5 in this paper). 

      Comment #1-3: Authors' experimental designs have some caveats to support their claims. Authors claimed that aged LT-HSCs have no myeloid-biased clone expansion using transplantation assays. In these experiments, authors used 10 HSCs and young mice as recipients. Given the huge expansion of old HSC by number and known heterogeneity in immunophenotypically defined HSC populations, it is questionable how 10 out of so many old HSCs can faithfully represent the old HSC population. The Hoxb5+ old HSC primary and secondary recipient mice data (Figure 2C and D) support this concern. In addition, they only used young recipients. Considering the importance of the inflammatory aged niche in the myeloid-biased lineage output, transplanting young vs old LT-HSCs into aged mice will complete the whole picture.

      Response #1-3: We appreciate the reviewer for the comments. We acknowledge that using ten HSCs may not capture the heterogeneity of aging HSCs.

      However, although most of our experiments have used a small number of transplanted cells (e.g., 10 cells), we have conducted functional experiments across Figures 2, 3, 5, 6, S3, and S6, totaling n = 126, equivalent to over 1260 cells. Previous studies have reported that myeloid-biased HSCs constitute more than 50% of the aged HSC population1-2. If myeloidbiased HSCs increase with age, they should be detectable in our experiments. Our functional experiments have consistently shown that Hoxb5+ HSCs exhibit unchanged lineage output throughout life. In contrast, the data presented in this paper indicate that changes in the ratio of LT-HSCs and ST-HSCs may contribute to myeloid-biased hematopoiesis.

      We believe that transplanting aged HSCs into aged recipient mice is crucial to analyzing not only the differentiation potential of aged HSCs but also the changes in their engraftment and self-renewal abilities. We aim to clarify further findings through these experiments in the future.

      References

      (1) Dykstra B, Olthof S, Schreuder J, Ritsema M, Haan G De. Clonal analysis reveals multiple functional defects of aged murine hematopoietic stem cells. J Exp Med. 2011 Dec 19;208(13):2691–703. 

      (2) Yamamoto R, Wilkinson AC, Ooehara J, Lan X, Lai CY, Nakauchi Y, et al. LargeScale Clonal Analysis Resolves Aging of the Mouse Hematopoietic Stem Cell Compartment. Cell Stem Cell [Internet]. 2018;22(4):600-607.e4. Available from: https://doi.org/10.1016/j.stem.2018.03.013

      Comment #1-4: The authors' molecular data analyses need more rigor with unbiased approaches. They claimed that neither aged LT-HSCs nor aged ST-HSCs exhibited myeloid or lymphoid gene set enrichment but aged bulk HSCs, which are just a sum of LT-HSCs and ST-HSCs by their gating scheme (Figure 4A), showed the "tendency" of enrichment of myeloid-related genes based on the selected gene set (Figure 4D). Although the proportion of ST-HSCs is reduced in bulk HSCs upon aging, since ST-HSCs do not exhibit lymphoid gene set enrichment based on their data, it is hard to understand how aged bulk HSCs have more myeloid gene set enrichment compared to young bulk HSCs. This bulk HSC data rather suggests that there could be a trend toward certain lineage bias (although not significant) in aged LT-HSCs or ST-HSCs. The authors need to verify the molecular lineage priming of LT-HSCs and ST-HSCs using another comprehensive dataset.

      Response #1-4: Thank you for pointing out that neither aged LT-HSCs nor aged ST-HSCs exhibited myeloid

      or lymphoid gene set enrichment, although aged bulk HSCs showed a tendency towards enrichment of myeloid-related genes.

      The actual GSEA result had an FDR > 0.05. Therefore, we cannot claim that bulk HSCs showed significant enrichment of myeloid-related genes with age. Consequently, we have revised the following sentences:

      [P11, L251] Neither aged LT-HSCs nor aged ST-HSCs exhibited myeloid/lymphoid gene set enrichment, while shared myeloid-related genes tended to be enriched in aged bulk-HSCs, although this enrichment was not statistically significant (Fig. 4, F and G).

      In addition to the above, we also found that the GSEA results differ among myeloid gene sets (Fig. 4, D-F; Fig. 4S, C-D). These findings suggest that discussing lineage bias in HSCs using GSEA is challenging. We believe that functional experimental data is crucial. From our functional experiments, when the ratio of LT-HSC to ST-HSC was reconstituted to match the ratio in young Bulk-HSCs (LT= 2:8) or aged bulk-HSCs (LT= 5:5), myeloid-biased hematopoiesis was observed with the aged bulk-HSC ratio. Based on this data, the authors concluded that age-related changes in the ratio between LT-HSCs and ST-HSCs in bulkHSCs cause myeloid-biased hematopoiesis rather than an increase in myeloid gene expression in the aged bulk-HSCs.

      Comment #1-5: Some data are too weak to fully support their claims. The authors claimed that age-associated extramedullary changes are the main driver of myeloid-biased hematopoiesis based on no major differences in progenitor populations upon transplantation of 10 young HSCs into young or old recipient mice (Figure 7F) and relatively low donor-derived cells in thymus and spleen in aged recipient mice (Figure 7G-J). However, they used selected mice to calculate the progenitor populations in recipient mice (8 out of 17 from young recipients denoted by * and 8 out of 10 from aged recipients denoted by * in Figure 7C). In addition, they calculated the progenitor populations as frequency in c-kit positive cells. Given that they transplanted 10 LT-HSCs into "sub-lethally" irradiated mice and 8.7 Gy irradiation can have different effects on bone marrow clearance in young vs old mice, it is not clear whether this data is reliable enough to support their claims. The same concern applies to the data Figure 7G-J. Authors need to provide alternative data to support their claims.

      Response #1-5: Thank you for useful comments. Our claim regarding Fig. 7 is that age-associated extramedullary changes are merely additional drivers for myeloid-biased hematopoiesis are not the main drivers. But we will address the issues pointed out.

      Regarding the reason for analyzing the asterisk mice

      We performed two independent experiments for Fig. 7. In the first experiment, we planned to analyze the BM of recipients 16 weeks after transplantation. However, as shown in Fig. 7B, many of the aged mice died before 16 weeks. Therefore, we decided to examine the BM of the recipient mice at 12 weeks in the second experiment. Below are the peripheral blood results 11-12 weeks after transplantation for the mice used in the second experiment.

      Author response image 1.

      For the second experiment, we analyzed the BM of all eight all eight aged recipients. Then, we selected the same number of young recipients for analysis to ensure that the donor myeloid output would be comparable to that of the entire young group. Indeed, the donor myeloid lineage output of the selected mice was 28.1 ± 22.9%, closely matching the 23.5 ± 23.3% (p = 0.68) observed in the entire young recipient population. 

      That being said, as the reviewer pointed out, it is considerable that the BM, thymus, and spleen of all mice were not analyzed. Hence, we have added the following sentences:

      [P14, L327] We performed BM analysis for the mice denoted by † in Figure 7C because many of the aged mice had died before the analysis.

      [P15, L338] The thymus and spleen analyses were also performed on the mice denoted by † in Figure 7C.

      Regarding the reason for 8.7 Gy.

      Thank you for your question about whether 8.7 Gy is myeloablative. In our previous report1, we demonstrated that none of the mice subjected to pre-treatment with 8.7 Gy could survive when non-LKS cells were transplanted, suggesting that 8.7 Gy is enough to be myeloablative with the radiation equipment at our facility.

      Author response image 2.

      Reference

      (1)  Nishi K, Sakamaki T, Sadaoka K, Fujii M, Takaori-Kondo A, Chen JY, et al. Identification of the minimum requirements for successful haematopoietic stem cell transplantation. Br J Haematol. 2022;196(3):711–23. 

      Regarding the normalization of c-Kit in Figure 7F.  

      Firstly, as shown in Supplemental Figures S1B and S1C, we analyze the upstream (HSC, MPP, Flk2+) and downstream (CLP, MEP, CMP, GMP) fractions in different panels. Therefore, normalization is required to assess the differentiation of HSCs from upstream to downstream. Additionally, the reason for normalizing by c-Kit+ is that the bone marrow analysis was performed after enrichment using the Anti-c-Kit antibody for both upstream and downstream fractions. Based on this, we calculated the progenitor populations as a frequency within the c-Kit positive cells.

      Next, the results of normalizing the whole bone marrow cells (live cells) are shown below. 

      Author response image 3.

      Similar to the results of normalizing c-Kit+ cells, myeloid progenitors remained unchanged, including a statistically significant decrease in CMP in aged mice. Additionally, there were no significant differences in CLP. In conclusion, we obtained similar results between the normalization with c-Kit and the normalization with whole bone marrow cells (live cells).

      However, as the reviewer pointed out, it is necessary to explain the reason for normalization with c-Kit. Therefore, we will add the following description.

      [P21, L502] For the combined analysis of the upstream (HSC, MPP, Flk2+) and downstream (CLP, MEP, CMP, GMP) fractions in Figures 1B and 7F, we normalized by c-Kit+ cells because we performed a c-Kit enrichment for the bone marrow analysis.

      Reviewer #2:

      Summary:  

      Nishi et al, investigate the well-known and previously described phenomenon of ageassociated myeloid-biased hematopoiesis. Using a previously established HoxB5mCherry mouse model, they used HoxB5+ and HoxB5- HSCs to discriminate cells with long-term (LTHSCs) and short-term (ST-HSCs) reconstitution potential and compared these populations to immunophenotypically defined 'bulk HSCs' that consists of a mixture of LT-HSC and STHSCs. They then isolated these HSC populations from young and aged mice to test their function and myeloid bias in non-competitive and competitive transplants into young and aged recipients. Based on quantification of hematopoietic cell frequencies in the bone marrow, peripheral blood, and in some experiments the spleen and thymus, the authors argue against the currently held belief that myeloid-biased HSCs expand with age. 

      Comment #2-1: While aspects of their work are fascinating and might have merit, several issues weaken the overall strength of the arguments and interpretation. Multiple experiments were done with a very low number of recipient mice, showed very large standard deviations, and had no statistically detectable difference between experimental groups. While the authors conclude that these experimental groups are not different, the displayed results seem too variable to conclude anything with certainty. The sensitivity of the performed experiments (e.g. Figure 3; Figure 6C, D) is too low to detect even reasonably strong differences between experimental groups and is thus inadequate to support the author's claims. This weakness of the study is not acknowledged in the text and is also not discussed. To support their conclusions the authors need to provide higher n-numbers and provide a detailed power analysis of the transplants in the methods section.

      Response #2-1: Thank you for your important remarks. The power analysis for this experiment shows that power = 0.319, suggesting that more number may be needed. On the other hand, our method for determining the sample size in Figure 3 is as follows:

      (1) First, we checked whether myeloid biased change is detected in the bulk-HSC fraction (Figure S3). The results showed that the difference in myeloid output at 16 weeks after transplantation was statistically significant (young vs. aged = 7.2 ± 8.9 vs. 42.1 ± 35.5%, p = 0.01), even though n = 10.

      (2) Next, myeloid biased HSCs have been reported to be a fraction with high self-renewal ability (2004, Blood). If myeloid biased HSCs increase with aging, the increase in myeloid biased HSCs in LT-HSC fraction would be detected with higher sensitivity than in the bulk-HSC fraction used in Figure S3.

      (3) However, there was no difference not only in p-values but also in the mean itself, young vs aged = 51.4±31.5% vs 47.4±39.0%, p = 0.82, even though n = 8 in Figure 3. Since there was no difference in the mean itself, it is highly likely that no difference will be detected even if n is further increased.

      Regarding Figure 6, we obtained a statistically significant difference and consider the sample size to be sufficient. 

      In addition, we have performed various functional experiments (Figures 2, 5, 6 and S6), and have obtained consistent results that expansion of myeloid biased HSCs does not occur with aging in Hoxb5+HSCs fraction. Based on the above, we conclude that the LT-HSC fraction does not differ in myeloid differentiation potential with aging.

      Comment #2-2: As the authors attempt to challenge the current model of the age-associated expansion of myeloid-biased HSCs (which has been observed and reproduced by many different groups), ideally additional strong evidence in the form of single-cell transplants is provided.

      Response #2-2: Thank you for the comments. As the reviewer pointed out, we hope we could reconfirm our results using single-cell level technology in the future.

      On the other hand, we have reported that the ratio of myeloid to lymphoid cells in the peripheral blood changes when the number of HSCs transplanted, or the number of supporting cells transplanted with HSCs, is varied1-2. Therefore, single-cell transplant data need to be interpreted very carefully to determine differentiation potential.

      From this viewpoint, future experiments will combine the Hoxb5 reporter system with a lineage tracing system that can track HSCs at the single-cell level over time. This approach will investigate changes in the self-renewal capacity of individual HSCs and their subsequent differentiation into progenitor cells and peripheral blood cells. We have reflected this comment by adding the following sentences in the manuscript.

      [P19, L451] In contrast, our findings should be considered in light of some limitations. In this report, we primarily performed ten to twenty cell transplantation assays. Therefore, the current theory should be revalidated using single-cell technology with lineage tracing system3-4. This approach will investigate changes in the self-renewal capacity of individual HSCs and their subsequent differentiation into progenitor cells and peripheral blood cells. 

      References

      (1) Nishi K, Sakamaki T, Sadaoka K, Fujii M, Takaori-Kondo A, Chen JY, et al. Identification of the minimum requirements for successful haematopoietic stem cell transplantation. Br J Haematol. 2022;196(3):711–23. 

      (2) Sakamaki T, Kao KS, Nishi K, Chen JY, Sadaoka K, Fujii M, et al. Hoxb5 defines the heterogeneity of self-renewal capacity in the hematopoietic stem cell compartment. Biochem Biophys Res Commun [Internet]. 2021;539:34–41. Available from: https://doi.org/10.1016/j.bbrc.2020.12.077

      (3) Yamamoto R, Wilkinson AC, Ooehara J, Lan X, Lai CY, Nakauchi Y, et al. LargeScale Clonal Analysis Resolves Aging of the Mouse Hematopoietic Stem Cell Compartment. Cell Stem Cell [Internet]. 2018;22(4):600-607.e4. Available from: https://doi.org/10.1016/j.stem.2018.03.013

      (4) Rodriguez-Fraticelli AE, Weinreb C, Wang SW, Migueles RP, Jankovic M, Usart M, et al. Single-cell lineage tracing unveils a role for TCF15 in haematopoiesis. Nature [Internet]. 2020;583(7817):585–9. Available from: http://dx.doi.org/10.1038/s41586-020-2503-6

      Comment #2-3: It is also unclear why the authors believe that the observed reduction of ST-HSCs relative to LT-HSCs explains the myeloid-biased phenotype observed in the peripheral blood. This point seems counterintuitive and requires further explanation.

      Response #2-3: Thank you for your comment. We apologize for the insufficient explanation. Our data, as shown in Figures 3 and 4, demonstrate that the differentiation potential of LT-HSCs remains unchanged with age. Therefore, rather than suggesting that an increase in LT-HSCs with a consistent differentiation capacity leads to myeloid-biased hematopoiesis, it seems more accurate to highlight that the relative decrease in the proportion of ST-HSCs, which remain in peripheral blood as lymphocytes, leads to a relative increase in myeloid cells in peripheral blood and thus causes myeloid-biased hematopoiesis.

      However, if we focus on the increase in the ratio of LT-HSCs, it is also plausible to explain that “with aging, the proportion of LT-HSCs capable of long-term myeloid hematopoiesis increases. As a result, from 16 weeks after transplantation, the influence of LT-HSCs maintaining the long-term ability to produce myeloid cells becomes relatively more significant, leading to an increase in the ratio of myeloid cells in the peripheral blood and causing myeloid-biased hematopoiesis.”

      Comment #2-4: Based on my understanding of the presented data, the authors argue that myeloid-biased HSCs do not exist, as<br /> a) they detect no difference between young/aged HSCs after transplant (mind low n-numbers and large std!); b) myeloid progenitors downstream of HSCs only show minor or no changes in frequency and c) aged LT-HSCs do not outperform young LT-HSC in myeloid output LT-HScs in competitive transplants (mind low n-numbers and large std!).

      Response #2-4: We appreciate the comments. As mentioned above, we will correct the manuscript regarding the sample size.

      Regarding the interpreting of the lack of increase in the percentage of myeloid progenitor cells in the bone marrow with age, it is instead possible that various confounding factors, such as differentiation shortcuts or changes in the microenviroment, are involved.

      However, even when aged LT-HSCs and young LT-HSCs are transplanted into the same recipient mice, the timing of the appearance of different cell fractions in peripheral blood is similar (Figure 3 of this paper). Therefore, we have not obtained data suggesting that clear shortcuts exist in the differentiation process of aged HSCs into neutrophils or monocytes. Additionally, it is currently consensually accepted that myeloid cells, including neutrophils and monocytes, differentiate from GMPs1. Since there is no changes in the proportion of GMPs in the bone marrow with age, we concluded that the differentiation potential into myeloid cells remains consistent with aging.

      Reference

      (1) Akashi K and others, ‘A Clonogenic Common Myeloid Progenitor That Gives Rise to All Myeloid Lineages’, Nature, 404.6774 (2000), 193–97.

      Strengths: 

      The authors present an interesting observation and offer an alternative explanation of the origins of aged-associated myeloid-biased hematopoiesis. Their data regarding the role of the microenvironment in the spleen and thymus appears to be convincing. 

      Weaknesses: 

      Comment #2-5: "Then, we found that the myeloid lineage proportions from young and aged LT-HSCs were nearly comparable during the observation period after transplantation (Figure 3, B and C)."<br /> Given the large standard deviation and low n-numbers, the power of the analysis to detect differences between experimental groups is very low. Experimental groups with too large standard deviations (as displayed here) are difficult to interpret and might be inconclusive. The absence of clearly detectable differences between young and aged transplanted HSCs could thus simply be a false-negative result. The shown experimental results hence do not provide strong evidence for the author's interpretation of the data. The authors should add additional transplants and include a detailed power analysis to be able to detect differences between experimental groups with reasonable sensitivity.

      Response #2-5: Thank you for providing these insights. Regarding the sample size, we have addressed this in Response #2-1.

      Comment #2-6: Line 293: "Based on these findings, we concluded that myeloid-biased hematopoiesis observed following transplantation of aged HSCs was caused by a relative decrease in ST-HSC in the bulk-HSC compartment in aged mice rather than the selective expansion of myeloid-biased HSC clones."<br /> Couldn't that also be explained by an increase in myeloid-biased HSCs, as repeatedly reported and seen in the expansion of CD150+ HSCs? It is not intuitively clear why a reduction of ST-HSCs clones would lead to a myeloid bias. The author should try to explain more clearly where they believe the increased number of myeloid cells comes from. What is the source of myeloid cells if the authors believe they are not derived from the expanded population of myeloid-biased HSCs?

      Response #2-6: Thank you for pointing this out. We apologize for the insufficient explanation. We will explain using Figure 8 from the paper.

      First, our data show that LT-HSCs maintain their differentiation capacity with age, while ST-HSCs lose their self-renewal capacity earlier, so that only long-lived memory lymphocytes remain in the peripheral blood after the loss of self-renewal capacity in ST-HSCs (Figure 8, upper panel). In mouse bone marrow, the proportion of LT-HSCs increases with age, while the proportion of STHSCs relatively decreases (Figure 8, lower panel and Figure S5). 

      Our data show that merely reproducing the ratio of LT-HSCs to ST-HSCs observed in aged mice using young LT-HSCs and ST-HSCs can replicate myeloid-biased hematopoiesis. This suggests that the increase in LT-HSC and the relative decrease in ST-HSC within the HSC compartment with aging are likely to contribute to myeloid-biased hematopoiesis.

      As mentioned earlier, since the differentiation capacity of LT-HSCs remain unchaged with age, it seems more accurate to describe that the relative decrease in the proportion of STHSCs, which retain long-lived memory lymphocytes in peripheral blood, leads to a relative increase in myeloid cells in peripheral blood and thus causes myeloid-biased hematopoiesis.

      However, focusing on the increase in the proportion of LT-HSCs, it is also possible to explain that “with aging, the proportion of LT-HSCs capable of long-term myeloid hematopoiesis increases. As a result, from 16 weeks after transplantation, the influence of LT-HSCs maintaining the long-term ability to produce myeloid cells becomes relatively more significant, leading to an increase in the ratio of myeloid cells in the peripheral blood and causing myeloid-biased hematopoiesis.”

      Reviewer #3:

      Summary:

      In this manuscript, Nishi et al. propose a new model to explain the previously reported myeloid-biased hematopoiesis associated with aging. Traditionally, this phenotype has been explained by the expansion of myeloid-biased hematopoietic stem cell (HSC) clones during aging. Here, the authors question this idea and show how their Hoxb5 reporter model can discriminate long-term (LT) and short-term (ST) HSC and characterized their lineage output after transplant. From these analyses, the authors conclude that changes during aging in the LT/ST HSC proportion explain the myeloid bias observed. 

      Although the topic is appropriate and the new model provides a new way to think about lineage-biased output observed in multiple hematopoietic contexts, some of the experimental design choices, as well as some of the conclusions drawn from the results could be substantially improved. Also, they do not propose any potential mechanism to explain this process, which reduces the potential impact and novelty of the study. Specific concerns are outlined below. 

      Major 

      Comment #3-1: As a general comment, there are experimental details that are either missing or not clear. The main one is related to transplantation assays. What is the irradiation dose? The Methods sections indicates "recipient mice were lethally irradiated with single doses of 8.7 or 9.1 Gy". The only experimental schematic indicating the irradiation dose is Figure 7A, which uses 8.7 Gy. Also, although there is not a "standard", 11 Gy split in two doses is typically considered lethal irradiation, while 9.5 Gy is considered sublethal.

      Response #3-1: We agree with reviewer’s assessment about whether 8.7 Gy is myeloablative. To confirm this, it would typically be necessary to irradiate mice with different dose and observe if they do not survive. However, such an experiment is not ethically permissible at our facility. Instead, in our previous report1, we demonstrated that none of the mice subjected to pretreatment with 8.7 Gy could survive when non-LKS cells were transplanted, suggesting that

      8.7 Gy is enough to be myeloablative with the radiation equipment at our facility.

      Reference

      (1) Nishi K, Sakamaki T, Sadaoka K, Fujii M, Takaori-Kondo A, Chen JY, et al. Identification of the minimum requirements for successful haematopoietic stem cell transplantation. Br J Haematol. 2022;196(3):711–23. 

      Comment #3-2:  Is there any reason for these lower doses? Same question for giving a single dose and for performing irradiation a day before transplant. 

      Response #3-2: We appreciate the reviewer for these important comments. Although the 8.7 Gy dose used at our facility is lower than in other reports, we selected this dose to maintain consistency with our previous experiments. For the same reason, we used a single irradiation, not split.  Regarding the timing of irradiation, the method section specifies that irradiation timing is 12-24 hours prior to transplantation. In most experiments, irradiation is performed at 12 hours. However, due to experimental progress, there were occasional instances where nearly 24 hours elapsed between irradiation and transplantation. We provide this information to ensure accuracy.

      Comment #3-3: The manuscript would benefit from the inclusion of references to recent studies discussing hematopoietic biases and differentiation dynamics at a single-cell level (e.g., Yamamoto et. al 2018; Rodriguez-Fraticelli et al., 2020). Also, when discussing the discrepancy between studies claiming different biases within the HSC pool, the authors mentioned that Montecino-Rodriguez et al. 2019 showed preserved lymphoid potential with age. It would be good to acknowledge that this study used busulfan as the conditioning method instead of irradiation.

      Response #3-3: We agree with this comment and have incorporated this suggestion into the manuscript

      [P19, L451] In contrast, our findings should be considered in light of some limitations. In this report, we primarily performed ten to twenty cell transplantation assays. Therefore, the current theory should be revalidated using single-cell technology with lineage tracing system1-2. This approach will investigate changes in the self-renewal capacity of individual HSCs and their subsequent differentiation into progenitor cells and peripheral blood cells. Additionally, in this report we purified LT-HSCs by Hoxb5 reporter system. In contrast, various LT-HSC markers have been previously reported2-3.  Therefore, it is ideal to validate our findings using other LT-HSC makers.

      [P16, L368] Other studies suggest that blockage of lymphoid hematopoiesis in aged mice results in myeloid-skewed hematopoiesis through alternative mechanisms. However, this result should be interpreted carefully, since Busulfan was used for myeloablative treatment in this study4.   

      References

      (1) Yamamoto R, Wilkinson AC, Ooehara J, Lan X, Lai CY, Nakauchi Y, et al. LargeScale Clonal Analysis Resolves Aging of the Mouse Hematopoietic Stem Cell Compartment. Cell Stem Cell [Internet]. 2018;22(4):600-607.e4. Available from: https://doi.org/10.1016/j.stem.2018.03.013

      (2) Rodriguez-Fraticelli AE, Weinreb C, Wang SW, Migueles RP, Jankovic M, Usart M, et al. Single-cell lineage tracing unveils a role for TCF15 in haematopoiesis. Nature [Internet]. 2020;583(7817):585–9. Available from: http://dx.doi.org/10.1038/s41586-020-2503-6

      (3) Sanjuan-Pla A, Macaulay IC, Jensen CT, Woll PS, Luis TC, Mead A, et al. Plateletbiased stem cells reside at the apex of the haematopoietic stem-cell hierarchy. Nature. 2013;502(7470):232–6. 

      (4) Montecino-Rodriguez E, Kong Y, Casero D, Rouault A, Dorshkind K, Pioli PD. Lymphoid-Biased Hematopoietic Stem Cells Are Maintained with Age and Efficiently Generate Lymphoid Progeny. Stem Cell Reports. 2019 Mar 5;12(3):584–96. 

      Comment #3-4: When representing the contribution to PB from transplanted cells, the authors show the % of each lineage within the donor-derived cells (Figures 3B-C, 5B, 6B-D, 7C-E, and S3 B-C). To have a better picture of total donor contribution, total PB and BM chimerism should be included for each transplantation assay. Also, for Figures 2C-D and Figures S2A-B, do the graphs represent 100% of the PB cells? Are there any radioresistant cells?

      Response #3-4: Thank you for highlighting this point. Indeed, donor contribution to total peripheral blood (PB) is important information. We have included the donor contribution data for each figure above mentioned.

      Author response image 4.

      In Figure 2C-D and Figure S2A-B, the percentage of donor chimerism in PB was defined as the percentage of CD45.1-CD45.2+ cells among total CD45.1-CD45.2+ and CD45.1+CD45.2+ cells as described in method section.

      Comment #3-5: For BM progenitor frequencies, the authors present the data as the frequency of cKit+ cells. This normalization might be misleading as changes in the proportion of cKit+ between the different experimental conditions could mask differences in these BM subpopulations. Representing this data as the frequency of BM single cells or as absolute numbers (e.g., per femur) would be valuable.

      Response #3-5: We appreciate the reviewer's comment on this point. 

      Firstly, as shown in Supplemental Figures S1B and S1C, we analyze the upstream (HSC, MPP, Flk2+) and downstream (CLP, MEP, CMP, GMP) fractions in different panels. Therefore, normalization is required to assess the differentiation of HSCs from upstream to downstream. Additionally, the reason for normalizing by c-Kit+ is that the bone marrow analysis was performed after enrichment using the Anti-c-Kit antibody for both upstream and downstream fractions. Based on this, we calculated the progenitor populations as a frequency within the c-Kit positive cells. Next, the results of normalizing the whole bone marrow cells (live cells) are shown in Author response image 2. 

      Similar to the results of normalizing c-Kit+ cells, myeloid progenitors remained unchanged, including a statistically significant decrease in CMP in aged mice. Additionally, there were no significant differences in CLP. In conclusion, similar results were obtained between the normalization with c-Kit and the normalization with whole bone marrow cells (live cells).

      However, as the reviewer pointed out, it is necessary to explain the reason for normalization with c-Kit. Therefore, we will add the following description.

      [P21, L502] For the combined analysis of the upstream (HSC, MPP, Flk2+) and downstream (CLP, MEP, CMP, GMP) fractions in Figures 1B and 7F, we normalized by c-Kit+ cells because we performed a c-Kit enrichment for the bone marrow analysis.

      Comment #3-6: Regarding Figure 1B, the authors argue that if myeloid-biased HSC clones increase with age, they should see increased frequency of all components of the myeloid differentiation pathway (CMP, GMP, MEP). This would imply that their results (no changes or reduction in these myeloid subpopulations) suggest the absence of myeloid-biased HSC clones expansion with age. This reviewer believes that differentiation dynamics within the hematopoietic hierarchy can be more complex than a cascade of sequential and compartmentalized events (e.g., accelerated differentiation at the CMP level could cause exhaustion of this compartment and explain its reduction with age and why GMP and MEP are unchanged) and these conclusions should be considered more carefully.

      Response #3-6: We wish to thank the reviewer for this comment. We agree with that the differentiation pathway may not be a cascade of sequential events but could be influenced by various factors such as extrinsic factors.

      In Figure 1B, we hypothesized that there may be other mechanisms causing myeloidbiased hematopoiesis besides the age-related increase in myeloid-biased HSCs, given that the percentage of myeloid progenitor cells in the bone marrow did not change with age. However, we do not discuss the presence or absence of myeloid-biased HSCs based on the data in Figure 1B. 

      Our newly proposed theories—that the differentiation capacity of LT-HSCs remains unchanged with age and that age-related myeloid-biased hematopoiesis is due to changes in the ratio of LT-HSCs to ST-HSCs—are based on functional experiment results. As the reviewer pointed out, to discuss the presence or absence of myeloid-biased HSCs based on the data in Figure 1B, it is necessary to apply a system that can track HSC differentiation at single-cell level. The technology would clarify changes in the self-renewal capacity of individual HSCs and their differentiation into progenitor cells and peripheral blood cells. The authors believe that those single-cell technologies will be beneficial in understanding the differentiation of HSCs. Based on the above, the following statement has been added to the text.

      [P19, L451] In contrast, our findings should be considered in light of some limitations. In this report, we primarily performed ten to twenty cell transplantation assays. Therefore, the current theory should be revalidated using single-cell technology with lineage tracing system1-2. This approach will investigate changes in the self-renewal capacity of individual HSCs and their subsequent differentiation into progenitor cells and peripheral blood cells. 

      References

      (1) Yamamoto R, Wilkinson AC, Ooehara J, Lan X, Lai CY, Nakauchi Y, et al. LargeScale Clonal Analysis Resolves Aging of the Mouse Hematopoietic Stem Cell Compartment. Cell Stem Cell [Internet]. 2018;22(4):600-607.e4. Available from: https://doi.org/10.1016/j.stem.2018.03.013

      (2) Rodriguez-Fraticelli AE, Weinreb C, Wang SW, Migueles RP, Jankovic M, Usart M, et al. Single-cell lineage tracing unveils a role for TCF15 in haematopoiesis. Nature [Internet]. 2020;583(7817):585–9. Available from: http://dx.doi.org/10.1038/s41586-020-2503-6

      Comment #3-7: Within the few recipients showing good donor engraftment in Figure 2C, there is a big proportion of T cells that are "amplified" upon secondary transplantation (Figure 2D). Is this expected?

      Response #3-7: We wish to express our deep appreciation to the reviewer for insightful comment on this point. As the reviewers pointed out, in Figure 2D, a few recipients show a very high percentage of T cells. The authors had the same question and considered this phenomenon as follows:

      (1) One reason for the very high percentage of T cells is that we used 1 x 107 whole bone marrow cells in the secondary transplantation. Consequently, the donor cells in the secondary transplantation contained more T-cell progenitor cells, leading to a greater increase in T cells compared to the primary transplantation.

      (2) We also consider that this phenomenon may be influenced by the reduced selfrenewal capacity of aged LT-HSCs, resulting in decreased sustained production of myeloid cells in the secondary recipient mice. As a result, long-lived memory-type lymphocytes may preferentially remain in the peripheral blood, increasing the percentage of T cells in the secondary recipient mice.

      We have discussed our hypothesis regarding this interesting phenomenon. To further clarify the characteristics of the increased T-cell count in the secondary recipient mice, we will analyze TCR clonality and diversity in the future.

      Comment #3-8: Do the authors have any explanation for the high level of variability within the recipients of Hoxb5+ cells in Figure 2C?

      Response #3-8: We appreciate the reviewer's comment on this point. As noted in our previous report, transplantation of a sufficient number of HSCs results in stable donor chimerism, whereas a small number of HSCs leads to increased variability in donor chimerism1. Additionally, other studies have observed high variability when fewer than 10 HSCs are transplanted2-3. Based on this evidence, we consider that the transplantation of a small number of cells (10 cells) is the primary cause of the high level of variability observed.

      References

      (1) Nishi K, Sakamaki T, Sadaoka K, Fujii M, Takaori-Kondo A, Chen JY, et al. Identification of the minimum requirements for successful haematopoietic stem cell transplantation. Br J Haematol. 2022;196(3):711–23. 

      (2) Dykstra B, Olthof S, Schreuder J, Ritsema M, Haan G De. Clonal analysis reveals multiple functional defects of aged murine hematopoietic stem cells. J Exp Med. 2011 Dec 19;208(13):2691–703. 

      (3) Yamamoto R, Wilkinson AC, Ooehara J, Lan X, Lai CY, Nakauchi Y, et al. LargeScale Clonal Analysis Resolves Aging of the Mouse Hematopoietic Stem Cell Compartment. Cell Stem Cell [Internet]. 2018;22(4):600-607.e4. Available from: https://doi.org/10.1016/j.stem.2018.03.013

      Comment #3-9: Can the results from Figure 2E be interpreted as Hoxb5+ cells having a myeloid bias? (differences are more obvious/significant in neutrophils and monocytes).

      Response #3-9: Thank you for your insightful comments. Firstly, we have not obtained any data indicating that young LT-HSCs are myeloid biased HSCs so far. Therefore, we classify young LT-HSCs as balanced HSCs1. Secondly, our current data demonstrate no significant difference in differentiation capacity between young and aged LT-HSCs (see Figure 3 in this paper). Based on these findings, we interpret that aged LT-HSCs are balanced HSCs, similar to young LT-HSCs.

      Reference

      (1)  Chen JY, Miyanishi M, Wang SK, Yamazaki S, Sinha R, Kao KS, et al. Hoxb5 marks long-term haematopoietic stem cells and reveals a homogenous perivascular niche. Nature. 2016 Feb 10;530(7589):223–7. 

      Comment #3-10: Is Figure 2G considering all primary recipients or only the ones that were used for secondary transplants? The second option would be a fairer comparison.

      Response #3-10: We appreciate the reviewer's comment on this point. We considered all primary recipients in Figure 2G to ensure a fair comparison, given the influence of various factors such as the radiosensitivity of individual recipient mice1. Comparing only the primary recipients used in the secondary transplantation would result in n = 3 (primary recipient) vs. n = 12 (secondary recipient). Including all primary recipients yields n = 11 vs. n = 12, providing a more balanced comparison. Therefore, we analyzed all primary recipient mice to ensure the reliability of our results.

      Reference

      (1) Duran-Struuck R, Dysko RC. Principles of bone marrow transplantation (BMT): providing optimal veterinary and husbandry care to irradiated mice in BMT studies. J Am Assoc Lab Anim Sci. 2009; 48:11–22

      Comment #3-11: When discussing the transcriptional profile of young and aged HSCs, the authors claim that genes linked to myeloid differentiation remain unchanged in the LT-HSC fraction while there are significant changes in the ST-HSCs. However, 2 out of the 4 genes shown in Figure S4B show ratios higher than 1 in LT-HSCs.

      Response #3-11: Thank you for highlighting this important point. As the reviewer pointed out, when we analyze the expression of myeloid-related genes, some genes are elevated in aged LT-HSCs compared to young LT-HSCs. However, the GSEA analysis using myeloid-related gene sets, which include several hundred genes, shows no significant difference between young and aged LT-HSCs (see Figure S4C in this paper). Furthermore, functional experiments using the co-transplantation system show no difference in differentiation capacity between young and aged LT-HSCs (see Figure 3 in this paper). Based on these results, we conclude that LT-HSCs do not exhibit any change in differentiation capacity with aging.

      Comment #3-12: When determining the lymphoid bias in ST-HSCs, the authors focus on the T-cell subtype, not considering any other any other lymphoid population. Could the authors explain this?

      Response #3-12: We thank the reviewer for this comment. We conducted the experiments in Figure 5 to demonstrate that the hematopoiesis observed 16 weeks post-transplantation—when STHSCs are believed to lose their self-renewal capacity—is not due to de novo production of T cells from ST-HSCs. Instead, it is attributed to long-lived memory cells which can persistently remain in the peripheral blood.

      As noted by the reviewer, various memory cell types are present in peripheral blood. Our analysis focused on memory T cells due to the broad consensus on memory T cell markers1. 

      Our findings show that transplanted Hoxb5- HSCs do not continuously produce lymphoid cells, unlike lymphoid-biased HSCs. Rather, the loss of self-renewal capacity in Hoxb5- HSCs makes the presence of long-lived memory cells in the peripheral blood more apparent.

      Reference

      (1)  Yenyuwadee S, Sanchez-Trincado Lopez JL, Shah R, Rosato PC, Boussiotis VA. The evolving role of tissue-resident memory T cells in infections and cancer. Sci Adv. 2022;8(33). 

      Comment #3-13: Based on the reduced frequency of donor cells in the spleen and thymus, the authors conclude "the process of lymphoid lineage differentiation was impaired in the spleens and thymi of aged mice compared to young mice". An alternative explanation could be that differentiated cells do not successfully migrate from the bone marrow to these secondary lymphoid organs. Please consider this possibility when discussing the data.

      Response #3-13: We strongly appreciate the reviewer's comment on this point. In accordance with the reviewer's comment, we have incorporated this suggestion into our manuscript.

      [P15, L343] These results indicate that the process of lymphoid lineage differentiation is impaired in the spleens and thymi of aged mice compared to young mice, or that differentiating cells in the bone marrow do not successfully migrate into these secondary lymphoid organs. These factors contribute to the enhanced myeloid-biased hematopoiesis in peripheral blood due to a decrease in de novo lymphocyte production.

      Recommendations for the authors:

      Reviewer #2 (Recommendations For The Authors):

      Recommendation #2-1: To support their conclusions the authors need to provide higher n-numbers and provide a detailed power analysis of the transplants in the methods section.

      Response to Recommendation #2-1: Thank you for your important remarks. The power analysis for this experiment shows that power = 0.319, suggesting that more number may be needed. On the other hand, our method for determining the sample size in Figure 3 is as follows:

      (1) First, we checked whether myeloid biased change is detected in the bulk-HSC fraction (Figure S3). The results showed that the difference in myeloid output at 16 weeks after transplantation was statistically significant (young vs. aged = 7.2 ± 8.9 vs. 42.1 ± 35.5%, p = 0.01), even though n = 10.

      (2) Next, myeloid biased HSCs have been reported to be a fraction with high self-renewal ability (2004, Blood). If myeloid biased HSCs increase with aging, the increase in myeloid biased HSCs in LT-HSC fraction would be detected with higher sensitivity than in the bulk-HSC fraction used in Figure S3.

      (3) However, there was no difference not only in p-values but also in the mean itself, young vs aged = 51.4±31.5% vs 47.4±39.0%, p = 0.82, even though n = 8 in Figure 3. Since there was no difference in the mean itself, it is highly likely that no difference will be detected even if n is further increased.

      Regarding Figure S3, 5, 6, S6 and 7, we obtained a statistically significant difference and consider the sample size to be sufficient. 

      Recommendation #2-2: As the authors attempt to challenge the current model of the age-associated expansion of myeloid-biased HSCs (which has been observed and reproduced by many different groups), ideally additional strong evidence in the form of single-cell transplants is provided.

      Response to Recommendation #2-2: Thank you for the comments. As the reviewer pointed out, we hope we could reconfirm our results using single-cell level technology in the future.

      On the other hand, we have reported that the ratio of myeloid to lymphoid cells in the peripheral blood changes when the number of HSCs transplanted, or the number of supporting cells transplanted with HSCs, is varied1-2. Therefore, single-cell transplant data need to be interpreted very carefully to determine differentiation potential.

      From this viewpoint, future experiments will combine the Hoxb5 reporter system with a lineage tracing system that can track HSCs at the single-cell level over time. This approach will investigate changes in the self-renewal capacity of individual HSCs and their subsequent differentiation into progenitor cells and peripheral blood cells. We have reflected this comment by adding the following sentences in the manuscript.

      [P19, L451] In contrast, our findings should be considered in light of some limitations. In this report, we primarily performed ten to twenty transplantation assays. Therefore, the current theory should be revalidated using single-cell technology. This approach will investigate changes in the self-renewal capacity of individual HSCs and their subsequent differentiation into progenitor cells and peripheral blood cells.

      References

      (1) Nishi K, Sakamaki T, Sadaoka K, Fujii M, Takaori-Kondo A, Chen JY, et al. Identification of the minimum requirements for successful haematopoietic stem cell transplantation. Br J Haematol. 2022;196(3):711–23. 

      (2) Sakamaki T, Kao KS, Nishi K, Chen JY, Sadaoka K, Fujii M, et al. Hoxb5 defines the heterogeneity of self-renewal capacity in the hematopoietic stem cell compartment. Biochem Biophys Res Commun [Internet]. 2021;539:34–41. Available from: https://doi.org/10.1016/j.bbrc.2020.12.077

      Minor points:

      Recommendation #2-3: Figure 1: "Comprehensive analysis of hematopoietic alternations with age shows a discrepancy of age-associated changes between peripheral blood and bone marrow"

      [Comment to the authors]: For clarity, the nature of the discrepancy should be stated clearly.

      Response to Recommendation #2-3: Thank you for this important comment. Following the reviewer’s recommendation, we have revised the manuscript as follows

      [P7, L139] Our analysis of hematopoietic alternations with age revealed that age-associated transition patterns of immunophenotypically defined HSC and CMP in BM were not paralleled with myeloid cell in PB (Fig. 1 C).

      Recommendation #2-4: Figure 1B "(B) Average frequency of immunophenotypically defined HSC and progenitor cells in BM of 2-3-month mice (n = 6), 6-month mice (n = 6), 12-13-month mice (n = 6), {greater than or equal to} 23-month mice (n = 7).

      [Comment to the authors]: It should be stated in the figure and legend that the values are normalized to the 2-3-month-old mice.

      Response to Recommendation #2-4: Thank you for this comment. Figure 1B presents the actual measured values of each fraction in c-Kit positive cells in the bone marrow, without any normalization.

      Recommendation #2-5: "We 127 found that the frequency of immunophenotypically defined HSC in BM rapidly increased 128 up to the age of 12 months. After the age, they remained plateaued throughout the 129 observation period (Fig. 1 B)."

      [Comment to the authors]: The evidence for a 'plateau', where HSC numbers don't change after 12 months is weak. It appears that the numbers increase continuously (although less steep) after 12 months. I thus recommend adjusting the wording to better reflect the data.

      Response to Recommendation #2-5: We thank the reviewer for the comments above and have incorporated these suggestions in our revision as follows. 

      [P6, L126] We found that the frequency of immunophenotypically defined HSC in BM rapidly increased up to the age of 12 months. After the age, the rate of increase in their frequency appeared to slow down.

      Recommendation #2-6: Figure 2G: [Comment to the authors]: Please add the required statistics, please check carefully all figures for missing statistical tests.

      Response to Recommendation #2-6: Thank you for these important comments. In response, we have added the results of the significance tests for Figures 1A, 1C, 4C, and S5.

      Recommendation #2-7: "If bulk-HSCs isolated from aged mice are already enriched by myeloid-biased HSC clones, we should see more myeloid-biased phenotypes 16 weeks after primary and the secondary transplantation. However, we found that kinetics of the proportion of myeloid cells in PB were similar across primary and the secondary transplantation and that the proportion of myeloid cells gradually decreased over time (Fig. 2 G). These results suggest the following two possibilities: either myeloid-biased HSCs do not expand in the LT-HSC fraction, or the expansion of myeloid-biased clones in 2-year-old mice has already peaked."

      [Comment to the authors]: Other possible explanations include that the observed reduction in myeloid reconstitution over 16 weeks reflects the time required to return to homeostasis. In other words, it takes time until the blood system approaches a balanced output.

      Response to Recommendation #2-7: We agree with the reviewer's comment. As the reviewer pointed out, the gradual decrease in the proportion of myeloid cells over time is not related to our two hypotheses in this part of the manuscript but rather to the hematopoietic system's process of returning to a homeostatic state after transplantation. Therefore, the original sentence could be misleading, as it is part of the section discussing whether age-associated expansion of myeloid-biased HSCs is observed. Based on the above, we have revised the sentence as follows.

      [P8, L179] However, we found that kinetics of the proportion of myeloid cells in PB were similar across the primary and the secondary transplantation (Fig. 2 G). These results suggest the following two possibilities: either myeloid-biased HSCs do not expand in the LTHSC fraction, or the expansion of myeloid-biased clones in 2-year-old mice has already peaked.

      Recommendation #2-8: It is also important to consider that the transplant results are highly variable (see large standard deviation), therefore the sensitivity to detect smaller but relevant changes is low in the shown experiments. As the statistical analysis of these experiments is missing and the power seems low these results should be interpreted with caution. For instance, it appears that the secondary transplants on average produce more myeloid cells as expected and predicted by the classical clonal expansion model.

      Regarding "expansion of myeloid-biased clones in 2-year-old mice has already peaked". This is what the author suggested above. It might thus not be surprising that HSCs from 2-year-old mice show little to no increased myeloid expansion.

      Response to Recommendation #2-8: Thank you for providing these insights. The primary findings of our study are based on functional experiments presented in Figures 2, 3, 5, 6, and 7. In Figure 3, there was no significant difference between young and aged LT-HSCs, with mean values of 51.4±31.5% and 47.4±39.0%, respectively (p = 0.82). Given the lack of difference in the mean values, it is unlikely that increasing the sample size would reveal a significant change. For ethical reasons, to minimize the use of additional animals, we conclude that LT-HSCs exhibit no change in lineage output throughout life based on the data in Figure 3. Statistically significant differences observed in Figures 2, 5, 6, and 7 further support our conclusions.

      Additionally, because whole bone marrow cells were transplanted in the secondary transplantation, there may be various confounding factors beyond the differentiation potential of HSCs. Therefore, we consider that caution is necessary when evaluating the differentiation capacity of HSCs in the context of the second transplantation.

      Recommendation #2-9: Figure 7C: [Comment to the authors]: The star * indicates with analyzed BM. As stars are typically used as indicators of significance, this can be confusing for the reader. I thus suggest using another symbol.

      Response to Recommendation #2-9: We appreciate the reviewer for this comment and have incorporated the suggestion in the revised manuscript. We have decided to use † instead of the star*.

      Reviewer #3 (Recommendations For The Authors):

      Recommendation #3.1: In Figure 1A, the authors show the frequency of PB lineages (lymphoid vs myeloid) in mice of different ages. It would be great if they could show the same data for each subpopulation including these two main categories individually (granulocytes, monocytes, B cells, T cells...).

      Response to Recommendation #3-1: We thank for this suggestion. We provide the frequency of PB lineages (granulocytes, monocytes, B cells, T cells, and NK cells) in mice of different ages.

      Author response image 5.

      Average frequency of neutrophils, monocytes, B cells, T cells, and NK cells in PB analyzed in Figure 1A. Dots show all individual mice. *P < 0.05. **P < 0.01. Data and error bars represent means ± standard deviation. 

      Recommendation #3.2: It would be great if data from young mice could be shown in parallel to the graphs in Figure 2A.

      Response to Recommendation #3-2: We thank the reviewer for the comments above and have incorporated these suggestions in Figure 2A. 

      [P34, L916] (A) Hoxb5 reporter expression in bulk-HSC, MPP, Flk2+, and Lin-Sca1-c-Kit+ populations in the 2-year-old Hoxb5-tri-mCherry mice (Upper panel) and 3-month-old Hoxb5_tri-mCherry mice (Lower panel). Values indicate the percentage of mCherry+ cells ± standard deviation in each fraction (_n = 3). 

      Recommendation #3.3: Do the authors have any explanation for the high level of variability within the recipients of Hoxb5+ cells in Figure 2C?

      Response to Recommendation #3-3: Thank you for providing these insights. As noted in our previous report, transplantation of a sufficient number of HSCs results in stable donor chimerism, whereas a small number of HSCs leads to increased variability in donor chimerism1. Additionally, other studies have observed high variability when fewer than 10 HSCs are transplanted2-3. Based on this evidence, we consider that the transplantation of a small number of cells (10 cells) is the primary cause of the high level of variability observed.

      References

      (1) Nishi K, Sakamaki T, Sadaoka K, Fujii M, Takaori-Kondo A, Chen JY, et al. Identification of the minimum requirements for successful haematopoietic stem cell transplantation. Br J Haematol. 2022;196(3):711–23. 

      (2) Dykstra B, Olthof S, Schreuder J, Ritsema M, Haan G De. Clonal analysis reveals multiple functional defects of aged murine hematopoietic stem cells. J Exp Med. 2011 Dec 19;208(13):2691–703. 

      (3) Yamamoto R, Wilkinson AC, Ooehara J, Lan X, Lai CY, Nakauchi Y, et al. LargeScale Clonal Analysis Resolves Aging of the Mouse Hematopoietic Stem Cell Compartment. Cell Stem Cell [Internet]. 2018;22(4):600-607.e4. Available from: https://doi.org/10.1016/j.stem.2018.03.013

      Recommendation #3.4: Are the differences in Figure 3D statistically significant? If yes, please add statistics. Same for Figure 4C.

      Response to Recommendation #3-4: Thank you for providing these insights. For Figure 3D, we performed an ANOVA analysis for each fraction; however, the results were not statistically significant. In contrast, for Figure 4C, we have added the results of significance tests for comparisons between Young LT-HSC vs. Young Bulk-HSC.

      Recommendation #3.5: As a general comment, although the results in this study are interesting, the use of a Hoxb5 lineage tracing mouse model would be more valuable for this purpose than the Hoxb5 reporter used here. The lineage tracing model would allow for the assessment of lineage bias without the caveats introduced by the transplantation assays.

      Response to Recommendation #3-5: We appreciate the reviewer for the important comments. Following the reviewer’s recommendation, we have revised the manuscript as follows

      [P19, L451] In contrast, our findings should be considered in light of some limitations. In this report, we primarily performed ten to twenty transplantation assays. Therefore, the current theory should be revalidated using single-cell technology with lineage tracing system1-2. This approach will investigate changes in the self-renewal capacity of individual HSCs and their subsequent differentiation into progenitor cells and peripheral blood cells. 

      References

      (1) Yamamoto R, Wilkinson AC, Ooehara J, Lan X, Lai CY, Nakauchi Y, et al. LargeScale Clonal Analysis Resolves Aging of the Mouse Hematopoietic Stem Cell Compartment. Cell Stem Cell [Internet]. 2018;22(4):600-607.e4. Available from: https://doi.org/10.1016/j.stem.2018.03.013

      (2) Rodriguez-Fraticelli AE, Weinreb C, Wang SW, Migueles RP, Jankovic M, Usart M, et al. Single-cell lineage tracing unveils a role for TCF15 in haematopoiesis. Nature [Internet]. 2020;583(7817):585–9. Available from: http://dx.doi.org/10.1038/s41586-020-2503-6

    1. Author response:

      The following is the authors’ response to the original reviews.

      We would like to thank the reviewers and editors for their careful assessment and review of our article. The many detailed comments, questions and suggestions were very helpful in improving our analyses and presentation of data. In particular, our Discussion benefited enormously from the comments. 

      Below we respond in detail to every point raised. 

      We especially note that Reviewer #3’s small query on “trial where learning is defined to have occurred, we were not given the quantitative criterion operationalizing "learning" - please provide” led to deeper analyses and insights and a lengthy response.

      This analysis prompted the addition of a sentence (red) to the Abstract. 

      “Animals navigate by learning the spatial layout of their environment. We investigated spatial learning of mice in an open maze where food was hidden in one of a hundred holes. Mice leaving from a stable entrance learned to efficiently navigate to the food without the need for landmarks. We developed a quantitative framework to reveal how the mice estimate the food location based on analyses of trajectories and active hole checks. After learning, the computed “target estimation vector” (TEV) closely approximated the mice’s route and its hole check distribution. The TEV required learning both the direction and distance of the start to food vector, and our data suggests that different learning dynamics underlie these estimates. We propose that the TEV can be precisely connected to the properties of hippocampal place cells. Finally, we provide the first demonstration that, after learning the location of two food sites, the mice took a shortcut between the sites, demonstrating that they had generated a cognitive map. ”

      Note: we added, at the end of the manuscript, the legends for the Shortcut video (Video 1) and the main text figure legends; these are with a larger font and so easier to read. 

      Reviewer #1 (Public Review):

      Assessment:

      This important work advances our understanding of navigation and path integration in mammals by using a clever behavioral paradigm. The paper provides compelling evidence that mice are able to create and use a cognitive map to find "short cuts" in an environment, using only the location of rewards relative to the point of entry to the environment and path integration, and need not rely on visual landmarks.

      Thank you.

      Summary:

      The authors have designed a novel experimental apparatus called the 'Hidden Food Maze (HFM)' and a beautiful suite of behavioral experiments using this apparatus to investigate the interplay between allothetic and idiothetic cues in navigation. The results presented provide a clear demonstration of the central claim of the paper, namely that mice only need a fixed start location and path integration to develop a cognitive map. The experiments and analyses conducted to test the main claim of the paper -- that the animals have formed a cognitive map -- are conclusive. While I think the results are quite interesting and sound, one issue that needs to be addressed is the framing of how landmarks are used (or not), as discussed below, although I believe this will be a straightforward issue for the authors to address.

      We have now added detailed discussion on this important point. See below.

      Strengths:

      The 90-degree rotationally symmetric design and use of 4 distal landmarks and 4 quadrants with their corresponding rotationally equivalent locations (REL) lends itself to teasing apart the influence of path integration and landmark-based navigation in a clever way. The authors use a really complete set of experiments and associated controls to show that mice can use a start location and path integration to develop a cognitive map and generate shortcut routes to new locations.

      Weaknesses:

      I have two comments. The second comment is perhaps major and would require rephrasing multiple sentences/paragraphs throughout the paper.

      (1) The data clearly indicate that in the hidden food maze (HFM) task mice did not use external visual "cue cards" to navigate, as this is clearly shown in the errors mice make when they start trials from a different start location when trained in the static entrance condition. The absence of visual landmark-guided behavior is indeed surprising, given the previous literature showing the use of distal landmarks to navigate and neural correlates of visual landmarks in hippocampal formation. While the authors briefly mention that the mice might not be using distal landmarks because of their pretraining procedure - I think it is worth highlighting this point (about the importance of landmark stability and citing relevant papers) and elaborating on it in greater detail. It is very likely that mice do not use the distal visual landmarks in this task because the pretraining of animals leads to them not identifying them as stable landmarks. For example, if they thought that each time they were introduced to the arena, it was "through the same door", then the landmarks would appear to be in arbitrary locations compared to the last time. In the same way, we as humans wouldn't use clouds or the location of people or other animate objects as trusted navigational beacons. In addition, the animals are introduced to the environment without any extra-maze landmarks that could help them resolve this ambiguity. Previous work (and what we see in our dome experiments) has shown that in environments with 'unreliable' landmarks, place cells are not controlled by landmarks - https://www.sciencedirect.com/science/article/pii/S0028390898000537, https://pubmed.ncbi.nlm.nih.gov/7891125/. This makes it likely that the absence of these distal visual landmarks when the animal first entered the maze ensured that the animal does not 'trust' these visual features as landmarks.

      Thank you. We have added many references and discussion exactly on this point including both direct behavioral experiments as well as discussion on the effects of landmark (in)stability of place cell encoding of “place”.  See Page 18 third paragraph.

      “An alternate factor might be the lack of reliability of distal spatial cues in predicting the food location. The mice, during pretraining trials, learned to find multiple food locations without landmarks. In the random trials, the continuous change of relative landmark location may lead the mice to not identifying them as “stable landmarks”. This view is supported by behavioral experiments that showed the importance of landmark stability for spatial learning (32-34) and that place cells are not controlled by “unreliable landmarks” (35-38). Control experiments without landmarks (Fig. S6A,B) or in the dark (Fig. S6C-F) confirmed that the mice did not need landmarks for spatial learning of the food location.”

      (2) I don't agree with the statement that 'Exogenous cues are not required for learning the food location'. There are many cues that the animal is likely using to help reduce errors in path integration. For example, the start location of the rat could act as a landmark/exogenous cue in the sense of partially correcting path integration errors. The maze has four identical entrances (90-degree rotationally symmetric). Despite this, it is entirely plausible that the animal can correct path integration errors by identifying the correct start entrance for a given trial, and indeed the distance/bearing to the others would also help triangulate one's location. Further, the overall arena geometry could help reduce PI error. For example, with a food source learned to be "near the middle" of the arena, the animal would surely not estimate the position to be near the far wall (and an interesting follow-on experiment would be to have two different-sized, but otherwise nearly identical arenas). As the rat travels away from the start location, small path integration errors are bound to accumulate, these errors could be at least partially corrected based on entrance and distal wall locations. If this process of periodically checking the location of the entrance to correct path integration errors is done every few seconds, path integration would be aided 'exogenously' to build a cognitive map. While the original claim of the paper still stands, i.e. mice can learn the location of a hidden food size when their starting point in the environment remains constant across trials. I would advise rewording portions of the paper, including the discussion throughout the paper that states claims such as "Exogenous cues are not required for learning the food location" to account for the possibility that the start and the overall arena geometry could be used as helpful exogenous cues to correct for path integration errors.

      We agree with the referee that our claim was ill-phrased. Surely the behavior of the mouse must be constrained by the arena size to some extent. To minimize potential geometric cues from the arena, we carefully analyzed many preliminary experiments (each with a unique batch of 4 mice) having the target positioned at different locations. We added a paragraph to the section “Further controls” where we explain our choice for the target position. Page 12 last paragraph; Page 13 “Arena geometry” paragraph.

      Also, following the suggestion from the reviewer, we probed whether the hole checks accumulated near the center of the arena for the random entrance mice, as a potential sign that some spatial learning is going on. In fact, neither the density of hole checks, nor the distance of the hole checks to the center of the arena change with learning: panel A below shows the probability density of finding a hole check at a given distance from the center of the arena; both trial 1 and trial 14 have very similar profiles. Panel B shows the density of hole checks near (<20cm) and far (>20cm) from the arena’s center.

      Author response image 1.

      It also doesn’t show any significant differences between trials 1 and 14.

      So even though there’s some trend (in panel A, the peak goes from 60cm to a double peak, one at 30cm away from the center, and the other still at 60cm), the distance from the center is still way too large compared to the mouse’s body size and to the average inter-hole distance (<10cm). These panels are now in the Supplementary Figure S8B.

      Finally, we enhanced the wording in our claim. We now have a new section entitled: “What cues are required for learning the food location?”. There, we systematically cover all possible cues and how they might be affected by their stability under the perturbation of maze floor rotation. 

      Reviewer #2 (Public Review):

      Summary:

      This manuscript reports interesting findings about the navigational behavior of mice. The authors have dissected this behavior in various components using a sophisticated behavioral maze and statistical analysis of the data.

      Strengths:

      The results are solid and they support the main conclusions, which will be of considerable value to many scientists.

      Thank you.

      Weaknesses:

      Figure 1: In some trials the mice seem to be doing thigmotaxis, walking along the perimeter of the maze. This is perhaps due to the fear of the open arena. But, these paths along the perimeter would significantly influence all metrics of navigation, e.g. the distance or time to reward.

      Perhaps analysis can be done that treats such behavior separately and the factors it out from the paths that are away from the perimeter.

      In Page 4, we added a small section entitled: “Pretraining trials”. Our reference was suggested by Reviewer #3 (noted as “Golani” with first author “Fonio”). Our preliminary experiments used naïve mice and they typically took greater than 2 days before they ventured into the arena center and found the single filled hole. This added unacceptable delays and the Pretraining trials greatly diminished the extensive thigmotaxis (not quantified). The “near the walls” trajectories did continue in the first learning trial (Fig. 2A, 3A) but then diminished in subsequent trials. We found no evidence that thigmotaxis (trajectories adjacent to the wall) were a separate category of trajectory. 

      Figure 1c: the color axis seems unusual. Red colors indicate less frequently visited regions (less than 25%) and white corresponds to more frequently visited places (>25%)? Why use such a binary measure instead of a graded map as commonly done?

      Thank you; you are completely correct. We have completely changed the color coding. 

      Some figures use linear scale and others use logarithmic scale. Is there a scientific justification? For example, average latency is on a log scale and average speed is on a linear scale, but both quantify the same behavior. The y-axis in panel 1-I is much wider than the data. Is there a reason for this? Or can the authors zoom into the y-axis so that the reader can discern any pattern?

      We use logarithmic scale with the purpose of displaying variables that have a wide range of variation (mainly, distance, latency, and number of hole checks, since it linearly and positively correlates with both distance and latency – see new Fig. S4B,C). For example, Latency goes from hundreds of seconds (trial 1) to just a few seconds (trial 14). Similarly, the total distance goes from hundreds of centimeters (trial 1, sometimes more than 1000cm, see answer about the 10-fold variation of distance below) to just the start-target distance (which is ~100cm). These variables vary over a few orders of magnitude. We display speed in a linear axis because it does not increase for more than one order of magnitude.

      Moreover, fitting the wide-ranged data (distance, latency, nchecks) yields smaller error in logscale [i.e., fitting log(y) vs. trial, instead of y vs. trial]. In these cases, the log-scale also helps visualizing how well the data was fitted by the curve. Thus, presenting wide-ranged data in linear scale could be misleading regarding goodness of fit.

      We now zoomed into the Y axis scale in Panels I of Fig. 2 and Fig. 3. We kept it in log-scale, but linear Y scale produces Author response image 2 for Figs. 3I and 2I, respectively.

      Author response image 2.

      Thus, we believe that the loglog-scale in these panels won’t compromise the interpretation of the phenomenon. In fact, the loglog of the static case suggests that the probability of hole checking distance increases according to a power law as the mouse approaches the target (however, we did not check this thoroughly, so we did not include this point in the discussion). Power law behavior is observed in other animals (e.g, ants: DOI: 10.1371/journal.pone.0009621) and is sometimes associated with a stochastic process with memory.

      1F shows no significant reduction in distance to reward. Does that mean there is no improvement with experience and all the improvement in the latency is due to increasing running speed with experience?

      Correct and in the section “Random Entrance experiments” under “Results” (Page 5) we explicitly note this point.

      “We hypothesize that the mice did not significantly reduce their distance travelled (Fig. 2A,B,F) because they had not learned the food location - the decrease in latency (Fig. 2D) was due to its increased running speed and familiarity with non-spatial task parameters.”

      Figure 3: The distance traveled was reduced by nearly 10-fold and speed increased by by about 3fold. So, the time to reach the reward should decrease by only 3 fold (t=d/v) but that too reduced by 10fold. How does one reconcile the 3fold difference between the expected and observed values?

      The traveled distance is obtained by linearly interpolating the sampled trajectory points. In other words, the software samples a discrete set of positions, for each recorded instant 𝑡. The total distance is 

      where is the Euclidean distance between two consecutively sampled points. However, the same result (within a fraction of cm error) can be obtained by integrating the sampled speed over time 𝑣! using the Simpson method

      Since Latency varies by 10-fold, it is just expected that, given 𝑑 = 𝑣𝑡, the total distance will also vary by 10-fold (since 𝑣 is constant in each time interval Δ𝑡; replacing 𝑣! in the integral yields the discrete sum above).

      The correctness of our kinetic measurements can be simply verified by multiplying the data from the Latency panel with the data from the Velocity panel. If this results in the Distance plot, then there is no discrepancy. 

      In Author response image 3, we show the actual measured distance, 𝑑_total_, for both conditions (random and static entrance), calculated with the discrete sum above (black filled circles). 

      Author response image 3.

      We compare this with two quantities: (a) average speed multiplied by average latency (red squares); and (b) average of the product of speed by latency (blue inverted triangles). The averages are taken over mice. Notice that if the multiplication is taken before the average (as it should be done), then the product 〈𝑣𝑡〉45*( is indistinguishable from the total distance obtained by linear interpolation. Even taking the averages prior to the multiplication (which is physically incorrect, since speed and latency and properties of each individual mouse), yields almost exactly the same result (well within 1 standard deviation).

      The only thing to keep in mind here is that the Distance panel in the paper presents the normalized distance according to the target distance to the starting point. This is necessary because in the random entrance experiments, each mouse can go to 1 of 4 possible targets (each of which has a different distance to the starting point).

      Figure 4: The reader is confused about the use of a binary color scheme here for the checking behavior: gray for a large amount of checking, and pink for small. But, there is a large ellipse that is gray and there are smaller circles that are also gray, but these two gray areas mean very different things as far as the reader can tell. Is that so? Why not show the entire graded colormap of checking probability instead of such a seemingly arbitrary binary depiction?

      Thank you. Our coloring scheme was indeed poorly thought out and we have changed it. Hopefully the reviewer now finds it easier to interpret. The frequency of hole checks is now encoded into only filled circles of varying sizes and shades of pink. Small empty circles represent the arena holes (empty because they have no food); The large transparent gray ellipse is the variance of the unrestricted spatial distribution of hole checks.

      Figure 4C: What would explain the large amount of checking behavior at the perimeter? Does that occur predominantly during thigmotaxis?

      Yes. As mentioned above, thigmotaxis still occurs in the first trial of training. The point to note is that the hole checking shown in Fig. 4C is over all the mice so that, per mice, it does not appear so overwhelming. 

      Was there a correlation between the amount of time spent by the animals in a part of the maze and the amount of reward checking? Previous studies have shown that the two behaviors are often positively correlated, e.g. reference 20 in the manuscript. How does this fit with the path integration hypothesis?

      We thank the reviewer for pointing this out. Indeed, the time spent searching & the hole checking behavior are correlated. We added a new panel C to Fig. S4 showing a raw correlation plot between Latency and number of checks. 

      Also, in the last paragraph of the “Revealing the mouse estimate of target position from behavior” section under “Results”), we now added a sentence relating the findings in Fig. 4H and 4K (spatial distribution of hole checks, and density of checks near the target, respectively) to note that these findings are in agreement with Fig 3C (time spent searching in each quadrant).

      “The mean position of hole checks near (20cm) the target is interpreted as the mouse estimated target (Fig. 4C,D,G,H; green + sign=mean position; green ellipses = covariance of spatial hole check distribution restricted to 20cm near the target). This finding together with the displacement and spatial hole check maps (Figs. 4F and 4H, respectively) corroborates the heatmap of time spent in the target quadrant (Fig. 3C), suggesting a positive correlation between hole checks and time searching (see also Fig. S4C).”

      "Scratches and odor trails were eliminated by washing and rotating the maze floor between trials." Can one eliminate scratches by just washing the maze floor? Rotation of the maze floor between trials can make these cues unreliable or variable but will not eliminate them. Ditto for odor cues.

      The upper arena floor is rotated between trials so that any scratches will not be stable cues. We clarified this in the Discussion about potential cues. 

      See “What cues are required for learning the food location?”

      "Possible odor gradient cues were eliminated by experiments where such gradients were prevented with vacuum fans (Fig. S6E)" What tests were done to ensure that these were *eliminated* versus just diminished?

      "Probe trials of fully trained mice resulted in trajectories and initial hole checking identical to that of regular trials thereby demonstrating that local odor cues are not essential for spatial learning." As far as the reader can tell, probe trials only eliminated the food odor cues but did not eliminate all other odors. If so, this conclusion can be modified accordingly.

      We were most worried about odor cues guiding the mice and as now described at great length, we tried to mitigate this problem in many ways. As the reviewer notes, it is not possible to have absolute certainty that there are no odor cues remaining. The most difficult odor to eliminate was the potential odor gradient emanating from the mouse’s home cage. However, the 2 vacuum fans per cage were very powerful in first evacuating the cage air (150x in 5 minutes) and then drawing air from the arena, through the cage and out its top for the duration of each trial. We believe that we did at least vastly reduce any odor cues and perhaps completely eliminated them.

      The interpretation of direction selectivity is a bit tricky. At different places in this manuscript, this is interpreted as a path integration signal that encodes goal location, including the Consync cells. However, studies show that (e.g. Acharya et al. 2016) direction selectivity in virtual reality is comparable to that during natural mazes, despite large differences in vestibular cues and spatial selectivity. How would one reconcile these observations with path integration interpretation?

      Thank you. We had not been serious enough in considering the VR studies and their implications for optic flow as a cue for spatial learning. We now have a section (Optic flow cues) in the Discussion that acknowledges the potential role of such cues in spatial learning in our maze. 

      However, spatial learning in our maze can also occur in the dark. The next small section (Vestibular and proprioceptive cues) addresses this point. We cannot be certain about the precise cues used by the mouse to effectively learn to locate food in our maze, but it will take further behavioral and electrophysiological studies to go deeper into these questions. 

      An extended discussion is found in the sections entitled “What cues are required for learning the food location” and “A fixed start location and self-motion cues are required for spatial learning”.  We may have missed some references or ideas regarding VR maze learning with optic flow signals – the Acharya et al reference was an excellent starting point, and we would be grateful for additional pointers that would improve our discussion of this point.

      The manuscript would be improved if the speculations about place cells, grid cells, BTSP, etc. were pared down. I could easily imagine the outcome of these speculations to go the other way and some claims are not supported by data. "We note that the cited experiments were done with virtual movement constrained to 1D and in the presence of landmarks. It remains to be shown whether similar results are obtained in our unconstrained 2D maze and with only self-motion cues available." There are many studies that have measured the evolution of place cells in non- virtual mazes, look up papers from the 1990s. Reference 43 reports such results in a 2D virtual maze.

      We understand the reviewer’s concerns with the length of the manuscript. However, both the first and third reviewer did find this extensive section useful. We did not add the many papers on the evolution of place fields in real world mazes simply to prevent even greater expansion of the discussion, but relied on the very thorough review of Knierim and Hamilton instead. 

      Reviewer #3 (Public Review):

      Summary:

      How is it that animals find learned food locations in their daily life? Do they use landmarks to home in on these learned locations or do they learn a path based on self-motion (turn left, take ten steps forward, turn right, etc.). This study carefully examines this question in a well-designed behavioral apparatus. A key finding is that to support the observed behavior in the hidden food arena, mice appear to not use the distal cues that are present in the environment for performing this task. Removal of such cues did not change the learning rate, for example. In a clever analysis of whether the resulting cognitive map based on self-motion cues could allow a mouse to take a shortcut, it was found that indeed they are. The work nicely shows the evolution of the rodent's learning of the task, and the role of active sensing in the targeted reduction of uncertainty of food location proximal to its expected location.

      Strengths:

      A convincing demonstration that mice can synthesize a cognitive map for the finding of a static reward using body frame-based cues. This shows that the uncertainty of the final target location is resolved by an active sensing process of probing holes proximal to the expected location. Showing that changing the position of entry into the arena rotates the anticipated location of the reward in a manner consistent with failure to use distal cues.

      Thank you.

      Weaknesses:

      The task is low stakes, and thus the failure to use distal cues at most costs the animal a delay in finding the food; this delay is likely unimportant to the animal. Thus, it is unclear whether this result would generalize to a situation where the animal may be under some time pressure, urgency due to food (or water) restriction, or due to predatory threat. In such cases, the use of distal cues to make locating the reward robust to changing start locations may be more likely to be observed.

      We have added “Combining trajectory direction and hole check locations yields a Target Estimation Vector” a section summarizing our main hypotheses and this section includes noting exactly this point + including the reference to the excellent MacIver paper on “robot aggression”.

      The main point here follows the Knierim and Hamilton review and assumes that learning “heading direction” and “distance from start to food” require different cues and extraction mechanisms.  “Here we follow a review by Knierim and Hamilton (12) suggesting independent mechanisms for extraction of target direction versus target distance information. Averaging across trajectories gave a mean displacement direction, an estimate of the average heading direction as the mouse ran from start to food. The heading direction must be continuously updated as the mice runs towards the food, given that the mean displacement direction remains straight despite the variation across individual trajectories. Heading direction might be extracted from optic flow and/or vestibular system and be encoded by head direction cells. However, the distance from home to food is not encoded by head direction signals.”

      And

      “We hypothesize that path integration over trajectories is used to estimate the distance from start to food. The stimuli used for integration might include proprioception or acceleration (vestibular) signals as neither depends on visual input. Our conclusion is in accord with a literature survey that concluded that the distance of a target from a start location was based on path integration and separate from the coding of target heading direction (12). Our “in the dark” experiments reveal the minimal stimuli required for spatial learning – an anchoring starting point and directional information based on vestibular and perhaps proprioceptive signals. This view is in accord with recent studies using VR (47, 48). Under more naturalistic conditions, animals have many additional cues available that can be used for flexible control of navigation under time or predation pressure (51).”.

      Furthermore, we added panel G do Fig S4, where we show the evolution of the heading angle along the trajectory, plotted as a function of the trials. We see that the mouse only steer towards the target in the last segment of the trajectory, consistent with having the head direction being continuously updated along the path to the food.

      Recommendations for the authors:

      Reviewing Editor (Recommendations For The Authors):

      All three reviewers agreed during the consultation that the context in which distal cues are described in the manuscript would benefit significantly from refinement. The distal cues may be made completely useless from an ethological perspective e.g. if they are seen as "moving" relative to the entrance point (i.e. if the animal were to think it were entering the same location), then the cues would appear as unstable in the random entrance. As such, they may be so unlike natural experiences as to be potentially confusing to the animal. Moreover, as reported in some of the reviews, the animals may be using the entrances and boundaries as cues to help refine path integration. The results are still very interesting, but more refinement in the text on the interpretation of cues would greatly improve the manuscript. Thus, we recommend that you revise your manuscript to address the reviews.

      Thank you. We agree with this recommendation of the reviewers have greatly expanded our discussion on cue stability as already indicated above. 

      Should you choose to revise your manuscript, pleasse ensure the manuscript include full statistical reporting including exact p-values wherever possible alongside the summary statistics (test statistic and df) and 95% confidence intervals. These should be reported for all key questions and not only when the p-value is less than 0.05.

      Done

      Lastly, I want to personally apologize for the long delay in editing this manuscript. All three reviews were unfortunately quite delayed, including my own review. I want to thank you for submitting your work to eLife and hope that we can be more efficient in editing your work in the future.

      It was a long review process, but we also appreciate that our article was dense and difficult to read. We tried to be comprehensive in our controls and analyses and we appreciate the considerable effort it must have taken to carefully review our paper.

      Reviewer #3 (Recommendations For The Authors):

      I quite enjoyed this paper and have some suggestions for further improvement.

      First, while I appreciate that the format of the journal has Methods at the end, there are some key details that need to be moved forward in the study for proper appreciation of the results. These include:

      (1) Location and size of distal cues.

      Done

      (2) Use of floor washing between mice.  

      Done

      (3) Use of food across the subfloor to provide some masking of the location of the food reward.

      Done

      (4) A scale bar on one of the early figures showing the apparatus would be beneficial.

      Done for Figure 1 where we also provide arena diameter and area.

      (5) Motivational state of the mouse with respect to the food reward (in this case, not food restricted, correct?).

      Done

      Although we are told the trial where learning is defined to have occurred, we were not given the quantitative criterion operationalizing "learning" - please provide (unless I missed it!).

      Thank you.  This question turned out to be of importance and led to more detailed analyses and related Discussion. We therefore answer in depth.

      We now realize that learning the distance to food versus learning the direction to food must be analyzed separately.

      On Page 5 second paragraph we provide a definition of “learning distance to food”.

      “Fitting the function dtotal \= B*exp(-Trial/K) reveals the characteristic timescale of learning, K, in trial units (Fig. 2F). We obtained K= 26±24 giving a coefficient of variation (CV) of 0.92. The mean, K=26, is therefore very uncertain and far greater than the actual number of trials. Thus, we hypothesize that the mice did not significantly reduce their distance travelled (Fig. 2A,B,F) because they had not learned the food location – the decrease in latency (Fig. 2D) was due to its increased running speed and familiarity with non-spatial task parameters. ”

      On Page 7 second paragraph the same analysis gives:

      “Now the fitting of the function dtotal\=B exp(-Trial/K) yielded K\=5.6±0.5 with a CV = 0.08; the mean is therefore a reliable estimate of total distance travelled. We interpret this to indicate that it takes a minimum number of K= 6 trials for learning the distance to the target (see also Fig. S4D,E,F,G).

      Learning is still not complete because it takes 14 trials before the trajectories become near optimal.”

      Learning of distance to food is evident by Trial 6 but is not complete.

      On Page 9 third paragraph we give a very precise answer to time taken to learn the direction from start to food. This was already very clear from Fig. 4I but we had missed the significance of this result. 

      “We compared the deviation between the TEV and the true target vector (that points from start directly to the food hole; Fig. 4I). While the random entrance mice had a persistent deviation between TEV and target of more than 70o, the static entrance mice were able to learn the direction of the target almost perfectly by trial 6 (TEV-target deviation in first trial mean±SD = 57.27o ± 41.61o; last trial mean±SD = 5.16o ± 0.20o; P=0.0166). A minimum of 6 trials is sufficient for learning both the direction and distance to food (Fig. 4I) (Fig. 3F) (see Discussion). The kinetics of learning direction to food are clearly different from learning distance to food since the direction to food remains stable after Trial 6 while the distance to food continues to approach the optimal value.”

      Learning the direction from start to food is completely learned by Trial 6. 

      These analyses led to an addition to the Discussion on Page 20 (following the Heading).

      “Here we follow a review by Knierim and Hamilton (12) that hypothesized independent mechanisms for extraction of target direction versus target distance information. Our data strongly supports their hypothesis. Target direction is nearly perfectly estimated at trial 6 (Fig. 4I and Results). The deviation of the TEV from the start to food vector is rapidly reduced to its minimal value (5.16o) and with minimal variability (SD=0.20o). Learning the distance from start to food is also evident at trial 6 but only reaches an asymptotic near optimal value at trial 14 (Fig. 3F). The learning dynamics are therefore very different for target direction versus target distance. As noted below, the food direction is likely estimated from the activity of head direction cells. The neural mechanisms by which distance from start to food is estimated are not known (but see (49)).”

      We believe that this small addition summarizes the complicated answer to the reviewer’s question and is helpful in better connecting the Knierim and Hamilton paper to our data. However, if the reviewers and editors feel that we have gone too far or that this discussion is not clear, we can remove or alter the extra sentences as per any comments. 

      Reference #49 is to a review paper on spatial learning in weakly electric fish in the dark (https://doi.org/10.1016/j.conb.2021.07.002). The review summarizes data on a neural “time stamp” mechanism for estimating distance from start to food. In this review article, we explicitly hypothesized that rodents might utilize such a time stamp mechanism for finding food. We did not include this in the discussion because it was too distracting and would likely confuse readers but put in the reference in case some readers did want to access the “time stamp” hypothesis for spatial learning in the dark. 

      Second, the discussion was thoughtful and rich. I particularly enjoyed the segment describing the likely computations of the hippocampus. There are a few thoughts I have for the authors to think about that might be useful to potentially add to the discussion:

      "The remaining one, mouse 34, went from B to the start location and then, to A."

      This out-and-back pattern has been seen in the literature, such as multiple papers by Golani (here's one: https://www.pnas.org/doi/full/10.1073/pnas.0812513106). Would the authors speculate, given their suggested algorithm, what the significance of out and back may be? Is there something about the cell's encoding of direction and distance that requires a return to the start location, and would this be different if representation is based on self-motion versus based on distal cues in an allocentric representation?

      We do discuss this for pretraining trials but have no idea what this mouse is doing in this case.

      In a low-stakes task environment, for an animal that has a low acuity visual system, where the penalty for not using distal cues is at most some additional (likely enriching in itself to these mice who live a fairly unenriched life in small cages) search/learning/exploration time, perhaps it is not so surprising that body-frame cues are used. Considering the ethology of the animal, if it had multiple exits of an underground burrow, it might need to use distal cues to avoid confusion. The scenario you provide to the animal is essentially a deceptive one where it has no way of telling it is coming out to the arena from a different burrow hole, modulo some small landmarks on an otherwise uniform cylinder of space. This might be asking too much of an animal where the space it would enter normally would not be a uniform cylinder.

      What happens with a higher-stakes case? This is clearly a different study, but you may find some recent work with a mobile predatory robot of interest (https://www.sciencedirect.com/science/article/pii/S2211124723016820). Visual cues are crucial in the avoidance of threats in this case. Re-routing, as shown by multiple videos of that study, is after a brief pause, and seemingly takes into account the likely future position of the threat.

      Done. A fascinating paper that illustrates the unexpected “high level” behavior a rodent is capable of when placed in more naturalistic situations. I think our “two food location” experiments are along the same direction – unexpected rich behavior when the mouse are challenged.

      Connected to the low-stakes vs high-stakes point, it might be nice for the paper to discuss situations in which cognitive-map-based spatial problem solutions make sense versus not.

      Here is an example of such a discussion, around page 496:

      https://www.dropbox.com/scl/fi/ayoo5w4jgnkblgfu7mpad/MacI09a_situated_cog.pdf?

      rlkey=2qhh89ii7jbkavt6ivevarvdk&dl=0.

      Right a very relevant discussion by MacIver. However, when I tried to write it in it took nearly half a page of dense writing to connect to the themes of our article. I figured that the already long discussion will try the patience of most readers and so decided to not include this extra discussion.

      Minor points/ queries

      Why the increase in sample density at about the 1/4 radius of arena distance? Static, trial 14, Figure 3I, shown also maybe Figure 4 H.

      We were also puzzled when this occurred but have no explanation. And there are, in our figures, many other examples of the mice hole checking near their exit site. See next answer.

      Why was the hole proximal to start so often probed in 7B?

      We were also puzzled when this occurred but have no explanation.

      Check Video 1 to exactly see this behavior. The mouse exits its home and immediately checks a nearby hole. It proceeds to Site B (empty) and then Site A (empty) with many hole checks along the way. After leaving Site A, the mouse proceeds to the wall located far from an entrance and does another hole check. The near the wall holes that are checked are in no way remarkable: a) they have never contained food; b) they are rotated between trials, and we wash the floor carefully, so they do not “smell” any particular hole; c) the food on the lower level floor is in no way “clumped” under that hole, etc.

      We have discussed this phenomenon quite a lot and LM was able to come up with only one hypothesis for this behavior. In analogy to the electric fish work (responses of diencephalic neurons to “leaving or encountering a landmark”), the “near the entrance” hole check might be an active sensing probe to “time stamp” the exit from home while finding food would “time stamp” the end of a successful trajectory. Path integration between time stamps would then provide the estimate for time/distance from start to food – exactly our hypothesis for weakly electric fish spatial learning in the dark. This hypothesis is exceedingly speculative and so we do not want to include it.  

      Normally I would cite a line number. Since I do not see line numbers, I will leave it to you to do a search:

      "A than the expected by chance" -> "than expected"

      Done. I apologize for the lack of line numbers. I have, so far, been unable to get Word to confine line numbers to selected text and not run over onto the Figure Legends. I have put in page numbers and hope this helps.

      RW, VR, MWM, etc - please expand the acronym on first use.

      Done

      It might be interesting to see differences in demand/reliance on active sensing in the individuals who learn the task less well than the animals who learn the task well. If the point is to expunge uncertainty, then does the need for such expunging increase with the poverty of internal representation resolution / fewer decimal places on the internal TEV calculation?

      We do have variation in the mice learning time but the numbers are not sufficient for this interesting extension. This is just one of many follow up studies we hope to carry out.

    1. Author response:

      The following is the authors’ response to the original reviews

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      The crystal structure of the Sld3CBD-Cdc45 complex presented by Li et al. is a novel contribution that significantly advances our understanding of CMG formation during the rate-limiting step of DNA replication initiation. This structure provides insights into the intermediate steps of CMG formation. The study builds upon previously known structures of Sld3 and Cdc45 and offers new perspectives into how Cdc45 is loaded onto MCM DH through Sld3-Sld7. The most notable finding is the structural difference in Sld3CBD when bound to Cdc45, particularly the arrangement of the α8-helix, which is essential for Cdc45 binding and may also pertain to its metazoan counterpart, Treslin. Additionally, the conformational shift in the DHHA1 domain of Cdc45 suggests a possible mechanism for its binding to MCM2NTD.

      Strengths:

      The manuscript is generally well-written, with a precise structural analysis and a solid methodological section that will significantly advance future studies in the field. The predictions based on structural alignments are intriguing and provide a new direction for exploring CMG formation, potentially shaping the future of DNA replication research.

      Weaknesses:

      The main weakness of the manuscript lies in the lack of experimental validation for the proposed Sld3-Sld7-Cdc45 model. Specifically, the claim that Sld3 binding to Cdc45-MCM does not inhibit GINS binding, a finding that contradicts previous research, is not sufficiently substantiated with experimental evidence. To strengthen their model, the authors must provide additional experimental data to support this mechanism. Also, the authors have not compared the recently published Cryo-EM structures of the metazoan CMG helicases with their predicted models to see if Sld3/Treslin does not cause any clash with the GINS when bound to the CMG. Still, the work holds great potential in its current form but requires further experiments to confirm the authors' conclusions.

      We appreciate the reviewers’ careful reading and the comments.

      Our structural analysis of Sld3CBD-Cdc45 showed the detailed interaction map between Sld3CBD and Cdc45 at 2.6 Å resolution. The Sld3, MCM and GINS binding sites of Cdc45 completely differed, suggesting that the Sld3CBD, Cdc45 and GINS could bind to MCM together. The SCMG-DNA model confirmed such a binding manner, although our study does not show how this binding manner affects the GINS loading by other initiation factors (Dpb11, Sld2, et. al). Regarding the previous studies, competition of Sld3 and GINS for binding to Cdc45 or Cdc45-MCM (Bruck et. al), which may be caused by the conformation change of Cdc45 DHHA1 between Sld3CBD-Cdc45 and CMG. We modified our manuscript and discussed (P7/L168-173, and P10/L282-286). Following the comment, we checked the recently published Cryo-EM structure (PDBID:8Q6O) with their predicted models of the metazoan CMG helicases (P7/L198-P8/L202) and added the Cdc45 mutation experiments to confirm our conclusion ([Recommendations for the authors] Q18).

      Reviewer #2 (Public review):

      Summary

      The manuscript presents valuable findings, particularly in the crystal structure of the Sld3CBD-Cdc45 interaction and the identification of additional sequences involved in their binding. The modeling of the Sld7-Sld3CBD-CDC45 subcomplex is novel, and the results provide insights into potential conformational changes that occur upon interaction. However, the work remains incomplete as several main claims are only partially supported by experimental data, particularly the proposed model for Sld3 interaction with GINS on the CMG. Additionally, the single-stranded DNA binding data from different species do not convincingly advance the manuscript's central arguments.

      Strengths

      (1) The Sld3CBD-Cdc45 structure is a novel contribution, revealing critical residues involved in the interaction.

      (2) The model structures generated from the crystal data are well presented and provide valuable insights into the interaction sequences between Sld3 and Cdc45.

      (3) The experiments testing the requirements for interaction sequences are thorough and conducted well, with clear figures supporting the conclusions.

      (4) The conformational changes observed in Sld3 and Cdc45 upon binding are interesting and enhance our understanding of the interaction.

      (5) The modeling of the Sld7-Sld3CBD-CDC45 subcomplex is a new and valuable addition to the field.

      Weaknesses

      (1) The proposed model for Sld3 interacting with GINS on the CMG needs more experimental validation and conflicts with published findings. These discrepancies need more detailed discussion and exploration.

      Our structural analysis experiment of Sld3CBD-Cdc45 showed the detailed interaction information between Sld3CBD and Cdc45 at 2.6 Å resolution. The Sld3CBD-binding site of Cdc45 is completely different from that of GINS and MCM binding to Cdc45, suggesting that the Sld3CBD, Cdc45, and GINS could bind to MCM together. The SCMG-DNA model confirmed such a binding manner. Following the comment, we added a Cdc45 mutant analysis, disrupting the binding to MCM and GINS but not affecting the Sld3CBD binding (Supplementary Figure 9). Our model is consistent with the GINS-loading requirement (the phosphorylation of Sld3 on Cdc45-MCM) and has no discrepancies with the stepwise loading fashion (Please see the responses to [Recommendations for the authors] Reviewer#1-Q14-15]). Regarding the previous studies, competition of Sld3 and GINS for binding to Cdc45 or Cdc45-MCM (Bruck et. al), by in vitro binding experiments, please see the responses to [Recommendations for the authors] Q6.

      (2) The section on the binding of Sld3 complexes to origin single-stranded DNA needs significant improvement. The comparisons between Sld3-CBD, Sld3CBD-Cdc45, and Sld7-Sld3CBD-Cdc45 involve complexes from different species, limiting the comparisons' value.

      As suggested, we tried to improve the ssDNA-binding section (Please see the responses to [Recommendations for the authors]: Q4 and Q5). We used Sld7-Sld3CBD-Cdc45 from different sources due to limitations in protein expression. These two sources belong to the same family and the proteins Sld7, Sld3 and Cdc45 have sequence conservation with similar structures predicted by the alphafold3 (RMSD = 0.356, 1.392, and 0.891 for Ca atoms of Sld7CTD, Sld7NTD-Sld3NTD, and Sld3CBD-Cdc45). Such similarity in source and protein lever allows us to do the comparison.

      (3) The authors' model proposing the release of Sld3 from CMG based on its binding to single-stranded DNA is unclear and needs more elaboration.

      Considering that ssDNA (ssARS1) is produced by CMG, the ssDNA-binding of Sld3 should happen after forming an active CMG. Therefore, the results of ssDNA binding experiments implied that the Sld3 release could be with the binding to ssDNA produced by CMG. We tried to present more elaborations in the revised version. (Please see the responses to [Recommendations for the authors] Q4, Q5).

      Reviewer #3 (Public review):

      Summary:

      The paper by Li et al. describes the crystal structure of a complex of Sld3-Cdc45-binding domain (CBD) with Cdc45 and a model of the dimer of an Sld3-binding protein, Sld7, with two Sld3-CBD-Cdc45 for the tethering. In addition, the authors showed the genetic analysis of the amino acid substitution of residues of Sld3 in the interface with Cdc45 and biochemical analysis of the protein interaction between Sld3 and Cdc45 as well as DNA binding activity of Sld3 to the single-strand DNAs of the ARS sequence.

      Strengths:

      The authors provided a nice model of an intermediate step in the assembly of an active Cdc45-MCM-GINS (CMG) double hexamers at the replication origin, which is mediated by the Sld3-Sld7 complex. The dimer of the Sld3-Sld7 complexes tethers two MCM hexamers together for the recruitment of GINS-Pol epsilon on the replication origin.

      Weaknesses:

      The biochemical analysis should be carefully evaluated with more quantitative ways to strengthen the authors' conclusion.

      We thank your positive assessment. We provided more quantitative information and tried to quantify the experiments as suggested (Please see the responses to [Recommendations for the authors]).

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      I have several concerns that I will outline below, accompanied by my suggestions.

      (1) "The title of the paper- "Structural and functional insights into Cdc45 recruitment by Sld7-Sld3 for CMG complex Formation," appears misleading because it appears that authors present a structure of Sld3-Sld7 in complex with Cdc45, which is not the case here. If authors can provide additional structures proving the function of this complex, then this title justifies it. Otherwise, I recommend making a title that justifies the presented work in its current form.

      Following the comment, we change the title to “Sld3CBD-Cdc45 structural insights into Cdc45 recruitment for CMG complex formation”.

      (2) In lines 70-72, where the authors mention the known structures of different proteins, intermediates, and complexes, I recommend including PDB IDs of the described structures and reference citations. This will help the readers to analyze what is missing in the pathway and why this structure is essential.

      Following the comment, we added PBDIDs and references (P3/L72-74).

      (3) The representation of Figure 1A is unclear and looks clumsy. If the structure were rotated in another orientation, where α8 and α9 would be displayed on the forward side, it would be more helpful to understand the complex forming regions by looking at the structure. Also, I recommend highlighting the α8 and α9 in a contrasting color to be easily visible and attract readers' attention. Similarly, it would also be helpful if DHAA1 would be shown in a different color.

      Following the comment, we modified the Figure1 to show α8 and α9 of Sld3CBD and DHAA1 of Cdc45 clearly in revised version.

      (4) Can authors add a supplementary figure showing the probability of disorderness of the α8 helix region in the Sld3? Also, highlight what region became ordered in their structure.

      Yes, we have showed the disordered α8 helix region and highlight ordered α8 in the Sld3 in Figure S4 A.

      (5) Can you compare the Cdc45 long distorted helix (Supplementary Figure 3B) in the Sld3-Cdc45 complex with the Xenoupus and drosophila Cdc45 from their CMG structures? Also, can the authors explain why this helix is destabilized in their structure but is relatively stable in another Cdc45 structure (in CMG and HuCdc45)?

      We have checked all Cdc45 from published cryo-EM CMG structures, including Xenopus CMG-donson (8Q6O) and Drosophila CMG (6RAW), and all of them ordered the long helix in the CMG complex, whereas this long helix was disordered in the crystal structure of Sld3CBD-Cdc45 and Entamoeba histolytica Cdc45. The crystal packing around the long helix showed that it looks to be stabilized by crystal packing only in huCdc45, therefore we suggested that this long helix is detestable for crystallization.

      (6) I recommend adding the following parameters to Supplementary Table 2: 1. Rmerge values, 2. Wilson B factor, 3. Average B factor, and 4. Total number of molecules in ASU.

      We are sorry to make a mistake about Rmerge in Table 2. We correct it. We added the Wilson B factor, the average B factor, and the total number of Sld3CBD-Cde45 in ASU.

      (7) Can authors provide the B factor values of the α8 helix of Sld3?

      We checked the B factor values of the helix α8CTP of Sld3 in Sld3CBD-Cdc45. Since this helix binds to Cdc45 stably, the average B factor of the main chain is 45 Å<sup>2</sup> less than that of the whole structure. We added the average B factor of helix α8CTP into the Supplementary Figure 4A legend.

      (8) Can authors explain why higher Ramachandran outliers exist in their structure? Can it be reduced below 1% during refinement?

      There are 13 outliers (1.67%) in different places: four are close to the disorder regions (poor electron map), four are in a loop with poor map and the remains are turn parts or a loop. For the residues with poor electron maps, we could not modify them to the allow Ramachandran region with low Rfree value, so we could not reduce them to below 1% during refinement while keeping the current Rfree value.

      (9) In Supplementary Figure 8, please show the CD spectra of the Sld3WT. Why is the Sld3-3S peak relatively flat? Was the sample precipitating while doing the measurements, or does it have less concentration than others?

      To check the folding of the mutants, we did CD experiments with the estimated secondary structure elements. Because WT Sld3CBD was prepared in a complex with Cdc45, while the mutants of Sld3CBD existed along, we calculated the elements of secondary structure from the crystal structure of Sld3CBD-Cdc45. The concentration of samples was controlled to the same level for CD measurement. The relative plat of the Sld3-3S peak may be caused by precipitating while doing the measurement.

      (10) Can authors generate the alpha fold three models of the Sld3CBD-Cdc45-MCM-dsDNA and SCMG-dsDNA and compare them with the models they have generated?

      We tried to predict the Sld3CBD-Cdc45-MCM-dsDNA and SCMG-dsDNA using Alphafold3. Although the results showed similar structures to our models, many parts were disordered. So, we did not use the predicted structures.

      (11) The authors say that the overall molecular mass of the Sld7-Sld3ΔC-Cdc45 was >400kDa on the SEC column. However, the column used for purifying this complex and the standards that were run on it for molecular weight calculations have not been written anywhere. If the Superdex 200 column was used, then the sample of more than 400kDa should not elute at the position shown in Supplementary Figure 2B. I recommend showing the standard MW plot and where the elution volume of the Sld7-Sld3ΔC-Cdc45 lies on the standard curve. Also, add how molecular weight calculations were done and the calculated molecular mass.

      Following the comment, we added a measurement of Superdex 200 16/60 column (SEC) using a standard sample kit into Supplementary Figure 2 to show that the molecular weight of the peak at the position was estimated to be > 400 k Da.

      (12) I also recommend using at least one of the techniques, either SEC-MALS or AUC, to calculate the actual molecular mass of the Sld7-Sld3ΔC-Cdc45 complex and to find its oligomeric state. If the authors want to prove their hypothesis that a dimer of this complex binds to MCMDH, it is essential to show that it exists as a dimer. Based on the current SEC profile, it appears as a monomer peak if the S200 SEC column is being used.

      As the response to (11), we added the standard MW plot (measurement using Superdex 200 16/60 column) using a standard sample kit. The molecular weight at the peak elution position of Sld7-Sld3ΔC-Cdc45 was estimated to be 429k Da. Considering that the Sld7-Sld3ΔC-Cdc45 dimer should be a flexible long-shaped molecule, the elution position could be at a larger molecular weight position than the real one (158 x 2 k Da). We also tried to confirm the particle size using SEC-SAXS, as the response to the next question (13).

      (13) Dynamic light scattering is not the most accurate method for calculating intermolecular distance. I recommend using another technique that calculates the accurate molecular distances between two Cdc45 if Sld7-Sld3ΔC-Cdc45 is forming a dimer. Techniques such as FRET could be used. Otherwise, some complementary methods, such as SAXS, could also be used to generate a low-resolution envelope and fit the speculated dimer model inside, or authors could try negative staining the purified Sld7-Sld3ΔC-Cdc45 and generate 2D class averages and low-resolution ab initio models to see how the structure of this complex appears and whether it satisfies the speculated model of the dimeric complex.

      We have tried both negative staining TEM and SEC-SAXS experiments. We could not obtain images good enough of negative staining of TEM to generate 2D class averages and low-resolution ab initio models. The results of SEC-SAXS provided a molecular weight of 370 - 420 kDa, and an Rg > 85 Å, which are consistent with our conclusion from SEC and DLS results but with large error due to the measurement temperature at 10-15°C (measuring equipment limitation). The peak of SCE-SAXS under measurement conditions was not as sharp as purification at 4°C and SAXS data is not good enough to make a molecular model, so we did not add them to our manuscript.

      (14) Authors mentioned in the introduction section (lines 72-73) that based on the single-molecule experiments, Cdc45 is recruited in a stepwise manner to MCMDH. If this is true and if Sld7-Sld3ΔC-Cdc45 forms a dimer, this is also true, then for stepwise recruitment, the dimer will have to break into monomers, and this will be an energy-expensive process for the cell. So, would such a process occur physiologically? Can the authors explain how this would physiologically happen inside the cell?

      Sld7-Sld3-Cdc45 consists of domains linked by long loops, so the dimer Cdc45-Sld3-[Sld7]2-Sld3-Cdc45 is flexible long-sharp. Such a flexible dimer does not mean that two Cdc45 molecules must bind to MCM DH simultaneously and may bind to MCM DH by stepwise manner. The dimer formation of Sld7-Sld3-Cdc45 is advantageous for recruiting efficiently and saving energy. Moreover, our proposal of Cdc45-Sld3-[Sld7]2-Sld3-Cdc45 on MCM DH could be a stage during CMG formation in the cell. Following the comment, we added such descriptions (P7/L194, and P10/L276-279).

      (15) Can authors show experimentally that a dimer of Sld7-Sld3ΔC-Cdc45 is binding to MCMDH and not a monomer in a stepwise fashion?

      In our study, we provided experiments of particle size to show the dimer of Sld7-Sld3-Cdc45 off MCM DH and a model of SCMG to indicate the dimer of Sld7-Sld3ΔC-Cdc45 on MCM DH. This question should be addressed future by the Cryo-EM of Sld7-Sld3-Cdc45-MCM DH or Sld7-Sld3-CMG. As the response to Q14, the flexible dimer of Sld7-Sld3ΔC-Cdc45 binding on MCMDH does not contradict the stepwise-loading fashion. The dimer of Sld7-Sld3ΔC-Cdc45 binding on MCM DH shows a stage.

      (16) Can authors highlight where Sld7 will lie on their model shown in Figures 3A and 3C, considering their model shown in 3B is true?

      We predict that the Sld7-Sld3-Cdc45 should be in a dimer form of Cdc45-Sld3-[Sld7]2-Sld3-Cdc45 based on the structures and the particle size analysis. The Sld7 dimer could be across MCM DH on the top of Figure 3A right and 3C right. However, we could not add the Sld7 molecule to the models because there is no interaction data between Sld7 and MCM.

      (17) In Supplementary Figure 10, can authors show the residues between the loop region highlighted in the dotted circle to show that there is no steric clash between the residues in that region of their predicted model?

      Following the comment, we added the residues in Supplementary Figure 10 (Supplementary Figure 11 in the revised version) to show no steric clash in our predicted model.

      (18) It is essential to show experimentally that Sld3CBD neighbors MCM2 and binds Cdc45 on the opposite side of the GINS binding site. I recommend that the authors design an experiment that proves this statement. Mutagenesis experiments for the predicted residues that could be involved in interaction with proper controls might help to prove this point. Since this is the overall crux of the paper, it has to be demonstrated experimentally.

      We thank the reviewer’s recommendation. Our structural analysis experiment shows the interaction information between Sld3CBD and Cdc45 at 2.6 Å resolution. The Sld3CBD-binding site, GINS-binding site, and MCM-binding site of Cdc45 are completely different, indicating that the Sld3CBD, Cdc45 and GINS could bind to MCM together. The SCMG model confirmed such a binding manner. Following the recommendation, we added mutant analysis of Cdc45 G367D and W481R, which was reported to disrupt the binding to MCM and GINS, respectively. Both mutants do not affect the binging to Sld3CBD as we predicted (Supplementary Figure 9B). We modified our manuscript and discussed this point more clearly (P7/L170-173).

      (19) I recommend rewriting the sentence in lines 208-210. During EMSA experiments, new bands do not appear; instead, there is no shift at lower ratios, so you see a band similar to the control for Sld3CBD-Cdc45. So, re-write the sentence correctly to avoid confusion when interpreting the result.

      Following the comment, we rewrote this sentence to "The ssDNA band remained (Figure 4B) and new bands corresponding to the ssDNA–protein complex appeared in CBB staining PAGE (Supplementary Figures 13) when the Sld3CBD–Cdc45 complex was mixed with ssDNA at the same ratio, indicating that the binding affinity of Sld3CBD–Cdc45 for ssDNA was lower than that of Sld3CBD alone” (P8/L226-229)

      (20) Since CDK-mediated phosphorylation of Sld3 is known to be required for GINS loading, the ssDNA binding affinity of phosphorylated Sld3 remains the same. I wonder what would happen if phosphorylated Sld3 were used for the experiment shown in Figure 4B.

      The CDK phosphorylation site is located at Sld3CTD and our ssDNA-binding experiment did not include the Sld3CTD, so phosphorylated Sld3 does not affect the results shown in Figure 4B.

      (21) Sld3CBD-Cdc45 has a reduced binding affinity for ss DNA, and Sld7-Sld3ΔC-Cdc45 and Sl7-Sld3ΔC have a similar binding affinity to Sld3CBD based on figure 4B. It appears that Sld3CBD reduces the DNA binding affinity of CDC45 or vice versa. Is it correct to say so?

      Our opinion is “vice versa”. Cdc45 reduces the ssDNA-binding affinity of Sld3CBD. Although we could not point out the ssDNA-binding sites of Sld3CBD, the surface charge of Sld3CBD implies that α8CTP could contribute to ssDNA-binding (Supplementary Figures 15).

      (22) Cdc45 binds to the ssDNA by itself, but in the case of Sld3CBD-Cdc45, the binding affinity is reduced for Sld3CBD and Cdc45. Based on their structure, can authors explain what leads to this complex's reduced binding affinity to the ssDNA? Including a figure showing how Sld7-Sld3CBD-Cdc45 interacts with the DNA would be a nice idea.

      Previous studies showed that Cdc45 binds tighter to long ssDNA (> 60 bases) and the C-terminus of Cdc45 is responsible for the ssDNA binding activity. The structure of Sld3CBD-Cdc45 shows the C-terminal domain DHHA1 of Cdc45 binds to Sld3CBD, which may lead to Sld3CBD-Cdc45 complex reduced ssDNA-binding affinity of Cdc45. We agree that showing a figure of how Sld7-Sld3CBD-Cdc45 interacts with ssDNA is a nice idea. However, there is no detailed interaction information between Sld7-Sld3Δ-Cdc45 and ssDNA, so we could not give a figure to show the ssDNA-binding manner. We added a figure to show the surface charges of Sld3CBD of Sld3CBD-Cdc45, and Sld3NTD-Sld7NTD, respectively (Supplemental Figure 15).

      (23) Based on the predicted model of Sld7-Sld3 and Cdc45 complex, can authors explain how Sld7 would restore the DNA binding ability of the Sld3CBD?

      It can be considered that Sld7 and Sld3NTD could bind ssDNA. Although we did not perform the ssDNA-binding assay of Sld7, the Sld3NTD-Sld7NTD surface shows a large positive charge area which may contribute to ssDNA-binding (Supplemental Figure 15). We added the explanation (P9/L245-248).

      (24) It would be important to show binding measurements and Kd values of all the different complexes shown in Figure 4B with ssDNA to explain the dissociation of Cdc45 from Sld7-Sld3 after the CMG formation. I also recommend describing the statement from lines 224-227 more clearly how Sld7-Sld3-Cdc45 is loading Cdc45 on CMG.

      As the reviewer mentioned, the binding measurements and Kd of values of all the different complexes are important to explain the dissociation of Sld7-Sld3 from CMG. The pull-down assay using chromatography may be affected by balancing the binding affinity and chromatography conditions. Therefore, we used EMSA with native-PAGE, which is closest to the natural state. However, the disadvantage is that the Kd values could not be estimated. For lines 224-227, the ssARS1-binding affinity of Sld3 and its complex should relate to the dissociation of Sld7–Sld3 from the CMG complex but not Cdc45 loading, because ssARS1 is unwound from dsDNA by the CMG complex after Cdc45 and GINS loading. We modified the description (P9/L248-251).

      (25) Can authors explain why SDS-PAGE was used to assess the ssDNA (See line 420)?

      We are sorry for making this mistake and corrected it to “polyacrylamide gel electrophoresis”.

      (26) In line 421, can the authors elaborate on a TMK buffer?

      We are sorry for this omission and added the content of the TMK buffer (P16/L453).

      (27) I am curious to know if the authors also attempted to Crystallize the Sld7-Sld3CBD-Cdc45 complex. This complex structure would support the authors' hypothesis in this article.

      We tried to crystallize Sld7-Sld3Δ-Cdc45 but could not get crystals. We also tried using cryo-EM but failed to obtain data.

      Reviewer #2 (Recommendations for the authors):

      (1) The manuscript would be strengthened if the authors acknowledged in greater detail how their work agrees with or disagrees with Itou et al. (PMID: 25126958 DOI: 10.1016/j.str.2014.07.001). The introduction insufficiently described the findings of that previous work in lines 63-64.

      We compared Sld3CBD in Sld3CBD-Cdc45 to the monomer reported by Itou et al. (PMID: 25126958 DOI: 10.1016/j.str.2014.07.001) in the section of [The overall structure of Sld3CBD-Cdc45] and point out the structural similarity and difference (P5/L105-106), especially, conformation change of Sld3CBD α8 for binding to Cdcd45, which agrees to the mutant experiments of Itou et al., (P3/L126-127). Another Cdc45-binding site of Sld3CBD in the Sld3CBD-Cdc45 complex is α9 not residues predicted in previous studies.

      (2) Figure 2. Could you please perform and present data from multiple biological replicates (e.g., at least two independent experiments) for each mutant strain? This would help ensure that the observed pull-downs (2A-B) and growth patterns (2C) are consistent and reproducible.

      We have done pull-downs three times from co-expression to purification and pull-down assay. We added descriptions to the method of [Mutant analysis of Sld3 and Cdc45]. The growth patterns are two times in Figure 2C.

      (3) Figure 3B. The match between the predicted complex length and particle size measured by dynamic light scattering (DLS) is striking. Did the authors run the analysis with vehicle controls and particle size standards? There is no mention of these controls.

      Following the comment, we added the control data of buffer and standard protein lysozyme, and the descriptions to the method of [Dynamic light scattering].

      (4) Figure 4. In lines 216-217, the authors write that the binding of the K. marxianus complex "demonstrates that the presence of Sld7 could restore the single-stranded DNA binding capacity of Sld3." Another explanation is that complexes from each species bind differently. If the authors want to make a strong claim, they should compare the binding of complexes containing the same proteins.

      Agree with the comment, to make a strong claim using samples from the same source is better. Due to limitations in protein overexpression, we used Sld7-Sld3ΔC-Cdc45 from different sources two sources belong to the identical family (Saccharomycetaceae) and the proteins Sld7, Sld3 and Cdc45 have sequence conservation with similar structures (RMSD = 0.356, 1.392, and 0.891 for Ca atoms of Sld7CTD, Sld7NTD-Sld3NTD, and Sld3CBD-Cdc45) predicted by the alphafold3. Such similarity in source and protein level allows us to do the comparison. Moreover, we modified the description to “indicates that the presence of Sld7 and Sld3NTD could increase the ssDNA-binding affinity to a level comparable to that of Sld3CBD.

      (5) The logic of the following is unclear: "Considering that ssDNA is unwound from dsDNA by the helicase CMG complex, Sld7-Sld3ΔC-Cdc45, and Sld7-Sld3C having a stronger ssDNA-binding capacity than Sld3CBD-Cdc45 may imply a relationship between the dissociation of Sld7-Sld3 from the CMG complex and binding to ssDNA unwound by CMG." (Lines 224-227). How do the authors imagine that the binding affinity difference due to Sld7 contributes to the release of Sld3? Please explain.

      Considering that ssARS1 is unwound from dsARS1 by the activated helicase CMG complex formed after loading Cdc45 and GINS, Sld3–Sld7 having a stronger ssARS1-binding affinity may provide an advantage for the dissociation of Sld7–Sld3 from the CMG complex. We modified the sentence of Lines 224-227 (P9/L248-251).

      (6) The authors suggest that the release of Sld3 from the helicase is related to its association with single-stranded ARS1 DNA. They refer to the work of Bruck et al. (doi: 10.1074/jbc.M111.226332), which demonstrates that single-stranded origin DNA inhibits the interaction between Sld3 and MCM2-7 in vitro. The authors selectively choose data from this previous work, only including data that supports their model while disregarding other data. This approach hinders progress in the field. Specifically, Bruck proposed a model in which the association of Sld3 and GINS with MCM2-7 is mutually exclusive, explaining how Sld3 is released upon CMG assembly. In Figure 3 of the authors' model, they suggest that Sld3 can associate with MCM2-7 through CDC45, even when GINS is bound. Furthermore, Bruck's work showed that ssARS1-2 does not disrupt the Sld3-Cdc45 interaction. Instead, Bruck's data demonstrated that ssARS1-2 disrupts the interaction between MCM2-7 and Sld3 without Cdc45. While we do not expect the authors to consider all data in the literature when formulating a model, we urge them to acknowledge and discuss other critical data that challenges their model. Additionally, it would be beneficial for the field if the authors include both modes of Sld3 interaction with MCM2-7 (i.e., directly with MCM or through CDC45) when proposing a model for how CMG assembly and Sld3 release occurs.

      In our discussion, we referred to the studies of Bruck’s data (doi: 10.1074/jbc.M111.226332) but did not discuss more because we didn’t perform similar experiments in vitro, and we do not think that no discussion hinders progress in the field. Promoting research progress, the new experiment should provide a new proposal and updated knowledge. Although we do not know exactly the positional relationship between Sld3 and Dpb11-Sld2 on MCM during GINS recruiting, the Sld3CBD-Cdc45 structure shows clearly that the Sld3CBD-binding site of Cdc45 is completely different from that of GINS and MCM binding to Cdc45. The model SCMG confirmed such a binding manner, Sld3, Cdc45 and GINS could bind together. The competition of Sld3 and GINS for binding to Cdc45 or Cdc45-MCM reported by Bruck et. al, may be caused by the conformation change of Cdc45 DHHA1 between Sld3CBD-Cdc45 and CMG, or without other initiation factors (CMG formation is regulated by the initial factors). We modified the discussion (P10/L282-286). Regarding ssARS1-binding, we did not discuss with Bruck's data that ARS1-2 does not disrupt the Sld3-Cdc45 interaction, because the data does not conflict with our proposal, although the data does not have an advantage. We propose that the release of Sld3 and Sld7 from CMG could be associated with the binding of ssARS1 unwound by CMG, but the dissociation event of Sl3-Sld7 doesn’t only ssARS1-binding. The exploration of unwound-ssARS1 causes the conformation change of CMG, which may be another event for Sld3-Sld7 dissociation. However, we do not have more experiments to confirm this and Bruck’s ssDNA-binding experiment did not use all of Sld3, Cdc45 and MCM, so we do not discuss more with Bruck’ data in the revised version (P11/L303-305).,

      Reviewer #3 (Recommendations for the authors):

      Major points:

      (1) Figure 1, Sld3CBD-Cdc45 complex: Please indicate the number of critical residues and those of alpha-helixes and beta-sheets in this Figure or Supplemental Figure to confirm the authors' claim.

      Following the comment, we added the number of alpha-helixes and beta-sheets with residue numbers in Figure 1, and Supplemental Figures 4 and 5. We also added a topology diagram (Supplemental Figure 3).

      (2) Figure 2A and B: Please quantify the interaction here with a proper statistical comparison.

      In the experiments of Figures 2A and 2B, we used a co-expression system to co-purify the complexes and check their binding. For quantifying, we added the concentrations of the samples used in the Method of [Mutant analysis of Sld3 and Cdc45].

      (3) Figure 3B, EMSA: If these are from the EMSA assay, at least free DNAs and protein-bound DNAs are present on the gel. However, the authors showed one band, which seems to be free DNA in Figure 3B and separately the smear band of the protein complex in Supplementary Figure 12, and judged the DNA binding by the disappearance of the band (line 207). Interestingly, in the case of Sld3CBD, there are few smear bands (Supplementary Figure 12). Where is DNA in this case? The disappearance could be due to the contaminated nucleases (need a control non-specific DNA). Without showing the Sld3CBD-DNA complex in the gel, the conclusion that the DNA binding activity of Sld3CBD-Cdc45 to DNA is lower than Sld3CBD alone (line 210) is very much speculative. The same is true for Sld7-Sld3dC-Cdc45.

      Please explain the method (EMSA) briefly in the main text and show a whole gel in both Figures. If the authors insist that the Sld3 DNA-binding activity is altered with Cdc43 (and MCM), it is better to perform a more quantitative DNA binding assay such as BIAcore (surface plasmon), etc.

      In the EMSA, we use SYBR (Figure 4B) and CBB (Supplementary Figure 13) staining to show bands of ssDNA and protein, respectively. As the reviewer mentioned, the disappearance of the bands could be due to the contaminated nucleases, we did experiments with non-specific ssDNA-binding as a control using the same proteins shown in Supplementary Figure 14. So, we are convinced that the disappearance of the ssDNA bands or not disappearance could occur when binding to protein or not. We added such explanations in the text (P9/L242-244). As we mentioned in the legend of Supplementary Figure 13, the Sld3CBD could not enter the gel, even when bound to ssDNA, because the pI values exceeded the pH of the running buffer.

      Following the reviewer's comments, we attempted a pull-down experiment using Histag (C-terminal histag of Sld3CBD/Sld3ΔC). Unfortunately, we encountered difficulties in achieving the balance between binding and chromatography conditions.

      (4) Figure 3B: Please quantify the DNA binding here with a proper statistical comparison with triplicate.

      For EMSA (Figure 3B), we used samples of ssDNA:protein= 1:0. 1:1, 1:2, 1:4 and 0:1 molecular ratios with 10 pM as a 1 unit. We added concentrations of the samples in the Method of [Electrophoretic mobility shift assay for ssDNA binding].

      Following the comment, we tried to quantify the binding strength by integrating the grayscale of the bands in gel photos. However, we are concerned because this quantitative calculation through grayscale could not provide an accurate representation of results. Many sample groups cannot be run on one gel. Therefore, the gel differences in parameters cause large errors in the calculation as shown in Author response image 1. Although the calculated integral grayscale chart is consistent with our conclusion, we do not want to add this to our manuscript.

      Author response image 1.

      (5) Because of poor writing, the authors need to ask for English editing.

      We are very sorry for the language. We asked a company (Editag, https:www.editage.jp) to do a native speaker revision and used AI to recheck English.

      Minor points:

      (1) Lines 47-58, Supplementary Figure 1: Although the sentences describe well how CMG assembles on the replication origin, the figure does not reflect what is written, but rather shows a simple schematic figure related to the work. However, for the general readers, it is very useful to see a general model of the CMG assembly. Then, the authors need to emphasize the steps focused in this study.

      Thank you for your thoughtful comments. We optimized Figure 1 and hope it will be more understandable to general readers.

      (2) Line 50, DDK[6F0L](superscript): what is 5F0L?

      We are sorry for this mistake, that is a PDBID of the DDK structure. we deleted 6F0L.

      (3) Lines 68 and 69, ssDNA and dsDNA: should be "single-stranded DNA (ssDNA)" and double-stranded DNA (dsDNA) when these words appear for the first time.

      Following the comment, we modified it to “single-stranded DNA (ssDNA)” and “double-stranded DNA (dsDNA)” (P3/L68,70).

      (4) Line 84, Cdc45s: What "s" means here?

      We are sorry for this mistake, we modified it to “Cdc45”.

      (5) Line 87, Sld3deltaC: What is Sld3deltaC? This is the deletion of either the Cdc45-binding domain or the C-terminal domain.

      Sld3ΔC is a deletion of the C-terminal domain of Sld3. We added the residue range and explanation (P4/L91).

      (6) Line 103: Although the authors mentioned beta-sheets 1-14 in the text, there is no indication in Figures. It is impossible to see the authors' conclusion.

      The secondary structure elements of Sld3CBD-Cdc45 are shown in Supplementary Figures 4 and 5. Following the comment, we added a topology diagram of Sld3CBD and Cdc45 in the Sld3CBD-Cdc45 complex as Supplementary Figure 3 and added citations when describing structural elements.

      (7) Line 106, huCdc45: Does this mean human Cdc45? If so, it should be "human CDC45 (huCDC45). CMG form is from budding yeast? Please specify the species.

      Yes, huCdc45 is human Cdc45. We modified it into “human CDC45 (huCdc45)”.

      (8) Line 107, Supplemental Figure 3B, black ovals: Please add "alpha7" in the Figure.

      Following the comment, we added a label of Cdc45 α7 to Supplemental Figure 3B and 3C (Supplemental Figure 4B and 4C in revised version).

      (9) Line 128, DHHA1: What is this? Please explain it in the text.

      Following the comment, we added the information on DHHA1 (P3/L75-77).

      (10) Line 130, beta13, and beta14: If the authors would like to point out these structures, please indicate where these sheets are in Figures.

      We added a topology diagram as Supplementary Figure 3 to show the β-sheet in DHH and added a citation in the text.

      (11) Line 133: Please add (Figure 1B) after the a8CTP.

      Following the comment, we added “(Figure 1C)” (1B is 1C in revised version) after the α8CTP (P6/L133).

      (12) Line 140: After DHHA1, please add (Figure 1C).

      Following the comment, we added the figure citation after the DHHA1 (P6/L140).

      (13) Line 142: After DHHA1, please add (Figure 1D).

      Following the comment, we added the figure citation after the DHHA1 (P6/L142).

      (14) Line 149, Sld3-Y seemed to retain a faint interaction with Cdc45. The Cdc45 band is too faint here. Moreover, as shown above, without the quantification with proper statistics, it is hard to draw this kind of conclusion.

      We agree that the Cdc45 band corresponding to Sld3-Y in the pull-down assay was very faint, so we performed an in vivo experiment (Fig2C) to confirm this result.

      (15) Line 149, Figure 2A and B: What kind of interaction assay was used here? Simple pull-down. It seems to eluate from the column. If so, how do the authors evaluate the presence of the proteins in different fractions? Please explain the method briefly in the main text.

      Figure 2 shows a co-express pull-down binding assay. To describe the co-express pull-down experiments clearly, we added more explanations in the Methods [Mutation analysis of Sld3 and Cdc45].

      (16) Line 154-155: Please show the quantification to see if the reduced binding is statistically significant.

      Here, we explain why Cdc45-A remained Sld3CBD-bind ability. Although mutant Cdc45-A has reduced three hydrogen bonds with D344 of Sld3CBD, the remaining hydrogen-bond network keeps contact between Sld3CBD and Cdc45.

      (17) Line 158, cell death: "No growth" does not mean cell death. Please rephrase here.

      Following the comment, we modified it to “no growth” (P6/L158).

      (18) Line 166: After CMG dimer, please add "respectively".

      Following the comment, we added the word “, respectively” after CMG dimer (P7/L178).

      (19) Line 194-195: I can not catch the meaning. Please rephrase here to clarify the claim. What are ssARS1-2 and ARS1-5?

      Following the comment, we added more information about ssDNA fragments at the beginning of this section (P8/L210-214).

      (20) Figure 4A and Supplemental Figure 12 top, schematic figure of ARS region. It is hard to catch. More explanation of the nature of the DNA substrates and much better schematic presentations would be appreciated.

      Following the comment, we added more information about ARS1 to the figure legend.

      (21) Figure 1A, dotted ovals should be dotted squares as shown in the enlarged images on the bottom.

      Following the comment, we modified Figure 1A and the legend to change the dotted ovals into dotted squares.

    1. Author response:

      The following is the authors’ response to the original reviews

      Public Reviews:

      Reviewer #1 (Public review):

      Contractile Injection Systems (CIS) are versatile machines that can form pores in membranes or deliver effectors. They can act extra or intracellularly. When intracellular they are positioned to face the exterior of the cell and hence should be anchored to the cell envelope. The authors previously reported the characterization of a CIS in Streptomyces coelicolor, including significant information on the architecture of the apparatus. However, how the tubular structure is attached to the envelope was not investigated. Here they provide a wealth of evidence to demonstrate that a specific gene within the CIS gene cluster, cisA, encodes a membrane protein that anchors the CIS to the envelope. More specifically, they show that:

      - CisA is not required for assembly of the structure but is important for proper contraction and CIS-mediated cell death

      - CisA is associated to the membrane (fluorescence microscopy, cell fractionation) through a transmembrane segment (lacZ-phoA topology fusions in E. coli)

      - Structural prediction of interaction between CisA and a CIS baseplate component<br /> - In addition they provide a high-resolution model structure of the >750-polypeptide Streptomyces CIS in its extended conformation, revealing new details of this fascinating machine, notably in the baseplate and cap complexes.

      All the experiments are well controlled including trans-complemented of all tested phenotypes.

      One important information we miss is the oligomeric state of CisA.

      Thank you for this suggestion. We now provide information on the potential oligomeric state of CisA. We performed further AlphaFold3 modelling of CisA using an increasing number of CisA protomers (1 to 8). We ran predictions for the configuration using the sequence of the well-folded C-terminal CisA domain (amino acids 285-468), which includes the transmembrane domain and the conserved domain that shares similarities to carbohydrate-degrading domains. The obtained confidence scores (mean values for pTM=0.73, ipTM=0.7, n=5) indicate that CisA can assemble into a pentamer and that this oligomerization is mediated through the interaction of the C-terminal solute-binding like superfamily domain.

      We have added this information to the revised manuscript (Fig. 3b/c) and further discuss the possible implications of CisA oligomerization for its proposed mode of action.

      While it would have been great to test the interaction between CisA and Cis11, to perform cryo-electron microscopy assays of detergent-extracted CIS structures to maintain the interaction with CisA, I believe that the toxicity of CisA upon overexpression or upon expression in E. coli render these studies difficult and will require a significant amount of time and optimization to be performed. It is worth mentioning that this study is of significant novelty in the CIS field because, except for Type VI secretion systems, very few membrane proteins or complexes responsible for CIS attachment have been identified and studied.

      We thank this reviewer for their highly supportive and positive comments on our manuscript and we are grateful for their recognition of the novelty of our study, particularly in the context of membrane proteins and complexes involved in CIS attachment.

      We agree that further experimental evidence on direct interaction between CisA and Cis11 would have strengthened our model on CisA function. However, as noted by this reviewer, this additional work is technically challenging and currently beyond the scope of this study.

      Reviewer #2 (Public review):

      Summary:

      The overall question that is addressed in this study is how the S. coelicolor contractile injection system (CISSc) works and affects both cell viability and differentiation, which it has been implicated to do in previous work from this group and others. The CISSc system has been enigmatic in the sense that it is free-floating in the cytoplasm in an extended form and is seen in contracted conformation (i.e. after having been triggered) mainly in dead and partially lysed cells, suggesting involvement in some kind of regulated cell death. So, how do the structure and function of the CISSc system compare to those of related CIS from other bacteria, does it interact with the cytoplasmic membrane, how does it do that, and is the membrane interaction involved in the suggested role in stress-induced, regulated cell death? The authors address these questions by investigating the role of a membrane protein, CisA, that is encoded by a gene in the CIS gene cluster in S. coelicolor. Further, they analyse the structure of the assembled CISSc, purified from the cytoplasm of S. coelicolor, using single-particle cryo-electron microscopy.

      Strengths:

      The beautiful visualisation of the CIS system both by cryo-electron tomography of intact bacterial cells and by single-particle electron microscopy of purified CIS assemblies are clearly the strengths of the paper, both in terms of methods and results. Further, the paper provides genetic evidence that the membrane protein CisA is required for the contraction of the CISSc assemblies that are seen in partially lysed or ghost cells of the wild type. The conclusion that CisA is a transmembrane protein and the inferred membrane topology are well supported by experimental data. The cryo-EM data suggest that CisA is not a stable part of the extended form of the CISSc assemblies. These findings raise the question of what CisA does.

      We thank Reviewer #2 for the overall positive evaluation of our manuscript and the constructive criticism.

      Weaknesses:

      The investigations of the role of CisA in function, membrane interaction, and triggering of contraction of CIS assemblies, are important parts of the paper and are highlighted in the title. However, the experimental data provided to answer these questions appear partially incomplete and not as conclusive as one would expect.

      We acknowledge that some aspects of our work remain unanswered. We are currently unable to conduct additional experiments because the two leading postdoctoral researchers on this project have moved on to new positions. We currently don’t have the extra manpower with a similar skill set to pick up the project.

      The stress-induced loss of viability is only monitored with one method: an in vivo assay where cytoplasmic sfGFP signal is compared to FM5-95 membrane stain. Addition of a sublethal level of nisin lead to loss of sfGFP signal in individual hyphae in the WT, but not in the cisA mutant (similarly to what was previously reported for a CIS-negative mutant). Technically, this experiment and the example images that are shown give rise to some concern. Only individual hyphal fragments are shown that do not look like healthy and growing S. coelicolor hyphae. Under the stated growth conditions, S. coelicolor strains would normally have grown as dense hyphal pellets. It is therefore surprising that only these unbranched hyphal fragments are shown in Fig. 4ab.

      We thank this Reviewer for their thoughtful criticism regarding the viability assays and the data presented in Figure 4. We acknowledge the importance of ensuring that the presented images reflect the physiological state of S. coelicolor under the stated growth conditions and recognize that hyphal fragments shown in Figure 4 do not fully capture the typical morphology of S. coelicolor. As pointed out by this reviewer, S. coelicolor grows in large hyphal clumps when cultured in liquid media, making the quantification of fluorescence intensities in hyphae expressing cytoplasmic GFP or stained with the membrane dye FM5-95 particularly challenging. To improve the image analysis and quantification of GFP and FM5-95-fluorescent intensities across the three S. coelicolor strains (wildtype, cisA deletion mutant and the complemented cisA mutant), we vortexed the cell samples before imaging to break up hyphal clumps, increasing hyphal fragments. The hyphae shown in our images were selected as representative examples across three biological replicates.

      Further, S. coelicolor would likely be in a stationary phase when grown 48 h in the rich medium that is stated, giving rise to concern about the physiological state of the hyphae that were used for the viability assay. It would be valuable to know whether actively growing mycelium is affected in the same way by the nisin treatment, and also whether the cell death effect could be detected by other methods.

      The reasoning behind growing S. coelicolor for 48 h before performing the fluorescence-based viability assay was that we (DOI: 10.1038/s41564-023-01341-x ) and others (e.g.: DOI: 10.1038/s41467-023-37087-7 ) previously showed that the levels of CIS particles peak at the transition from vegetative to reproductive/stationary growth, thus indicating that CIS activity is highest during this growth stage. The obtained results in this manuscript are consistent with previous results, in which we showed a similar effect on the viability of wildtype versus cis-deficient S. coelicolor strains (DOI: 10.1038/s41564-023-01341-x ) using nisin, the protonophore CCCP and UV radiation. The results presented in this study and our previous study are based on biological triplicate experiments and appropriate controls. Furthermore, our results are in agreement with the findings reported in a complementary study by Vladimirov et al. (DOI: 10.1038/s41467-023-37087-7 ) that used a different approach (SYTO9/PI staining of hyphal pellets) to demonstrate that CIS-deficient mutants exhibit decreased hyphal death.

      Taken together, we believe that the results obtained from our fluorescence-based viability assay provide strong experimental evidence that functional CIS mediate hyphal cell death in response to exogenous stress.

      The model presented in Fig. 5 suggests that stress leads to a CisA-dependent attachment of CIS assemblies to the cytoplasmic membrane, and then triggering of contraction, leading to cell death. This model makes testable predictions that have not been challenged experimentally. Given that sublethal doses of nisin seem to trigger cell death, there appear to be possibilities to monitor whether activation of the system (via CisA?) indeed leads to at least temporally increased interaction of CIS with the membrane.

      We thank this reviewer for their suggestions on how to test our model further. This is a challenging experiment because we do not know the exact dynamics of how nisin stress is perceived and transmitted to CisA and CIS particles.

      In an attempt to address this point, we have performed co-immunoprecipitation experiments using S. coelicolor cells that produced CisA-FLAG as bait, and which were treated with a sub-lethal nisin concentration for 0/15/45 min.  Mass spectrometry analysis of co-eluted peptides did not show the presence of CIS-associated peptides at the analyzed timepoints. While we cannot exclude the possibility that our experimental assay requires further optimization to successfully demonstrate a CisA-CIS interaction (e.g. optimization of the use of detergents to improve the solubilization of CisA from Streptomyces membrane, which is currently not an established method), an alternative and equally valid hypothesis is that the interaction between CIS particles and CisA is transient and therefore difficult to capture. We would like to mention, however, that we did detect CisA peptides in crude purifications of CIS particles from nisin-stressed cells (Supplementary Table 2, manuscript: line 301/302), supporting our proposed model that CisA can associate with CIS particles in vivo.

      Further, would not the model predict that stress leads to an increased number of contracted CIS assemblies in the cytoplasm? No clear difference in length of the isolated assemblies if Fig. S7 is seen between untreated and nisin-exposed cells, and also no difference between assemblies from WT and cisA mutant hyphae.

      The reviewer is correct that there is no clear difference in length in the isolated CIS particles shown in Figure S7. This is in line with our results, which show that CisA is not required for the correct assembly of CIS particles and their ability to contract in the presence and absence of nisin treatment. The purpose of Figure S7 was to support this statement. We would like to note that the particles shown in Figure S7 were purified from cell lysates using a crude sheath preparation protocol, during which CIS particles generally contract irrespective of the presence or absence of CisA. Thus, we cannot comment on whether there is an increased number of contracted CIS assemblies in the cytoplasm of nisin-exposed cells. To answer this point, we would need to acquire additional cryo-electron tomograms (cyroET) of the different strains treated with nisin. CryoET is an extremely time and labor-intensive task and given that we currently don’t know the exact dynamics of the CIS-CisA interaction following exogenous stress, we believe this experiment is beyond the scope of this work.

      The interaction of CisA with the CIS assembly is critical for the model but is only supported by Alphafold modelling, predicting interaction between cytoplasmic parts of CisA and Cis11 protein in the baseplate wedge. An experimental demonstration of this interaction would have strengthened the conclusions.

      We agree that direct experimental evidence of this interaction would have further strengthened the conclusions of our study, and we have extensively tried to provide additional experimental evidence. Unfortunately, because of the toxicity of cisA expression in E. coli and the possibly transient nature of the interaction under the experimental conditions used, we were unable to confirm this interaction by biochemical or biophysical techniques, such as co-purification or bacterial two-hybrid assays. Despite these technical challenges, we believe that the AlphaFold predictions provided a valuable hypothesis about the role of CisA in firing and the function of CIS particles in S. coelicolor.

      The cisA mutant showed a similarly accelerated sporulation as was previously reported for CIS-negative strains, which supports the conclusion that CisA is required for function of CISSc. But the results do not add any new insights into how CIS/CisA affects the progression of the developmental life cycle and whether this effect has anything to do with the regulated cell death that is caused by CIS. The same applies to the effect on secondary metabolite production, with no further mechanistic insights added, except reporting similar effects of CIS and CisA inactivations.

      Thank you for your feedback on this aspect of the manuscript. We would like to note that the main focus of this study was to provide further insight into how CIS contraction and firing are mediated in Streptomyces. We used the analysis of accelerated sporulation and secondary metabolite production as a readout to directly assess the functionality of CIS in the presence or absence of CisA and to complement the in situ cryoET data. In summary, our data significantly expand our knowledge of CIS function and firing in Streptomyces and suggest a model in which CisA plays an essential role in mediating the interaction of CIS particles with the membrane, which is required for CIS-mediated cell death. We discuss this model in more detail in the revised manuscript (Line 274-283).

      We agree that we still don’t fully understand the full nature of the signals that trigger CIS contraction, but we do know that the production of CIS is an integral part of the Streptomyces multicellular life cycle as demonstrated by two independent previous studies by us and others (DOI: 10.1038/s41564-023-01341-x and DOI: 10.1038/s41467-023-37087-7 ).

      We further speculate that the assembly and CisA-dependent firing of Streptomyces CIS particles could present a molecular mechanism to dismantle part of the vegetative mycelium. This form of “regulated cell death” could provide two key benefits: (1) to prevent the spread of local cellular damage to the rest of mycelium and (2) to provide additional nutrients for the rest of the mycelium to delay the terminal differentiation into spores, which in turn also affects the production of secondary metabolites.

      Concluding remarks:

      The work will be of interest to anyone interested in contractile injection systems, T6SS, or similar machineries, as well for people working on the biology of streptomycetes. There is also a potential impact of the work in the understanding of how such molecular machineries could have been co-opted during evolution to become a mechanism for regulated cell death. However, this latter aspect remains still poorly understood. Even though this paper adds excellent new structural insights and identifies a putative membrane anchor, it remains elusive how the Streptomyces CIS may lead to cell death. It is also unclear what the advantage would be to trigger death of hyphal compartments in response to stress, as well as how such cell death may impact (or accelerate) the developmental progression. Finally, it is inescapable to wonder whether the Streptomyces CIS could have any role in protection against phage infection.

      We thank Reviewer #2 for the overall supportive assessment of our work. We will briefly discuss functional CIS's impact on Streptomyces development in the revised manuscript. We previously tested if Streptomyces could defend against phages but have not found any experimental evidence to support this idea (unpublished data). The analysis of phage defense mechanisms is an underdeveloped area in Streptomyces research, partly due to the currently limited availability of a diverse phage panel.

      Reviewer #3 (Public review):

      Summary:

      In this work, Casu et al. have reported the characterization of a previously uncharacterized membrane protein CisA encoded in a non-canonical contractile injection system of Streptomyces coelicolor, CISSc, which is a cytosolic CISs significantly distinct from both intracellular membrane-anchored T6SSs and extracellular CISs. The authors have presented the first high-resolution structure of extended CISSc structure. It revealed important structural insights in this conformational state. To further explore how CISSc interacted with cytoplasmic membrane, they further set out to investigate CisA that was previously hypothesized to be the membrane adaptor. However, the structure revealed that it was not associated with CISSc. Using fluorescence microscope and cell fractionation assay, the authors verified that CisA is indeed a membrane-associated protein. They further determined experimentally that CisA had a cytosolic N-terminal domain and a periplasmic C-terminus. The functional analysis of cisA mutant revealed that it is not required for CISSc assembly but is essential for the contraction, as a result, the deletion significantly affects CISSc-mediated cell death upon stress, timely differentiation, as well as secondary metabolite production. Although the work did not resolve the mechanistic detail how CisA interacts with CISSc structure, it provides solid data and a strong foundation for future investigation toward understanding the mechanism of CISSc contraction, and potentially, the relation between the membrane association of CISSc, the sheath contraction and the cell death.

      Strengths:

      The paper is well-structured, and the conclusion of the study is supported by solid data and careful data interpretation was presented. The authors provided strong evidence on (1) the high-resolution structure of extended CISSc determined by cryo-EM, and the subsequent comparison with known eCIS structures, which sheds light on both its similarity and different features from other subtypes of eCISs in detail; (2) the topological features of CisA using fluorescence microscopic analysis, cell fractionation and PhoA-LacZα reporter assays, (3) functions of CisA in CISSc-mediated cell death and secondary metabolite production, likely via the regulation of sheath contraction.

      Weaknesses:

      (1) The data presented are not sufficient to provide mechanistic details of CisA-mediated CISSc contraction, as authors are not able to experimentally demonstrate the direct interaction between CisA with baseplate complex of CISSc (hypothesized to be via Cis11 by structural modeling), since they could not express cisA in E. coli due to its potential toxicity. Therefore, there is a lack of biochemical analysis of direct interaction between CisA and baseplate wedge. In addition, there is no direct evidence showing that CisA is responsible for tethering CISSc to the membrane upon stress, and the spatial and temporal relation between membrane association and contraction remains unclear. Further investigation will be needed to address these questions in future.

      We thank Reviewer #3 for the supportive evaluation and constructive feedback of our study in the non-public review. We appreciate the recognition of the technical limitations of experimentally demonstrating a direct interaction between CisA and CIS baseplate complex, and we agree that further investigations in the future will hopefully provide a full mechanistic understanding of the spatiotemporal interaction of CisA and CIS particular and the subsequent CIS firing.

      To further improve the manuscript, we will revise the text and clarify figures and figure legends as suggested in the non-public review.

      Discussion:

      Overall, the work provides a valuable contribution to our understanding on the structure of a much less understood subtype of CISs, which is unique compared to both membrane-anchored T6SSs and host-membrane targeting eCISs. Importantly, the work serves as a good foundation to further investigate how the sheath contraction works here. The work contributes to expanding our understanding of the diverse CIS superfamilies.

      Thank you.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      - Magnification of the potential CisA-Cis11 model, with side chains at the interface, should be shown in Supplementary Figures 9/10 to help the reader appreciates the intercation between the two subunits.

      Done. A zoomed-in view of the relevant side chains at the CisA-Cis11 interface has been added to Supplementary Figure 9e. For clarity, we decided not to highlight these residues in Supplementary Figure 10 because they are identical to those in Figure 9e.

      - A model where CisA is positionned onto the baseplate (by merging the CisA-Cis11 model and the baseplate structure) will also be informative for the reader.

      We agree that such a presentation would be helpful to visualize the proposed CisA-Cis11 interaction. However, the Cis11 residues predicted to bind CisA are buried in our cryoEM single-particle structure of the elongated Streptomyces CIS. This is not surprising, as the structure is based on a previously established non-contractile CIS mutant variant (PMCID: PMC10066040), which means we were only able to capture one specific configuration of the baseplate complex in the current work. This baseplate configuration is most likely structurally distinct from the baseplate configuration in contracted CIS particles. A similar observation was also reported for the baseplate complex of eCIS particles from Algoriphagus machipongonesis (PMCID: PMC8894135 ).  

      We speculate that in Streptomyces, initial non-specific contacts between CisA and cytoplasmic CIS particles induce a rearrangement of baseplate components, resulting in the exposure of the relevant Cis11 residues, which in turn facilitates a transient interaction between CisA and Cis11. This interaction then leads to additional conformational changes within the baseplate complex, triggering sheath contraction and CIS firing.

      We believe that a transient binding step is a crucial part of the activation process, contributing to the dynamic nature of the system.

      - Providing information on the oligomeric state of CisA will strenghten the manuscript. Authors may consider having blue-native gel analysis of CisA-3xFLAG extracted from Streptomyces or E. coli membranes, or in vivo chemical cross-linking coupled to SDS-PAGE analyses. In case these quite straightforward experiments are not possible, the authors may consider providing AF3 models of various CisA multimers.

      Thank you for these suggestions. Unfortunately, we currently don’t have the capability to conduct additional experiments. However, we have performed additional AF3 modelling to explore potential different configurations of CisA. The results of these analyses suggest that CisA can assemble into a pentamer (see also Response to reviewer 1). We speculate that CisA may exist in different oligomeric states and that membrane-localized CisA monomers oligomerize into a larger protein complex in response to a cellular or extracellular (e.g. nisin) signal, which could then directly or indirectly interact with CIS particles in the cytoplasm to facilitate their recruitment to the membrane and CIS firing. Such a stress-dependent conformational change of CisA could also be a safety mechanism to prevent accidental interaction of CisA with CIS particles and CIS firing.

      We now show the AF model for the predicted CisA pentamer in Figure 3b/c and discuss the potential implications of the different CisA configurations in the revised manuscript.

      Reviewer #2 (Recommendations for the authors):

      - The quantification of contracted versus extended CIS assemblies in the cytoplasm is only presented for the tomograms from the cisA mutant (graph in Fig. S2d). However, there are no data for the WT and complemented mutant to compare with. It would help to add such data, or at least refer to the previous quantification done for the WT in the previous paper. Further, would it be possible to illustrate the difference by measuring lengths of CIS assemblies and plot length distributions (assuming the extended ones are long and contracted are short)?

      Thank you for your suggestions. We have included the results from our previous quantification of CIS assembly states observed in the WT in the revised manuscript (lines 106–110).

      In the acquired tomograms of CIS particles observed in intact and dead hyphae, we consistently observed only two CIS conformations: the fully extended state (average length of 233 nm, diameter of 18 nm) and the fully contracted state (average length of 124 nm, diameter of 23 nm). We have added this information to the revised manuscript (lines 112-114).

      - The Western blot in Fig. 3d, top panel, contains additional bands that are not mentioned. Are they non-specific bands? Absent in disA mutant? It would help if it was clarified in the legend what they are.

      Correct, these additional bands are unspecific bands, which are also visible in the lysate and soluble fraction of wild-type sample (negative control, no FLAG-tagged protein). We have now labelled these bands in the figure and clarified the figure legend.

      - Fig. S8a needs improvement. It was not possible to clearly see the stated effect of disA deletion on secondary metabolite production in these photos.

      We agree and have removed figure panel S8a from the manuscript. The quantification of total actinorhodin production shown in Figure S8b convincingly shows a significantly reduction of actinorhodin production in the cisA deletion mutant compared to the wildtype and the complement mutant.

      - It is not an important point, but the paragraph in lines 109-116 appears more like a re-iteration of the Introduction than Results.

      We agree. We have removed the highlighted text from the Results section and added some of the information to the introduction.

      - Line 206 appears to have a typo. Should it not be WT instead of WT cisA?

      Correct. This is a typo which has been fixed. Thank you.

      - At the end of the Discussion, it is suggested that a stepwise mechanism of recruiting CIS to the membrane and then triggering firing would prevent unwanted activation and self-inflicted death. Since both steps appear to be dependent in DisA, it would be good to more clearly spell out how such a stepwise mechanism would work and how it could prevent spontaneous and erroneous firing of the system.

      Thank you for this suggestion. We have revised the text to clarify the proposed stepwise mechanism. Based on additional structural modeling, we propose that the conserved extra-cytoplasmic domain of CisA may play a role in sensing stress signals. Binding of a ‘stress-associated molecule’ could induce a conformational change in CisA, a hypothesis supported by: (1) Foldseek protein structure searches, which suggest that the conserved C-terminal CisA domain resembles substrate/solute-binding proteins, and (2) AlphaFold3 models predicting that CisA can form a pentamer via its putative substrate-binding domain. This suggests that a transition from CisA monomers to pentamers in response to stress may serve as a key checkpoint, activating CisA and facilitating the recruitment of CIS assemblies to the membrane, either directly or indirectly. Conversely, in the absence of a stress signal, CisA is likely to remain in its monomeric (resting) form, incapable of triggering CIS firing. We have revised the discussion to explain the proposed model in more detail.

      We recognize that this model poses many testable hypotheses that we currently cannot test but aim to address in the future.

      Reviewer #3 (Recommendations for the authors):

      There are a few concerns potentially worth addressing to strengthen the study or for future investigation.

      (1) It would be worth considering moving the first part of the result ('CisA is required for CISSc contraction in situ') after presenting the structure of extended CISSc, and combining it with the last part of the result section ('CisA is essential for the cellular function of CISSc'), as both parts describe the functional characterization of CisA.

      We appreciate the reviewer’s suggestion but have chosen to retain the current order of the results. As this manuscript focuses on the role of CisA, we believe that first establishing a functional link between CisA and CIS contraction provides essential context and motivation for the study.

      (2) Line 169: it is not clear to me if the fusion of CisA with mCherry is functional (if it complements the native CisA). Moreover, it was not shown if its localization changes under nisin stress or in the strain with non-contractile CISSc.

      We have not tested if the CisA-mCherry fusion is fully functional. While we cannot exclude the possibility that the activity of this protein fusion is compromised in vivo, we believe that the described accumulation of CisA-mCherry at the membrane is accurate. This conclusion is further supported by the results obtained from protein fractionation experiments and the membrane topology assay (Figure 3).

      We did not examine if the localization of CisA-mCherry changes in CIS mutant strains under nisin-stress, but this is something we will follow up on in the future.

      (3) In ref 18, the previous work from the same team presented a functional fluorescent fusion of Cis2 (sheath), thus, it will be interesting to see if (i) Cis2 localization and dynamics is affected by the absence of CisA under normal and stressed conditions; (ii) if Cis2 shows any co-localization with CisA under normal and especially stressed conditions, and potentially, its timing correlation to ghost cell formation by time-lapse imaging of both fusions.

      We thank this reviewer for the suggestions, and we plan to address these questions in the future.

      (4) Line 261: it was hypothesized by authors that the cytosolic portion of CisA was required for interacting with Cis11. While it was not possible to verify the direct interaction at current state, a S. coelicolor mutant lacking this cytosolic domain may be of help to indirectly test the hypothesis. Moreover, it would be interesting to see if the cytosolic region alone is enough to induce the contraction upon stress (by removing the TM-C region). If so, whether it leads to cell death, or if it is insufficient to cause cell death without membrane association despite the sheath contraction. If not, it would suggest that membrane association occurs before contraction.

      These are really great suggestions and if we had the manpower and resources, we would have performed these experiments. We plan to follow up on these questions in the future.

      However, additional structural modelling of CisA indicates that CisA may exist in different configurations (see response to Reviewer #1 and #2), a monomeric and/or a pentameric configuration. In these structural models (revised Figure 3), CisA oligomerization is mediated by the annotated periplasmic solute-binding domain. It is conceivable that CisA oligomerization (e.g. in response to a stress signal) presents a critical checkpoint that results in a conformational change within CisA monomers that subsequently drives CisA oligomerization into a configuration primed to interact with CIS particles. We would therefore speculate that the expression of just the cytoplasmic CisA domain may not be sufficient for CIS contraction and cell death.

      (5) Line 263: as it was not possible to express full-length cisA in E. coli, making it difficult to assess the interaction between CisA and Cis11, it may be worth considering expressing the cytosolic portion of CisA (ΔTM-C) instead of full-length CisA, or alternatively performing a co-immunoprecipitation assay of CisA (i.e., with an affinity tag) from S. coelicolor cultures under stressed conditions. However, I am aware that these may be beyond the scope of this work but can be considered for future investigation in general.

      Thank you for your suggestions and your understanding that some of this work is beyond the scope of this work. We have performed CisA-FLAG co-immunoprecipitation experiments from S. coelicolor cultures that were treated with nisin for 0/15/45 min. However, mass spectrometry analysis of co-eluted peptides did not show the presence of CIS-associated peptides at the analysed timepoints. While we cannot exclude technical issues with our assays that resulted in an inefficient solubilization of CisA from Streptomyces membranes, an alternative hypothesis is that the interaction between CIS particles and CisA is very transient and therefore difficult to capture. We would like to mention, however, that we did detect CisA peptides in crude purifications of CIS particles from nisin-stressed cells (Supplementary Table 2, manuscript: line 301/302), supporting our proposed model that CisA can associate with CIS particles in vivo.

      Minor points:

      (1) I will suggest moving Supplementary Fig 2d with control quantification of WT strain and complementation strain (similar to Fig 3g from ref 18) to the main Fig 1, as the quantitative representation with better comparison without going back and forth to ref 18.

      Thank you for your suggestion. Instead of moving Supplementary Fig. 2d to the main figure, we have added additional information in lines 106–110 to discuss the previous quantification of CIS assembly states in the WT, as described in our earlier work. We believe this approach allows readers to easily reference our established quantification without compromising the flow of the main figures.

      (2) Line 52/785: as work of Ref 12 has recently been published DOI: 10.1126/sciadv.adp7088, the reference should be updated accordingly.

      This reference has been updated. Thank you.

      (3) A brief description of key differences between contracted (ref 18) and extended sheath structure will be a good addition for a broader audience.

      Thank you for this suggestion. We have added more information on lines 178–180.

      (4) Fig 3d: it is not clear how well the samples from different fractions were normalized in amount (volume and cell density), but there was an inconsistency in the amount of CisA-Flag in lysate, vs. soluble and membrane fractions (total protein amount combined from soluble fraction and membrane fraction together seemed to be more than in the lysate, while in theory it should be more or less equal; and the amount of WhiA from WT seemed to be less than from the CisA-Flag strain). In the method section, it was mentioned that 'The final pellet was dissolved in 1/10 of the initial volume with wash buffer (no urea). Equi-volume amounts of fractions were mixed with 2x SDS sample buffer and analyzed by immunoblotting.' But it is still not clear whether equivalent amounts (normalized to the same OD for example) were used and if we could directly compare. A brief clarification in the legend of how samples were prepared is needed.

      The samples were normalized by first using the same volume of starting material (similar culture density and incubation period for each strain) and by loading equal volumes of each fraction for analysis. After fractionation, equi-volume amounts of the soluble and membrane protein fractions were mixed with 2× SDS sample buffer and subjected to immunoblotting, ensuring a consistent basis for comparison between samples. We have revised the figure legend and Material and Method sections to make this clear.

      We agree that the amount of CisA-3xFLAG appears slightly lower in the “Lysate” fraction compared to the “Membrane” fraction in Figure 3d (now Fig. 3f). However, this does not affect the overall conclusion of this experiment, showing that CisA-3xFLAG is clearly enriched in the membrane fraction.

      For reference, please find below the uncropped version of this Western blot image. Based on the signal of the unspecific bands, we would like to argue that equal amounts of samples obtained from the WT control strain (no FLAG epitope present) and a strain producing CisA-3xFLAG were loaded for each of the fractions. When we revisited this data, we noted that the protein size marker was wrong. This has been fixed.

      Author response image 1.

      (5) Fig. 4f: statistical analysis is missing.

      The missing statistical analysis has been added to this figure and figure legend.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      In this work, the authors investigate the functional difference between the most commonly expressed form of PTH, and a novel point mutation in PTH identified in a patient with chronic hypocalcemia and hyperphosphatemia. The value of this mutant form of PTH as a potential anabolic agent for bone is investigated alongside PTH(1-84), which is a previously used anabolic therapy. The authors have achieved the aims of the study. Their conclusion, however, that this suggests a "new path of therapeutic PTH analog development" seems unfounded; the benefit of this PTH variant is not clear, but the work is still interesting.

      The work does not identify why the patient with this mutation has hypocalcemia and hyperphosphatemia; this was not the goal of the study, but the data are useful for helping to understand that.

      Strengths:

      The work is novel, as it describes the function of a novel, naturally occurring, variant of PTH in terms of its ability to dimerise, to lead to cAMP activation, to increase serum calcium, and its pharmacological action compared to normal PTH.

      Weaknesses:

      (1) The use of very young, 8-10 week old, mice as a model of postmenopausal osteoporosis is a major limitation of this study. At 8 weeks, the effect of ovariectomy leads to lack of new trabecular bone formation, rather than trabecular bone loss due to a defect in bone remodelling. Although the findings here provide a comparison between two forms of PTH, it is unlikely to be of direct relevance to the patient population. For example, the authors find an inhibitory effect of PTH on osteoclast surface, which is very unusual. Adding to this concern is that the authors have not described the regions used for histomorphometry, and from their figures (particularly the TRAP stain), it seems that the primary spongiosa (which is a region of growth) has been used for histomorphometry, rather than the secondary spongiosa (which more accurately reflects bone remodelling). Much further detail is needed to justify the use of this very young model, and a section on the limitations of this model is needed. Please provide that section in the revised manuscript.

      Thank you for your crucial comment. We obtained 8-week-old female mice and stabilized them in our facility for 2 weeks. Then, we performed OVX using 10-week-old mice and determined the effects of dimeric <sup>R25C</sup>PTH(1-34) on bone after 8 weeks because of 4 weeks for recovery and 4 weeks for PTH or <sup>R25C</sup>PTH(1-34). Therefore, we sacrificed the mice at 18-week-old mice. We revised the method section on page 18, line 436-441 and page 18, line 442-448 as follows.

      - ‘Eight-week-old C57BL/6N female mice were purchased from KOATECH (Gyeonggi-do, Republic of Korea), and stabilized mice for 2 weeks. All animal care and experimental procedures were conducted under the guidelines set by the Institutional Animal Care and Use Committees of Kyungpook National University (KNU-2021-0101). The mice were housed in a specific pathogen-free environment, with 4-5 mice per cage, under a 12-h light cycle at 22 ± 2°C. They were provided with standard rodent chow and water ad libitum.’

      - ‘An ovariectomized (OVX) mouse model was established using 10-week-old C57BL/6N female mice. Following surgery, mice were divided into the following four groups (n = 6 mice/group) as follows: sham, OVX control group, OVX + PTH (1–34) treated group (40 µg/kg/day), and OVX + dimeric <sup>R25C</sup>PTH treated group (40-80 µg/kg/day). OVX mice were allowed to recover for 4 weeks after surgery. Afterward, PTH (1–34) or <sup>R25C</sup>PTH was injected subcutaneously 5 times a week for 4 weeks. Micro-computed tomography (μ-CT) and histological analyses were performed on 4 groups at 18 weeks of age.’

      We also appreciate the reviewer's helpful comment on histology analysis. We agree with the reviewer’s comment that the primary spongiosa does not fully reflect bone remodeling. For histomorphometry analysis in young or male mice, we commonly use the secondary spongiosa, which more accurately reflects bone remodeling. However, in aged or OVX-induced osteoporosis mouse models, we use the primary and secondary spongiosa for histomorphometry analysis because of the barely detectable bone in the secondary spongiosa. In the TRAP staining, we observed an inhibitory effect of PTH on the osteoclast surface/bone surface, which was due to an increased bone surface in the PTH treatment group and less bone in the OVX-vehicle group. Serum CTX1 levels showed no significant difference between the OVX+vehicle and OVX+PTH(1-34) groups. We revised the Materials and Methods (page 21, line 502) and Discussion (page 14, line 330) sections as follows.

      - ‘In the histomorphometry analysis for TRAP staining, we used the secondary and primary spongiosa for the trabecular ROI because of the barely detectable in the secondary spongiosa of OVX model.’

      - ‘This study has several limitations. First, it is urgently necessary to determine whether dimeric <sup>R25C</sup>PTH is present in human patient serum. Second, TRAP staining showed an inhibitory effect of PTH treatment on the primary spongiosa area. However, the secondary spongiosa, which more accurately reflects bone remodeling (55), was not examined due to the barely detectable bone in this area in OVX-induced osteoporosis mouse models. Third, it is unclear whether similar bone phenotypes exist between human <sup>R25C</sup>PTH patients and dimeric <sup>R25C</sup>PTH-treated mice, particularly regarding low bone strength. Although the dimeric <sup>R25C</sup>PTH-treated group showed higher cortical BMD compared to WT-Sham or PTH groups, there was no difference in bone strength compared to the osteoporotic mouse model. Fourth, our study showed that PTH or <sup>R25C</sup>PTH treatment decreased circumferential length; it is uncertain if this phenotype is also present in PTH-treated or <sup>R25C</sup>PTH patients. Finally, we did not analyze the <sup>R25C</sup>PTH mutant mouse model, which would allow us to compare phenotypes that most closely resemble those of human patients.’

      (2) It is also somewhat concerning that the age range is from 8-10 weeks, increasing the variability within the model. Did the age of mice differ between the groups analysed?

      We utilized mice of the same age (10 weeks) across all experiments involving the surgically induced ovariectomy (OVX) model described as above.

      (3) Methods are not sufficiently detailed. For example, the regions used for histomorphometry are not described, there is no information on micro-CT thresholds, no detail on the force used for mechanical testing. Please address this request.

      Thank you for your comment. Let me address your points step by step.

      (1) Thresholds for analysis were determined manually based on grayscale values for each experimental group as follows: trabecular bone: 3000; cortical bone: 5000 for all samples. We utilized an HA (calcium hydroxyapatite) phantom with HA content ranging from 0 to 1200 mg CaHA/cm³ to measure the grayscale values via µ-CT. These measurements were then used to generate a standard curve.

      Author response image 1.

      (2) Bone parameters and density were analyzed in the region between 0.3–1.755 mm (Voxel size: 9.7um, 150 slices) from the bottom of the growth plate. Analysis of bone structure was performed using adaptive thresholding in a CT Analyser.

      Author response image 2.

      (3) Three‐point bending test, the left femur of the mouse was immersed in 0.9 % NaCl solution, wrapped in gauze, and stored at −20°C until ready for a three-point bending test. In this test, we placed the mouse femurs positioned horizontally with the anterior surface facing upwards, centered on the supports, and the compressive force was applied vertically to the mid-shaft. The pressure sensor was positioned at a distance that allowed for the maximum allowable pressure (200N) without interfering with the test (20.0 mm for the femur). A miniature material testing machine (Instron, MA, USA) was used for this test. The crosshead speed was decreased to 1 mm/min until failure. During the test, force-displacement data were collected to determine the maximum load and slope of the bones.

      (4)  As the reviewer’s suggestion, we revised the methods on page 20, line 477 and line 482-486 as follows.

      - ‘Bone parameters and density were analyzed in the region between 0.3–1.755 mm (150 slices) from the bottom of the growth plate. Analysis of bone structure was performed using adaptive thresholding in a µ-CT Analyser. Thresholds for analysis were determined manually based on grayscale values for each experimental group: trabecular bone: 3000; cortical bone: 5000 for all samples.’

      -  ‘The left femur of the mouse was immersed in 0.9 % NaCl solution, wrapped in gauze, and stored at −20°C until ready for a three-point bending test. In this test, we placed the mouse femurs horizontally with the anterior surface facing upwards, centered on the supports, and the compressive force was applied vertically to the mid-shaft. The pressure sensor was positioned at a distance that allowed maximum allowable pressure (1000N) without interfering with the test (20.0 mm for the femur). A miniature material testing machine (Instron, MA, U.S.A.) was used for this test. The crosshead speed was decreased to 1 mm/min until failure. During the test, force-displacement data were collected to determine the maximum load and slope of the bones.’

      (4) There are three things unclear about the calvarial injection mouse model. Firstly, were the mice injected over the calvariae or with a standard subcutaneous injection (e.g. at the back of the neck)? If they were injected over the calvaria, why were both surfaces measured? Secondly, why was the dose of the R25C-PTH double that of PTH(1-34)? Thirdly, there is no justification for the use of "more intense coloration" as a marker of new bone; this requires calcein labelling to prove it new bone. It would be more reliable to measure and report the thickness of the calvaria. Please address these technical questions.

      Thank you for your valuable feedback on the calvarial injection mouse model. Below are our responses to the specific points mentioned:

      (1) Injection method and measurement sites: The injections were administered subcutaneously above the calvaria, rather than at the standard subcutaneous site such as the back of the neck. This approach was chosen to ensure direct delivery of the peptide to the target area, enhancing the localized effects on bone formation. Measurements were taken at two different parts of the calvaria to account for any variation in the spread and absorption of the administered substance following injection. By analyzing both surfaces, we aimed to provide a comprehensive assessment of the impact on calvarial bone thickness.

      (2) Dose of <sup>R25C</sup>PTH compared to PTH(1-34): The dose of <sup>R25C</sup>PTH used in our study was determined based on molecular weight calculations. The molecular weight of the dimeric <sup>R25C</sup>PTH(1-34) is approximately twice that of the monomeric PTH(1-34). Therefore, to maintain a consistent molar concentration and ensure comparable biological effects, the dose of <sup>R25C</sup>PTH was adjusted accordingly.

      (3) Use of "more intense coloration" as a marker of new bone: We acknowledge that calcein labeling would provide a more reliable and quantifiable way to identify new bone formation. The use of “more intense coloration” was intended as a qualitative indicator in this study, and we recognize the technical limitations of this approach.

      (5) The presentation of mechanical testing data is not sufficient. Example curves should be shown, and data corrected for bone size needs to be shown. The difference in mechanical behaviour is interesting, but does it stem from a difference in the amount of bone, or two a difference in the quality of the bone? Please explain this matter better in the manuscript.

      Thank you for your comment.

      As a reviewer's comment, we provided example curves for the rat femur three-point bending test as shown below.

      Author response image 3.

      (1) The cortical bone area was decreased in the OVX-Vehicle and OVX-<sup>R25C</sup>PTH(1-34) groups but not in the OVX-PTH(1-34) group compared to the Sham group. However, the total bone area was decreased in the PTH(1-34) and <sup>R25C</sup>PTH(1-34) treated groups, with no significant difference in the OVX-Vehicle group compared to the Sham group. Collectively, there was an increase in cortical thickness which resulted in a narrowing of the bone marrow space in OVX-<sup>R25C</sup>PTH(1-34) groups. Accordingly, we revised Fig 5B with the addition of Tt.Ar and Ct.Ar.

      (2) As the reviewer’s suggestion, we revised the results on page 10, line 220-228 s follows.

      - ‘Quantitative micro-computed tomography (μ-CT) analysis of the femurs obtained from each group revealed that, as compared to OVX + vehicle controls, treatment with PTH(1–34) increased femoral trabecular bone volume fraction (Tb.BV/TV) by 121%, cortical bone volume fraction (Ct.BV/TV) by 128%, cortical thickness (Ct.Th) by 115%, cortical area (Ct.Ar) by 110%, and cortical area fraction (Ct.Ar/Tt.Ar) by 118% while decreased total tissue area (Tt.Ar) by 93% (Figure 5A and 5B). Treatment with dimeric <sup>R25C</sup>PTH(1-34) had similar effects on the femoral cortical bone parameters, as it increased Ct.BMD by 104%, Ct.BV/TV by 125%, Ct.Th by 107%, and Ct.Ar/Tt.Ar by 116%, while decreased Tt.Ar 86% (Figure 5). Considering the reduction of Tt.Ar and no change of Ct.Ar compared to the OVX+vehicle controls, the increase of Ct.Ar/Tt.Ar indicates a decrease in bone marrow space. The increase in cortical bone BMD was significant with dimeric <sup>R25C</sup>PTH(1-34) but not with PTH(1-34), whereas an increase in femoral trabecular bone was only observed with PTH(1-34).’

      (6) The micro-CT analysis of the cortical bone in the OVX model is insufficient. Please indicate whether cross-sectional area has increased. Is there an increase in the size of the bones, or is the increase in cortical thickness due to a narrowing of the marrow space? This may help resolve the apparent contradiction between the cortical thickness data (where there is no difference between the two PTH formulations) and the mechanical testing data (where there is a difference). Please explain this matter better in the manuscript.

      Thank you for your comment.

      (1) The cortical bone area was decreased in the OVX-Vehicle and OVX-<sup>R25C</sup>PTH(1-34) groups but not in the OVX-PTH(1-34) group compared to the Sham group. However, the total bone area was decreased in the PTH(1-34) and <sup>R25C</sup>PTH(1-34) treated groups, with no significant difference in the OVX-vehicle group compared to the Sham group. Taken together, there was an increase in cortical thickness due to a narrowing of the bone marrow space in OVX-<sup>R25C</sup>PTH(1-34) groups. Therefore, we revised as above.

      (2) As the reviewer’s suggestion, we revised the results on page 10, line 220-228 as follows.

      - ‘Quantitative micro-computed tomography (μ-CT) analysis of the femurs obtained from each group revealed that, as compared to OVX + vehicle controls, treatment with PTH(1–34) increased femoral trabecular bone volume fraction (Tb.BV/TV) by 121%, cortical bone volume fraction (Ct.BV/TV) by 128%, cortical thickness (Ct.Th) by 115%, cortical area (Ct.Ar) by 110%, and cortical area fraction (Ct.Ar/Tt.Ar) by 118% while decreased total tissue area (Tt.Ar) by 93% (Figure 5A and 5B). Treatment with dimeric <sup>R25C</sup>PTH(1-34) had similar effects on the femoral cortical bone parameters, as it increased Ct.BMD by 104%, Ct.BV/TV by 125%, Ct.Th by 107%, and Ct.Ar/Tt.Ar by 116%, while decreased Tt.Ar 86% (Figure 5B). Considering the reduction of Tt.Ar and no change of Ct.Ar compared to the OVX+vehicle controls, the increase of Ct.Ar/Tt.Ar indicates a decrease in bone marrow space. The increase in cortical bone BMD was significant with dimeric <sup>R25C</sup>PTH(1-34) but not with PTH(1-34), whereas an increase in femoral trabecular bone was only observed with PTH(1-34).’

      (7) The evidence that dimeric PTH has a different effect to monomeric PTH is very slim; I am not sure this is a real effect. Such differences take a long time to sort out (e.g. the field is still trying to determine whether teriparatide and abaloparatide are different). I think the authors need to look more carefully at their data - almost all effects are the same. Ultimately, the statement that dimeric PTH may be a more effective anabolic therapy than monomeric PTH are not supported by the data, and this should be removed. There is little to no difference found between normal PTH and the variant in their effects on calcium and phosphate homeostasis or on bone mass. However, the analysis has been somewhat cursory, with insufficient mechanical testing or cortical data presented. Many of the effects seem to be the same (e.g. cortical thickness, P1NP, ALP, vertebral BV/TV and MAR), but the way it is written it sounds like there is a difference. Please remove some of the unfounded claims that you have made in this manuscript.

      Thank you for your insightful comments. We strongly agree with your conclusion that PTH and dimeric <sup>R25C</sup>PTH indeed exhibit similar activities. We have toned-down our statement, however, there are still some elements showing statistical significance that need to be clearly stated. Specifically, when we changed the statistical method from t-test to one-way ANOVA, the significance of bone formation markers were only observed in dimeric PTH treated samples, and we have revised the manuscript of Results section on page 9, line 206-212 as follows to reflect the change.

      - ‘These analyses revealed that both PTH(1-34) and dimeric <sup>R25C</sup>PTH(1-34) significantly increased the width of the new bone area by approximately four-fold, as compared to the vehicle group (Figure 4B). These findings thus support a capacity of dimeric <sup>R25C</sup>PTH(1-34) to induce new bone formation in vivo, similar to PTH, despite molecular and structural changes.’

      Although it is unclear whether <sup>R25C</sup>PTH circulate as dimeric form or mutant monomeric form, the absence of bone resorption associated with long-term PTH exposure in the patients suggests the potential for a bone anabolic drug without side effects. Also, continued observation of the recently reported young patient in Denmark is expected to clarify this effect further. However, we acknowledge that our current data alone are insufficient to claim that <sup>R25C</sup>PTH may be a more effective anabolic therapy than wild type PTH, and we have adjusted our tone accordingly.

      (8) Statistical analysis used multiple t-tests. ANOVA would be more appropriate.

      We agree with your suggestion. To compare the means among three or more groups, ANOVA is more appropriate than the t-test. Accordingly, we performed new statistical analyses using one-way and two-way ANOVA. One-way ANOVA was applied to figure 4, 5, and 6 (In previous, figure 5, 6, and 7), and two-way ANOVA was applied to Figure 3, considering both time and treatment variables. We revised some of the figures and descriptions to reflect the changes in significance.

      Thank you for Reviewer #1’s thorough and thoughtful review. We greatly appreciate the suggestions and will incorporate them to enhance the quality of our paper.

      Reviewer #2 (Public Review):

      Summary:

      The study conducted by Noh et al. investigated the effects of parathyroid hormone (PTH) and a dimeric PTH peptide on bone formation and serum biochemistry in ovariectomized mice as a model for postmenopausal osteoporosis. The authors claimed that the dimeric PTH peptide has pharmacological benefits over PTH in promoting bone formation, despite both molecules having similar effects on bone formation and serum Ca2+. However, after careful evaluation, I am not convinced that this manuscript adds a significant contribution to the literature on bone and mineral research.

      Strengths:

      Experiments are well performed, but strengths are limited to the methodology used to evaluate bone formation and serum biochemical analysis.

      Weaknesses:

      (1) Limited significance of this study:

      • This study follows a previous study (not cited) reporting the effect of the dimeric R25CPTH(1-34) on bone regeneration in an osteoporotic dog (Beagle) model (Jeong-Oh Shin et al., eLife 13:RP93830, 2024). It's unclear why the authors tested the dimeric R25C-PTH peptide on a rodent animal model, which has limitations because the healing mechanism of human bone is more similar in dogs than in mice.

      Thank you for your interest in our research. To address the paper by Shin et al. (2024, DOI:10.7554/eLife.93830.1), we would like to clarify that our research on dimeric <sup>R25C</sup>PTH(1-34) was conducted first. Initially, we confirmed dimerization under in vitro conditions and observed its effects in a mouse model. Recognizing the need for additional animal models, we collaborated with Shin et al.'s team. Due to delays during the submission process, our paper was submitted later, which seems to have led to this misunderstanding. However, Shin et al. (2024) cited our pre-print article on bioRxiv (Noh, M., Che, X., Jin, X., Lee, D. K., Kim, H. J., Park, D. R., ... & Lee, S. (2024). Dimeric R25CPTH (1-34) Activates the Parathyroid Hormone-1 Receptor in vitro and Stimulates Bone Formation in Osteoporotic Female Mice. bioRxiv, 2024-03.DOI: 10.1101/2024.03.13.584815). Both Shin et al., and our mouse work supports the action of dimeric R25CPTH(1-34) on regulating bone metabolism.

      • The authors should clarify why they tested the effects of dimeric <sup>R25C</sup>PTH(1-34) and not dimeric <sup>R25C</sup>PTH(1-84)?

      Thank you for your valid comments. Here are several reasons why we used the 1-34 fragment peptide in our experiment. Currently, PTH analog peptides for medical purposes include human parathyroid hormone fragment 1-34 (PTH(1-34)) and full-length recombinant human parathyroid hormone (rhPTH(1-84)). PTH(1-34) is used as a bone anabolic agent, while rhPTH(1-84) is used for PTH replacement therapy in hypoparathyroid patients with hypocalcemia. We aimed to compare the bone formation effects of R25CPTH with wild-type PTH, for which PTH(1-34) was deemed more appropriate. Additionally, previous studies have shown that both PTH(1-34) and PTH(1-84) possess equal ligand binding affinity for the PTH1 receptor. Key sites within the first 34 N-terminal amino acids of PTH are critical for high-affinity interactions and receptor activation. Alterations in the N-terminal sequence of PTH(1-84) significantly reduce receptor binding, while truncations at the C-terminal end do not affect receptor affinity. The peptide used in our experiment was synthetic, and if the length does not affect affinity to its receptor affinity, the shorter length of PTH(1-34) made its synthesis more reasonable. Consequently, we tested the effects of PTH(1-34) and dimeric R25CPTH(1-34) due to its known efficacy on bone anabolic effect and relevance in receptor interactions. However, we aim to conduct functional analysis of the dimeric R25CPTH(1-84) in further study.

      • The study is descriptive with no mechanism.

      We recognize that your concern is legitimate. While our study includes descriptive elements, it extends beyond mere observation. The R25CPTH research, which began with a case report, has evolved to utilize molecular techniques to better understand the unique physiological phenomena observed in patients. We have validated the peptide’s dimerization caused by mutations in vitro and assessed their effects in both in vitro cell line models and in vivo mouse models. Although we have not yet confirmed whether <sup>R25C</sup>PTH exists as a dimer or monomer in patient blood, we anticipate it may exist in dimeric form at least some fractions and are currently conducting mass spectrometry on patient blood samples to determine this. Therefore, this paper serves as the first report on this PTH mutant suggesting that it may form a homodimer. Importantly, we are actively investigating the molecular mechanisms and downstream signaling pathways that differentiate normal PTH from dimeric <sup>R25C</sup>PTH. This includes analyzing differences in proteome and transcriptome induced by PTH and dimeric <sup>R25C</sup>PTH and examining the direct molecular characteristics and structural changes responsible for these mutations. Through this comprehensive approach, we aim to provide a detailed mechanistic understanding of <sup>R25C</sup>PTH in the subsequent publication.

      (2) Statistics are inadequately described or performed for the experimental design:

      • The statistical analysis in Figure 5 needs to be written in a way that makes it clearer how statistics were done; t-test or one-way ANOVA?

      Sorry for the inconvenience and thank you for your thorough review. Initially, we conducted the statistical analysis using a t-test. However, during the revision process, we performed a new statistical analysis using one-way ANOVA, as it is more appropriate for comparing the means among three or more groups. Despite this change, there were no differences in statistical significance, so the descriptions remained unchanged.

      • Statistics in Figures 6 and 7 should be performed by one-way ANOVA to compare the mean values of one variable among three or more groups, and not t-test.

      Thank you for your thorough review, and I apologize for any inconvenience. I agree with your suggestion that ANOVA is more appropriate than the t-test for comparing means among three or more groups. Accordingly, we performed new statistical analyses using one-way ANOVA. When we changed the statistical method from t-test to one-way ANOVA, the significance of bone formation markers, P1NP and ALP, appeared only in dimeric R25CPTH and not in wild-type PTH. We have reflected these findings in the text.

      (3) Misleading and confused discussion:

      • The first paragraph lacks clarity in the PTH nomenclature and the authors should provide a clear statement that the PTH mutant found in patients is likely a monomeric R25CPTH(1-84), considering that there has been no proof of a dimeric form.

      Thank you for your insightful comments. I agree that there was some ambiguity in the nomenclature used in the first paragraph of the Discussion section. However, we do not believe that no proof of a dimeric form of the <sup>R25C</sup>PTH(1-84) mutant necessarily indicates that the PTH mutant in the blood is solely monomeric. Identifying the in vivo structure of <sup>R25C</sup>PTH(1-84) is one of the goals of our ongoing project. While the exact form of <sup>R25C</sup>PTH(1-84) in patients is still elusive, we are investigating the possibility that some fraction may exist as a dimer. On page 12, line 274-276, we have revised the content to address this issue and improve clarity as follows.

      - ‘In this study, we show the introduction of a cysteine mutation at the 25th amino acid position of mature parathyroid hormone (<sup>R25C</sup>PTH) facilitates the formation of homodimers comprised of the resulting dimeric R25CPTH peptide in vitro.’

      • Moreover, the authors should discuss the study by White et al. (PNAS 2019), which shows that there are defective PTH1R signaling responses to monomeric R25CPTH(1-34). This results in faster ligand dissociation, rapid receptor recycling, a short cAMP time course, and a loss of calcium ion allosteric effect.

      Sorry for the inconvenience and thank you for your thorough review. The authors were aware of the referenced paper and deeply apologize for its omission during the writing and editing process. Citing this paper will enhance the credibility of our findings. We have now included this citation and made the necessary adjustments to the manuscript of Discussion section on page 12, line 295-296 as follows.

      - ‘We also observed that the potency of cAMP production in cells was lower for dimeric <sup>R25C</sup>PTH as compared to the monomeric <sup>R25C</sup>PTH, in accordance with a lower PTH1R-binding affinity. Previous reports indicated that a mutation at the 25th position of PTH results in the loss of calcium ion allosteric effects on monomeric <sup>R25C</sup>PTH, leading to faster ligand dissociation, rapid receptor recycling, and a shorter cAMP time course (50). Correspondingly, the weaker receptor affinity and reduced cAMP production observed in dimeric <sup>R25C</sup>PTH suggest a possibility that the formation of a disulfide bond at the 25th position significantly alters the function of PTH as a PTH1R ligand. These structural effects are not yet fully understood and need to be investigated further.’

      • The authors should also clarify what they mean by "the dimeric form of R25CPTH can serve as a new peptide ...(lines 328-329)" The dimeric R25CPTH(1-34) induces similar bone anabolic effects and calcemic responses to PTH(1-34), so it is unclear what the new benefit of the dimeric PTH is.

      We apologize for any confusion in our previous description. We concur that, as you mentioned, PTH and dimeric <sup>R25C</sup>PTH indeed exhibit similar activities. We have toned-down our statement, however, there are still some elements showing statistical significance that need to be clearly stated. Specifically, when we changed the statistical method from t-test to one-way ANOVA, the significance of bone formation markers was only observed in dimeric PTH treated samples, and we have revised the manuscript of Results section on page 9, line 206-212 as follows to reflect the change.

      - ‘These analyses revealed that both PTH(1-34) and dimeric <sup>R25C</sup>PTH(1-34) significantly increased the width of the new bone area by approximately four-fold, as compared to the vehicle group (Figure 4B). These findings thus support a capacity of dimeric <sup>R25C</sup>PTH(1-34) to induce new bone formation in vivo, similar to PTH, despite molecular and structural changes.’

      Although it is unclear whether <sup>R25C</sup>PTH circulate as dimeric form or mutant monomeric form, the absence of bone resorption associated with long-term PTH exposure in the patients suggests the potential for a bone anabolic drug without side effects. Also, continued observation of the recently reported young patient in Denmark is expected to clarify this effect further. However, we acknowledge that our current data alone are insufficient to claim that <sup>R25C</sup>PTH may be a more effective anabolic therapy than wild type PTH, and we have adjusted our tone accordingly.

      Thank you for Reviewer #2’s comprehensive and considerate review. We are grateful for the ideas, and we have revised our manuscript accordingly them to improve our paper.

      Reviewer #1 (Recommendations For The Authors):

      (1) Figure 1D lacks molecular weight markers.

      Thank you for your thorough review. We added protein molecular weight markers in the figure.

      (2) The lack of change in plasma cAMP is very surprising, particularly given that there is no difference in the effect of the two forms of PTH on serum calcium or phosphate, or urinary phosphate. This data is somewhat of a distraction since no effort has been made to assess the difference in the effects of these PTH forms on kidney function. I suggest removing this data and spending time working on the origin of this difference.

      Thank you for your insightful comments and valuable suggestions on our manuscript. We also could not precisely explain the discrepancy between the cell line and animal model experiments. However, since the results were consistently observed, we included them in the paper as they may be significant. We acknowledge that in the context of our current research, these data lack sufficient correlation with other findings. Therefore, we have removed the data about the lack of change in plasma cAMP by PTH injection (Figure 4. Effect of cAMP production by PTH injection in CD1 female mice) and revised the manuscript accordingly (Page 8, line 188-194; page 12, line 301-306; page 19, line 454-456). We are currently conducting further research with multiomics data analysis to elucidate potential differences in the sub-signaling pathways between PTH and dimeric R25CPTH, to identify the specific functions affected by these variations, and to understand the underlying mechanisms. The lack of changes in plasma cAMP levels in vivo will be addressed in a subsequent publication detailing our findings.

      (3) Introduction, line 61. The authors state that "most" anti-resorptive therapies cannot stimulate new bone formation. I don't believe that ANY anti-resorptive therapies stimulate new bone formation! If there is one, this should be referenced.

      Thank you for pointing out important aspects. Romosozumab, a humanized monoclonal anti-sclerostin antibody, has a dual effect by enhancing bone formation and inhibiting bone resorption. Sclerostin, a protein produced by osteocytes, plays a role in the regulation of bone metabolism. It promotes osteoclast differentiation, which is associated with bone resorption, and suppresses osteoblast activity, which is crucial for bone formation. By binding to sclerostin, Romosozumab prevents it from blocking the signaling pathways necessary for osteogenesis. Consequently, Romosozumab therapy not only regulates bone resorption but also affects new bone formation. We added the references to that information.

      (4) The authors tend to include a lot of methods in the results section (e.g. describing the number of replicates, and details of histological analysis). This should be minimized.

      Thank you for your thorough review, and sorry for the inconvenience. We have minimized the methodological details in the results section, ensuring that only essential information for understanding the findings and the procedures remain.

      (5) Lines 302-305: If retaining the blood cAMP data, please provide references for the assertion that renal PTH receptors mediate this response.

      PTH exerts its effects primarily through the PTH1 receptor (PTH1R), a G protein-coupled receptor present in various tissues, including bone and kidney (Chase et al., 1968, Chase et al., 1970). When activated by PTH, this receptor stimulates the production of cyclic AMP (cAMP), with the kidneys playing a significant role in this process (Maeda et al., 2013). In the initial manuscript, the importance of renal PTH receptors in mediating the blood cAMP response may have been overemphasized. We appreciate your feedback on this point, and we have provided references to support this assertion. However, by process following the former ‘Recommendations for the Authors’, we removed the data about the lack of change in plasma cAMP by PTH injection, the description of the renal PTH receptors mediate this response of blood cAMP also removed.

      - Chase, Lewis R., and G. D. Aurbach. "Renal adenyl cyclase: anatomically separate sites for parathyroid hormone and vasopressin." Science 159.3814 (1968): 545-547.DOI:10.1126/science.159.3814.545

      - Chase, Lewis R., and G. D. Aurbach. "The effect of parathyroid hormone on the concentration of adenosine 3', 5'-monophosphate in skeletal tissue in vitro." Journal of Biological Chemistry 245.7 (1970): 1520-1526.DOI:10.1016/S0021-9258(19)77126-9

      - Maeda, Akira, et al. "Critical role of parathyroid hormone (PTH) receptor-1 phosphorylation in regulating acute responses to PTH." Proceedings of the National Academy of Sciences 110.15 (2013): 5864-5869.DOI: 10.1073/pnas.1301674110

      (6) Eosin stains bone pink and haematoxylin stains cells purple. This has been incorrectly described in the manuscript.

      Thank you for your thorough review, and I apologize for any confusion caused by the poor description. It appears that the terms were used interchangeably during the editing process. We have corrected the description in the manuscript and will ensure such mistakes do not occur again in the future.

      (7) Sodium thiosulphate is a fixative for Von Kossa staining, not an agent that removes nonspecific binding.

      Thank you for your careful review. However, there seems to be a misunderstanding of sodium formaldehyde as sodium thiosulfate. A 5% sodium thiosulfate solution is a critical in vitro diagnostic agent used in various staining kits. As a reducing agent, it effectively removes excess silver ions in staining kits based on silver impregnation techniques. In our experiment, sodium thiosulfate was specifically used to remove residual silver ions in Von Kossa staining. For more details, please refer to the following link: https://www.morphisto.de/en/shop/detail/d/Natriumthiosulfat_5//12825/.

      Reviewer #2 (Recommendations For The Authors):

      Moderate-to-Minor points:

      • Line 73: it's either class B GPCR or secretin receptor family but not class B GPCR family.

      Thank you for your thorough review, and I apologize for any confusion in our previous description. We corrected the description in the manuscript as class B GPCR.

      • Line 79: correct "adenylate cyclase" to "transmembrane adenylate cyclases"

      Thank you for your thorough review, and I apologize for any confusion in our previous description. We corrected the description in the manuscript as transmembrane adenylate cyclases.

      • Line 89: should "hypothyroidism" be "hypoparathyroidism"?

      Thank you for your thorough review, and I apologize for any confusion in our previous description. We corrected the description in the manuscript as hypoparathyroidism.

      • Line 159: all agonists display higher binding affinities when their receptors are coupled to G proteins, so it's unclear why the higher affinity of the dimeric <sup>R25C</sup>PTH(1-34) for the RG state seems to be important for the authors.

      Thank you for your insightful comments. First of all, comparing the binding affinities of the R0 (G protein-uncoupled) and RG (G protein-coupled) conformations of the receptor is inappropriate. This is because the form and size of the radio-label ligand bound to each conformation differ, which consequently affects their binding affinities and, in turn, influences the binding strength of target ligands such as PTH, monomeric <sup>R25C</sup>PTH, and dimeric <sup>R25C</sup>PTH. Therefore, it is preferable to compare how the binding strengths of test ligands differ for each conformation. Additionally, the fact that significant binding affinity is lost for R<sup>0</sup> while remaining high for the RG conformation of PTH1R is important because typical PTH exhibits high binding affinity for R0, whereas PTHrP shows higher affinity for the RG conformation. This suggests that dimeric <sup>R25C</sup>PTH may possess distinct molecular characteristics and potentially induce different downstream signaling pathways compared to typical PTH.

      • Line 169-170 and Fig. 2: According to the theory of receptor pharmacology established in the 60s' for native receptors (Arch. Int. Pharmacodyn. 127:459-478 (1960); Arch. Int. Pharmacodyn. 136:385-413 (1962)) and verified later in the 80-90's for recombinant GPCRs, the activity constant (Kact or EC50) value of hormone actions in various tissues or cells is equal to the dissociation constant (Kd) of the hormone when receptors are not overexpressed (EC50 = Kd). When receptors are overexpressed (presence of spare receptors), then EC50 < Kd. Assuming that after Cheng-Prussof correction for data in Fig. 2, IC50 < Ki = Kd, how do the authors explain that IC50 values for RG are about 1-Log lower than EC50s (i.e., EC50 > Kd)?

      We appreciate your insightful comment and fully acknowledge the established theory of receptor pharmacology, which states that Kd equals EC50, and when the receptor is overexpressed, EC50 is less than Kd. After having read your comments, we have revisited this paper Okazaki et al, PNAS, 2008 to better understand the PTH interaction with PTH1R. While our data might appear to contradict this theory, we believe that a direct comparison between the IC50 of RG and the EC50 in Figure 2 may not be entirely appropriate for the following reasons. First, the IC50 was determined from membrane preparations of a receptor-overexpressing cell line (GP-2.3), whereas the EC50 was calculated based on the cAMP response in SaOS-2 cells. These different experimental conditions contribute to the observed discrepancies. Second, the peptides used in the competition assays differ. R<sup>0</sup> utilized radiolabeled PTH(1-34), while RG employed M-PTH(1-15) with several amino acid substitutions and a shorter length. This further complicates a direct comparison between the EC50 and IC50 values in our study.

      Thank you for all the reviewers’ thorough and thoughtful reviews. We greatly appreciate your suggestions and have addressed all the issues to enhance the quality of our paper.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      In "Changes in wing morphology..." Roy et al investigate the potential allometric scaling in wing morphology and wing kinematics in 8 different hoverfly species. Their study nicely combines different new and classic techniques, investigating flight in an important, yet understudied alternative pollinator. I want to emphasize that I have been asked to review this from a hoverfly biology perspective, as I do not work on flight kinematics. I will thus not review that part of the work.

      Strengths:

      The paper is well-written and the figures are well laid out. The methods are easy to follow, and the rationale and logic for each experiment are easy to follow. The introduction sets the scene well, and the discussion is appropriate. The summary sentences throughout the text help the reader.

      We thank the reviewer for these positive comments on our study.

      Weaknesses:

      The ability to hover is described as useful for either feeding or mating. However, several of the North European species studied here would not use hovering for feeding, as they tend to land on the flowers that they feed from. I would therefore argue that the main selection pressure for hovering ability could be courtship and mating. If the authors disagree with this, they could back up their claims with the literature.

      We thank the reviewer for this insight on potential selection pressures on hovering flight. As suggested, we now put the main emphasize on selection related to mating flight (lines 106–111).

      On that note, a weakness of this paper is that the data for both sexes are merged. If we agree that hovering may be a sexually dimorphic behaviour, then merging flight dynamics from males and females could be an issue in the interpretation. I understand that separating males from females in the movies is difficult, but this could be addressed in the Discussion, to explain why you do not (or do) think that this could cause an issue in the interpretation.

      We acknowledge that not distinguishing sexes in the flight experiment prevents investigating the hypothesis that selection may act especially on male’s flight. This weakness was not addressed in our first manuscript and is now discussed in the revised Discussion section. We nuanced the interpretation and suggested further investigation on flight dimorphism (lines 726–729).

      The flight arena is not very big. In my experience, it is very difficult to get hoverflies to fly properly in smaller spaces, and definitely almost impossible to get proper hovering. Do you have evidence that they were flying "normally" and not just bouncing between the walls? How long was each 'flight sequence'? You selected the parts with the slowest flight speed, presumably to get as close to hovering as possible, but how sure are you that this represented proper hovering and not a brief slowdown of thrust?

      We very much agree with the reviewer that flight studied in laboratory conditions does not perfectly reflects natural flight behavior. Moreover, having individual hoverflies performing stable hovering in the flight arena, in the intersecting field of view of all three cameras, is quite challenging. Therefore, we do not claim that we studied “true” hovering (i.e. flight speed = 0 m/s), but that we attempted to get as close as possible to true hovering by selecting the flight sections with the lowest flight speeds for our analysis.

      In most animal flight studies, hovering is defined as flight with advance ratios J<0.1, i.e. when the forward flight speed is less than 10% of the wingbeat-induced speed of the wingtip (Ellington, 1984a; Fry et al., 2005; Liu and Sun, 2008). By selecting the low flight-speed wingbeats for our analysis, the mean advance ratio in our experiment was 0.08±0.02 (mean±sd), providing evidence that the hoverflies were operating close to a hovering flight mode. This is explained in both the methods and results sections (lines 228–231 and 467–469, respectively).

      We however acknowledge that this definition of hovering, although generally accepted, is not perfect. We edited the manuscript to clarify that our experiment does not quantify perfect hovering (lines 186–188). We moreover added the mean±sd duration of the recorded flight sequence from which the slowest wingbeat was selected (line 179), as this info was missing, and we further describe the behaviour of the hoverflies during the experiment (lines 168–169).

      Your 8 species are evolutionarily well-spaced, but as they were all selected from a similar habitat (your campus), their ecology is presumably very similar. Can this affect your interpretation of your data? I don't think all 6000 species of hoverflies could be said to have similar ecology - they live across too many different habitats. For example, on line 541 you say that wingbeat kinematics were stable across hoverfly species. Could this be caused by their similar habitat?

      We agree with the reviewer that similarity in habitat and ecology might partially explain the similarity in the wingbeat kinematics that we observe. But this similarity in ecology between the eight studied species is in fact a design feature of our study. Here, we aim to study the effect of size on hoverfly flight, and so we designed our study such that we maximize size differences and phylogenetic spread among the eight species, while minimizing variations in habitat, ecology and flight behavior (~hovering). This allows us to best test for the effect of differences in size on the morphology, kinematics and aerodynamics of hovering flight.

      Despite this, we agree with the reviewer that it would be interesting to test whether the observed allometric morphological scaling and kinematic similarity is also present beyond the species that we studied. In our revision, we therefore extended our analysis to address this question. Performing additional flight experiments and fluid mechanics simulations was beyond the scope of our current study, but extending the morphological scaling analyses was certainly possible.

      In our revised study, we therefore extended our morphological scaling analysis by including the morphology of twenty additional hoverfly species. This extended dataset includes wing morphology data of 74 museum specimens from Naturalis Biodiversity Centre (Leiden, the Netherlands), including two males and two females per species, whenever possible (4.2±1.7 individuals per species (mean±sd)). This extended analysis shows that the allometric scaling of wing morphology with size is robust along the larger sample of species, from a wider range of habitats and ecologies. Nevertheless, we advocate for additional flight measurement in species from different habitats to ascertain the generality of our results (lines 729–732).

      Reviewer #2 (Public review):

      Summary

      Le Roy et al quantify wing morphology and wing kinematics across eight hoverfly species that differ in body mass; the aim is to identify how weight support during hovering is ensured. Wing shape and relative wing size vary significantly with body mass, but wing kinematics are reported to be size-invariant. On the basis of these results, it is concluded that weight support is achieved solely through size-specific variations in wing morphology and that these changes enabled hoverflies to decrease in size throughout their phylogenetic history. Adjusting wing morphology may be preferable compared to the alternative strategy of altering wing kinematics, because kinematics may be under strong evolutionary and ecological constraints, dictated by the highly specialised flight and ecology of the hoverflies.

      Strengths

      The study deploys a vast array of challenging techniques, including flight experiments, morphometrics, phylogenetic analysis, and numerical simulations; it so illustrates both the power and beauty of an integrative approach to animal biomechanics. The question is well motivated, the methods appropriately designed, and the discussion elegantly and convincingly places the results in broad biomechanical, ecological, evolutionary, and comparative contexts.

      We thank the reviewer for appreciating the strengths of our study.

      Weaknesses

      (1) In assessing evolutionary allometry, it is key to identify the variation expected from changes in size alone. The null hypothesis for wing morphology is well-defined (isometry), but the equivalent predictions for kinematic parameters remain unclear. Explicit and well-justified null hypotheses for the expected size-specific variation in angular velocity, angle-of-attack, stroke amplitude, and wingbeat frequency would substantially strengthen the paper, and clarify its evolutionary implications.

      We agree with the reviewer that the expected scaling of wingbeat kinematics with size was indeed unclear in our initial version of the manuscript. In our revised manuscript (and supplement), we now explicitly define how all kinematic parameters should scale with size under kinematic similarity, and how they should scale for maintaining weight support across various sizes. These are explained in the introduction (lines 46–78), method section (lines 316–327), and dedicated supplementary text (see Supplementary Info section “Geometric and kinematic similarity and scaling for weight support”). Here, we now also provide a thorough description of the isometric scaling of morphology, and scaling of the kinematics parameters under kinematic similarity.

      (2) By relating the aerodynamic output force to wing morphology and kinematics, it is concluded that smaller hoverflies will find it more challenging to support their body mass - a scaling argument that provides the framework for this work. This hypothesis appears to stand in direct contrast to classic scaling theory, where the gravitational force is thought to present a bigger challenge for larger animals, due to their disadvantageous surface-to-volume ratios. The same problem ought to occur in hoverflies, for wing kinematics must ultimately be the result of the energy injected by the flight engine: muscle. Much like in terrestrial animals, equivalent weight support in flying animals thus requires a positive allometry of muscle force output. In other words, if a large hoverfly is able to generate the wing kinematics that suffice to support body weight, an isometrically smaller hoverfly should be, too (but not vice versa). Clarifying the relation between the scaling of muscle force input, wing kinematics, and weight support would resolve the conflict between these two contrasting hypotheses, and considerably strengthen the biomechanical motivation and interpretation.

      The reviewer highlights a crucial aspect of our study: our perspective on the aerodynamic challenges associated with becoming smaller or larger. This comment made us realize that our viewpoint might be unconventional regarding general scaling literature and requires further clarification.

      Our approach is focused on the disadvantage of a reduction in size, in contrast with classic scaling theory focusing on the disadvantage of increasing in size. As correctly stated by the reviewer, producing an upward directed force to maintain weight support is often considered as the main challenge, constrained by size. Hereby, researchers often focus on the limitations on the motor system, and specifically muscle force: as animals increase in size, the ability to achieve weight support is limited by muscle force availability. An isometric growth in muscle cannot sustained the increased weight, due to the disadvantageous surface-to-volume ratio.

      In animal flight, this detrimental effect of size on the muscular motor system is also present, particularly for large flying birds. But for natural flyers, there is also a detrimental effect of size on the propulsion system, being the flapping wings. The aerodynamic forces produced by a beating wing scales linearly with the second-moment-of-area of the wing. Under isometry, this second-moment-of-area decreases at higher rate than body mass, and thus producing enough lift for weight support becomes more challenging with reducing size. Because we study tiny insects, our study focuses precisely on this constraint on the wing-based propulsion system, and not on the muscular motor system.

      We revised the manuscript to better explain how physical scaling laws differentially affect force production by the muscular flight motor system and the wingbeat-induced propulsion system (lines 46–78).

      (3) The main conclusion - that evolutionary miniaturization is enabled by changes in wing morphology - is only weakly supported by the evidence. First, although wing morphology deviates from the null hypothesis of isometry, the difference is small, and hoverflies about an order of magnitude lighter than the smallest species included in the study exist. Including morphological data on these species, likely accessible through museum collections, would substantially enhance the confidence that size-specific variation in wing morphology occurs not only within medium-sized but also in the smallest hoverflies, and has thus indeed played a key role in evolutionary miniaturization.

      We thank the reviewer for the suggestion to add additional specimens from museum collections to strengthen the conclusions of our work. In our revised study, we did so by adding the morphology of 20 additional hoverfly species, from the Naturalis Biodiversity Centre (Leiden, the Netherlands). This extended dataset includes wing morphology data of 74 museum specimens, and whenever possible we sampled at least two males and two females (4.2±1.7 individuals per species (mean±sd)). This extended analysis shows that the allometric scaling of wing morphology with size is robust along the larger sample of species, including smaller ones. We discuss these additional results now explicitly in the revised manuscript (see Discussion).

      Second, although wing kinematics do not vary significantly with size, clear trends are visible; indeed, the numerical simulations revealed that weight support is only achieved if variations in wing beat frequency across species are included. A more critical discussion of both observations may render the main conclusions less clear-cut, but would provide a more balanced representation of the experimental and computational results.

      We agree with the reviewer that variations in wingbeat kinematics between species, and specifically wingbeat frequency, are important and non-negligible. As mentioned by the reviewer, this is most apparent for the fact that weight support is only achieved with the species-specific wingbeat frequency. To address this in a more balanced and thorough way, we revised the final section of our analysis approach, by including changes in wingbeat kinematics to that analysis. By doing so, we now explicitly show that allometric changes in wingbeat frequency are important for maintaining weight support across the sampled size range, but that allometric scaling of morphology has a stronger effect. In fact, the relative contributions of morphology and kinematics to maintaining weight-support across sizes is 81% and 22%, respectively (Figure 7). We discuss this new analysis and results now thoroughly in the revised manuscript (lines 621–629, 650–664), resulting in a more balanced discussion and conclusion about the outcome of our study. We sincerely thank the reviewer for suggesting to look closer into the effect of variations in wingbeat kinematics on aerodynamic force production, as the revised analysis strengthened the study and its results.

      In many ways, this work provides a blueprint for work in evolutionary biomechanics; the breadth of both the methods and the discussion reflects outstanding scholarship. It also illustrates a key difficulty for the field: comparative data is challenging and time-consuming to procure, and behavioural parameters are characteristically noisy. Major methodological advances are needed to obtain data across large numbers of species that vary drastically in size with reasonable effort, so that statistically robust conclusions are possible.

      We thank the reviewer for their encouraging words about the scholarship of our work. We will continue to improve our methods and techniques for performing comparative evolutionary biomechanics research, and are happy to jointly develop this emerging field of research.

      Reviewer #3 (Public review):

      The paper by Le Roy and colleagues seeks to ask whether wing morphology or wing kinematics enable miniaturization in an interesting clade of agile flying insects. Isometry argues that insects cannot maintain both the same kinematics and the same wing morphology as body size changes. This raises a long-standing question of which varies allometrically. The authors do a deep dive into the morphology and kinematics of eight specific species across the hoverfly phylogeny. They show broadly that wing kinematics do not scale strongly with body size, but several parameters of wing morphology do in a manner different from isometry leading to the conclusion that these species have changed wing shape and size more than kinematics. The authors find no phylogenetic signal in the specific traits they analyze and conclude that they can therefore ignore phylogeny in the later analyses. They use both a quasi-steady simplification of flight aerodynamics and a series of CFD analyses to attribute specific components of wing shape and size to the variation in body size observed. However, the link to specific correlated evolution, and especially the suggestion of enabling or promoting miniaturization, is fraught and not as strongly supported by the available evidence.

      We thank the reviewer for the accurate description of our work, and the time and energy put into reviewing our paper. We regret that the reviewer found our conclusions with respect to miniaturization fraught and not strongly supported by the evidence. In our revision, we addressed this by no longer focusing primarily on miniaturization, by extending our morphology analysis to 20 additional species (Figures 4 and 5), improving our analysis of both the kinematics and morphology data (Figure 7), and by discussing our results in a more balanced way (see Discussion). We hope that the reviewer finds the revised manuscript of sufficient quality for publication in eLife.

      The aerodynamic and morphological data collection, modeling, and interpretation are very strong. The authors do an excellent job combining a highly interpretable quasi-steady model with CFD and geometric morphometrics. This allows them to directly parse out the effects of size, shape, and kinematics.

      We thank the reviewer for assessing our experimental and modelling approach as very strong.

      Despite the lack of a relationship between wing kinematics and size, there is a large amount of kinematic variation across the species and individual wing strokes. The absolute differences in Figure 3F - I could have a very large impact on force production but they do indeed not seem to change with body size. This is quite interesting and is supported by aerodynamic analyses.

      We agree with the reviewer that there are important and non-negligible variations in wingbeat kinematics between species. As mentioned by the reviewer, although these kinematics do not significant scale with body mass, the interspecific variations are important for maintaining weight support during hovering flight. We thus also agree with the reviewer that these kinematics variations are interesting and deserve further investigations.

      In our revised study, we did so by including these wingbeat kinematic variations in our analysis on the effect of variations in morphology and kinematics on aerodynamic force production for maintaining in-flight weight support across the sampled size range (lines 422–444, Figure 7). By doing so, we now explicitly show that variations in wingbeat kinematics are important for maintaining weight across sizes, but that allometric scaling of morphology has a stronger effect. In fact, the relative contributions of adaptations in morphology and kinematics to maintaining weight support across sizes is 81% and 22%, respectively (Figure 7). We discuss these new analysis and results now in the revised manuscript (lines 621–629, 650–664), resulting in a more balanced discussion about the relative importance of adaptations in morphology and kinematics. We hope the reviewer appreciates this newly added analysis.

      The authors switch between analyzing their data based on individuals and based on species. This creates some pseudoreplication concerns in Figures 4 and S2 and it is confusing why the analysis approach is not consistent between Figures 4 and 5. In general, the trends appear to be robust to this, although the presence of one much larger species weighs the regressions heavily. Care should be taken in interpreting the statistical results that mix intra- and inter-specific variation in the same trend.

      We agree that it was sometimes unclear whether our analysis is performed at the individual or species level. To improve clarity and avoid pseudoreplication, we now analyze all data at the species level, using phylogenetically informed analyses. Because we think that showing within-species variation is nonetheless informative, we included dedicated figures to the supplement (Figures S3 and S5) in which we show data at the individual level, as equivalent to figures 4 and 5 with data at the species level. Note that this cannot be done for flight data due to our experimental procedure. Indeed, we performed flight experiments with multiple individuals in a single experimental setup, pseudoreplication is thus possible for these flight data. This is explained in the manuscript (lines 167–175). All morphological measurements were however done on a carefully organized series of specimens and thus pseudoreplication is hereby not possible.

      The authors based much of their analyses on the lack of a statistically significant phylogenetic signal. The statistical power for detecting such a signal is likely very weak with 8 species. Even if there is no phylogenetic signal in specific traits, that does not necessarily mean that there is no phylogenetic impact on the covariation between traits. Many comparative methods can test the association of two traits across a phylogeny (e.g. a phylogenetic GLM) and a phylogenetic PCA would test if the patterns of variation in shape are robust to phylogeny.

      After extending our morphological dataset from 8 to 28 species, by including 20 additional species from a museum collection, we increased statistical power and found a significant phylogenetic signal on all morphological traits, except for the second moment of area (lines 458–460, Table S2). Although we do not detect an effect of phylogeny on flight traits, likely due to the limited number of species for which flight was quantified (n=8), we agree with the reviewer’s observation that the absence of a phylogenetic signal does not rule out the potential influence of phylogeny on the covariation between traits. This is now explicitly discussed in the manuscript (lines 599–608). As mentioned in the previous comment, we now test all relationships between body mass and other traits using phylogenetic generalized least squares (PGLS) regressions, therefore accounting for the impact of phylogeny everywhere. The revised analyses produce sensibly similar results as for our initial study, and so the main conclusions remain valid. We sincerely thank the reviewer for their suggestion for revising our statistical analysis, because the revised phylogenetic analysis strengthens our study as a whole.

      The analysis of miniaturization on the broader phylogeny is incomplete. The conclusion that hoverflies tend towards smaller sizes is based on an ancestral state reconstruction. This is difficult to assess because of some important missing information. Specifically, such reconstructions depend on branch lengths and the model of evolution used, which were not specified. It was unclear how the tree was time-calibrated. Most often ancestral state reconstructions utilize a maximum likelihood estimate based on a Brownian motion model of evolution but this would be at odds with the hypothesis that the clade is miniaturizing over time. Indeed such an analysis will be biased to look like it produces a lot of changes towards smaller body size if there is one very large taxa because this will heavily weight the internal nodes. Even within this analysis, there is little quantitative support for the conclusion of miniaturization, and the discussion is restricted to a general statement about more recently diverged species. Such analyses are better supported by phylogenetic tests of directedness in the trait over time, such as fitting a model with an adaptive peak or others.

      We thank the reviewer for their expert insight in our ancestral state estimate of body size. We agree that the accuracy of this estimate is rather low. Based on the comments by the reviewer we have now revised our main analysis and results, by no longer basing it on the apparent evolutionary miniaturization of hoverflies, but instead on the observed variations in size in our studied hoverfly species. As a result, we removed the figure mapping ancestral state estimates (called figure S1 in the first version) from the manuscript. We now explicitly mention that ascertaining the evolutionary directedness of body size is beyond the scope of our work, but that we nonetheless focus on the aerodynamic challenge of size reduction (lines 609–615).

      Setting aside whether the clade as a whole tends towards smaller size, there is a further concern about the correlation of variation in wing morphology and changes in size (and the corresponding conclusion about lack of co-evolution in wing kinematics). Showing that there is a trend towards smaller size and a change in wing morphology does not test explicitly that these two are correlated with the phylogeny. Moreover, the subsample of species considered does not appear to recapitulate the miniaturization result of the larger ancestral state reconstruction.

      As also mentioned above, we agree with the reviewer that we cannot ascertain the trajectory of body size evolution in the diversification of hoverflies. We therefore revised our manuscript such that we do no longer focus explicitly on miniaturization; instead, we discuss how morphology and kinematics scale with size, independently of potential trends over the phylogeny. To do so, we revised the title, abstract results and discussion accordingly.

      Given the limitations of the phylogenetic comparative methods presented, the authors did not fully support the general conclusion that changes in wing morphology, rather than kinematics, correlate with or enable miniaturization. The aerodynamic analysis across the 8 species does however hold significant value and the data support the conclusion as far as it extends to these 8 species. This is suggestive but not conclusive that the analysis of consistent kinematics and allometric morphology will extend across the group and extend to miniaturization. Nonetheless, hoverflies face many shared ecological pressures on performance and the authors summarize these well. The conclusions of morphological allometry and conserved kinematics are supported in this subset and point to a clade-wide pattern without having to support an explicit hypothesis about miniaturization.

      The reviewer argues here fully correct that we should be careful about extending our analysis based on eight species to hoverflies in general, and especially to extend it to miniaturization in this family of insects. As mentioned above, we therefore do no longer specifically focus on miniaturization. Moreover, we extended our analysis by including the morphology of 20 additional species of hoverflies, sampled from a museum collection. We hope that the reviewer agrees with this more balanced and focused discussion of our study.

      The data and analyses on these 8 species provide an important piece of work on a group of insects that are receiving growing attention for their interesting behaviors, accessibility, and ecologies. The conclusions about morphology vs. kinematics provide an important piece to a growing discussion of the different ways in which insects fly. Sometimes morphology varies, and sometimes kinematics depending on the clade, but it is clear that morphology plays a large role in this group. The discussion also relates to similar themes being investigated in other flying organisms. Given the limitations of the miniaturization analyses, the impact of this study will be limited to the general question of what promotes or at least correlates with evolutionary trends towards smaller body size and at what phylogenetic scale body size is systematically decreasing.

      We thank the reviewer for their encouraging words about the importance of our work on hoverfly flight. As suggested by the reviewer, we narrowed down the main question of our study by no longer focusing on apparent miniaturization, but instead on the correlation between wing morphology, wingbeat kinematics and variations in size.

      In general, there is an important place for work that combines broad phylogenetic comparison of traits with more detailed mechanistic studies on a subset of species, but a lot of care has to be taken about how the conclusions generalize. In this case, since the miniaturization trend does not extend to the 8 species subsample of the phylogeny and is only minimally supported in the broader phylogeny, the paper warrants a narrower conclusion about the connection between conserved kinematics and shared life history/ecology.

      We truly appreciated the reviewer’s positive assessment of the importance of our work and study. We also thank the reviewer for their advice to generalize the outcome of our work in a more balanced way. Based on the above comments and suggestions of the reviewer, we did so by revising several aspects of our study, including adding additional species to our study, amending the analysis, and revising the title, abstract, results and discussion sections. We hope that the reviewer warrants the revised manuscript of sufficient quality for final publication in eLife.

      Recommendations For The Authors:

      Reviewer #1 (Recommendations for the authors):

      Figure S1 is lovely. I would recommend merging it with Figure 1 so that it does not disappear.

      We appreciate the reviewer comment. However, reviewer 3 had several points of concern about the underlying analysis, which made us realize that our ancestral state estimation analysis does not conclusively support a miniaturization trend. We therefore are no longer focusing on miniaturization when interpreting our results.

      Figure 4 is beautiful. The consistent color coding throughout is very helpful.

      We thank the reviewer for this comment.

      Sometimes spaces are missing before brackets, and sometimes there are double brackets, or random line break.

      We did our best to remove these typos.

      Should line 367 refer to Table S2?

      Table S2 is now referred to when mentioning the result of phylogenetic signal (line 460 in the revised manuscript)

      Can you also refer to Figure 2 on line 377?

      Good suggestion, and so we now do so (line 462 in the revised manuscript).

      Lines 497-512: Please refer to relevant figures.

      We now refer to figure 4, and its panels (lines 621–629 in the revised manuscript).

      Figure legend 1: Do you need to say that the second author took the photos?

      We removed this reference.

      Figure legend 4: "(see top of A and B)" is not aligned with the figure layout.

      We corrected this.

      Figure 5 seems to have a double legend, A, B then A, B. Panel A says it's color-coded for body mass, but the figure seems to be color-coded for species.

      Thank you for noting this. We corrected this in the figure legend.

      Figure 6 legend: Can you confidently say that they were hovering, or do you need to modify this to flying?

      The CFD simulations were performed in full hovering (U<sub>¥</sub>=0 m/s), but any true flying hoverflies will per definition never hover perfectly. But as explained in our manuscript, we define a hovering flight mode as flying with advance ratios smaller than 0.1 (Ellington, 1984a). Based on this we can state that our hoverflies were flying in a hovering mode. We hope that the reviewer agrees with this approach.

      Reviewer #2 (Recommendations for the authors):

      Below, I provide more details on the arguments made in the public review, as well as a few additional comments and observations; further detailed comments are provided in the word document of the manuscript file, which was shared with the authors via email (I am not expecting a point-by-point reply to all comments in the word document!).

      We thank the reviewer for this detailed list of additional comments, here and in the manuscript. As suggested by the reviewer, we did not provide a point-by-point respond to all comments in the manuscript file, but did take them into account when improving our revised manuscript. Most importantly, we now define explicitly kinematic similarity as the equivalent from morphological similarity (isometry), we added a null hypothesis and the proposed references, and we revised the figures based on the reviewer suggestions.

      Null hypotheses for kinematic parameters.

      Angular amplitudes should be size-invariant under isometry. The angular velocity is more challenging to predict, and two reasonable options exist. Conservation of energy implies:

      W = 1/2 I ω2

      where I is the mass moment of inertia and W is the muscle work output (I note that this result is approximate, for it ignores external forces; this is likely not a bad assumption to first order. See the reference provided below for a more detailed discussion and more complicated calculations). From this expression, two reasonable hypotheses may be derived.

      First, in line with classic scaling theory (Hill, Borelli, etc), it may be assumed that W∝m; isometry implies that I∝m5/3 from which ω ∝m-1/3 follows at once. Note well the implication with respect to eq. 1: isometry now implies F∝m2/3, so that weight support presents a bigger challenge for larger animals; this result is completely analogous to the same problem in terrestrial animals, which has received much attention, but in strong contrast to the argument made by the authors: weight support is more challenging for larger animals, not for smaller animals.

      Second, in line with recent arguments, one may surmise that the work output is limited by the muscle shortening speed instead, which, assuming isometry and isophysiology, implies ω ∝m0 = constant; smaller animals would then indeed be at a seeming disadvantage, as suggested by the authors (but see below).

      The following references contain a more detailed discussion of the arguments for and against these two possibilities:

      Labonte, D. A theory of physiological similarity for muscle-driven motion. PNAS, 2023, 120, e2221217120

      Labonte, D.; Bishop, P.; Dick, T. & Clemente, C. J. Dynamics similarity and the peculiar allometry of maximum running speed. Nat Comms., 2024, 15, 2181

      Labonte, D. & Holt, N. Beyond power limits: the kinetic energy capacity of skeletal muscle. bioRxiv doi: 10.1101/2024.03.02.583090, 2024

      Polet, D. & Labonte, D. Optimising the flow of mechanical energy in musculoskeletal systems through gearing. bioRxiv doi: 10.1101/2024.04.05.588347, 2024

      Labonte et al 2024 also highlight that, due to force-velocity effects, the scaling of the velocity that muscle can impart will fall somewhere in between the extremes presented by the two hypotheses introduced above, so that, in general, the angular velocity should decrease with size with a slope of around -1/6 to -2/9 --- very close to the slope estimated in this manuscript, and to data on other flying animals.

      We greatly appreciate the reviewer's detailed insights on null hypotheses for kinematics, along with the accompanying references. As noted in the Public Review section (comment/reply 2.3), our study primarily explores how small-sized insects adapt to constraints imposed by the wing-based propulsion system, rather than by the muscular motor system.

      In this context, we chose to contrast the observed scaling of morphology and flight traits with a hypothetical scenario of geometric similarity (isometry) and kinematic similarity, where all size-independent kinematic parameters remain constant with body mass. While isometric expectations for morphological traits are well-defined (i.e., ), those for kinematic traits are more debatable (as pointed out by the reviewer). For this reason, we believe that adopting a simple approach based on kinematic similarity across sizes (f~m0, etcetera) enhances the interpretability of our results and strengthens the overall narrative.

      Size range

      The study would significantly benefit from a larger size range; it is unreasonable to ask for kinematic measurements, as these experiments become insanely challenging as animals get smaller; but it should be quite straightforward for wing shape and size, as this can be measured with reasonable effort from museum specimens. In particular, if a strong point on miniaturization is to be made, I believe it is imperative to include data points for or close to the smallest species.

      We appreciate that the reviewer recognizes the difficulty of performing additional kinematic measurements. Collecting additional morphological data to extend the size range was however feasible. In our revised study, we therefore extended our morphological scaling analysis by including the morphology of twenty additional hoverfly species. This extended dataset includes wing morphology data of 74 museum specimens (4.2±1.7 individuals per species (mean±sd)) from Naturalis Biodiversity Centre (Leiden, the Netherlands). This increased the studied mass range of our hoverfly species from 5 100 mg to 3 132 mg, and strengthened our results and conclusions on the morphological scaling in hoverflies.

      Is weight support the main problem?

      Phrasing scaling arguments in terms of weight support is consistent with the classic literature, but I am not convinced this is appropriate (neither here nor in the classic scaling literature): animals must be able to move, and so, by strict physical necessity, muscle forces must exceed weight forces; balancing weight is thus never really a concern for the vast majority of animals. The only impact of the differential scaling may be a variation in peak locomotor speed (this is unpacked in more detail in the reference provided above). In other words, the very fact that these hoverfly species exist implies that their muscle force output is sufficient to balance weight, and the arguably more pertinent scaling question is how the differential scaling of muscle and weight force influences peak locomotor performance. I appreciate that this is beyond the scope of this study, but it may well be worth it to hedge the language around the presentation of the scaling problem to reflect this observation, and to, perhaps, motivate future work.

      We agree with the reviewer that a question focused on muscle force would be inappropriate for this study, as muscle force and power availability is not under selection in the context of hovering flight, but instead in situation where producing increased output is advantageous (for example during take-off or rapid evasive maneuvers). But as explained in our revised manuscript (lines 81-85), we here do not focus on the scaling of the muscular motor with size and throughout phylogeny, but instead we focus on scaling of the flapping wing-based propulsion system. For this system there are known physical scaling laws that predict how this propulsion system should scale with size (in morphology and kinematics) for maintaining weight-support across sizes. In our study, we test in what way hoverflies achieve this weight support in hovering flight.

      Of course, it would be interesting to also test how peak thrust is produced by the propulsion system, for example during evasive maneuvers. In the revised manuscript, we now explicitly mention this as potential future research (lines 733–735).

      Other relevant literature

      Taylor, G. & Thomas, A. Evolutionary biomechanics: selection, phylogeny, and constraint, Oxford University Press, 2014

      This book has quite detailed analyses of the allometry of wing size and shape in birds in an explicit phylogenetic context. It was a while ago that I read it, but I think it may provide much relevant information for the discussion in this work.

      Schilder, R. J. & Marden, J. H. A hierarchical analysis of the scaling of force and power production by dragonfly flight motors J. Exp. Biol., 2004, 207, 767

      This paper also addresses the question of allometry of flight forces (if in dragonflies). I believe it is relevant for this study, as it argues that positive allometry of forces is partially achieved through variation of the mechanical advantage, in remarkable resemblance to Biewener's classic work on EMA in terrestrial animals (this is discussed and unpacked in more detail also in Polet and Labonte, cited above). Of course, the authors should not measure the mechanical advantage of this work, but perhaps this is an interesting avenue for future work.

      We thank the reviewer for these valuable literature suggestions and the insights they offer for future work.

      More generally, I thought the introduction misses an opportunity to broaden the perspective even further, by making explicit that running and flying animals face an analogous problem (with swimming likely being a curious exception!); some other references related to the role of phylogeny in biomechanical scaling analyses are provided in the comments in the word file.

      The introduction has been revised to better emphasize the generality of the scaling question addressed in our study. Specifically, we now explicitly highlight the similar constraints associated with increasing or decreasing size in both terrestrial and flying animals (lines 53–59). We thank the reviewer for this suggestion, which has improved our manuscript.

      Numerical results vs measurements

      I felt that the paper did not make the strongest possible use of the very nice numerical simulations. Part of the motivation, as I understood it, was to conduct more complex simulations to also probe the validity of the quasi-steady aerodynamics assumption on which eq. 1 is based. All parameters in eq. 1 are known (or can be approximated within reasonable bounds) - if the force output is evaluated analytically, what is the result? Is it comparable to the numerical simulations in magnitude? Is it way off? Is it sufficient to support body mass? The interplay between experiments and numerics is a main potential strength of the paper, which in my opinion is currently sold short.

      We agree with the reviewer that we did not make full use of the numerical simulations results. In fact, we did so deliberately because we aim to focus more on the fluid mechanics of hoverfly flight in a future study. That said, we thank the reviewer for suggesting to use the CFD for validating our quasi-steady model. We now do so by correlating the vertical aerodynamic force with variations in morphology and kinematics (revised Figure 7A). The striking similarity between the predicted and empirical fit shows that the quasi-steady model captures the aerodynamic force production during hovering flight surprisingly well.

      Statistics

      There are errors in the Confidence Intervals in Tab 2 (and perhaps elsewhere). Please inspect all tables carefully, and correct these mistakes. The disagreement between confidence intervals and p-values suggests a significant problem with the statistics; after a brief consultation with the authors, it appears that this result arises because Standard Major Axis regression was used (and not Reduced Major Axis regression, as stated in the manuscript). This is problematic because SMA confidence intervals become unreliable if the variables are uncorrelated, as appears to be the case for some parameters here (see https://cran.r-project.org/web/packages/lmodel2/vignettes/mod2user.pdf for more details on this point). I strongly recommend that the authors avoid SMA, and use MA, RMA or OLS instead. My recommendation would be to use RMA and OLS to inspect if the conclusions are consistent, in which case one can be shown in the SI; this is what I usually do in scaling papers, as there are some colleagues who have very strong and diverging opinions about which technique is appropriate. If the results differ, further critical analysis may be required.

      The reviewer correctly identified an error in the statistical approach: a Standard Major Axis was indeed used under inappropriate conditions. Following Reviewer #3’s comments, the expanded sample size and the resulting increase in statistical power to detect phylogenetic signal, our revised analysis now accounts for phylogenetic effects in these regressions. We therefore now report the results from Phylogenetic Least Square (PGLS) regressions (the phylogenetic equivalent of an OLS).

      Figures

      Please plot 3E-F in log space, add trendlines, and the expectation from isometry/isophysiology, to make the presentation consistent, and comparison of effect strengths across results more straightforward.

      The reviewer probably mentioned Figure 3F-I and not E-F (the four panels depicting the relationships between kinematics variables and body mass). As requested, we added the expectation for kinematic similarity to the revised figure, but prefer to not show the non-significant PGLS fits, as they are not used in any analysis. For completeness, we did add the requested figure in log-space with all trendlines to the supplement (Figure S2), and refer to it in the figure legend.

      The visual impression of the effect strength in D is a bit misleading, due to the very narrow y-axis range; it took me a moment to figure this out. I suggest either increasing the y-range to avoid this incorrect impression or to notify the reader explicitly in the caption.

      We believe the reviewer is referring to Figure 4D. As rightly pointed out, variation in non-dimensional second moment of area() is very low among species, which is consistent with literature (Ellington, 1984b). We agree that the small range on the y-axis might be confusing, and thus we increased it somewhat. More importantly, we now show, next to the trend line, the scaling for isometry (~m<sup>0</sup>) and for single-metric weight support. Especially the steepness of the last trend line shows the relatively small effect of on aerodynamic force production. This is even further highlighted by the newly added pie charts of the relative allometric scaling factor, where variations in contribute only 5% to maintaining weight support across sizes.

      Despite this small variation, these adaptations in wing shape are still significant and are highly interesting in the context of our work. We now discuss this in more detail in the revised manuscript (lines 645–649).

      In Figure 7b, one species appears as a very strong outlier, driving the regression result. Data of the same species seems to be consistent with the other species in 7a, c, and d - where does this strong departure come from? Is this data point flagged as an outlier by any typical regression metric (Cook's distance etc) for the analysis in 7b?

      We agree with the reviewer: the species in dark green (Eristalis tenax) appears as an outlier on the in Figure 7B ( vs. vertical force) in our original manuscript. This is most likely due to the narrow range of variation in ( — as the reviewer pointed out in the previous comment — which amplifies differences among species. We expanded the y-axis range in the revised Figure 7, so that the point no longer appears as an outlier (see updated graph, now on Figure 7F).

      In Figure 1, second species from the top, it reads "Eristalix tenax" when it is "Eristalis tenax" (relayed info by the Editor).

      Corrected.

      Reviewer #3 (Recommendations for the authors):

      I really like the biomechanical and aerodynamic analyses and think that these alone make for a strong paper, albeit with narrower conclusions. I think it is perfectly valid and interesting to analyze these questions within the scope of the species studied and even to say that these patterns may therefore extend to the hoverflies as a whole group given the great discussion about the shared ecology and behavior of much of the clade. However, the extension to miniaturization is too tenuous. This would need much more support, especially from the phylogenetic methods which are not rigorously presented and likely need additional tests.

      We thank the reviewer for the positive words about our study. We agree that our attempt to infer the directedness of size evolution was too simplistic, and thus the miniaturization aspect of our study would need more support. As suggested by the reviewer, we therefore do no longer focus on miniaturization, and thus removed these aspects from the title, abstract and main conclusion of our revised manuscript.

      There is a lot of missing data about the tree and the parameters used for the phylogenetic methods that should be added (especially branch lengths and models of evolution). Phylogenetic tests for the relationships of traits should go beyond the analysis of phylogenetic signals in the specific traits. My understanding is also that phylogenetic signal is not properly interpreted as a "control" on the effect of phylogeny. The PCA should probably be a phylogenetic PCA with a corresponding morphospace reconstruction.

      We agree with the reviewer that our phylogenetic approach based on phylogenetic signal only was incomplete. In our revised manuscript, we not only test for phylogenetic signal but also account for phylogeny in all regressions between traits and body mass using Phylogenetic Generalized Least Squares (PGLS) regressions. Additionally, we have provided more details about the model of evolution and the parameter estimation method in the Methods section (275–278).

      Following the reviewer suggestion, in our revised study we now also performed a phylogenetic PCA instead of a traditional PCA on the superimposed wing shape coordinates. The resulting morphospace was however almost identical to the traditional PCA (Figure S4). We nonetheless included it in the revised manuscript for completion. We thank the reviewer for this suggestion, as the revised phylogenetic analysis strengthens our study as a whole.

      For the miniaturization conclusion, my suggestion is a more rigorous phylogenetic analysis of directionality in the change in size across the larger phylogeny. However, even given this, I think the conclusion will be limited because it appears this trend does not hold up under the 8 species subsample. To support that morphology is evolutionarily correlated with miniaturization would for me require an analysis of how the change in body size relates to the change in wing shape and kinematics which is beyond what a scaling relationship does. In other words, you would need to test if the changes in body morphology occur in the same location phylogenetically with a shrinking of body size. I think even more would be required to use the words "enable" or "promote" when referring to the relationship of morphology to miniaturization because those imply evolutionary causality to me. To me, this wording would at least require an analysis that shows something like an increase in the ability of the wing morphological traits preceding the reduction in body size. Even that would likely be controversial. Both seem to be beyond the scope of what you could analyze with the given dataset.

      As mentioned in reply 3.1, we agree with the reviewer that the miniaturization aspect of our study would need more support. And thus, as suggested by the reviewer, we therefore do no longer focus primarily on miniaturization, by removing these aspects from the title, abstract and main conclusion of our revised manuscript.

      The pseudoreplication should be corrected. You can certainly report the data with all individuals, but you should also indicate in all cases if the analysis is consistent if only species are considered.

      As mentioned in the Public Review section, our revised approach avoids pseudoreplication by analyzing all data at the species level. Nonetheless, we have included supplementary figures (Figures S3 and S5) to visualize within-species variation.

      My overall suggestion is to remove the analysis of miniaturization and cast the conclusions with respect to the sampling you have. Add a basic phylogenetic test for the correlated trait analysis (like a phylogenetic GLM) which will likely still support your conclusions over the eight species and emphasize the specific conclusion about hoverflies' scaling relationships. I think that is still a very good study better supported by the extent of the data.

      We thank the reviewer for the positive assessment of our study, and their detailed and constructive feedback. As suggested by the reviewer, miniaturization is no longer the primary focus of our study, and we revised our analysis by extending the morphology dataset to more species, and by using phylogenetic regressions.

      References

      Ellington C. 1984a. The aerodynamics of hovering insect flight. III. Kinematics. Philosophical Transactions of the Royal Society of London B: Biological Sciences 305:41–78.

      Ellington C. 1984b. The aerodynamics of insect flight. II. Morphological parameters. Phil Trans R Soc Lond B 305:17–40.

      Fry SN, Sayaman R, Dickinson MH. 2005. The aerodynamics of hovering flight in Drosophila. Journal of Experimental Biology 208:2303–2318. doi:10.1242/jeb.01612

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    1. Author Respose

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      The authors prepared several Acinetobacter baumannii strains from which an essential protein of known or unknown function can be depleted. They chose to study one of the proteins (AdvA) in more detail. AdvA is a known essential cell division protein that accumulates at cell division sites together with other such proteins. No clear homologs are present in model bacteria such as E.coli, and the precise role(s) of AdvA is still unclear. The authors rename AdvA here as Aeg1. The authors searched for suppressors of lethality caused by AdvA-depletion and recovered an allele of ftsA (E202K) that is capable of doing so. Based on similar superfission alleles previously recovered in other division genes in E.coli, they test several mutant genes and find that certain alleles in ftsB, L and W can also suppress lethality of AdvA-minus cells.

      In addition, the authors perform bacterial two-hybrid assays and protein sublocalization studies of AdvA and of other division proteins, but the results of these studies are either not new (confirming previous work) or not convincing.

      We appreciate the vigor of this reviewer.

      We agreed that the essentiality of AdvA/Aeg1 described in our submission is not new, we believed our work has firmly established its role as a cell division protein. The earlier work by the labs of Geisinger and Isberg labs (1) showed its essentiality and the cell morphology changes upon its depletion (Fig. 3 of ref. 1 in the end of this rebuttal letter). This protein was one of the many proteins addressed in their study and their results only suggests its role in cell division due to the close phenotypical relationships between AdvA/Aeg1 and genes associated with chromosome replication/segregation and cell division.

      Reviewer #2 (Public Review):

      In this study the authors confirm that one of the genes classified as essential in a Tn-mutagenesis study in A. baumannii is in fact an essential gene. It is also present in other closely related Gram-negative bacteria and the authors designated it Aeg1. Depletion of Aeg1 leads to cell filamentation and it appears that the requirement for Aeg1 can be suppressed by what appear to be activation mutations in various genes. Overall, it appears that Aeg1 is involved in cell division but many of the images suffer from poor quality - it may be due to conversion to PDF. One of the main issues is that depletion of Aeg1 is carried out for such long times (18 hr) (Fig. 2, 4 and 5). Depleting a cell division protein for such long times may have pleiotropic effects on cell physiology. A. baumannii grows quite fast and even with a small inoculum, cells will probably be in stationary phase. If Aeg1 is that essential cells should be quite filamentous 2-3 hours after Ara removal when they are still in exponential phase. Also, it would be better to see the recovery to small cells if cells are not grown such a long time before Ara is added back. Overall, Aeg1 is potentially interesting, but studies are needed to define its place in the assembly pathway for this to be published. What proteins are at the division site when Aeg1 is depleted and what proteins are required for Aeg1 to localize to the division site. These experiments should be done when cell are depleted of proteins for only 1 -2 hours.

      We appreciate these insightful suggestions and have followed them to make necessary modifications in the revised manuscript, including:

      1st, We have redone the experiment for Fig. 1C to obtain images of higher resolution.

      2nd, We have more carefully examined the kinetics of the depletion of Aeg1-mCherry upon removal of the inducer arabinose from medium. We first evaluated the protein of Aeg1-mCherry at 2, 4, and 6 h after withdrawing arabinose and found that at the 2 h and 4 h time points mCherry-Aeg1was still readily detectable (Fig. S4). Importantly, we found that removal of arabinose for 6 h rendered Aeg1-mCherry undetectable in approximately 90% of the cells. We thus used the 6 h inducer depletion to examine the effects of Aeg1 depletion.

      In experiments aiming to analyze the co-localization of Aeg1 with other core divisome proteins, cultures of strains derived from Δaeg1(PBAD::mCherry-Aeg1) harboring the GFP fusions were induced by ara for 16 h. The saturated bacterial cultures were then diluted into fresh LB broth without ara for 6 h to induce the elongation morphology. IPTG (0.25 mM) and ara (0.25%) were added to induce the expression of fusion proteins for 4 h before samples were processed for microscopic analysis. Our results indicate that Aeg1 colocalized with ZipA, FtsK, FtsL, FtsB, and FtsW (Fig. 4C), which is consistent with results from the protein interaction experiments using the bacterial two-hybrid assay.

      To determine the impact of Aeg1 depletion on cellular localization of the several core cell divisome proteins. In cells in which Aeg1 had been depleted (by removing the inducer arabinose), all of the examined core division proteins displayed midcell mistargeting, including ZipA, FtsK, FtsB, FtsL, and FtsN (Fig. 5A).

      Reviewer #1 (Recommendations For The Authors):

      Specific remarks 1) The manuscript title is misleading in that the 'novel cell division protein' studied in this paper has already been identified as such, and studied in some detail, by the Geisinger and Isberg labs (refs 37 and 20).

      We agreed with this point. Because of the data presented by Geisinger and Isberg labs (1) that demonstrated its essentiality and morphological changes upon its depletion (Fig. 3 in ref 1), we have changed the title to “A unique cell division protein critical for the assembly of the bacterial divisome”.

      2) The Isberg/Geisinger labs named this division protein AdvA in 2020 (ref 37). The authors of the present manuscript should follow this terminology, as there is no compelling reason to rename the protein Aeg1 here. It will only confuse the field.

      We named this protein Aeg1 because we identified and named it before the work by Geisinger and Isberg labs (1) was published and this name has been used in all of our records. In addition, this is a part of our research exploring hypothetical essential genes in A. baumannii and we thus would like to keep the name in this manuscript.

      3) Membrane topology of AdvA? Line 103-104: The authors predict a single transmembrane domain in AdvA (Aeg1). However, reference 37 predicted two, and some prediction programs (e.g. CCTOP) predict three with the N-terminus periplasmic. A good understanding of the membrane topology of AdvA is important, if not only for the design of credible BACTH two-hybrid assays. Figure 6 indicates that the authors assume that the N-terminus of AdvA is periplasmic with the bulk of the protein cytoplasmic. But then they choose to use pKT25::AdvA for two-hybrid assays, which would place the CyaA T25 domain periplasmic as well. This should not yield faithful interaction data as both the T25 and T18 domains need to be cytoplasmic to restore CyaA activity.

      The Bacterial Adenylate Cyclase-Based Two-Hybrid (BACTH) technique is a powerful tool for studying protein-protein interactions, especially those involving integral membrane or membrane-associated proteins. It overcomes the limitations of traditional two-hybrid systems by allowing the detection of interactions that occur within the membrane or in other difficult-to-study protein environments (2). This method has been successfully used to analyze the relationships among bacterial cell division proteins (e.g., ref 3 and 4). Furthermore,our results from bacterial two-hybrid and immunofluorescence techniques are consistent. As a result, the results presented here should be valid.

      4) Strains and plasmids, Table S4 Far more detail is needed. a) Please provide complete genotypes of strains and, especially, of the plasmids used, including replication origin, antibiotic resistance markers, promoters, promoter repressors, inducible genes/fusions to be expressed, and the placement of genetic tags (T25, T18, XFP, Flag, etcetera).

      We have added the information to Table S4.

      b) In addition, provide details on how each strain/plasmid was constructed in the Methods section or as supplement. Currently, you only provide some details on one or two of the strains or plasmids.

      We have added the necessary details about how the constructs and plasmids used in this study were made.

      5) Lines 114-129, Fig 2. AdvA is needed for cell division. a) Similar results were already described by refs 37 and 20, so this is merely confirmatory.

      We revised the description accordingly.

      b) Refs 37 and 20 should be referenced here, as well as in the section above where you find AdvA to be essential for viability on rich medium.

      We have added the appropriate reference as suggested.

      c) The micrographs in panel C are of poor quality. Consider higher magnification and resolution.

      We have redone the experiments and images of higher resolution have been used in the revised manuscript.

      6) Lines 130-143, selection for suppressors of AdvA-depletion. I would expect quite a few mutations in araC repressor on the plasmid in this screen, rendering the promoter more constitutive (i.e. arabinose-independent). Did these not appear?

      This is an interesting point. Unfortunately, we did not recover suppression mutants which mutations on araC or other elements of the BAD promoter. Given the complexity of AraC-mediated regulation (5), such mutants likely are rare or we did not screen enough candidates.

      7) Lines 173-178, Fig3E. Sublocalization of AdvA-mCherry. a) The micrographs in Fig. 3E are very poor and I can not see any specific localization, or barely any signal whatsoever, of the AdvA-mCherry fusion. Thus, this result is not convincing

      We have replaced this image with a new one of higher-resolution.

      b) In contrast, accumulation of an AdvA-GFP fusion at constriction sites was already clearly and convincingly shown in ref 37.

      We have revised the text to reflect this fact.

      c) So, this section needs convincing images, as well as a reference to ref 37.

      We have added an image of higher resolution and revised the text accordingly. Thank you

      8) Lines 179-188, Fig4a-b. BACTH assays

      a) As noted above (see point 3), the T25-AdvA fusion would likely place the T25 domain in the periplasm, casting doubt on the validity of these results.

      b) Similarly, the T18-ZipA fusion would place the T18 domain in the periplasm, casting further doubt.

      The Bacterial Adenylate Cyclase-Based Two-Hybrid (BACTH) technique is a powerful tool for studying protein-protein interactions, especially those involving integral membrane or membrane-associated proteins. It overcomes the limitations of traditional two-hybrid systems by allowing the detection of interactions that occur within the membrane or in other difficult-to-study protein environments (2). This method has been successfully used to analyze the relationships among bacterial cell division proteins (e.g., ref 3 and 4). Furthermore,our results from bacterial two-hybrid and immunofluorescence techniques are consistent. As a result, the results presented here should be valid.

      9) Lines 189-201, Fig4c, co-localization of proteins in AdvA-depleted filaments. These co-localization results are not convincing for several reasons:

      a) None of the proteins accumulate in specific ring-like structures, as might be expected for ZipA, at least. One possible reason is that division rings are not made at all due to the partial depletion of AdvA in these cells. But another possible reason is that some or all the fusions are simply non-functional. Do any of these proteins (co-)localize to the septal ring in wt cells?

      b) At least for the GFP-ZipA fusion, there is good reason to predict it is not functional, as correct membrane insertion of the fusion would place GFP in the periplasm. In E. coli this prevents GFP from becoming fluorescent in the first place. So the fluorescence seen here may reflect failure of the fusion to insert properly.

      c) Another possible reason for rings being absent is that the fusions are massively overexpressed. The plasmids are multicopy, the BAD and TAC promoters are strong, and the used levels of inducers (Ara and IPTG) are high. How do fusion levels compare to that of native proteins? Perhaps some of the bright spots we see are inclusion bodies or other types of non-specific protein aggregates.

      We appreciate these excellent suggestions and have carried out experiments to investigate the (co-)localization of these proteins at the septal ring in Δaeg1 cells under conditions of low-level inducers (Ara and IPTG) and reduced induction time.

      Cultures of strains derived from Δaeg1(PBAD::mCherry-Aeg1) harboring the GFP fusions were induced by ara for 16 h, saturated bacterial cultures were then diluted into fresh LB broth without ara for 6 h to induce the elongation morphology. IPTG (0.2 mM) and ara (0.2%) were added to induce the expression of fusion proteins for 4 h before samples were processed for microscopic analysis. Consistent with results from the protein interaction experiments using the bacterial two-hybrid assay, Aeg1 colocalized with ZipA, FtsK, FtsL, FtsB, and FtsW (Fig. 4C). Thus, Aeg1 interacts with multiple core cell divisome proteins of A. baumannii.

      In cells of the wild-type A. baumannii strain, we have observed cell elongation upon overexpression of FtsL, FtsB, FtsW, or FtsN. This raises concerns regarding the physiological relevance of the results obtained in wild-type cells. Of note, the phenotype of cell elongation following overexpression of division proteins has been observed in Escherichia coli by several groups (6-11).

      10) Lines 202-214, Fig5a, localization of division proteins in AdvA-depleted filaments. These localization results are not convincing for the same reasons outlined above (see point 9).

      a) Do any of the fusions localize correctly under similar expression conditions, but in normally dividing cells?

      In wild-type A. baumannii cells, cell elongation occurs upon overexpression of FtsL, FtsB, FtsW or FtsN, which raises the concern that the results from the suggested experiments may not physiologically relevant.

      b) Even the regular structures seen with GFP-FtsZ do not resemble rings, but appear more like blobs. Perhaps fixation with glutaraldehyde would preserve structures better?

      We have followed the suggestion to use glutaraldehyde fixation for cell fixation. The new images have been used in the revised manuscript.

      11) Other points:

      a) Line 97, Fig1. Is AdvA essential on minimal medium (~ slow growth) as well?

      We have performed this experiment. Yes, AdvA/Aeg1 is essential for A. baumannii growth in the Vogel-Bonner minimal medium with succinate (VBS) as the sole carbon source (12) (Fig S1).

      b) Fig1. What residues are actually missing (or replaced?) in the delta-TM version of AdvA?

      We have added the information, residues 1-23 have been removed.

      c) Fig1D. Also, the delta-TM version of HA-AdvA runs slower than HA-AdvA itself. Why?

      We have also been puzzled by this phenomenon that full-length AdvA/Aeg1 migrated faster than the delta-TM mutant. Interestingly, this discrepancy did not occur when the proteins were expressed in E. coli (see Author response image 1). We do not have a good explanation for this phenomenon.

      Author response image 1.

      The expression of the Aeg1 and Aeg1∆TM in A. baumannii and E. coli. Total proteins resolved by SDS-PAGE was probed by immunoblotting with the HA-specific antibody. The metabolic enzyme isocitrate dehydrogenase (ICDH) was probed as a loading control. Similar results were obtained in three independent experiments.

      d) Lines 159, 165 and elsewhere. The mutation in E. coli is actually FtsA(R286W), not Q286W.

      We have corrected this error. Thank you!

      e) Line 161. These alleles of ftsA should be referenced properly: ref 33 for I143L and ref 29 for E124A.

      We have made the correction. Thank you!

      f) Line 692, you incorrectly switched the two CyaA domains here.

      We have corrected this error.

      g) Fig4b. Is 'none' a vector control (pUT18C-Flag)?

      We have specified the control, it is the vector pUT18C-Flag.

      h) Lines 727-729. I don't understand this sentence. Please explain.

      We have revised this sentence.

      Reviewer #2 (Recommendations For The Authors):

      Line 159 and Fig. 2 Panel D. I am not sure that this panel should be in the paper for two reasons: 1) FtsA from E. coli and A. baumannii are only 50% identical and its not clear that one can make corresponding mutations and expect similar behavior. FtsA* from E. coli is R286W not Q286W. R286 does not appear to be conserved in A. baumannii. Also, what you label as Q286 appears to be Q285. Please check. 2) the alleles that are tested in this panel do not rescue the deletion of Aeg1. This may be due to the instability of the mutant proteins. It would be better to characterize the mutant that you have isolated - is it a superfission mutation; that is does it produce small cells in a strain that contains WT Aeg1?

      Thank you! We have more carefully examined the relevant sites in these proteins. We did not observe the small cell phenotype when FtsAE202K was overexpressed in WT strains (please see Author response image 2).

      Author response image 2

      The overexpression of FtsAE202K did not cause a small cell phenotype in A. baumannii. Bacterial strains derived from WT (Ptac::FtsAE202K) grown in LB broth overnight were diluted into fresh medium with the inducer and the cultures were induced with IPTG for 4 h prior to being processed for imaging (A). Total proteins were resolved by SDS-PAGE and proteins transferred onto nitrocellulose membranes were detected by immunoblotting with the HA-specific antibody. ICDH was probed as a loading control (B, right panels). Images were representatives of three parallel cultures. Bar, 10 µm.

      The images in Fig. 3, Panel C are quite poor (perhaps the original images [not PDF] are better). It is difficult to see the localization.

      We have redone the experiments and replaced the images with ones of higher resolution.

      Fig. 4. Panel C. This is an effort to show that Aeg1 colocalizes with known cell division proteins. Since in Fig. 3, panel C it is claimed that Aeg1 localizes to the division site, them it must colocalize with known division proteins. Doing the long term depletion of Aeg1 is likely causing artefacts. The localization of proteins seems very erratic. A better experiment would be to express the GFP fusions to the known proteins and then deplete Aeg1 and see what happens. Does depletion of Aeg1 prevent the localization of FtsZ, FtsK or FtsN? Another important question is if one of the known cell division proteins is depleted does Aeg1 localize to division sites. Since it is speculated that Aeg1 interacts with ZipA and FtsN, these proteins could be depleted and see if Aeg1 localizes.

      We greatly appreciate your insightful suggestions. We have carefully redone these experiments as follows: Each of the testing strains was grown in LB broth with ara overnight prior to being diluted into fresh medium without ara for 6 h to induce the elongation morphology. IPTG (0.25 mM) and ara (0.25%) were added to induce the expression of fusion proteins for 4 h before samples were processed for microscopic analysis. Consistent with results from the protein interaction experiments using the bacterial two-hybrid assay, we observed that Aeg1 colocalized with ZipA, FtsK, FtsL, FtsB, or FtsW (Fig. 4C).

      In cells not expressing Aeg1, all of the examined core division proteins including FtsZ, FtsK, and FtsN displayed midcell mistargeting, (Fig. 5A).

      As for the localization of Aeg1 upon depleting ZipA or FtsN, this is an ongoing project in our lab. Such information is beyond the scope of this manuscript.

      Fig. 5. Panel A. again the images are not of good quality. Also, why deplete for 18 hrs. This is too long.

      We have redone these experiments and images of higher resolution are now used in the revised manuscript. After extensive test, we have chosen to use a 6-h depletion, which gave us the window to observe the phenotype (Fig. 5A).

      Line 25. Change 'so' to 'as'

      Corrected as suggested. Thank you!

      Line 28. "Induces' to 'induce'

      We have made the suggested correction. Thank you!

      Line 43. Change 'of' to 'with'

      Corrected as suggested. Thank you!

      Line 74. Change 'determine' to 'test'

      Corrected as suggested. Thank you!

      Line 89. Delete 'of the'

      We have made the suggested correction. Thank you!

      Line 102. Some strains of E. coli? Does that mean there are strains that do not contain Aeg1? What are they?

      Yes, this is indeed the case, the common strains of E. coli derived from strain K12 does not have a discernable homolog of aeg1. This gene is present in some clinic E. coli isolates (e.g. HAY5567682, HBI862710, HAY5567682, MDD9849866, EFE8345364, and KAE9874289).

      Line 112. Note this TM domain has a rare topology as it is similar to ZipA. Please mention that this is a Type 1b.

      We have made the suggested revision. Thank you!

      Reference:

      1. Geisinger E, Mortman NJ, Dai Y, Cokol M, Syal S, Farinha A, et al. Antibiotic susceptibility signatures identify potential antimicrobial targets in the Acinetobacter baumannii cell envelope. Nature communications. 2020;11:4522.doi: 10.1038/s41467-020-18301-2

      2. Karimova G, Gauliard E, Davi M, Ouellette SP, Ladant D. Protein-Protein Interaction: Bacterial Two-Hybrid. Methods in molecular biology (Clifton, NJ). 2017;1615:159-76.doi: 10.1007/978-1-4939-7033-9_13

      3. Karimova G, Dautin N, Ladant D. Interaction network among Escherichia coli membrane proteins involved in cell division as revealed by bacterial two-hybrid analysis. Journal of bacteriology. 2005;187:2233-43.doi: 10.1128/jb.187.7.2233-2243.2005

      4. Boldridge WC, Ljubetič A, Kim H, Lubock N, Szilágyi D, Lee J, et al. A multiplexed bacterial two-hybrid for rapid characterization of protein-protein interactions and iterative protein design. Nature communications. 2023;14:4636.doi: 10.1038/s41467-023-38697-x

      5. Schleif R. AraC protein, regulation of the l-arabinose operon in Escherichia coli, and the light switch mechanism of AraC action. FEMS microbiology reviews. 2010;34:779-96.doi: 10.1111/j.1574-6976.2010.00226.x

      6. Addinall SG, Cao C, Lutkenhaus J. FtsN, a late recruit to the septum in Escherichia coli. Molecular microbiology. 1997;25:303-9.doi: 10.1046/j.1365-2958.1997.4641833.x

      7. Pichoff S, Lutkenhaus J. Identification of a region of FtsA required for interaction with FtsZ. Molecular microbiology. 2007;64:1129-38.doi: 10.1111/j.1365-2958.2007.05735.x

      8. Du S, Henke W, Pichoff S, Lutkenhaus J. How FtsEX localizes to the Z ring and interacts with FtsA to regulate cell division. Molecular microbiology. 2019;112:881-95.doi: 10.1111/mmi.14324

      9. Park KT, Du S, Lutkenhaus J. Essential Role for FtsL in Activation of Septal Peptidoglycan Synthesis. mBio. 2020;11.doi: 10.1128/mBio.03012-20

      10. Barre FX, Aroyo M, Colloms SD, Helfrich A, Cornet F, Sherratt DJ. FtsK functions in the processing of a Holliday junction intermediate during bacterial chromosome segregation. Genes & development. 2000;14:2976-88.doi: 10.1101/gad.188700

      11. Cameron TA, Vega DE, Yu C, Xiao H, Margolin W. ZipA Uses a Two-Pronged FtsZ-Binding Mechanism Necessary for Cell Division. mBio. 2021;12:e0252921.doi: 10.1128/mbio.02529-21

      12. Vogel HJ, Bonner DM. Acetylornithinase of Escherichia coli: partial purification and some properties. The Journal of biological chemistry. 1956;218:97-106.doi:

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer 1:

      While the role of Rab27 was strongly examined, the hits of the VAMP proteins were not explored in detail. I was wondering if the decrease in the presence of VAMPS directly suggests the final step of membrane fusion in the exocytosis of EVs is what is being impaired. Or if it is other trafficking steps along the EV secretion pathway.

      We appreciate the relevance of this comment and we agree that the decrease of VAMP gene expression in the β-catenin-mutated HepG2 cells could suggest an impairment of the final membrane fusion step in exocytosis of EVs. We have therefore expanded this important point in the discussion (page 10). Indeed, we identified an upregulation of VAMP2, VAMP5 and VAMP8 expressions after mutated β-catenin depletion in the transcriptomic analysis of HepG2 cells. However, these proteins were not detected in the mass spectrometry analysis. Only VAMP3 and VAMP7 proteins were detected in the proteomic analysis without any variation. This is why we didn't focus on this trafficking step, but it could be interesting to explore it further in the future. 

      Reviewer 2:

      (1) In Figure 1F, it is essential to investigate why mass spectrometry analysis indicated no significant changes in SDC4 levels.

      We agree with the reviewer that indeed whereas we did observe a significant alteration of syndecan-4 expression at the mRNA level, we did not observe significant changes in syndecan-4 levels by mass spectrometry. One possible explanation is that heparan sulfate proteoglycans like syndecan-4 exhibit a high degree of structural heterogeneity due to the biosynthetic process that produces linear polysaccharides. This characteristic can alter the robustness of mass spectrometry analyses, leading to greater variability. 

      (2) Figure 2G lacks clarity in explaining how the quantification of MVBs (multivesicular bodies) was conducted.

      We apologize for the lack in clarity in explaining how the quantification of MVBs was conducted in figure 2G. The Materials and methods section (part electron microscopy-cells, page 23) has been modified in order to emphasize this point.

      (3) In Supplementary Figure 1F, there is a suggestion to highlight exosomes using arrowheads for enhanced clarity.

      According to the reviewer’s suggestions, we added arrowheads on supplementary figure 1F in order to highlight the exosomes (page 16). This indeed improves clarity.

      (4) Figure 3C prompts a question about the peculiar appearance of Actin staining in KD cells, requiring further investigation.

      The peculiar appearance of this intense phalloidin staining between hepatocytes corresponds to bile canaliculi (BC), features of more differentiated HepG2 cells. As phalloidin-stained BC are very bright, this may diminish the visibility of other, thinner actin structures. We decided to change the image of KD cells for a more relevant one (new Figure 3C).

      (5) An intriguing avenue for exploration is suggested in testing how the treatment of a GSK inhibitor on HepG2 cells might impact Rab27a and SDC4 expression.

      We appreciate the relevance of the suggestion in testing how the treatment of a GSK inhibitor on HepG2 cells might impact Rab27a and SDC4 expression. According to the reviewer’s suggestions, experiments have been carried out and the data are presented in Author response image 1 below. In HepG2 cells, GSK inhibitor stabilized the wild-type β-catenin protein but surprisingly the mutated form of β-catenin is slightly decreased (Author response image 1A). Regarding the expression levels of both Rab27a and SDC4 mRNA, a small increase is observed (Author response image 1B). Rab27a protein is also increased upon the treatment with a GSK inhibitor on HepG2 cells (Author response image 1C). This increased in expression could be due to the decrease of the mutated form of β-catenin in HepG2 cells confirming that Rab27a and SDC4 are repressed by the mutated β-catenin. 

      Author response image 1.

      Impact of a GSK inhibitor (CHIR99021) on Rab27a and syndecan-4 (SDC4) expressions in HepG2 cells. HepG2 cells were treated by 3 µM CHIR990221 or DMSO as control for 48h. A) Western-blot (upper panel) and quantification (lower panel) of wild-type (WT) and mutated (MUT) β-catenin proteins in HepG2 cells treated with DMSO (control) or with CHIR990221. B) qRT-PCR analysis of Rab27a and SDC4 expression in HepG2 cells treated with DMSO (control) or with CHIR990221. C) Western-blot (left panel) and quantification (right panel) of Rab27a protein in HepG2 cells treated with DMSO (control) or with CHIR990221. *P<0.05

      Reviewer 3:

      (1) One limitation of this study is that the mechanistic relationship of exosome release and how they affect immune cells remains to be elucidated. In this context, the authors conclusions rest on the assumption that hepatocarcinoma immune evasion is based exclusively on the reduced number of exosomes. However, the authors do not analyze exosome composition between exosomes of wild type and oncogenic background, which could be different.

      We agree that the mechanistic relationship of exosome release and how they affect immune cells remains to be elucidated. In the discussion we mentioned that the content of ß-catenin-regulated EVs remains to be explored to fully understand their function in the immunomodulation of the tumor microenvironment. In this line, we have ongoing experiments in order to analyse the exosomal content in term of proteins and microRNAs. According to our preliminary results, we are able to say  that the exosome composition in knock-down mutated ß-catenin HepG2 cells compared to control HepG2 cells seems to be different suggesting not only an involvement of the number of exosomes in the immunomodulation but also of their content. 

      (2) The manuscript would benefit from minor language editing and the introduction from restructuring to enhance clarity.

      The manuscript has now benefited from a language editing thanks to the Professor William A. Thomas (Colby-Sawyer College, New Hampshire). Acknowledgments have been modified (page 12) to thank the Professor William A. Thomas for proof- reading of the manuscript. The introduction has been also restructured and modified according to the reviewer's suggestions to enhance clarity (page 3).

      (3) I believe that within the abstract, the authors mean 'defect' not 'default' in the sentence: Then, we demonstrated in 3D spheroid models that activation of β-catenin promotes a decrease of immune cell infiltration through a default in exosome secretion.

      We apologize for the mistake between 'default' and 'defect' in the abstract. The abstract has been modified accordingly.

      (4) Within the 'Introduction' part of the manuscript, the authors might consider reviewing and reorganizing the first paragraph for more clarity - I suggest leading with the first three sentences of the second paragraph (HCC is the most...) and then introducing b-catenin and the effects and implications of oncogenic ß-catenin in HCC.

      If the authors prefer the current structure of the 'Introduction', I would like to propose exchanging some of the wording:

      -In line 4: 'despite' instead of 'in front of'? Sentence: Thus, in front of the therapeutic revolution for cancers, with the emergence of immunotherapy and more particularly immune checkpoint inhibitors (anti-PD1, anti-PD-L1)

      -Additionally in line 7: In these tumors, the oncogenic β-catenin is able to set up a microenvironment that favors tumor progression notably by promoting immune escape. Here, 'establish' might be a better choice instead of 'set up' - In line 9 I suggest rephrasing the sentence: Few studies have reported that the defect of intercellular communication between cancer cells and immune cells is partly mediated by a decrease of chemokines production leading to a reduction of immune infiltrates.... and maybe adding a reference here.

      The introduction has been altered accordingly. Thanks for these suggestions that helped us to improve our manuscript.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This study, utilizing CITE-Seq to explore CML, is considered a useful contribution to our understanding of treatment response. However, the reviewers express concern about the incomplete evidence due to the small sample size and recommend addressing these limitations. Strengthening the study with additional patient samples and validation measures would enhance its significance.

      We thank the editors for the assessment of our manuscript. In view of the comments of the three reviewers, we have increased the number of CML patient samples analyzed to confirm all the major findings included in the manuscript. In total, more than 80 patient samples across different approaches have now been analyzed and incorporated in the revised manuscript.

      To the best of our knowledge, this is the first single cell multiomics report in CML and differs substantially from the recent single cell omics-based reports where single modalities were measured one at a time (Krishnan et al., 2023; Patel et al., 2022). Thus, the sc-multiomic investigation of LSCs and HSCs from the same patient addresses a major gap in the field towards managing efficacy and toxicity of TKI treatment by enumerating CD26+CD35- LSCs and CD26-CD35+ HSCs burden and their ratio at diagnosis vs. 3 months of therapy. The findings suggest design of a simpler and cheaper FACS assay to simultaneously stratify CML patients for TKI efficacy as well as hematologic toxicity.

      Reviewer 1:

      Summary:

      This manuscript by Warfvinge et al. reports the results of CITE-seq to generate singlecell multi-omics maps from BM CD34+ and CD34+CD38- cells from nine CML patients at diagnosis. Patients were retrospectively stratified by molecular response after 12 months of TKI therapy using European Leukemia Net (ELN) recommendations. They demonstrate heterogeneity of stem and progenitor cell composition at diagnosis, and show that compared to optimal responders, patients with treatment failure after 12 months of therapy demonstrate increased frequency of molecularly defined primitive cells at diagnosis. These results were validated by deconvolution of an independent previously published dataset of bulk transcriptomes from 59 CML patients. They further applied a BCR-ABL-associated gene signature to classify primitive Lin-CD34+CD38- stem cells as BCR:ABL+ and BCR:ABL-. They identified variability in the ratio of leukemic to non-leukemic primitive cells between patients, showed differences in the expression of cell surface markers, and determined that a combination of CD26 and CD35 cell surface markers could be used to prospectively isolate the two populations. The relative proportion of CD26-CD35+ (BCR:ABL-) primitive stem cells was higher in optimal responders compared to treatment failures, both at diagnosis and following 3 months of TKI therapy.

      Strengths:

      The studies are carefully conducted and the results are very clearly presented. The data generated will be a valuable resource for further studies. The strengths of this study are the application of single-cell multi-omics using CITE-Seq to study individual variations in stem and progenitor clusters at diagnosis that are associated with good versus poor outcomes in response to TKI treatment. These results were confirmed by deconvolution of a historical bulk RNAseq data set. Moreover, they are also consistent with a recent report from Krishnan et al. and are a useful confirmation of those results. The major new contribution of this study is the use of gene expression profiles to distinguish BCRABL+ and BCR-ABL- populations within CML primitive stem cell clusters and then applying antibody-derived tag (ADT) data to define molecularly identified BCR:ABL+ and BCR-ABL- primitive cells by expression of surface markers. This approach allowed them to show an association between the ratio of BCR-ABL+ vs BCR-ABL- primitive cells and TKI response and study dynamic changes in these populations following short-term TKI treatment.

      Weaknesses:

      One of the limitations of the study is the small number of samples employed, which is insufficient to make associations with outcomes with confidence. Although the authors discuss the potential heterogeneity of primitive stem, they do not directly address the heterogeneity of hematopoietic potential or response to TKI treatment in the results presented. Another limitation is that the BCR-ABL + versus BCR-ABL- status of cells was not confirmed by direct sequencing for BCR-ABL. The BCR-ABL status of cells sorted based on CD26 and CD35 was evaluated in only two samples. We also note that the surface markers identified were previously reported by the same authors using different single-cell approaches, which limits the novelty of the findings. It will be important to determine whether the GEP and surface markers identified here are able to distinguish BCR-ABL+ and BCR-ABL- primitive stem cells later in the course of TKI treatment. Finally, although the authors do describe differential gene expression between CML and normal, BCR:ABL+ and BCR:ABL-, primitive stem cells they have not as yet taken the opportunity to use these findings to address questions regarding biological mechanisms related to CML LSC that impact on TKI response and outcomes.

      Reviewer #1 (Recommendations For The Authors):

      Minor comment: Fig 4 legend -E and F should be C and D.

      We thank the reviewer for positive assessment of our work. Here, we highlight the updates in the revised manuscript considering the feedback received.

      Minor comment: Fig 4 legend -E and F should be C and D.

      We have edited the revised manuscript accordingly

      One of the limitations of the study is the small number of samples employed, which is insufficient to make associations with outcomes with confidence.

      Although we performed CITE-seq for 9 CML patient samples at diagnosis, we extended our investigations to include additional samples (e.g., largescale deconvolution analysis of samples, Fig 3 C-E, qPCR for BCR::ABL1 status, Fig. 6A, and the ratio between CD35+ and CD26+ populations at diagnosis and during TKI therapy, Fig. 6C-D) as described in the manuscript.

      In comparison to a scRNA-seq, multiomic CITE-seq involves preparation and sequencing of separate libraries corresponding to RNA and ADTs thereby being even more resource demanding limiting our capacity to process an extensive number of patient samples. To confirm our findings in a larger cohort we have therefore adopted a computational deconvolution approach, CIBERSORT to analyze a larger number of independent samples (n=59). This reflects a growing, sustainable trend to study larger number of patients in face of still prohibitively expensive but potentially insightful scomics approaches (For example, please see Zeng et al, A cellular hierarchy framework for understanding heterogeneity and predicting drug response in acute myeloid leukemia, Nature Medicine, 2022).

      However, in view of the comment, we have now substantially increased the number of analyzed patients in the revised manuscript. These include increased number of patient samples to investigate the ratio between CD35 and CD26 marked populations at diagnosis, and 3 months of TKI therapy (from n=8 to n=12 with now 6 optimal responders and 5 treatment failure at diagnosis and after TKI therapy), qPCR for BCR::ABL1 expression status at diagnosis (from n=3 to n=9) , and followed up the BCR::ABL1 expression in three additional samples after TKI therapy. Moreover, we examined the CD26 and CD35 marked populations for expression of GAS2, one of our top candidate LSC signature genes in three additional samples at diagnosis and at 3m follow up. Thus, >80 patient samples across different approaches have been analyzed to strengthen all major conclusions of the study.

      We emphasize that we were cautious in generalizing the observation obtained from any one approach and sought to confirm any major finding using at least one complementary method. As an example, although CITE-seq (n=9) showed altered frequency of all cell clusters between optimal and poor responders (Fig. 3B), we refrained from generalizing because our independent large-scale computational deconvolution analysis (n=59) only substantiated the altered proportion of primitive and myeloid cell clusters (Fig. 3E).

      Although the authors discuss the potential heterogeneity of primitive stem, they do not directly address the heterogeneity of hematopoietic potential or response to TKI treatment in the results presented.

      Thanks for noting the discussion on heterogeneity of the primitive stem cells. As described in the original manuscript, the figure 6 D-E showed a relationship between heterogeneity and TKI therapy response. The results showed that CD35+/CD26+ ratio within the HSC fraction associated with this therapy response. We have now increased the number of patient samples analyzed and present the updated results in the revised manuscript (now figure 6 C-D). These observations set the stage for assessing whether long term therapy outcome can also be influenced by heterogeneity at diagnosis.

      We have shown the hematopoietic potential of HSCs marked by CD35 expression in an independent parallel study and therefore only mentioned it concisely in the current manuscript. A combination of scRNA-seq, scATAC-seq and cell surface proteomics showed CD35+ cells at the apex of healthy human hematopoiesis, containing an HSCspecific epigenetic signature and molecular program, as well as possessing self-renewal capacity and multilineage reconstitution in vivo and vitro. The preprint is available as Sommarin et al. ‘Single-cell multiomics reveals distinct cell states at the top of the human hematopoietic hierarchy’, Biorxiv; https://www.biorxiv.org/content/10.1101/2021.04.01.437998v2.full

      We also note that the surface markers identified were previously reported by the same authors using different single-cell approaches, which limits the novelty of the findings.

      Our current manuscript is indeed a continuation of and builds onto our previous paper (Warfvinge R et al. Blood, 2017). In contrast to our previous report which was limited to examination of only 96 genes per cell, CITE-seq allowed us to examine the molecular program of cells using unbiased global gene expression profiling. Finally, although CD26 appears, once again as a reliable marker of BCR::ABL1+ primitive cells, CD35 emerges as a novel and previously undescribed marker of BCR::ABL1- residual stem cells. A combination of CD35 and CD26 allowed us to efficiently distinguish between the two populations housed within the Lin-34+38/low stem cell immunophenotype.

      Another limitation is that the BCR-ABL + versus BCR-ABL- status of cells was not confirmed by direct sequencing for BCR-ABL. The BCR-ABL status of cells sorted based on CD26 and CD35 was evaluated in only two samples

      Single cell detection of fusion transcripts is challenging with low detection sensitivity in single cell RNA-seq as has been noted previously (Krishnan et al. Blood, 2023, Giustacchini et al. Nature Medicine, 2017, Rodriguez-Meira et al. Molecular Cell, 2019). However, this is likely to change with the inclusion of targetspecific probes in scRNA-seq library preparation protocols. Nonetheless, in view of the comment, we have included more patient samples (from the previous n=3 to current n=10 (including TKI treated samples) for direct assessment of BCR-ABL1 status by qPCR analysis; the updated results are included in the revised manuscript (Figure 6A).

      It will be important to determine whether the GEP and surface markers identified here are able to distinguish BCR-ABL+ and BCR-ABL- primitive stem cells later in the course of TKI treatment.

      We performed qPCR to check for BCR::ABL1 status, and the level of GAS2, one of the top genes expressed in CML cells within CD26+ and CD35+ cells at diagnosis and following 3 months of TKI therapy. The results showed that while CD26+ are BCR::ABL1+, the CD35+ cells are BCR::ABL1- at both time points. Moreover, the expression of LSC-specific gene, GAS2 was specific to BCR::ABL1+ CD26+ cells at both diagnosis as well as following 3 months of TKI therapy. The new results are presented in figure 6B in the revised manuscript.

      Finally, although the authors do describe differential gene expression between CML and normal, BCR:ABL+ and BCR:ABL-, primitive stem cells they have not as yet taken the opportunity to use these findings to address questions regarding biological mechanisms related to CML LSC that impact on TKI response and outcomes.

      We agree with the reviewer that our major focus here was to characterize the cellular heterogeneity coupled to treatment outcome and therefore we did not delve deep into the molecular mechanisms underlying TKI response. However, in response to this comment, as mentioned above, we noted that one of the top genes in BCR::ABL1 cells (Fig. 4 C; right; in red), GAS2 (Growth Specific Arrest 2) was expressed at both diagnosis and TKI therapy within CD26+ cells relative to CD35+ cells (updated figure 6B). Interestingly, GAS2 was also detected in CML LSCs in a recent scRNA-seq study (Krishnan et al. Blood, 2023) suggesting GAS2 upregulation could be a consistent molecular feature of CML cells. GAS2 has been previously noted as deregulated in CML (Janssen JJ et al. Leukemia, 2005, Radich J et al, PNAS, 2006), control of cell cycle, apoptosis, and response to Imatinib (Zhou et al. PLoS One, 2014). Future investigations are warranted to assess whether GAS2 could play a role in the outcome of long-term TKI therapy.

      Reviewer 2:

      Summary:

      The authors use single-cell "multi-comics" to study clonal heterogeneity in chronic myeloid leukemia (CML) and its impact on treatment response and resistance. Their main results suggest 1) Cell compartments and gene expression signatures both shared in CML cells (versus normal), yet 2) some heterogeneity of multiomic mapping correlated with ELN treatment response; 3) further definition of s unique combination of CD26 and CD35 surface markers associated with gene expression defined BCR::ABL1+ LSCs and BCR::ABL1- HSCs. The manuscript is well-written, and the method and figures are clear and informative. The results fit the expanding view of cancer and its therapy as a complex Darwinian exercise of clonal heterogeneity and the selective pressures of treatments.

      Strengths:

      Cutting-edge technology by one of the expert groups of single-cell 'comics.

      Weaknesses:

      Very small sample sizes, without a validation set. The obvious main problem with the study is that an enormous amount of results and conjecture arise from a very small data set: only nine cases for the treatment response section (three in each of the ELN categories), only two normal marrows, and only two patient cases for the division kinetic studies. Thus, it is very difficult to know the "noise" in the system - the stability of clusters and gene expression and the normal variation one might expect, versus patterns that may be reproducibly study artifact, effects of gene expression from freezing-thawing, time on the bench, antibody labeling, etc. This is not so much a criticism as a statement of reality: these elegant experiments are difficult, timeconsuming, and very expensive. Thus in the Discussion, it would be helpful for the authors to just frankly lay out these limitations for the reader to consider. Also in the Discussion, it would be interesting for the authors to consider what's next: what type of validation would be needed to make these studies translatable to the clinic? Is there a clever way to use these data to design a faster/cheaper assay?

      We thank the reviewer for appraisal of our manuscript. We take the opportunity to point out the updates in the revised manuscript in view of the comments.

      Very small sample sizes, without a validation set. The obvious main problem with the study is that an enormous amount of results and conjecture arise from a very small data set: only nine cases for the treatment response section (three in each of the ELN categories), only two normal marrows, and only two patient cases for the division kinetic studies.

      As the reviewer has noted the single cell omics experiments remain resource demanding thereby placing a limitation on the number of patients analyzed. As described above in response to the comments from reviewer 1, multiomic CITE-seq allows extraction of two modalities in comparison to a typical scRNA-seq, however, this also makes it even more limited in the number of samples processed in a sustainable way. This was one of the motivations to analyze a larger number of independent samples (n=59) while benefiting from the insights gained from CITE-seq (n=9). Furthermore, by analyzing CD34+ cells from bone marrow and peripheral blood of CML patients, including both responders and non-responders after one year of Imatinib therapy, we were able to significantly diversity the patient pool, which was lacking in our CITE-seq patient pool. As mentioned above, this reflects a growing trend to analyze larger number of patients while anchoring the analysis on prohibitively expensive but potentially insightful sc-omics approaches (For example, please see Zeng et al, A cellular hierarchy framework for understanding heterogeneity and predicting drug response in acute myeloid leukemia, Nature Medicine, 2022).

      As emphasized above, we frequently sought to confirm the findings from one approach using a complementary method and independent samples. For example, although CITE-seq (n=9) showed altered frequency of all cell clusters between optimal and poor responders (Fig. 3B), we refrained from generalizing because an independent largescale computational deconvolution analysis (n=59) only substantiated the altered proportion of primitive and myeloid clusters.

      In view of the comment, we have now increased the number of patients analyzed during the revision process. These include increased numbers to investigate the ratio between CD35+ and CD26+ populations at diagnosis, as well as 3 months of TKI therapy, qPCR for BCR::ABL1, and patients examined for GAS2, one of the top genes expressed in CML cells (see response to reviewer 1 for details). Altogether, >80 patient samples across different approaches were analyzed to strengthen the conclusions.

      During the revision, we have analyzed cells from 8 CML patients for cell cycle using gene activity scores. This is in addition to the cell division kinetics data reported previously are now together described in the supplementary figures 9C-F.

      It is very difficult to know the "noise" in the system - the stability of clusters and gene expression and the normal variation one might expect, versus patterns that may be reproducibly study artifact, effects of gene expression from freezing-thawing, time on the bench, antibody labeling, etc. This is not so much a criticism as a statement of reality: these elegant experiments are difficult, time-consuming, and very expensive. Thus in the Discussion, it would be helpful for the authors to just frankly lay out these limitations for the reader to consider.

      We agree with the reviewer that sc-omics approaches can be noisy despite continuing efforts to denoise single cell datasets through both experimental and bioinformatic innovations. Therefore, we have updated the discussion as recommended by the reviewer (paragraph 5 in the discussion).

      We also note that CITE-seq, in contrast to scRNA-seq alone provides dual features: surface marker/protein as well as RNA for annotating the same cluster. In our manuscript, for example, cell clusters in UMAP for normal BM; Fig 1B were described using both surface markers (Fig. 1C) and RNA (Fig. 1D) making the cluster identity robust. To further elaborate this approach, a new supplementary figure 1C shows annotations of clusters using both RNA and surface markers.

      To potentially address the issue of stability of clusters and gene expression, we compared the marker genes for major clusters from nBM from this study (supplementary table 4, Warfvinge et al.) with those described recently in a scRNA-seq study by Krishnan et al. supplementary table 8, Blood, 2023 using Cell Radar, a tool that identifies and visualizes which hematopoietic cell types are enriched within a given gene set (description: https://github.com/KarlssonG/cellradar

      Direct link: https://karlssong.github.io/cellradar/). To compare, we used our in-house gene list for the major clusters as well as mapped the same number of top marker genes based on log2FC from corresponding cluster from Krishnan et al. as inputs to Cell Radar. The Cell Radar plot outputs are shown below.

      Author response image 1.

      This approach showed broad similarities across clusters from this study with their counterparts from the other study suggesting the cluster identities reported here are likely to be robust. Please note these figures are for reviewer response only and not included in the final manuscript.

      Also in the Discussion, it would be interesting for the authors to consider what's next: what type of validation would be needed to make these studies translatable to the clinic? Is there a clever way to use these data to design a faster/cheaper assay?

      Our findings on CD26+ and CD35+ surface markers to enrich BCR::ABL1+ and BCR::ABL1- cells suggest a simpler, faster and cheaper FACS panel can possibly quantify leukemic and non-leukemic stem cells in CML patients. We anticipate that future investigations, clinical studies might examine whether CD26CD35+ cells could be plausible candidates for restoring normal hematopoiesis once the TKI therapy diminishes the leukemic load, and whether patients with low counts of CD35+ cells at diagnosis have a relatively higher chance of developing hematologic toxicity such as cytopenia during therapy.

      We briefly mentioned this possibility in the discussion; however, we have now moved it to another paragraph to highlight the same. Please see paragraph 5 in the revised manuscript.

      Reviewer 3:

      Summary:

      In this study, Warfvinge and colleagues use CITE-seq to interrogate how CML stem cells change between diagnosis and after one year of TKI therapy. This provides important insight into why some CML patients are "optimal responders" to TKI therapy while others experience treatment failure. CITE-seq in CML patients revealed several important findings. First, substantial cellular heterogeneity was observed at diagnosis, suggesting that this is a hallmark of CML. Further, patients who experienced treatment failure demonstrated increased numbers of primitive cells at diagnosis compared to optimal responders. This finding was validated in a bulk gene expression dataset from 59 CML patients, in which it was shown that the proportion of primitive cells versus lineage-primed cells correlates to treatment outcome. Even more importantly, because CITE-seq quantifies cell surface protein in addition to gene expression data, the authors were able to identify that BCR/ABL+ and BCR/ABL- CML stem cells express distinct cell surface markers (CD26+/CD35- and CD26-/CD35+, respectively). In optimal responders, BCR/ABL- CD26-/CD35+ CML stem cells were predominant, while the opposite was true in patients with treatment failure. Together, these findings represent a critical step forward for the CML field and may allow more informed development of CML therapies, as well as the ability to predict patient outcomes prior to treatment.

      Strengths:

      This is an important, beautifully written, well-referenced study that represents a fundamental advance in the CML field. The data are clean and compelling, demonstrating convincingly that optimal responders and patients with treatment failure display significant differences in the proportion of primitive cells at diagnosis, and the ratio of BCR-ABL+ versus negative LSCs. The finding that BCR/ABL+ versus negative LSCs display distinct surface markers is also key and will allow for a more detailed interrogation of these cell populations at a molecular level.

      Weaknesses:

      CITE-seq was performed in only 9 CML patient samples and 2 healthy donors. Additional samples would greatly strengthen the very interesting and notable findings.

      Reviewer #3 (Recommendations For The Authors):

      My only recommendation is to bolster findings with additional CML and healthy donor samples.

      CITE-seq was performed in only 9 CML patient samples and 2 healthy donors. Additional samples would greatly strengthen the very interesting and notable findings.

      We thank the reviewer for the positive assessment of our manuscript. As mentioned in response to comments from reviewer 1 and 2, CITE-seq remains an reource consuming single cell method potentially limiting the number of patients to be analyzed. However, during the revision process, we have increased the number of patient material analyzed for other assays; these include increased number to investigate the ratio between CD35+ and CD26+ populations at diagnosis, and 3 months of TKI therapy, qPCR for BCR::ABL1, and patients examined for GAS2, one of the top genes expressed in CML cells. Thus, >80 patient samples across different assays have been analyzed to strengthen the conclusions. (Please see comment to reviewer 1 for more details)

    1. Author response:

      The following is the authors’ response to the original reviews

      Reviewer #1 (Public review):

      Summary:

      Detecting unexpected epistatic interactions among multiple mutations requires a robust null expectation - or neutral function - that predicts the combined effects of multiple mutations on phenotype, based on the effects of individual mutations. This study assessed the validity of the product neutrality function, where the fitness of double mutants is represented as the multiplicative combination of the fitness of single mutants, in the absence of epistatic interactions. The authors utilized a comprehensive dataset on fitness, specifically measuring yeast colony size, to analyze epistatic interactions.

      The study confirmed that the product function outperformed other neutral functions in predicting the fitness of double mutants, showing no bias between negative and positive epistatic interactions. Additionally, in the theoretical portion of the study, the authors applied a wellestablished theoretical model of bacterial cell growth to simulate the growth rates of both single and double mutants under various parameters. The simulations further demonstrated that the product function was superior to other functions in predicting the fitness of hypothetical double mutants. Based on these findings, the authors concluded that the product function is a robust tool for analyzing epistatic interactions in growth fitness and effectively reflects how growth rates depend on the combination of multiple biochemical pathways.

      Strengths:

      By leveraging a previously published extensive dataset of yeast colony sizes for single- and double-knockout mutants, this study validated the relevance of the product function, commonly used in genetics to analyze epistatic interactions. The finding that the product function provides a more reliable prediction of double-mutant fitness compared to other neutral functions offers significant value for researchers studying epistatic interactions, particularly those using the same dataset.

      Notably, this dataset has previously been employed in studies investigating epistatic interactions using the product neutrality function. The current study's findings affirm the validity of the product function, potentially enhancing confidence in the conclusions drawn from those earlier studies. Consequently, both researchers utilizing this dataset and readers of previous research will benefit from the confirmation provided by this study's results.

      Weaknesses:

      This study exhibits several significant logical flaws, primarily arising from the following issues: a failure to differentiate between distinct phenotypes, instead treating them as identical; an oversight of the substantial differences in the mechanisms regulating cell growth between prokaryotes and eukaryotes; and the adoption of an overly specific and unrealistic set of assumptions in the mutation model. Additionally, the study fails to clearly address its stated objective-investigating the mechanistic origin of the multiplicative model. Although it discusses conditions under which deviations occur, it falls short of achieving its primary goal. Moreover, the paper includes misleading descriptions and unsubstantiated reasoning, presented without proper citations, as if they were widely accepted facts. Readers should consider these issues when evaluating this paper. Further details are discussed below.

      (1) Misrepresentation of the dataset and phenotypes

      The authors analyze a dataset on the fitness of yeast mutants, describing it as representative of the Malthusian parameter of an exponential growth model. However, they provide no evidence to support this claim. They assert that the growth of colony size in the dataset adheres to exponential growth kinetics; in contrast, it is known to exhibit linear growth over time, as indicated in [Supplementary Note 1 of https://doi.org/10.1038/nmeth.1534]. Consequently, fitness derived from colony size should be recognized as a different metric and phenotype from the Malthusian parameter. Equating these distinct phenotypes and fitness measures constitutes a fundamental error, which significantly compromises the theoretical discussions based on the Malthusian parameter in the study.

      The reviewer is correct in pointing out that colony-size measurements are distinct from exponential growth kinetics. We acknowledge that our original text implied that the dataset directly measured the exponential growth rate (Malthusian parameter), when in fact it was measuring yeast colony expansion rates on solid media. Colony growth under these conditions often follows a biphasic pattern in that there is typically an initial microscopic phase where cells can grow exponentially, but as the colony expands further then the growth dynamics become more linear (Meunier and Choder 1999). We have revised our text to state clearly what the experiment measured.

      However, while colony size does not exhibit exponential growth kinetics, several studies have argued that the rate of colony expansion is related to the exponential growth rate of cells growing in non-limiting nutrient conditions in liquid culture. This is because colony growth is dominated by cells at the colony boundaries that have access to nutrients and are in exponential growth. Cells in the colony interior lack nutrients and therefore contribute little to colony growth. This has been shown both in theoretical and experimental studies, finding that the linear growth rate of the colony is directly linked to the single-cell exponential growth rate (Pirt 1967; Gray and Kirwan 1974; Korolev et al. 2012; Gandhi et al. 2016; Meunier and Choder 1999). In particular, the above studies suggest that the linear colony growth rate is directly proportional to the square root of the exponential growth rate. Therefore, one would expect that the validity of the product model for one fitness measure implies its validity for the other measure. In addition, colony size was found to be highly correlated with the exponential growth rate of cells in non-limiting nutrients in liquid culture (Baryshnikova et al. 2010; Zackrisson et al. 2016; Miller et al. 2022). For these reasons, we treated the colony size and exponential growth rate as interchangeable in our original manuscript. 

      To address the important point raised by the reviewer, we now explain more clearly in the text what the analyzed data on colony size show and why we believe it is reflective of the exponential growth rate. Finally, we note that our results supporting the product neutrality function are consistent with the work of (Mani et al. 2008), which used smaller datasets based on liquid culture growth rates (Jasnos and Korona 2007; Onge et al. 2007).

      The text in Section 2.3 now reads:

      “Having verified empirically that the Product neutrality function is supported by the latest data for cell proliferation, we now turn our attention to its origins. Addressing this question requires some mechanistic model of biosynthesis. However, most mechanistic models of growth apply directly to single cells in rich nutrient conditions, which may not directly apply to the SGA measurements of colony expansion rates. In particular, colony growth has been shown to follow a biphasic pattern (Meunier et al. 1999). A first exponential phase is followed by a slower linear phase as the colony expands. Previous modeling and empirical work indicates that this second linear expansion rate reflects the underlying exponential growth of cells in the periphery of the colony (Pirt 1967; Gray et al. 1974; Gandhi et al. 2016; Baryshnikova, Costanzo, S. Dixon, et al. 2010; Zackrisson et al. 2016; Miller et al. 2022). More precisely, mathematical models show the linear colony-size expansion rate is directly proportional to the square root of the exponential growth rate under non-limiting conditions. Intuitively, this relationship arises because colony growth is dominated by the expansion of the population of cells in an annulus at the colony border that are exposed to rich nutrient conditions. These cells expand at a rate similar to the exponential rate of cells growing in a rich nutrient liquid culture. In contrast, the cells in the interior of the colony experience poor nutrient conditions, grow very slowly, and do not contribute to colony growth.

      This intimate relationship between both proliferation rates allows us to explore the origin of the Product neutrality function in mechanistic models of cell growth. Indeed, if colony-based fitnesses follow a Product model, then

      where the superscript c indicates colony-based values for the fitness W and the growth rate λ. Taking into account the relationship between single-cell exponential growth rates and colony growth rates, we can write

      where the superscript l denotes liquid cultures. Combining these expressions, we obtain

      In other words, from the perspective of the Product neutrality function, fitnesses based on colony expansion rates are equivalent to fitnesses based on single-cell exponential growth rates. The prevalence of the Product neutrality model—both in the SGA data and in previous studies on datasets from liquid cultures (Jasnos et al. 2007; Onge et al. 2007; Mani et al. 2008)—encourages the exploration of its origin in mechanistic models of cell growth.”

      (2) Misapplication of prokaryotic growth models

      The study attempts to explain the mechanistic origin of the multiplicative model observed in yeast colony fitness using a bacterial cell growth model, particularly the Scott-Hwa model. However, the application of this bacterial model to yeast systems lacks valid justification. The Scott-Hwa model is heavily dependent on specific molecular mechanisms such as ppGppmediated regulation, which plays a crucial role in adjusting ribosome expression and activity during translation. This mechanism is pivotal for ensuring the growth-dependency of the ribosome fraction in the proteome, as described in [https://doi.org/10.1073/pnas.2201585119]. Unlike bacteria, yeast cells do not possess this regulatory mechanism, rendering the direct application of bacterial growth models to yeast inappropriate and potentially misleading. This fundamental difference in regulatory mechanisms undermines the relevance and accuracy of using bacterial models to infer yeast colony growth dynamics.

      If the authors intend to apply a growth model with macroscopic variables to yeast double-mutant experimental data, they should avoid simply repurposing a bacterial growth model. Instead, they should develop and rigorously validate a yeast-specific growth model before incorporating it into their study.

      There is nothing that is prokaryote specific in the Scott-Hwa model. It does not include the specific ppGpp mechanism to regulate ribosome fraction that does not exist in eukaryotes.  The general features of the model, like how the ribosome fraction is proportional to the growth rate have indeed been validated in yeast (Metzl-Raz et al. 2017; Elsemman et al. 2022; Xia et al. 2022). Performing a detailed physiological analysis of budding yeast across varying growth conditions in order to build a more extensive model is beyond the scope of this work. Finally, we note that the Weiße model, which we also analyzed, is also generic and has replicated empirical measurements both from bacteria and yeast (Weiße et al. 2015).

      To clarify this point in the text, we have added the following to Section 2.3: 

      “Experimental measurements in other organisms suggest that the observations leading to this model, including that the cellular ribosome fraction increases with growth rate, are in fact generic and also seen in the yeast S. cerevisiae (Metzl-Raz et al. 2017; Elsemman et al. 2022; Xia et al. 2022).”

      (3) Overly specific assumptions in the theoretical model

      he theoretical model in question assumes that two mutations affect only independent parameters of specific biochemical processes, an overly restrictive premise that undermines its ability to broadly explain the occurrence of the multiplicative model in mutations. Additionally, experimental evidence highlights significant limitations to this approach. For example, in most viable yeast deletion mutants with reduced growth rates, the expression of ribosomal proteins remains largely unchanged, in direct contradiction to the predictions of the Scott-Hwa model, as indicated in [https://doi.org/10.7554/eLife.28034]. This discrepancy emphasizes that the ScottHwa model and its derivatives do not reliably explain the growth rates of mutants based on current experimental data, suggesting that these models may need to be reevaluated or alternative theories developed to more accurately reflect the complex dynamics of mutant growth.

      In the data from the Barkai lab referenced by the reviewer (reproduced below), we see that the ribosomal transcript fraction is in fact proportional to growth rate in response to gene deletions in contradiction to the reviewer’s interpretation. However, it is notable that the ribosomal transcript fraction is a bit higher for a given growth rate if that growth rate is generated by a mutation rather than generated by a suboptimal nutrient condition. We know that the very simple Scott-Hwa model is not a perfect representation of the cell. Nevertheless, it does recapitulate important aspects of growth physiology and therefore we thought it is useful to analyze its response to mutations and compare those responses to the different neutrality functions.  We never claimed the Scott-Hwa model was a perfect model and fully agree with the referee’s statement above that “... these models may need to be reevaluated, or alternative theories developed to more accurately reflect the complex dynamics of mutant growth.” Indeed, we say as much in our discussion where we wrote: 

      “While we focused on coarse-grained models for their simplicity and mechanistic interpretability, they might be too simple to effectively model large double-mutant datasets and the resulting double-mutant fitness distributions. We therefore expect the combination of high throughput genetic data with the analysis of larger-scale models, for instance based on Flux Balance Analysis, Metabolic Control Analysis, or whole-cell modeling, to lead to important complementary insights regarding the regulation of cell growth and proliferation.”

      To further clarify this point, we discuss and cite the Barkai lab data for gene deletions see Figure 2 from Metzl-Raz et al. 2017.

      (4) Lack of clarity on the mechanistic origin of the multiplicative model

      The study falls short of providing a definitive explanation for its primary objective: elucidating the "mechanistic origin" of the multiplicative model. Notably, even in the simplest case involving the Scott-Hwa model, the underlying mechanistic basis remains unexplained, leaving the central research question unresolved. Furthermore, the study does not clearly specify what types of data or models would be required to advance the understanding of the mechanistic origin of the multiplicative model. This omission limits the study's contribution to uncovering the biological principles underlying the observed fitness patterns.”

      We appreciate the reviewer’s interest in a more complete mechanistic explanation for the product model of fitness. The primary goal of this study was to explore the validity of the Product model from the perspective of coarse-grained models of cell growth, and to extract mechanistic insights where possible. We view our work as a first step toward a deeper understanding of how double-mutant fitnesses combine, rather than a final, all-encompassing theory. As the referee notes, we are limited by the current state of the field, which has an incomplete understanding of cell growth. 

      Nonetheless, our analysis does propose concrete, mechanistically informed explanations. For example, we highlight how growth-optimizing feedback—such as cells’ ability to reallocate ribosomes or adjust proteome composition—naturally leads to multiplicative rather than additive or minimal fitness effects. We also link the empirical deviations from pure multiplicative behavior to differences in how specific pathways re-balance under perturbation, and we suggest that a product-like rule emerges when multiple interconnected processes each partially limit cell growth.

      In the discussion, we clarify what additional data and models we think will be required to advance this question. Namely, we propose extending our approach through larger-scale, more detailed modeling frameworks – that may include explicit modeling of ppGpp or TOR activities in bacteria or eukaryotic cells, respectively. We also emphasize the importance of refining the measurement of cell growth rates to uncover subtle deviations from the product rule that could yield greater mechanistic insight. By integrating high-throughput genetic data with nextgeneration computational models, it should be possible to hone in on the specific biological principles (e.g., metabolic bottlenecks, resource reallocation) that underlie the multiplicative neutrality function.

      Reviewer #2 (Public review):

      The paper deals with the important question of gene epistasis, focusing on asking what is the correct null model for which we should declare no epistasis.

      In the first part, they use the Synthetic Genetic Array dataset to claim that the effects of a double mutation on growth rate are well predicted by the product of the individual effects (much more than e.g. the additive model). The second (main) part shows this is also the prediction of two simple, coarse-grained models for cell growth.

      I find the topic interesting, the paper well-written, and the approach innovative.

      One concern I have with the first part is that they claim that:

      "In these experiments, the colony area on the plate, a proxy for colony size, followed exponential growth kinetics. The fitness of a mutant strain was determined as the rate of exponential growth normalized to the rate in wild type cells."

      There are many works on "range expansions" showing that colonies expand at a constant velocity, the speed of which scales as the square root of the growth rate (these are called "Fisher waves", predicted in the 1940', and there are many experimental works on them, e.g. https://www.pnas.org/doi/epdf/10.1073/pnas.0710150104) If that's the case, the area of the colony should be proportional to growth_rate X time^2 , rather than exp(growth_rate*time), so the fitness they might be using here could be the log(growth_rate) rather than growth_rate itself? That could potentially have a big effect on the results.

      We thank the reviewer for their thoughtful remarks. As they rightly pointed out, a large body of literature supports that colonies expand at constant velocity both from a theoretical and experimental standpoint. 

      As discussed in the answer to the first question of Reviewer 1, this body of work also suggests that the linear expansion rate of the colony front is directly related to the single-cell exponential growth rate of the cells at the periphery. Hence, although the macroscopic colony growth may not be exponential in time, measuring colony size (or radial expansion) across different genotypes still provides a consistent and meaningful proxy for comparing their underlying growth capabilities. 

      In particular, these studies suggest (consistently with Fisher-wave theory) that the linear growth rate of the colony 𝐾 is proportional to the square root of the exponential growth rate 𝜆. Under the assumption that the product model is valid for a given double mutant and for the exponential growth rate, we would have that

      The associated wave-front velocities would then be predicted to be

      In other words, if the product model is valid for fitness measures based on exponential growth rates, it should also be valid for fitness measures based on linear colony growth rates. 

      We now include this discussion in the revised version of Section 2.3.

      Additional comments/questions:

      (1) What is the motivation for the model where the effect of two genes is the minimum of the two?

      The motivation for the minimal model is the notion that there might be a particular process that is rate-limiting for growth due to a mutation. In this case, a mutation in process X makes it really slow and process Y proceeds in parallel and has plenty of time to finish its job before cell division takes place. In this case, even a mutation to process Y might not slow down growth because there is an excess amount of time for it to be completed. Thus, the double mutant might then be anticipated to have the growth rate associated with the single mutation to process X. We now add a similar description when we introduce the different neutrality functions in Section 2.1.

      (2) How seriously should we take the Scott-Hwa model? Should we view it as a toy model to explain the phenomenon or more than that? If the latter, then since the number of categories in the GO analysis is much more than two (47?) in many cases the analysis of the experimental data would take pairs of genes that both affect one process in the Scott-Hwa model - and then the product prediction should presumably fail? The same comment applies to the other coarse-grained model.

      From our perspective, models like the Scott-Hwa model constitute the simplest representation of growth based on data that is not trivial. Moreover, the Scott-Hwa model is able to incorporate interactions between two different biological processes. We believe models, like the Scott-Hwa and Weiße models, should be viewed as more than mere toy models because they have been backed up by some empirical data, such as that showing the ribosome fraction increases with growth rate. However, the Scott-Hwa model is inherently limited by its low dimensionality and relative simplicity. We do not claim that such models can provide a full picture of the cell. As argued in the main text, we have chosen to focus on such models because of their tractability and in the hope of extracting general principles. We nonetheless agree with the reviewer that they do not have the capacity to represent interactions between genes in the same biological process. We now note this limitation in the text. 

      (3) There are many works in the literature discussing additive fitness contributions, including Kaufmann's famous NK model as well as spin-glass-type models (e.g. Guo and Amir, Science Advances 2019, Reddy and Desai, eLife 2021, Boffi et al., eLife 2023) These should be addressed in this context.

      We thank the reviewer for pointing out this part of the literature. We do believe these works constitute a relevant body of work tackling the emergence of epistasis patterns from a theoretical grounding, and now reference and discuss them in the text. 

      (4) The experimental data is for deletions, but it would be interesting to know the theoretical model's prediction for the expected effects of beneficial mutations and how they interact since that's relevant (as mentioned in the paper) for evolutionary experiments. Perhaps in this case the question of additive vs. multiplicative matters less since the fitness effects are much smaller.

      This is an interesting question. Since mutations increasing the growth rate generated by gene deletions or other systematic perturbations are rare, we did not focus on them. Of course, as the reviewer notes, in the case of evolution experiments, these fitness enhancing mutations are selected for. To address the reviewer's question, we can first consider the Scott-Hwa model. In this case, the analytical solution remains valid in the case of fitness enhancing mutations so that the fitness of the double mutant will be the product neutrality function multiplied by an additional interaction term (see Figure 3). The mathematical derivation predicts that the double mutant fitness can potentially grow indefinitely. Indeed, the denominator can be equal to zero in some cases. In simulations, we see that the observation for deleterious mutations does not seem to hold for beneficial mutations (new supplementary Figure S5 shown below). Indeed, no model seems to replicate double mutant fitnesses much better than any other. This suggests that the growth-optimizing feedback we discuss in section 2.3 may have compound effects that ultimately make double-mutant fitnesses much larger than any model predicts.

      We recognize this may be an important point, and discuss it in detail in the revised section 2.3 as well as in the discussion.

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    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public review):

      Weaknesses: 

      This study's weakness is that it requires the use of chloroplasts isolated from leaves and the need to freeze them on a grid for observation, so it is unclear to what extent the observations reflect physiological conditions. In particular, the mode of existence of the thylakoid membrane complexes seems to be strongly influenced by the physicochemical environment surrounding the membranes, as indicated by the different distribution of PSII between intact chloroplasts and those with ruptured envelope membranes. 

      We agree with the reviewer, as discussed in the “Limitations and Future Perspectives” section of our manuscript. The duration and conditions of the chloroplast isolation will very likely influence the state of the sample and hamper conclusions about physiological adaptations to environmental conditions, which are important for a dynamic process like photosynthesis. Isolated chloroplasts were the most feasible option for vitrification by plunge freezing, but we intend to improve our technological approaches to overcome this obstacle in the future (e.g., by using the more involved approach of cryo-lift out from high-pressure frozen tissue). Here, we hope that by using plants acclimated to a “standard state” (standard growth conditions under low light) and proceeding with fast isolation and grid preparation (chloroplast were used only once per isolation and deposited on the grids as fast as 10 min from leaf harvesting), we preserve some physiological relevance. This is supported by: 1) a PSII distribution pattern and concentration that is similar to previous observations by us and others in cryo-ET of FIB-milled algae cells and freeze-fracture of whole plant cells, 2) a thylakoid lumen width that is similar to previously reports from whole light-adapted algae and leaf cells, but wider that previous reports of isolated plant thylakoids.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors): 

      (1) Figure 1-3: It would be better if it was easier to see which part of the figure the explanation in the text refers to. For example, not only the figure number but also the color of the arrowheads could be indicated in the text. Also, it would be better to indicate which part of the figure the explanation in the text and in the figure legend refers to by adding arrows or circles on the figure images.

      Thank you for this idea. We have added color references to individual objects segmented in Figs. 1 and 2. They are now indicated in the figure references in the text to facilitate the reading. In Fig. 3, we have added additional arrows (and indication in the text) to point to examples of Rubisco densities (as also requested by Reviewer #2).

      (2) Figure 5: Without having read the authors' previous works on "menbranogram", the reader may have no idea why the distribution of PSI and ATPase in the non-stack region in G can be inferred from the data in Figure 5C-E. Is it possible to add an explanation, for example by adding a supplement figure? 

      Thank you for this suggestion. Instead of creating another methods figure and movie about membranograms, we refer readers to our earlier work (Wietrzynski et al. 2020, eLife). This fits with the Research Advance format, and eLife should clearly link to that previous paper that our current study builds upon.

      Reviewer #2 (Recommendations for the authors): 

      Minor points: 

      (1) Please add to Figures 2A or 3A arrowheads showing Rubisco complexes.

      Done; we added colored arrowheads pointing to Rubisco complexes and an indication in the figure legend.

      (2) "We measured a membrane thickness of 5.1 {plus minus} 0. 3 nm, a stromal gap of 3.2 {plus minus} 0. 3 nm, a luminal thickness of 10.8 {plus minus} 2.0 nm, and a total thylakoid thickness (including two membranes plus the enclosed lumen) of 21.1 {plus minus} 1.8 nm (Fig. 4) (for comparison see [1, 2, 30, 40])."

      Please add ref: Kirchhoff, H. et al. Dynamic control of protein diffusion within the granal thylakoid lumen. Proc. Natl Acad. Sci. USA 108, 20248-20253 (2011).

      Thank you for this suggestion. The reference has been added.

      (3) Please add to the supplemental figures a raw data and a processed image with AI denoising.

      Denoising results differ between the tomograms. Below we provide an example of a significant improvement in signal to noise ratio in a denoised tomogram. On the left is a raw tomogram reconstructed using a standard approach: weighted back projection using etomo program from the IMOD package. On the right is the same tomogram denoised using cryoCARE, which performs a noise comparison between odd and even frames that were used to reconstruct the tomogram on the left. Below is a zoom in into the slices from the first row, highlighting the differences. The same approach was used for all the tomograms used in the figures. Please also see the Data deposition statement below (and the Data deposition section in the paper) that we hope fulfills the Reviewers request. All raw and denoised data, as well as segmentations and picked particle positions, are publicly available.

      “Data deposition statement

      The raw data consists of micrographs (frames) used to reconstruct each tomogram, acquisition parameters file (.mdoc) for each tomogram and reference images of the microscope camera: 273.7 GB in total. Following the current standard in the cryo-EM field, all images used to generate figures in the manuscript (AI-denoised tomograms and corresponding segmentations) have been deposited in the Electron Microscopy Data Base (EMDB) and are available under accession codes EMD-5243 through EMD-5248). They can be accessed here: https://www.ebi.ac.uk/emdb/EMD-52542. Additionally, all raw files (including tomograms used only for analysis), all used denoised tomographic volumes and unaltered membrane segmentations have been deposited onto the public EMPIAR server (www.ebi.ac.uk/empiar) and are available under the accession code EMPIAR-12612. Finally, positions of PSII particles used in the study, segmented single membrane instances and membrane meshes are available at: 10.5281/zenodo.15090119. All this data will be linked to (and is searchable by) the EMDB depositions and to manuscript DOI. Accession numbers to the data are added in the “Data availability” section of the manuscript.”

      Author response image 1.

      Results of tomogram denoising. An example tomogram from the dataset. Top row: on the left is a 5-slice average of the tomographic volume reconstructed using weighted back projection method. On the right is a single tomographic slice of the same tomographic volume denoised using cryoCARE program. Bottom row: zoom-ins into the corresponding tomographic slices from the top row. All images were recorded using 3dmod from the IMOD package.

      Additional modifications:

      Following other comments and suggestions, we have included following additions to the manuscript:

      Figure 4 – figure supplement 1. Its aim is to better explain the methodology behind thylakoid width measurements. The methods section concerning this figure has been slightly modify to match this addition.

      Figure 1 – video supplement 1. Overview of a chloroplast tomogram and segmentations the thylakoid and chloroplast envelope membranes.

      Figure 3 – video supplement 1. Chloroplast stroma and top views of the thylakoid network, with stromal lamellae connecting the grana.

      Figure 8 – video supplements 1 and 2. These tomographic views highlight the organization of PSII particles in thylakoids from intact and broken chloroplasts.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      Summary:

      Overall, this study provides a meticulous comparison of developmental transcriptomes between two sub-species of the annelid Streblospio benedicti. Different lineages of S. benedicti maintain one of two genetically programmed alternative life histories, the ancestral planktotrophic or derived lecithotrophic forms of development. This contrast is also seen at the inter-species level in many marine invertebrate taxa, such as echinoderms and molluscs. The authors report relatively (surprisingly?) modest differences in transcriptomes overall but also find some genes whose expression is essentially morph-specific (which they term "exclusive").

      Strengths:

      The study is based on a dense and appropriately replicated sampling of early development. The tight clustering of each stage/morph combination in PCA space suggests the specimens were accurately categorized. The similar overall trajectories of the two morphs were surprising to me for two stages: 1) the earliest stage (16-cell), at which we might expect maternal differences due to the several-fold difference in zygote size, and 2) the latest stage (1-week), where there appears to be the most obvious morphological difference. This is why we need to do experiments!

      The examination of F1 hybrids was another major strength of the study. It also produced one of the most surprising results: though intermediate in phenotype, F1 embryos have the most distinct transcriptomes, and reveal a range of fixed, compensatory differences in the parental lines.

      Weaknesses:

      Overall I really enjoyed this paper, but I see a few places where it can be tightened and made more insightful. These relate to better defining the basis for "exclusive" expression (regulation or gene presence/absence?), providing more examples of how specific genes related to trophic mode behave, and placing the study in the context of similar work in other phyla.

      As suggested, we changed the term “exclusive expression” to “morph-specific” expression throughout the paper to clarify which genes are only expressed in one morph. We also added references to similar work in other phyla such as recent work on lecithotrophic and planktotrophic development in species of Heliocidaris sea urchins in the 4th paragraph of the discussion. We added additional data about the F1 hybrids in “Gene expression of Genetic Crosses” section and the new Figure 8B. We find that gene expression in F1 offspring is divided between matching the maternal and paternal gene expression patterns, with slightly more genes matching paternal expression.

      Reviewer #2 (Public Review):

      The manuscript by Harry and Zakas determined the extent to which gene expression differences contribute to developmental divergence by using a model that has two distinct developmental morphs within a single species. Although the authors did collect a valuable dataset and trends in differential expression between the two morphs of S. benedicti were presented, we found limitations about the methods, system, and resources that the authors should address.

      We have two major points:

      (1) Background information about the biological system needs to be clarified in the introduction of this manuscript. The authors stated that F1 offspring can have intermediate larval traits compared to the parents (Line 81). However, the authors collected F1 offspring at the same time as the mother in the cross. If offspring have intermediate larval traits, their developmental timeline might be different than both parents and necessitate the collection of offspring at different times to obtain the same stages as the parents. Could the authors (1) explain why they collected offspring at the same time as parents given that other literature and Line 81 state these F1 offspring develop at intermediate rates, and (2) add the F1 offspring to Figure 1 to show morphological and timeline differences in development?

      Additionally, the authors state (Lines 83-85) that they detail the full-time course of embryogenesis for both the parents and the F1 crosses. However, we do not see where the authors have reported the full-time course for embryogenesis of the F1 offspring. Providing this information would shape the remaining results of the manuscript.

      (2) We have several concerns about the S. benedicti genome and steps regarding the read mapping for RNA-seq:

      The S. benedicti genome used (Zakas et al. 2022) was generated using the PP morph. The largest scaffolds of this assembly correspond to linkage groups, showing the quality of this genome. The authors should point out in the Methods and/or Results sections that the quality of this genome means that PP-specific gene expression can be quantified well. However, the challenges and limitations of mapping LL-specific expression data to the PP genome should be discussed.

      It is possible that the authors did not find exclusive gene expression in the LL morph because they require at least one gene to be turned on in one morph as part of the data-cleaning criteria. Because the authors are comparing all genes to the PP morph, they could be missing true exclusive genes responsible for the biological differences between the two morphs. Did they make the decision to only count genes expressed in one stage of the other morph because the gene models and mapping quality led to too much noise?

      The authors state that the mapping rates between the two morphs are comparable (Supplementary Figure 1). However, there is a lot of variation in mapping the LL individuals (~20% to 43%) compared to the PP individuals. What is the level of differentiation within the two morphs in the species (pi and theta)? The statistical tests for this comparison should be added and the associated p-value should be reported. The statistical test used to compare mapping rates between the two morphs may be inappropriate. The authors used Salmon for their RNA alignment and differential expression analysis, but it is possible that a different method would be more appropriate. For example, Salmon has some limitations as compared to Kallisto as others have noted. The chosen statistical test should be explained, as well as how RNA-seq data are processed and interpreted.

      What about the read mapping rate and details for the F1 LP and PL individuals? How did the offspring map to the P genome? These details should be included in Supplementary Figure 1. Could the authors also provide information about the number of genes expressed at each stage in the F1 LP and PL samples in S Figure 2? How many genes went into the PCA? Many of these details are necessary to evaluate the F1 RNA-seq analyses.

      Generally, the authors need to report the statistics used in data processing more thoroughly. The authors need to report the statistics used to (1) process and evaluate the RNA-seq data and (2) determine the significance between the two morphs (Supplementary Figures 1 and 2).

      (1) We clarified in the methods that F1 embryos are collected at the same stage (not absolute time) as the parental types. So the “16-cell” stage is comparable across planktotrophic, lecithotrophic and F1 offspring regardless of absolute time taken to reach that stage (which differs by ~3 hours- Figure 1).

      Figure 2A details every time point collected for all crosses. As mentioned in the methods, we were unable to collect two timepoints for one set of crosses (LP) due to limited tissue. However, we still cover the full development time from “16 cell” through “swimming larvae” stages, which is the full larval development time.

      (2) We appreciate the reviewer's concerns regarding the mapping to the reference genome. The S. benedicti genome is a largely complete and contiguous chromosome-length genome which we have now highlighted in the manuscript. However, the reference is only for the planktotrophic morph. So it is certainly possible that there could be mapping bias for lecithotrophic reads or F1 reads, as we point out in the discussion. While some bias is certainly possible, it is unlikely to be driving major differences in the results. We performed several tests to demonstrate this:

      (1) We conducted two-sided T-tests of the mapping rates between all sample groups in our dataset (PP, LL, PL, LP)  to determine if there were significant differences in mapping rates among the populations. No significant differences were found. The specific results of these statistical tests are included in the updated manuscript in supplementary figure 1 and are as follows:

      Author response table 1.

      (2) In response to the comment about sequence level divergence affecting mapping rate, we estimated pi (nucleotide diversity within a population) and dxy (genomic divergence between two populations) based on the sampled transcriptomic data of our Planktotrophic and Lecithotrophic populations. We used PIXY (Korunes, K.L. and Samuk, K., 2021) with its standard settings to estimate these values, with variant call files in bcf format produced with bcftools - one for all planktotrophic samples and one for all lecithotrophic samples in our dataset. We found that across regions of the transcriptome, the difference in pi between Planktotrophs and Lecithotrophs was between 0.11% and 4.2%. Genomic divergence across the transcriptome is also relatively minor: estimates of dxy ranged from 0.0049 to 0.0076. Given that these estimates show relatively modest differences in nucleotide diversity and overall sequence divergence, we maintain that it is unlikely that they significantly impact the results described in this study. From what we have seen in the literature, these values are not outside of other population studies that are mapping to a species reference derived from one population.

      We added the mapping rates of all samples in the Supplement (SFig. 1) as requested. We added the number of genes expressed at each stage in the Supplement (SFig. 2) as requested. We have also provided further details and figures (Fig 8B) on read mapping rates and statistics used in data processing, including those for F1 RNA-seq data.

    1. Author response:

      The following is the authors’ response to the current reviews.

      We thank you for the time you took to review our work and for your feedback! We have made only minor changes in this submission and primarily wanted to respond to the concerns raised by reviewer 1.

      Reviewer #1 (Public review): 

      Summary: 

      Fluorescence imaging has become an increasingly popular technique for monitoring neuronal activity and neurotransmitter concentrations in the living brain. However, factors such as brain motion and changes in blood flow and oxygenation can introduce significant artifacts, particularly when activitydependent signals are small. Yogesh et al. quantified these effects using GFP, an activity-independent marker, under two-photon and wide-field imaging conditions in awake behaving mice. They report significant GFP responses across various brain regions, layers, and behavioral contexts, with magnitudes comparable to those of commonly used activity sensors. These data highlight the need for robust control strategies and careful interpretation of fluorescence functional imaging data. 

      Strengths: 

      The effect of hemodynamic occlusion in two-photon imaging has been previously demonstrated in sparsely labeled neurons in V1 of anesthetized animals (see Shen and Kara et al., Nature Methods, 2012). The present study builds on these findings by imaging a substantially larger population of neurons in awake, behaving mice across multiple cortical regions, layers, and stimulus conditions. The experiments are extensive, the statistical analyses are rigorous, and the results convincingly demonstrate significant GFP responses that must be accounted for in functional imaging experiments. 

      In the revised version, the authors have provided further methodological details that were lacking in the previous version, expanded discussions regarding alternative explanations of these GFP responses as well as potential mitigation strategies. They also added a quantification of brain motion (Fig. S5) and the fraction of responsive neurons when conducting the same experiment using GCaMP6f (Fig. 3D-3F), among other additional information. 

      Weaknesses: 

      (1) The authors have now included a detailed methodology for blood vessel area quantification, where they detect blood vessels as dark holes in GFP images and measure vessel area by counting pixels below a given intensity threshold (line 437-443). However, this approach has a critical caveat: any unspecific decrease in image fluorescence will increase the number of pixels below the threshold, leading to an apparent increase in blood vessel area, even when the actual vessel size remains unchanged. As a result, this method inherently introduces a positive correlation between fluorescence decrease and vessel dilation, regardless of whether such a relationship truly exists. 

      To address this issue, I recommend labelling blood vessels with an independent marker, such as a red fluorescence dye injected into the bloodstream. This approach would allow vessel dilation to be assessed independently of GFP fluorescence -- dilation would cause opposite fluorescence changes in the green and red channels (i.e., a decrease in green due to hemodynamic occlusion and an increase in red due to the expanding vessel area). In my opinion, only when such ani-correlation is observed can one reliably infer a relationship between GFP signal changes and blood vessel dynamics. 

      Because this relationship is central to the author's conclusion regarding the nature of the observed GFP signals, including this experiment would greatly strengthen the paper's conclusion. 

      This is correct – a more convincing demonstration that blood vessels dilate or constrict anticorrelated with apparent GFP fluorescence would be a separate blood vessel marker. However, we don’t think this experiment is worth doing, as it is also not conclusive in the sense the reviewer may have in mind. The anticorrelation does not mean that occlusion drives all of the observed effect. Our main argument is instead that there is no other potential source than hemodynamic occlusion with sufficient strength that we can think of. The experiment one would want to do is block hemodynamic changes and demonstrate that the occlusion explains all of the observed changes. 

      (2) Regarding mitigation strategy, the authors advocate repeating key functional imaging experiments using GFP, and state that their aim here is to provide a control for their 2012 study (Keller et al., Neuron). Given this goal, I find it important to discuss how these new findings impact the interpretation of their 2012 results, particularly given the large GFP responses observed. 

      We are happy to discuss how the conclusions of our own work are influenced by this (see more details below), but the important response of the field should probably be to revisit the conclusions of a variety of papers published in the last two decades. This goes far beyond what we can do here. 

      For example, Keller et al. (2012) concluded that visuomotor mismatch strongly drives V1 activity (Fig. 3A in that study). However, in the present study, mismatch fails to produce any hemodynamic/GFP response (Fig. 3A, 3B, rightmost bar), and the corresponding calcium response is also the weakest among the three tested conditions (Fig. 3D). How do these findings affect their 2012 conclusions? 

      The average calcium response of L2/3 neurons to visuomotor mismatch is probably roughly similar to the average calcium response at locomotion onset (both are on the order of 1% to 5%, depending on indicator, dataset, etc.). In the Keller et al. (2012) paper, locomotion onset was about 1.5% and mismatch about 3% (see Figure 3A in that paper). What we quantify in Figure 3 of the paper here is the fraction of responsive neurons. Thus, mismatch drives strong responses in a small subset of neurons (approx. 10%), while locomotion drives a combination of a weak responses in a large fraction of the neurons (roughly 70%) and also large responses in a subset of neurons. A strong signal in a subset of neurons is what one would expect from a neuronal response, a weak signal from many neurons would be indicative of a contaminating signal. This all appears consistent. 

      Regarding influencing the conclusions of earlier work, the movement related signals described in the Keller et al. (2012) paper are probably overestimated, but are also apparent in electrophysiological recordings (Saleem et al., 2013). Thus, the locomotion responses reported in the Keller et al. (2012) paper are likely too high, but locomotion related responses in V1 are very likely real. The only conclusion we draw in the Keller et al. 2012 paper on the strength of the locomotion related responses is that they are smaller than mismatch responses (this conclusion is unaffected by hemodynamic contamination). In addition, the primary findings of the Keller et al. (2012) paper are all related to mismatch, and these conclusions are unaffected. 

      Similarly, the present study shows that GFP reveals twice as many responsive neurons as GCaMP during locomotion (Fig. 3A vs. Fig. 3D, "running"). Does this mean that their 2012 conclusions regarding locomotion-induced calcium activity need reconsideration? Given that more neurons responded with GFP than with GCaMP, the authors should clarify whether they still consider GCaMP a reliable tool for measuring brain activity during locomotion. 

      Comparisons of the fraction of significantly responsive neurons between GFP and GCaMP are not straightforward to interpret. One needs to factor in the difference in signal to noise between the two sensors. (Please note, we added the GCaMP responses here upon request of the reviewers). Note, there is nothing inherently wrong with the data, and comparisons within dataset are easily made (e.g. more grating responsive neurons than running responsive neurons in GCaMP, and vice versa with GFP). The comparison across datasets is not as straightforward as we define “responsive neurons” using a statistical test that compares response to baseline activity for each neuron. GFP labelled neurons are very bright and occlusion can easily be detected. Baseline fluorescence in GCaMP recordings is much lower and often close to or below the noise floor of the data (i.e. we only see the cells when they are active). Thus occlusion in GCaMP recordings is preferentially visible for cells that have high baseline fluorescence. Thus, in the GCaMP data we are likely underestimating the fraction of responsive neurons. 

      Regarding whether GCaMP (or any other fluorescence indicator used in vivo) is a reliable tool, we are not sure we understand. Whenever possible, fluorescence-sensor based measurements should be corrected for hemodynamic contamination – to quantify locomotion related signals this will be more difficult than e.g. for mismatch, but that does not mean it is not reliable. 

      (3) More generally, the author should discuss how functional imaging data should be interpreted going forward, given the large GFP responses reported here. Even when key experiments are repeated using GFP, it is not entirely clear how one could reliably estimate underlying neuronal activity from the observed GFP and GCaMP responses. 

      We are not sure we have a good answer to this question. The strategy for addressing this problem will depend on the specifics of the experiment, and the claims. Take the case of mismatch. Here we have strong calcium responses and no evidence of GFP responses. We would argue that this is reasonable evidence that the majority of the mismatch driven GCaMP signal is likely neuronal. For locomotion onsets, both GFP and GCaMP signals go in the same direction on average. Then one could use a response amplitude distribution comparison to conservatively exclude all neurons with a GCaMP amplitude lower than e.g. the 99th percentile of the GFP response. Etc. But we don’t think there is an easy generalizable fix for this problem.  

      For example, consider the results in Fig. 3A vs. 3D: how should one assess the relative strength of neuronal activity elicited by running, grating, or visuomotor mismatch? Does mismatch produce the strongest neuronal activity, since it is least affected by the hemodynamic/GFP confounds (Fig. 3A)? Or does mismatch actually produce the weakest neuronal activity, given that both its hemodynamic and calcium responses are the smallest? 

      See above, the reviewer may be confounding “response strength” with “fraction of responsive neurons” here. Regarding the relationship between neuronal activity and hemodynamics, it is very likely not just the average activity of all neurons, but a specific subset that drives blood vessel constriction and dilation. This would of course be a very interesting question to answer for the interpretation of hemodynamic based measurements of brain activity, like fMRI, but goes beyond the aim of the current paper.  

      In my opinion, such uncertainty makes it difficult to robustly interpret functional imaging results. Simply repeating experiments with GFP does not fully resolve this issue, as it does not provide a clear framework for quantifying the underlying neuronal activity. Does this suggest a need for a better mitigation strategy? What could these strategies be? 

      If the reviewer has a good idea - we would be all ears. We don’t have a better idea currently.  

      In my opinion, addressing these questions is critical not only for the authors' own work but also for the broader field to ensure a robust and reliable interpretation of functional imaging data. 

      We agree, having a solution to this problem would be important – we just don’t have one.  

      (4) The authors now discuss various alternative sources of the observed GFP signals. However, I feel that they often appear to dismiss these possibilities too quickly, rather than appreciating their true potential impacts (see below). 

      For example, the authors argue that brain movement cannot explain their data, as movement should only result in a decrease in observed fluorescence. However, while this might hold for x-y motion, movement in the axial (z) direction can easily lead to both fluorescence increase and decrease. Neurons are not always precisely located at the focal plane -- some are slightly above or below. Axial movement in a given direction will bring some cells into focus while moving others out of focus, leading to fluorescence changes in both directions, exactly as observed in the data (see Fig. S2). 

      The reviewer is correct that z-motion can result in an increase of apparent fluorescence (just like x-y motion can as well). On average however, just like with x-y motion, z-motion will always result in a decrease. This assumes that the user selecting regions of interest (the outlines of cells used to quantify fluorescence), will select these such that the distribution of cells selected centers on the zplane of the image. Thus, the distribution of z-location of the cell relative to the imaging plane will be some Gaussian like distribution centered on the z-plane of the image (with half the cell above the zplane and half below). Because the peak of the distribution is located on the z-plane at rest, any zmovement, up or down, will move away from the peak of the distribution (i.e. most cells will decrease in fluorescence). This is the same argument as for why x-y motion always results in decreases (assuming the user selects regions of interest centered on the location of the cells at rest).  

      Furthermore, the authors state that they discard data with 'visible' z-motion. However, subtle axial movements that escape visual detection could still cause fluorescence fluctuations on the order of a few percent, comparable to the reported signal amplitudes. 

      Correct, but as explained above, z-motion will always result in average decreases of average fluorescence as explained above.  

      Finally, the authors state that "brain movement kinematics are different in shape than the GFP responses we observe". However, this appears to contradict what they show in Fig. 2A. Specifically, the first example neuron exhibits fast GFP transients locked to running onset, with rapid kinematics closely matching the movement speed signals in Fig. S5A. These fast transients are incompatible with slower blood vessel area signals (Fig. 4), suggesting that alternative sources could contribute significantly. 

      We meant population average responses here. We have clarified this. Some of the signals we observed do indeed look like they could be driven by movement artifacts (whole brain motion, or probably more likely blood vessel dilation driven tissue distortion). We show this neuron to illustrate that this can also happen. However, to illustrate that this is a rare event we also show the entire distribution of peak amplitudes and the position in the distribution this neuron is from.  

      In sum, the possibility that alternative signal sources could significantly contribute should be taken seriously and more thoroughly discussed. 

      All possible sources (we could think of) are explicitly discussed (in roughly equal proportion). Nevertheless, the reviewer is correct that our focus here is almost exclusively on the what we think is the primary source of the problem. Given that – in my experience – this is also the one least frequently considered, I think the emphasis on – what we think is – the primary contributor is warranted.  

      (5) The authors added a quantification of brain movement (Fig. S5) and claim that they "only find detectable brain motion during locomotion onsets and not the other stimuli." However, Fig. S5 presents brain 'velocity' rather than 'displacement'. A constant (non-zero) velocity in Fig. S5 B-D indicates that the brain continues to move over time, potentially leading to significant displacement from its initial position across all conditions. While displacement in the x-y plane are corrected, similar displacement in the z direction likely occurs concurrently and cannot be easily accounted for. To assess this possibility, the authors should present absolute displacement relative to pre-stimulus frames, as displacement -- not velocity -- determines the size of movement-related fluorescence changes. 

      We use brain velocity here as a natural measure when using frame times as time bins. The problem with using a signed displacement is that if different running onsets move the brain in opposing directions, this can average out to zero. To counteract this, one can take the absolute displacement in a response window away from the position in a baseline time window. If this is done with time bins that correspond to frame times, this just becomes displacement per frame, i.e. velocity. Using absolute changes in displacement (i.e. velocity) is more sensitive than signed displacement. The responses for signed displacement are shown below (Author response image 1), but given that we are averaging signed quantities here, the average is not interpretable. 

      Author response image 1.

      Average signed brain displacement. 

      Regarding a constant drift, the reviewer might be misled by the fact that the baseline brain velocity is roughly 1 pixel per frame. The registration algorithm works in integer number of pixels only. 1 pixel per frame corresponds roughly to the noise floor of the registration algorithm. Registrations are done independently for each frame. As a consequence, the registration oscillates between a shift of 17 and 18 pixels – frame by frame – if the actual shift is somewhere between 17 and 18 pixels. This “jitter” results in a baseline brain velocity of about 1 pixel per frame. 

      (6) In line 132-133, the authors draw an analogy between the effect of hemodynamic occlusion and liquid crystal display (LCD) function. However, there are fundamental differences between the two. LCDs modulate light transmission by rotating the polarization of light, which then passes through a crossed polarizer. In contrast, hemodynamic occlusion alters light transmission by changing the number and absorbance properties of hemoglobin. Additionally, LCDs do not involve 'emission' light - backillumination travels through the liquid crystal layer only once, whereas hemodynamic occlusion affects both incoming excitation light and the emitted fluorescence. Given these fundamental differences, the LCD analogy may not be entirely appropriate. 

      The mechanism of occlusion is, as the reviewer correctly points out, different for an LCD. In both cases however, there is a variable occluder between a light source and an observer. The fact that with hemodynamic occlusion the light passes through the occluder twice (excitation and emission) does not appear to hamper the analogy to us. We have rephrased to highlight the time varying occlusion part. 

      Reviewer #2 (Public review):

      -  Approach 

      In this study, Yogesh et al. aimed at characterizing hemodynamic occlusion in two photon imaging, where its effects on signal fluctuations are underappreciated compared to that in wide field imaging and fiber photometry. The authors used activity-independent GFP fluorescence, GCaMP and GRAB sensors for various neuromodulators in two-photon and widefield imaging during a visuomotor context to evaluate the extent of hemodynamic occlusion in V1 and ACC. They found that the GFP responses were comparable in amplitude to smaller GCaMP responses, though exhibiting context-, cortical region-, and depth-specific effects. After quantifying blood vessel diameter change and surrounding GFP responses, they argued that GFP responses were highly correlated with changes in local blood vessel size. Furthermore, when imaging with GRAB sensors for different neuromodulators, they found that sensors with lower dynamic ranges such as GRAB-DA1m, GRAB-5HT1.0, and GRAB-NE1m exhibited responses most likely masked by the hemodynamic occlusion, while a sensor with larger SNR, GRAB-ACh3.0, showed much more distinguishable responses from blood vessel change. They thoroughly investigate other factors that could contribute to these signals and demonstrate hemodynamic occlusion is the primary cause. 

      -  Impact of revision 

      This is an important update to the initial submission, adding much supplemental imaging and population data that provide greater detail to the analyses and increase the confidence in the authors conclusions. 

      Specifically, inclusion of the supplemental figures 1 and 2 showing GFP expression across multiple regions and the fluorescence changes of thousands of individual neurons provides a clearer picture of how these effects are distributed across the population. Characterization of brain motion across stimulation conditions in supplemental figure 5 provides strong evidence that the fluorescence changes observed in many of the conditions are unlikely to be primarily due to brain motion associated imaging artifacts. The role of vascular area on fluorescence is further supported by addition of new analyses on vasoconstriction leading to increased fluorescence in Figures 4C1-4, complementing the prior analyses of vasodilation. 

      The expansion of the discussion on other factors that could lead to these changes is thorough and welcome. The arguments against pH playing a factor in fluorescence changes of GFP, due to insensitivity to changes in the expected pH range are reasonable, as are the other discussed potential factors. 

      With respect to the author's responses to prior critique, we agree that activity dependent hemodynamic occlusion is best investigated under awake conditions. Measurement of these dynamics under anesthesia could lead to an underestimation of their effects. Isoflurane anesthesia causes significant vasodilation and a large reduction in fluorescence intensity in non-functional mutant GRABs. This could saturate or occlude activity dependent effects. 

      - Strengths 

      This work is of broad interest to two photon imaging users and GRAB developers and users. It thoroughly quantifies the hemodynamic driven GFP response and compares it to previously published GCaMP data in a similar context, and illustrates the contribution of hemodynamic occlusion to GFP and GRAB responses by characterizing the local blood vessel diameter and fluorescence change. These findings provide important considerations for the imaging community and a sobering look at the utility of these sensors for cortical imaging. 

      Importantly, they draw clear distinctions between the temporal dynamics and amplitude of hemodynamic artifacts across cortical regions and layers. Moreover, they show context dependent (Dark versus during visual stimuli) effects on locomotion and optogenetic light-triggered hemodynamic signals. 

      The authors suggest that signal to noise ratio of an indicator likely affects the ability to separate hemodynamic response from the underlying fluorescence signal. With a new analysis (Supplemental Figure 4) They show that the relative degree of background fluorescence does not affect the size of the artifact. 

      Most of the first generation neuromodulator GRAB sensors showed relatively small responses, comparable to blood vessel changes in two photon imaging, which emphasizes a need for improved the dynamic range and response magnitude for future sensors and encourages the sensor users to consider removing hemodynamic artifacts when analyzing GRAB imaging data. 

      - Weaknesses 

      The largest weakness of the paper remains that, while they convincingly quantify hemodynamic artifacts across a range of conditions, they provide limited means of correcting for them. However they now discuss the relative utility of some hemodynamic correction methods (e.g. from Ocana-Santero et al., 2024). 

      The paper attributes the source of 'hemodynamic occlusion' primarily to blood vessel dilation, but leaves unanswered how much may be due to shifts in blood oxygenation. Figure 4 directly addresses the question of how much of the signal can be attributed to occlusion by measuring the blood vessel dilation, and has been improved by now showing positive fluorescence effects with vasoconstriction. They now also discuss the potential impact of oxygenation. 

      Along these lines, the authors carefully quantified the correlation between local blood vessel diameter and GFP response (or neuropil fluorescence vs blood vessel fluorescence with GRAB sensors). We are left to wonder to what extent does this effect depend on proximity to the vessels? Do GFP/ GRAB responses decorrelate from blood vessel activity in neurons further from vessels (refer to Figure 5A and B in Neyhart et al., Cell Reports 2024)? The authors argue that the primary impact of occlusion is from blood vessels above the plane of imaging, but without a vascular reconstruction, their evidence for this is anecdotal. 

      The choice of ACC as the frontal region provides a substantial contrast in location, brain movement, and vascular architecture as compared to V1. As the authors note, ACC is close to the superior sagittal sinus and thus is the region where the largest vascular effects are likely to occur. A less medial portion of M2 may have been a more appropriate comparison. The authors now include example imaging fields for ACC and interesting out-of-plane vascular examples in the supplementary figures that help assess these impacts. 

      -Overall Assessment 

      This paper is an important contribution to our understanding of how hemodynamic artifacts may corrupt GRAB and calcium imaging, even in two-photon imaging modes. While it would be wonderful if the authors were able to demonstrate a reliable way to correct for hemodynamic occlusion which did not rely on doing the experiments over with a non-functional sensor or fluorescent protein, the careful measurement and reporting of the effects here is, by itself, a substantial contribution to the field of neural activity imaging. It's results are of importance to anyone conducting two-photon or widefield imaging with calcium and GRAB sensors and deserves the attention of the broader neuroscience and invivo imaging community. 

      We agree with this assessment.

      Reviewer #3 (Public review):

      Summary:

      In this study, the authors aimed to investigate if hemodynamic occlusion contributes to fluorescent signals measured with two-photon microscopy. For this, they image the activity-independent fluorophore GFP in 2 different cortical areas, at different cortical depths and in different behavioral conditions. They compare the evoked fluorescent signals with those obtained with calcium sensors and neuromodulator sensors and evaluate their relationship to vessel diameter as a readout of blood flow.

      They find that GFP fluorescence transients are comparable to GCaMP6f stimuli-evoked signals in amplitude, although they are generally smaller. Yet, they are significant even at the single neuronal level. They show that GFP fluorescence transients resemble those measured with the dopamine sensor GRABDA1m and the serotonin sensor GRAB-5HT1.0 in amplitude an nature, suggesting that signals with these sensors are dominated by hemodynamic occlusion. Moreover, the authors perform similar experiments with wide-field microscopy which reveals the similarity between the two methods in generating the hemodynamic signals. Together the evidence presented calls for the development and use of high dynamic range sensors to avoid measuring signals that have another origin from the one intended to measure. In the meantime, the evidence highlights the need to control for those artifacts such as with the parallel use of activity independent fluorophores.

      Strengths:

      - Comprehensive study comparing different cortical regions in diverse behavioral settings in controlled conditions.

      - Comparison to the state-of-the-art, i.e. what has been demonstrated with wide-field microscopy.

      - Comparison to diverse activity-dependent sensors, including the widely used GCaMP.

      Comments on revisions:

      The authors have addressed my concerns well. I have no further comments.

      We agree with this assessment.  


      The following is the authors’ response to the original reviews

      The major changes to the manuscript are:

      (1) Re-wrote the discussion, going over all possible sources of the signals we describe.

      (2) We added a quantification of brain motion as Figure S5.

      (3) We added an example of blood vessel contraction as Figure 4C.

      (4) We added data on the fraction of responsive neurons when measured with GCaMP as Figures 3D-3F.

      (5) We added example imaging sites from all imaged regions as Figure S1.

      (6) We added GFP response heatmaps of all neurons as Figure S2.

      (7) We add a quantification of the relationship between GFP response amplitude and expression level Figure S4.

      A detailed point-by-point response to all reviewer concerns is provided below.

      Public Reviews:

      Reviewer #1 (Public Review):

      Fluorescence imaging has become an increasingly popular technique for monitoring neuronal activity and neurotransmitter concentrations in the living brain. However, factors such as brain motion and changes in blood flow and oxygenation can introduce significant artifacts, particularly when activity-dependent signals are small. Yogesh et al. quantified these effects using GFP, an activity-independent marker, under two-photon and wide-field imaging conditions in awake behaving mice. They report significant GFP responses across various brain regions, layers, and behavioral contexts, with magnitudes comparable to those of commonly used activity sensors. These data highlight the need for robust control strategies and careful interpretation of fluorescence functional imaging data.

      Strengths:

      The effect of hemodynamic occlusion in two-photon imaging has been previously demonstrated in sparsely labeled neurons in V1 of anesthetized animals (see Shen and Kara et al., Nature Methods, 2012). The present study builds on these findings by imaging a substantially larger population of neurons in awake, behaving mice across multiple cortical regions, layers, and stimulus conditions. The experiments are extensive, the statistical analyses are rigorous, and the results convincingly demonstrate significant GFP responses that must be accounted for in functional imaging experiments. However, whether these GFP responses are driven by hemodynamic occlusion remains less clear, given the complexities associated with awake imaging and GFP's properties (see below).

      Weaknesses:

      (1) The authors primarily attribute the observed GFP responses to hemodynamic occlusion. While this explanation is plausible, other factors may also contribute to the observed signals. These include uncompensated brain movement (e.g., axial-direction movements), leakage of visual stimulation light into the microscope, and GFP's sensitivity to changes in intracellular pH (see e.g., Kneen and Verkman, 1998, Biophysical Journal). Although the correlation between GFP signals and blood vessel diameters supports a hemodynamic contribution, it does not rule out significant contributions from these (or other) factors. Consequently, whether GFP fluorescence can reliably quantify hemodynamic occlusion in two-photon microscopy remains uncertain.

      We concur; our data do not conclusively prove that the effect is only driven by hemodynamic occlusion. We have attempted to make this clearer in the text throughout the manuscript. In particular we have restructured the discussion to focus on this point. Regarding the specific alternatives the reviewer mentions here:

      a) Uncompensated brain motion. While this can certainly contribute, we think the effect is negligible in our interpretation for the following reasons. First, just to point out the obvious, as with all two-photon data we acquire in the lab, we only keep data with no visible z-motion (axial). Second, and more importantly, uncompensated brain motion results in a net decrease of fluorescence. As regions of interest (ROI) are selected to be centered on neurons (as opposed to be randomly selected, or next to, or above or below), movement will – on average – result in a decrease in fluorescence, as neurons are moved out of the ROIs. In the early days of awake two-photon imaging (when preps were still less stable) – we used this movement onset decrease in fluorescence as a sign that running onsets were selected correctly (i.e. with low variance). See e.g. the dip in the running onset trace at time zero in figure 3A of (Keller et al., 2012). Third, we find no evidence for any brain motion in the case of visual stimulation, while the GFP responses during locomotion and visual stimulation are of similar magnitude. We have added a quantification of brain motion (Figure S5) and a discussion of this point to the manuscript.

      b) Leakage of stimulation light. First, all light sources in the experimental room (the projector used for the mouse VR, the optogenetic stimulation light, as well as the computer monitors used to operate the microscope) are synchronized to the turnaround times of the resonant scanner of the two-photon microscope. Thus, light sources in the room are turned off for each line scan of the resonant scanner and turned on in the turnaround period. With a 12kHz scanner this results in a light cycle of 24 kHz (see Leinweber et al., 2014 for details). While the system is not perfect, we can occasionally get detectable light leak responses at the image edges (in the resonant axis as a result of the exponential off kinetics of many LEDs & lasers), these are typically 2 orders of magnitude smaller than what one would get without synchronizing, and far smaller than a single digit percentage change in GFP responses, and only detectable at the image edges. Second, while in visual cortex, dark running onsets are different from running onsets with the VR turned on (Figures 5A and B), they are indistinguishable in ACC (Figure 5C). Thus, stimulation light artefacts we can rule out.

      c) GFP’s sensitivity to changes in pH. Activity results in a decrease in neuronal intracellular pH (https://pubmed.ncbi.nlm.nih.gov/14506304/, https://pubmed.ncbi.nlm.nih.gov/24312004/) – decreasing pH decreases GFP fluorescence (https://pubmed.ncbi.nlm.nih.gov/9512054/).

      To reiterate, we don’t think hemodynamic occlusion is the only possible source to the effects we observe, but we do think it is most likely the largest.

      (2) Regardless of the underlying mechanisms driving the GFP responses, these activity-independent signals must be accounted for in functional imaging experiments. However, the present manuscript does not explore potential strategies to mitigate these effects. Exploring and demonstrating even partial mitigation strategies could have significant implications for the field.

      We concur – however, in brief, we think the only viable mitigation strategy (we are capable of), is to repeat functional imaging with GFP imaging. To unpack this: There have been numerous efforts to mitigate these hemodynamic effects using isosbestic illumination. When we started to use such strategies in the lab for widefield imaging, we thought we would calibrate the isosbestic correction using GFP recordings. The idea was that if performed correctly, an isosbestic response should look like a GFP response. Try as we may, we could not get the isosbestic responses to look like a GFP response. We suspect this is a result of the fact that none of the light sources we used were perfectly match to the isosbestic wavelength the GCaMP variants we used (not for a lack of trying, but neither lasers nor LEDs were available for purchase with exact wavelength matches). Complicating this was then also the fact that the similarity (or dissimilarity) between isosbestic and GFP responses was a function of brain region. Importantly however, just because we could not successfully apply isosbestic corrections, of course does not mean it cannot be done. Hence for the widefield experiments we then resorted to mitigating the problem by repeating the key experiments using GFP imaging (see e.g. (Heindorf and Keller, 2024)). Note, others have also argued that the best way to correct for hemodynamic artefacts is a GFP recording based correction (Valley et al., 2019). A second strategy we tried was using a second fluorophore (i.e. a red marker) in tandem with a GCaMP sensor. The problem here is that the absorption of the two differs markedly by blood and once again a correction of the GCaMP signal using the red channel was questionable at best. Thus, we think the only viable mitigation strategy we have found is GFP recordings and testing whether the postulated effects seen with calcium indicators are also present in GFP responses. This work is our attempt at a post-hoc mitigation of the problem of our own previous two-photon imaging studies.

      (3) Several methodology details are missing from the Methods section. These include: (a) signal extraction methods for two-photon imaging data (b) neuropil subtraction methods (whether they are performed and, if so, how) (c) methods used to prevent visual stimulation light from being detected by the two-photon imaging system (d) methods to measure blood vessel diameter/area in each frame. The authors should provide more details in their revision.

      Please excuse, this was an oversight. All details have been added to the methods.

      Reviewer #2 (Public Review):

      In this study, Yogesh et al. aimed at characterizing hemodynamic occlusion in two photon imaging, where its effects on signal fluctuations are underappreciated compared to that in wide field imaging and fiber photometry. The authors used activity-independent GFP fluorescence, GCaMP and GRAB sensors for various neuromodulators in two-photon and widefield imaging during a visuomotor context to evaluate the extent of hemodynamic occlusion in V1 and ACC. They found that the GFP responses were comparable in amplitude to smaller GCaMP responses, though exhibiting context-, cortical region-, and depth-specific effects. After quantifying blood vessel diameter change and surrounding GFP responses, they argued that GFP responses were highly correlated with changes in local blood vessel size. Furthermore, when imaging with GRAB sensors for different neuromodulators, they found that sensors with lower dynamic ranges such as GRAB-DA1m, GRAB5HT1.0, and GRAB-NE1m exhibited responses most likely masked by the hemodynamic occlusion, while a sensor with larger SNR, GRAB-ACh3.0, showed much more distinguishable responses from blood vessel change.

      Strengths

      This work is of broad interest to two photon imaging users and GRAB developers and users. It thoroughly quantifies the hemodynamic driven GFP response and compares it to previously published GCaMP data in a similar context, and illustrates the contribution of hemodynamic occlusion to GFP and GRAB responses by characterizing the local blood vessel diameter and fluorescence change. These findings provide important considerations for the imaging community and a sobering look at the utility of these sensors for cortical imaging.

      Importantly, they draw clear distinctions between the temporal dynamics and amplitude of hemodynamic artifacts across cortical regions and layers. Moreover, they show context dependent (Dark versus during visual stimuli) effects on locomotion and optogenetic light-triggered hemodynamic signals.

      Most of the first generation neuromodulator GRAB sensors showed relatively small responses, comparable to blood vessel changes in two photon imaging, which emphasizes a need for improved the dynamic range and response magnitude for future sensors and encourages the sensor users to consider removing hemodynamic artifacts when analyzing GRAB imaging data.

      Weaknesses

      (1) The largest weakness of the paper is that, while they convincingly quantify hemodynamic artifacts across a range of conditions, they do not quantify any methods of correcting for them. The utility of the paper could have been greatly enhanced had they tested hemodynamic correction methods (e.g. from Ocana-Santero et al., 2024) and applied them to their datasets. This would serve both to verify their findings-proving that hemodynamic correction removes the hemodynamic signal-and to act as a guide to the field for how to address the problem they highlight.

      See also our response to reviewer 1 comment 2.

      In the Ocana-Santero et al., 2024 paper they also first use GFP recordings to identify the problem. The mitigation strategy they then propose, and use, is to image a second fluorophore that emits at a different wavelength concurrently with the functional indicator. The authors then simply subtract (we think – the paper states “divisive”, but the data shown are more consistent with “subtractive” correction) the two signals to correct for hemodynamics. However, the paper does not demonstrate that the hemodynamic signals in the red channel match those in the green channel. The evidence presented that this works is at best anecdotal. In our hands this does not work (meaning the red channel does not match GFP recordings), we suspect this is a combination of crosstalk from the simultaneously recorded functional channel and the fact that hemodynamic absorption is strongly wavelength specific, or something we are doing wrong. Either way, we cannot contribute to this in the form of mitigation strategy.

      Given that the GFP responses are a function of brain area and cortical depth – it is not a stretch to postulate that they also depend on genetic cell type labelled. Thus, any GFP calibration used for correction will need to be repeated for each cell type and brain area. Once experiments are repeated using GFP (the strategy we advocate for – we don’t think there is a simpler way to do this), the “correction” is just a subtraction (or a visual comparison).

      (2) The paper attributes the source of 'hemodynamic occlusion' primarily to blood vessel dilation, but leaves unanswered how much may be due to shifts in blood oxygenation. Figure 4 directly addresses the question of how much of the signal can be attributed to occlusion by measuring the blood vessel dilation, but notably fails to reproduce any of the positive transients associated with locomotion in Figure 2. Thus, an investigation into or at least a discussion of what other factors (movement? Hb oxygenation?) may drive these distinct signals would be helpful.

      See also our response to reviewer 1 comment 1.

      We have added to Figure 4 an example of a positive transient. At running onset, superficial blood vessels in cortex tend to constrict and hence result in positive transients.

      We now also mention changes in blood oxygenation as a potential source of hemodynamic occlusion. And just to be clear, blood oxygenation (or flow) changes in absence of any fluorophore, do not lead to a two-photon signal. Just in case the reviewer was concerned about intrinsic signals – these are not detectable in two photon imaging.

      (3) Along these lines, the authors carefully quantified the correlation between local blood vessel diameter and GFP response (or neuropil fluorescence vs blood vessel fluorescence with GRAB sensors). To what extent does this effect depend on proximity to the vessels? Do GFP/ GRAB responses decorrelate from blood vessel activity in neurons further from vessels (refer to Figure 5A and B in Neyhart et al., Cell Reports 2024)?

      We indeed thought about quantifying this, but to do this properly would require having a 3d reconstruction of the blood vessel plexus above (with respect to the optical axis) the neuron of interest, as well as some knowledge of how each vessel dilates as a function of stimulus. The prime effect is likely from blood vessels that are in the 45 degrees illumination cone above the neuron (Author response image 2). Lateral proximity to a blood vessel is likely only of secondary relevance. Thus, performing such a measurement is impractical and of little benefit for others.

      Author response image 2.

      A schematic representation of the cone of illumination.

      While imaging a neuron (the spot on the imaging plane at the focus of the cone of illumination), the relevant blood vessels that primarily contribute to hemodynamic occlusion are those in the cone of illumination between the neuron and the objective lens. Blood vessels visible in the imaging plane (indicated by gray arrows), do not directly contribute to hemodynamic occlusion. Any distance dependence of hemodynamic occlusion in the observed response of a neuron to these blood vessels in the imaging plane is at best incidental.

      (4) Raw traces are shown in Figure 2 but we are never presented with the unaveraged data for locomotion of stimulus presentation times, which limits the reader's ability to independently assess variability in the data. Inclusion of heatmaps comparing event aligned GFP to GCaMP6f may be of value to the reader.

      We fear we are not sure what the reviewer means by “the unaveraged data for locomotion of stimulus presentation times”. We suspect this should read “locomotion or stimulus…”. We have added heat maps of the responses of all neurons of the data shown in Figure 1 – as Figure S2.

      (5) More detailed analysis of differences between the kinds of dynamics observed in GFP vs GCaMP6f expressing neurons could aid in identifying artifacts in otherwise clean data. The example neurons in Figure 2A hint at this as each display unique waveforms and the question of whether certain properties of their dynamics can reveal the hemodynamic rather than indicator driven nature of the signal is left open. Eg. do the decay rate and rise times differ significantly from GCaMP6f signals?

      The most informative distinction we have found is differences in peak responses (Figure 2B). Decay and rise time measurements critically depend on the identification of “events”. As a function of how selective one is with what one calls an event (e.g. easy in example 1 of Figure 2 – but more difficult in examples 2 and 3), one gets very different estimates of rise and decay times. Due to the fact that peak amplitudes are lower in GFP responses – rise and decay times will be either slower or noisier (depending on where the threshold for event detection is set).

      (6) The authors suggest that signal to noise ratio of an indicator likely affects the ability to separate hemodynamic response from the underlying fluorescence signal. Does the degree of background fluorescence affect the size of the artifact? If there was variation in background and overall expression level in the data this could potentially be used to answer this question. Could lower (or higher!) expression levels increase the effects of hemodynamic occlusion?

      There may be a misunderstanding (i.e. we might be misunderstanding the reviewer’s argument here). Our statement from the manuscript that the signal to noise ratio of an indicator matters is based on the simple consideration that hemodynamic occlusion is in the range of 0 to 2 % ΔF/F. The larger the dynamic range of the indicator, the less of a problem 2% ΔF/F are. Imagine an indicator with average responses in the 100’s of % ΔF/F - then this would be a non-problem. For indicators with a dynamic range less than 1%, a 2% artifact is a problem.

      Regarding “background” fluorescence, we are not sure what is meant here. In case the reviewer means fluorescence that comes from indicator molecules in processes (as opposed to soma) that are typically ignored (or classified as neuropil) – we are not sure how this would help. The occlusion effects are identical for both somatic and axonal or dendritic GFP (the source of the GFP fluorescence is not relevant for the occlusion effect). In case the reviewer means “baseline” fluorescence – above a noise threshold ΔF/F<sub>0</sub> should be constant independent of F<sub>0</sub> (i.e. baseline fluorescence). This also holds in the data, see Figure S4. We might be stating the trivial - the normalization of fluorescence activity as ΔF/F<sub>0</sub> has the effect that the “occluder" effect is constant for all values of all F<sub>0</sub>.

      (7) The choice of the phrase 'hemodynamic occlusion' may cause some confusion as the authors address both positive and negative responses in the GFP expressing neurons, and there may be additional contributions from changes in blood oxygenation state.

      Regarding the potential confusion with regards to terminology, occlusion can decrease or increase.

      Only under the (incorrect) assumption that occlusion is zero at baseline would this be confusing – no? If the reviewer has a suggestion for a different term, we’d be open to changing it.

      Regarding blood oxygenation – this is absolutely correct, we did not explicitly point this out in the previous version of the manuscript. Occlusion changes are driven by a combination of changes to volume and “opacity” of the blood. Oxygenation changes would be in the second category. We have clarified this in the manuscript.

      (8) The choice of ACC as the frontal region provides a substantial contrast in location, brain movement, and vascular architecture as compared to V1. As the authors note, ACC is close to the superior sagittal sinus and thus is the region where the largest vascular effects are likely to occur. The reader is left to wonder how much of the ROI may or may not have included vasculature in the ACC vs V1 recordings as the only images of the recording sites provided are for V1. We are left unable to conclude whether the differences observed between these regions are due to the presence of visible vasculature, capillary blood flow or differences in neurovasculature coupling between regions. A less medial portion of M2 may have been a more appropriate comparison. At least, inclusion of more example imaging fields for ACC in the supplementary figures would be of value.

      Both the choice of V1 and ACC were simply driven by previous experiments we had already done in these areas with calcium indicators. And we agree, the relevant axis is likely distance from midline, not AP – i.e. RSC and ACC are likely more similar, and V1 and lateral M2 more similar. We have made this point explicitly in the manuscript and have added sample fields of view as Figure S1.

      (9) In Figure 3, How do the proportions of responsive GFP neurons compare to GCaMP6f neurons?

      We have added the data for GCaMP responses.

      (10) How is variance explained calculated in Figure 4? Is this from a linear model and R^2 value? Is this variance estimate for separate predictors by using single variable models? The methods should describe the construction of the model including the design matrix and how the model was fit and if and how cross validation was run.

      This is simply a linear model (i.e. R^2) – we have added this to the methods.

      (11) Cortical depth is coarsely defined as L2/3 or L5, without numerical ranges in depth from pia.

      Layer 2/3 imaging was done at a depth of 100-250 μm from pia, and the same for layer 5 was 400-600 μm. This has been added to the methods.

      Overall Assessment:

      This paper is an important contribution to our understanding of how hemodynamic artifacts may corrupt GRAB and calcium imaging, even in two-photon imaging modes. Certain useful control experiments, such as intrinsic optical imaging in the same paradigms, were not reported, nor were any hemodynamic correction methods investigated. Thus, this limits both mechanistic conclusions and the overall utility with respect to immediate applications by end users. Nevertheless, the paper is of significant importance to anyone conducting two-photon or widefield imaging with calcium and GRAB sensors and deserves the attention of the broader neuroscience and in-vivo imaging community.

      Reviewer #3 (Public review):

      In this study, the authors aimed to investigate if hemodynamic occlusion contributes to fluorescent signals measured with two-photon microscopy. For this, they image the activity-independent fluorophore GFP in 2 different cortical areas, at different cortical depths and in different behavioral conditions. They compare the evoked fluorescent signals with those obtained with calcium sensors and neuromodulator sensors and evaluate their relationship to vessel diameter as a readout of blood flow.

      They find that GFP fluorescence transients are comparable to GCaMP6f stimuli-evoked signals in amplitude, although they are generally smaller. Yet, they are significant even at the single neuronal level. They show that GFP fluorescence transients resemble those measured with the dopamine sensor GRABDA1m and the serotonin sensor GRAB-5HT1.0 in amplitude an nature, suggesting that signals with these sensors are dominated by hemodynamic occlusion. Moreover, the authors perform similar experiments with wide-field microscopy which reveals the similarity between the two methods in generating the hemodynamic signals. Together the evidence presented calls for the development and use of high dynamic range sensors to avoid measuring signals that have another origin from the one intended to measure. In the meantime, the evidence highlights the need to control for those artifacts such as with the parallel use of activity independent fluorophores.

      Strengths:

      - Comprehensive study comparing different cortical regions in diverse behavioral settings in controlled conditions.

      - Comparison to the state-of-the-art, i.e. what has been demonstrated with wide-field microscopy.

      - Comparison to diverse activity-dependent sensors, including the widely used GCaMP.

      Weaknesses:

      (1) The kinetics of GCaMP is stereotypic. An analysis/comment on if and how the kinetics of the signals could be used to distinguish the hemodynamic occlusion artefacts from calcium signals would be useful.

      We might be misunderstanding what the reviewer means by “the kinetics of GCaMP are stereotypic”. The kinetics are clearly stereotypic if one has isolated single action potential responses in a genetically identified cell type. But data recorded in vivo looks very different, see e.g. example traces in figure 1g of (Keller et al., 2012). And these are selected example traces, the average GCaMP trace looks perhaps more like the three example traces shown in Figure 2 (this is not surprising if the GCaMP signals one records in vivo are a superposition of calcium responses and hemodynamic occlusion). All quantification of kinetics relies on identifying “events”. We cannot identify events in any meaningful way for most of the data (see e.g. examples 2 and 3 in Figure 2). The one feature we can reliably identify as differing between GCaMP and GFP responses is peak response amplitude (as quantified in Figure 2).

      (2) Is it possible that motion is affecting the signals in a certain degree? This issue is not made clear.

      See also our response to reviewer 1 comment 1. In brief, we have added a quantification of motion artefacts as Figure S5, and argue that motion artefacts could only account for locomotion onset responses (there is no detectable brain motion to visual responses) and would predict a decrease in fluorescence (not an increase).

      (3) The causal relationship with blood flow remains open. Hemodynamic occlusion seems a good candidate causing changes in GFP fluorescence, but this remains to be well addressed in further research.

      We agree – we have made this clearer in the manuscript.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      (1) Figure 2A shows three neurons with convincing GFP responses, with amplitudes often exceeding 100%. However, after seeing these data, I actually feel less convinced that these responses are related to hemodynamic occlusion. Blood vessel diameter changes by at most a few percent during behavior -- how could such small changes lead to >100% changes in GFP fluorescence?

      My guess is that these responses might instead be related to motion artifacts, particularly given the strong correlation between these responses and running speed (Figure 2A). One possible way to test this is by examining a pixelwise map of fluorescence changes (dF/F) during running vs. baseline. If hemodynamic effects are involved, one would likely see a shadow of the involved blood vessels in this map. Conversely, if motion artifacts are the primary factor, the map of dF/F should resemble the spatial gradients of the mean fluorescence image. Examining pixelwise maps of dF/F will likely provide insights regarding the nature of the GFP signals.

      The underlying assumption (“blood vessel diameter changes by at most a few percent”) might be incorrect here. (Note also, relevant is likely the cross section, not diameter.) See Figure 4A1 and B1 for quantification of example blood vessel area changes - both example vessels change area by approximately 50%. Also note, example 1 in Figure 2 is an extreme example. The example was chosen to highlight that effects can be large. To try to illustrate that this is not typical however, we also show the distribution of all neurons in Figure 2B and mark all three example cells – example 1 is at the very tail of the distribution.

      Regarding the analysis suggested, we have added examples of this for running onset to the manuscript (Figure S7). We have examples in which a blood vessel shadow is clearly visible. More typical however, is a general increase in fluorescence (on running onset) that we think is caused by blood vessels closer to the surface of the brain.

      (2) Figure 3A shows strong GFP responses during running, while visuomotor mismatch elicit virtually no GFP-responsive neurons. This finding is puzzling, as visuomotor mismatch has been shown by the same group to activate L2/3 neurons more strongly than running (see Figure 3A, Keller et al., 2012, Neuron). Stronger neuronal activation should, in theory, result in more pronounced hemodynamic effects, and therefore, a higher proportion of GFP-responsive neurons. The absence of GFP responses during visuomotor mismatch raises questions about whether GFP signals are directly linked to hemodynamic occlusion.

      An alternative explanation is that the strong GFP responses observed during running could instead be driven by motion artifacts, e.g., those associated with the increased head or body movements during running onsets. Such artifacts could explain the observed GFP responses, rather than hemodynamic occlusion.

      This might be a misunderstanding. Mismatch responses are primarily observed in mismatch neurons. These are superficial L2/3 neurons (possibly the population that in higher mammals is L2 neurons). The fact that mismatch responses are primarily observed in this superficial population is likely the reason they were discovered using two-photon calcium imaging (which tends to have a bias towards superficial neurons as the image quality is best there), and seen in much fewer neurons when using electrophysiological techniques (Saleem et al., 2013) that are biased to deeper neurons. In response to Reviewer #2, we have now also added a quantification of the fraction of neurons responsive to these stimuli when using GCaMP (Figure 3D-F). The fraction of neurons responsive to visuomotor mismatch is smaller than those responsive on locomotion or to visual stimuli.

      Thus, based on “average” responses across all cortical cell types (our L2/3 recordings here are as unbiased across all of L2/3 as possible) the response profiles (strong running onset and visual responses, and weak MM responses) are probably what one would expect in first approximation also in the blood vessel response profile. Complicating this is of course the fact that it is likely some cell type specific activity that contributes most to blood flow changes, not simply average neuronal activity.

      See response to public review comment 1 for a discussion of alternative sources, including motion artefacts.

      (3) Given the potential confound associated with brain motion, the authors might consider quantifying hemodynamic occlusion effects under more controlled conditions, such as in anesthetized animals, where brain movement is minimal. They could use drifting grating stimuli, which are known to produce wellcharacterized blood vessel and hemodynamic responses in V1. The effects of hemodynamic occlusion can then be quantified by imaging the fluorescence of an activity-independent marker. For maximal robustness, GFP should ideally be avoided, due to its known sensitivity to pH changes, as noted in the public review.

      Brain motion is negligible to visual stimuli in the awake mouse as well (Figure S5). This is likely the better control than anesthetized recordings – anesthesia has strong effects on blood pressure, heart rate, breathing, etc. all of which would introduce more confounds.

      (4) Regardless of the precise mechanism driving the observed GFP response, these activity-independent signals must be accounted for in functional imaging experiments. This applies not only to experiments using small dynamic range sensors but also to those employing 'high dynamic range' sensors like GCaMP6, which, according to the authors, exhibit responses only ~2-fold greater than those of GFP.

      In this context, the extensive GFP imaging data are highly valuable, as they could serve as a benchmark for evaluating the effectiveness of correction methods. Ideally, effective correction methods should produce minimal responses when applied to GFP imaging data. With these data at hand, I strongly encourage the authors to explore potential correction methods, as such methods could have far-reaching impact on the field.

      As discussed above, we have tested a number of such correction approaches for both widefield and two-photon imaging and could never recover a response profile that resembles the GFP response. The “correction method” we have come to favor, is repeating experiments using GFP (i.e. what we have done here).

      (5) Several correction approaches could be considered: for instance, the strong correlation between GFP responses and blood vessel diameter (as shown in Figure 4) could potentially be leveraged to predict and compensate for the activity-independent signals. Alternatively, expressing an activity-independent marker alongside the activity sensor in orthogonal spectral channels could enable simultaneous monitoring and correction of activity-independent signals. Finally, computational procedure to remove common fluctuations, measured from background or 'neuropil' regions (see, e.g., Kerlin et al., 2010, Neuron; Giovannucci et al., 2019, eLife), may help reduce the contamination in cellular ROIs. The authors could try some or all of these methods, and benchmark their effectiveness by assessing, e.g., the number of GFP responsive neurons after correction.

      Over the years we have tried many of these approaches. A correction using a second fluorophore of a different color likely fails because blood absorption is strongly wavelength dependent, making it challenging to calibrate the correction factor. Neuropil “correction” on GCaMP data, even with the best implementations, is just a common mode subtraction. The signal in the neuropil – as the name implies is just an average of many axons and dendrites in the vicinity – most of these processes are from nearby neurons making a neuropil response simply an average response of the neurons in some neighborhood. Adding the problem of hemodynamic responses (which on small scales will also influence nearby neurons and neuropil similarly) makes disentangling the two effects impossible (i.e. neuropil subtraction makes the problem worse, not better). However, just because we fail in implementing all of these methods, does not necessarily mean the method is faulty. Hence we have chosen not to comment on any such method, and simply provide the only mitigation strategy that works in our hands – record GFP responses.

      (6) Given the potential usefulness of the GFP imaging data, I encourage the authors to share these data in a public repository to facilitate the development of correction methods.

      Certainly – all of our data are always published. In the early years of the lab on an FMI repository here https://data.fmi.ch/ - more recently now on Zenodo.

      (7) As noted in the public review, several methodology details are missing. Most importantly, I could not find the description in the Methods section explaining how fluorescence signals from individual neurons were extracted from two-photon imaging data. The existing section on 'Extraction of neuronal activity' appears to cover only the wide-field analysis, with details about two-photon analysis seemingly absent.

      Please excuse the omission – this has all been added to the methods. In brief, to answer your questions:

      Were regions of interest (ROIs) for individual cells identified manually or automatically?

      We use a mixture of manual and automatic methods for our two-photon data. Based on a median filtered (spatially) version of the mean fluorescence image, we used a threshold based selection of ROIs. This was then visually inspected and manually corrected where necessary such that ROIs were at least 250 pixels and only labelled clearly identifiable neurons.

      Was fluorescence within each ROI calculated by averaging signals across pixels, or were signal de-mixing algorithms (e.g., PCA, ICA, or NMF) applied?

      We use the average fluorescence across pixels without any de-mixing algorithms here and in all our two-photon experiments. De-mixing algorithms can introduce a variety of artefacts.

      Additionally, did the authors account for and correct the contribution of surrounding neuropil?

      No neuropil correction was applied. It would also be difficult to see how this would help. If the model of hemodynamic occlusion is correct, one would expect occlusion effects to change on the length scale of blood vessels (i.e. tens to hundreds of microns). Thus, the effect of occlusion on neuropil and cells should be the similar. Neuropil “correction” is always based on the idea of removing signals that are common to both neuropil and somata, thereby complicating the interpretation of the resulting signal even further.

      Without these methodological details, it is difficult to accurately interpret the two-photon signals reported in the manuscript.

      (8) The rationale for using the average fluorescence of a ROI within the blood vessel as a proxy for blood vessel diameter is not entirely clear to me. The authors should provide a clearer justification for this approach in their revision.

      Consider a ROI placed within a blood vessel at the focus of the illumination cone (Author response image 3). Given the axial point-spread-function of two-photon imaging is in the range of 0.5 μm laterally and 3 μm axially (indicated by the bicone), emitted photons from the fluorescent tissue outside of the blood vessel but within the two-photon volume will contribute to change in fluorescence in the ROI. A change in the blood vessel volume, say an increase on dilation, would decrease the amount of emission photons reaching the objective by, one, pushing more of the fluorescent tissue outside of the two-photon volume, and two, by presenting greater hemodynamic occlusion to the photons emitted by the fluorescent tissue immediately below the vessel. Conversely, on vasoconstriction there are more emission photons at the objective.

      In line with this argument, as shown in Figure 4A1-A2, B1-B2 and C1-C2, we do find that the change in fluorescence of blood vessel ROI varies inversely with the area of the blood vessel. Of course, change in blood vessel ROI fluorescence is only a proxy for vessel size. Extracting blood vessel boundaries from individual two-photon frames was noisy and proved unreliable in the absence of specific dyes to label the vessel walls. We thus resorted to using blood vessel ROI fluorescence as a proxy for hemodynamic occlusion, and tested how much of the variance in GFP responses is explained by the change in blood vessel ROI response.

      We have added an explanation to the manuscript, as suggested.

      Author response image 3.

      Average response of ROIs placed within blood vessels co-vary with hemodynamic occlusion.

      (9) I find that the Shen et al., 2012, Nature Methods paper has gone quite far to demonstrate the effect of hemodynamic occlusion in two photon imaging. Therefore, I suggest the authors describe and cite this work not only in the discussion but also in the introduction, where they can highlight the key questions left unanswered by that study and explain how their manuscript aims to address them.

      We have added the reference and point to the work in the introduction as suggested.

      Reviewer #3 (Recommendations for the authors):

      I appreciate very much that the study is presented in a very clear manner.

      A few comments that could clarify it even further:

      (1) Fig. 1: make clear on legend if it is an average of full FOVs.

      The traces shown are the average over ROIs (neurons) – we have clarified in the figure legend as suggested.

      (2) Give a more complete definition of hemodynamic occlusion to understand the hypothesis in the relationship between blood vessel dilation and GFP fluorescence (116-119). Maybe, move the phrase from conclusion "Since blood absorbs light, hemodynamic occlusion can affect fluorescence intensity measurements" (219-220).

      Very good point – we expanded on the definition in the introduction.

      (3) For clarity, mention in the main text the method used to assess how a parameter explains the variance (126-129).

      Is implemented.

      (4) Discuss the possible relationship of the signals to neuronal activity.

      We have added this to the discussion.

      (5) Discuss if the measurements could provide any functional insights, whether they could be used to learn something about the brain.

      We have added this to the discussion.

    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      The manuscript by Wagstyl et al. describes an extensive analysis of gene expression in the human cerebral cortex and the association with a large variety of maps capturing many of its microscopic and macroscopic properties. The core methodological contribution is the computation of continuous maps of gene expression for >20k genes, which are being shared with the community. The manuscript is a demonstration of several ways in which these maps can be used to relate gene expression with histological features of the human cortex, cytoarchitecture, folding, function, development and disease risk. The main scientific contribution is to provide data and tools to help substantiate the idea of the genetic regulation of multi-scale aspects of the organisation of the human brain. The manuscript is dense, but clearly written and beautifully illustrated.

      Main comments

      The starting point for the manuscript is the construction of continuous maps of gene expression for most human genes. These maps are based on the microarray data from 6 left human brain hemispheres made available by the Allen Brain Institute. By technological necessity, the microarray data is very sparse: only 1304 samples to map all the cortex after all subjects were combined (a single individual's hemisphere has ~400 samples). Sampling is also inhomogeneous due to the coronal slicing of the tissue. To obtain continuous maps on a mesh, the authors filled the gaps using nearest-neighbour interpolation followed by strong smoothing. This may have two potentially important consequences that the authors may want to discuss further: (a) the intrinsic geometry of the mesh used for smoothing will introduce structure in the expression map, and (b) strong smoothing will produce substantial, spatially heterogeneous, autocorrelations in the signal, which are known to lead to a significant increase in the false positive rate (FPR) in the spin tests they used.

      Many thanks to the reviewer for their considered feedback. We have addressed these primary concerns into point-by-point responses below. The key conclusions from our new analyses are: (i) while the intrinsic geometry of the mesh had not originally been accounted for in sufficient detail, the findings presented in this manuscript paper are not driven by mesh-induced structure, (ii) that the spin test null models used in this manuscript [(including a modified version introduced in response to (i)] are currently the most appropriate way to mitigate against inflated false positive rates when making statistical inferences on smooth, surface-based data.

      a. Structured smoothing

      A brain surface has intrinsic curvature (Gaussian curvature, which cannot be flattened away without tearing). The size of the neighbourhood around each surface vertex will be determined by this curvature. During surface smoothing, this will make that the weight of each vertex will be also modulated by the local curvature, i.e., by large geometric structures such as poles, fissures and folds. The article by Ciantar et al (2022, https://doi.org/10.1007/s00429-022-02536-4) provides a clear illustration of this effect: even the mapping of a volume of pure noise into a brain mesh will produce a pattern over the surface strikingly similar to that obtained by mapping resting state functional data or functional data related to a motor task.

      Comment 1

      It may be important to make the readers aware of this possible limitation, which is in large part a consequence of the sparsity of the microarray sampling and the necessity to map that to a mesh. This may confound the assessments of reproducibility (results, p4). Reproducibility was assessed by comparing pairs of subgroups split from the total 6. But if the mesh is introducing structure into the data, and if the same mesh was used for both groups, then what's being reproduced could be a combination of signal from the expression data and signal induced by the mesh structure.

      Response 1

      The reviewer raises an important question regarding the potential for interpolation and smoothing on a cortical mesh to induce a common/correlated signal due to the intrinsic mesh structure. We have now generated a new null model to test this idea which indicates that intrinsic mesh structure is not inflating reproducibility in interpolated expression maps. This new null model spins the original samples prior to interpolation, smoothing and comparison between triplet splits of the six donors, with independent spins shared across the triplet. For computational tractability we took one pair of triplets and regenerated the dataset for each triplet using 10 independent spins. We used these to estimate gene-gene null reproducibility for 90 independent pairwise combinations of these 10 spins. Across these 90 permutations, the average median gene-gene correlation was R=0.03, whereas in the unspun triplet comparisons this was R=0.36. These results indicate that the primary source of the gene-level triplet reproducibility is the underlying shared gene expression pattern rather than interpolation-induced structure.

      In Methods 2a: "An additional null dataset was generated to test whether intrinsic geometry of the cortical mesh and its impact on interpolation for benchmarking analyses of DEMs and gradients (Fig S1d, Fig S2d, Fig S3c). In these analyses, the original samples were rotated on the spherical surface prior to subsequent interpolation, smoothing and gradient calculation. Due to computational constraints the full dataset was recreated only for 10 independent spins. These are referred to as the “spun+interpolated null”.

      Author response image 1.

      Figure S1d, Gene predictability was higher across all triplet-triplet pairs than when compared to spun+interpolated null.

      Comment 2

      It's also possible that mesh-induced structure is responsible in part for the "signal boost" observed when comparing raw expression data and interpolated data (fig S1a). How do you explain the signal boost of the smooth data compared with the raw data otherwise?

      Response 2

      We thank the reviewer for highlighting this issue of mesh-induced structure. We first sought to quantify the impact of mesh-induced structure through the new null model, in which the data are spun prior to interpolation. New figure S1d, S2d and S3c all show that the main findings are not driven by interpolation over a common mesh structure, but rather originate in the underlying expression data.

      Specifically, for the original Figure S1a, the reviewer highlights a limitation that we compared intersubject predictability of raw-sample to raw-sample and interpolated-to-interpolated. In this original formulation improved prediction scores for interpolated-to-interpolated (the “signal boost”) could be driven by mesh-induced structure being applied to both the input and predicted maps. We have updated this so that we are now comparing raw-to-raw and interpolated-to-raw, i.e. whether interpolated values are better estimations of the measured expression values. The new Fig S1a&b (see below) shows a signal boost in gene-level and vertex level prediction scores (delta R = +0.05) and we attribute this to the minimisation of location and measurement noise in the raw data, improving the intersubject predictability of expression levels.

      In Methods 2b: "To assess the effect of data interpolation in DEM generation we compared gene-level and vertex-level reproducibility of DEMs against a “ground truth” estimate of these reproducibility metrics based on uninterpolated expression data. To achieve a strict comparison of gene expression values between different individuals at identical spatial locations we focused these analyses on the subset of AHBA samples where a sample from one subject was within 3 mm geodesic distance of another. This resulted in 1097 instances (spatial locations) with measures of raw gene expression of one donor, and predicted values from the second donor’s un-interpolated AHBA expression data and interpolated DEM. We computed gene-level and vertex-level reproducibility of expression using the paired donor data at each of these sample points for both DEM and uninterpolated AHBA expression values. By comparing DEM reproducibility estimates with those for uninterpolated AHBA expression data, we were able to quantify the combined effect of interpolation and smoothing steps in DEM generation. We used gene-level reproducibility values from DEMs and uninterpolated AHBA expression data to compute a gene-level difference in reproducibility, and we then visualized the distribution of these difference values across genes (Fig S1a). We used gene-rank correlation to compare vertex-level reproducibility values between DEMs and uninterpolated AHBA expression data (Fig S1b)."

      Author response image 2.

      Figure S1. Reproducibility of Dense Expression Maps (DEMs) interpolated from spatially sparse postmortem measures of cortical gene expression. a, Signal boost in the interpolated DEM dataset vs. spatially sparse expression data. Restricting to samples taken from approximately the same cortical location in pairs of individuals (within 3mm geodesic distance), there was an overall improvement in intersubject spatial predictability in the interpolated maps. Furthermore, genes with lower predictability in the interpolated maps were less predictable in the raw dataset, suggesting these regions exhibit higher underlying biological variability rather than methodologically introduced bias. b, Similarly at the paired sample locations, gene-rank predictability was generally improved in DEMs vs. sparse expression data (median change in R from sparse samples to interpolated for each pair of subjects, +0.5).

      1. How do you explain that despite the difference in absolute value the combined expression maps of genes with and without cortical expression look similar? (fig S1e: in both cases there's high values in the dorsal part of the central sulcus, in the occipital pole, in the temporal pole, and low values in the precuneus and close to the angular gyrus). Could this also reflect mesh-smoothing-induced structure?

      Response 3

      As with comment 1, this is an interesting perspective that we had not fully considered. We would first like to clarify that non-cortical expression is defined from the independent datasets including the “cortex” tissue class of the human protein atlas and genes identified as markers for cortical layers or cortical cells in previous studies. This is still likely an underestimate of true cortically expressed genes as some of these “non-cortical genes” had high intersubject reproducibility scores. Nevertheless we think it appropriate to use a measure of brain expression independent of anything included in other analyses for this paper. These considerations are part of the reason we provide all gene maps with accompanying uncertainty scores for user discretion rather than simply filtering them out.

      In terms of the spatially consistent pattern of the gene ranks of Fig S1f, this consistent spatial pattern mirrors Transcriptomic Distinctiveness (r=0.52 for non-cortical genes, r=0.75 for cortical genes), so we think that as the differences in expression signatures become more extreme, the relative ranks of genes in that region are more reproducible/easier to predict.

      To assess whether mesh-smoothing-induced structure is playing a role, we carried out an additional the new null model introduced in response to comment 1, and asked if the per-vertex gene rank reproducibility of independently spun subgroup triplets showed a similar structure to that in our original analyses. Across the 90 permutations, the median correlation between vertex reproducibility and TD was R=0.10. We also recalculated the TD maps for the 10 spun datasets and the mean correlation with the original TD did not significantly differ from zero (mean R = 0.01, p=0.2, nspins =10). These results indicate that folding morphology is not the major driver of local or large scale patterning in the dataset. We have included this as a new Figure S3c.

      We have updated the text as follows:

      In Methods 3a: "Third, to assess whether the covariance in spatial patterning across genes could be a result of mesh-associated structure introduced through interpolation and smoothing, TD maps were recomputed for the spun+interpolated null datasets and compared to the original TD map (Fig S3c)."

      In Results: "The TD map observed from the full DEMs library was highly stable between all disjoint triplets of donors (Methods, Fig S3a, median cross-vertex correlation in TD scores between triplets r=0.77) and across library subsets at all deciles of DEM reproducibility (Methods, Fig S3b, cross-vertex correlation in TD scores r>0.8 for the 3rd-10th deciles), but was not recapitulated in spun null datasets (Fig S3c)."

      Author response image 3.

      Figure S3c, Correlations between TD and TD maps regenerated on datasets spun using two independent nulls, one where the rotation is applied prior to interpolation and smoothing (spun+interpolated) and one where it is applied to the already-created DEMs. In each null, the same rotation matrix is applied to all genes.

      Comment 4

      Could you provide more information about the way in which the nearest-neighbours were identified (results p4). Were they nearest in Euclidean space? Geodesic? If geodesic, geodesic over the native brain surface? over the spherically deformed brain? (Methods cite Moresi & Mather's Stripy toolbox, which seems to be meant to be used on spheres). If the distance was geodesic over the sphere, could the distortions introduced by mapping (due to brain anatomy) influence the geometry of the expression maps?

      Response 4

      We have clarified in the Methods that the mapping is to nearest neighbors on the spherically-inflated surface.

      The new null model we have introduced in response to comments 1 & 3 preserves any mesh-induced structure alongside any smoothing-induced spatial autocorrelations, and the additional analyses above indicate that main results are not induced by systematic mesh-related interpolation signal. In response to an additional suggestion from the reviewer (Comment 13), we also assessed whether local distortions due to the mesh could be creating apparent border effects in the data, for instance at the V1-V2 boundary. At the V1-V2 border, which coincides anatomically with the calcarine sulcus, we computed the 10 genes with the highest expression gradient along this boundary in the actual dataset and the spun-interpolated null. The median test expression gradients along this border was higher than in any of the spun datasets, indicating that these boundary effects are not explained by the interpolation and cortical geometry effects on the data (new Fig S2d). The text has been updated as follows:

      In Methods 1: "For cortical vertices with no directly sampled expression, expression values were interpolated from their nearest sampled neighbor vertex on the spherical surface (Moresi and Mather, 2019) (Fig 1b)."

      In Methods 2: "We used the spun+interpolated null to test whether high gene gradients could be driven by non-uniform interpolation across cortical folds. We quantified the average gradient for all genes along the V1-V2 border in the atlas, as well as for 10 iterations of the atlas where the samples were spun prior to interpolation. We computed the median gradient magnitude for the 20 top-ranked genes for each (Fig S2d)."

      Author response image 4.

      Figure S2d Mean of gradient magnitudes for 20 genes with largest gradients along V1-V2 border, compared to values along the same boundary on the spun+interpolated null atlas. Gradients were higher in the actual dataset than in all spun version indicating this high gradient feature is not primarily due to the effects of calcarine sulcus morphology on interpolation

      Comment 5

      Could you provide more information about the smoothing algorithm? Volumetric, geodesic over the native mesh, geodesic over the sphere, averaging of values in neighbouring vertices, cotangent-weighted laplacian smoothing, something else?

      Response 5

      We are using surface-based geodesic over the white surface smoothing described in Glasser et al., 2013 and used in the HCP workbench toolbox (https://www.humanconnectome.org/software/connectome-workbench). We have updated the methods to clarify this.

      In Methods 1: "Surface expression maps were smoothed using the Connectome Workbench toolbox (Glasser et al. 2013) with a 20mm full-width at half maximum Gaussian kernel , selected to be consistent with this sampling density (Fig 1c)."

      Comment 6

      Could you provide more information about the method used for computing the gradient of the expression maps (p6)? The gradient and the laplacian operator are related (the laplacian is the divergence of the gradient), which could also be responsible in part for the relationships observed between expression transitions and brain geometry.

      Response 6

      We are using Connectome Workbench’s metric gradient command for this Glasser et al., 2013 and used in the HCP workbench pipeline. The source code for gradient calculation can be found here: https://github.com/Washington-University/workbench/blob/131e84f7b885d82af76e be21adf2fa97795e2484/src/Algorithms/AlgorithmMetricGradient.cxx

      In Methods 2: >For each of the resulting 20,781 gene-level expression maps, the orientation and magnitude of gene expression change at each vertex (i.e. the gradient) was calculated for folded, inflated, spherical and flattened mesh representations of the cortical sheet using Connectome Workbench’s metric gradient command (Glasser et al. 2013).

      b. Potentially inflated FPR for spin tests on autocorrelated data."

      Spin tests are extensively used in this work and it would be useful to make the readers aware of their limitations, which may confound some of the results presented. Spin tests aim at establishing if two brain maps are similar by comparing a measure of their similarity over a spherical deformation of the brains against a distribution of similarities obtained by randomly spinning one of the spheres. It is not clear which specific variety of spin test was used, but the original spin test has well known limitations, such as the violation of the assumption of spatial stationarity of the covariance structure (not all positions of the spinning sphere are equivalent, some are contracted, some are expanded), or the treatment of the medial wall (a big hole with no data is introduced when hemispheres are isolated).

      Another important limitation results from the comparison of maps showing autocorrelation. This problem has been extensively described by Markello & Misic (2021). The strong smoothing used to make a continuous map out of just ~1300 samples introduces large, geometry dependent autocorrelations. Indeed, the expression maps presented in the manuscript look similar to those with the highest degree of autocorrelation studied by Markello & Misic (alpha=3). In this case, naive permutations should lead to a false positive rate ~46% when comparing pairs of random maps, and even most sophisticated methods have FPR>10%.

      Comment 7 There's currently several researchers working on testing spatial similarity, and the readers would benefit from being made aware of the problem of the spin test and potential solutions. There's also packages providing alternative implementations of spin tests, such as BrainSMASH and BrainSpace, which could be mentioned.

      Response 7

      We thank the reviewer for raising the issue of null models. First, with reference to the false positive rate of 46% when maps exhibit spatial autocorrelation, we absolutely agree that this is an issue that must be accounted for and we address this using the spin test. We acknowledge there has been other work on nulls such as BrainSMASH and BrainSpace. Nevertheless in the Markello and Misic paper to which the reviewer refers, the BrainSmash null models perform worse with smoother maps (with false positive rates approaching 30% in panel e below), whereas the spin test maintains false positives rates below 10%.

      Author response image 5.

      We have added a brief description of the challenge and our use of the spin test.

      In Methods 2a: "Cortical maps exhibit spatial autocorrelation that can inflate the False Positive Rate, for which a number of methods have been proposed(Alexander-Bloch et al. 2018; Burt et al. 2020; Vos de Wael et al. 2020). At higher degrees of spatial smoothness, this high False Positive Rate is most effectively mitigated using the spin test(Alexander-Bloch et al. 2018; Markello and Misic 2021; Vos de Wael et al. 2020). In the following analyses when generating a test statistic comparing two spatial maps, to generate a null distribution, we computed 1000 independent spins of the cortical surface using https://netneurotools.readthedocs.io, and applied it to the first map whilst keeping the second map unchanged. The test statistic was then recomputed 1000 times to generate a null distribution for values one might observe by chance if the maps shared no common organizational features. This is referred to throughout as the “spin test” and the derived p-values as pspin."

      Comment 8

      Could it be possible to measure the degree of spatial autocorrelation?

      Response 8

      We agree this could be a useful metric to generate for spatial cortical maps. However, there are multiple potential metrics to choose from and each of the DEMs would have their own value. To address this properly would require the creation of a set of validated tools and it is not clear how we could summarize this variety of potential metrics for 20k genes. Moreover, as discussed above the spin method is an adequate null across a range of spatial autocorrelation degrees, thus while we agree that in general estimation of spatial smoothness could be a useful imaging metric to report, we consider that it is beyond the scope of the current manuscript.

      Comment 9

      Could you clarify which version of the spin test was used? Does the implementation come from a package or was it coded from scratch?

      Response 9

      As Markello & Misic note, at the vertex level, the various implementations of the spin test become roughly equivalent to the ‘original’ Alexander-Bloch et al., implementation. We used took the code for the ‘original’ version implemented in python here: https://netneurotools.readthedocs.io/en/latest/_modules/netneurotools/stats.html# gen_spinsamples.

      This has been updated in the methods (see Response 7).

      Comment 10

      Cortex and non-cortex vertex-level gene rank predictability maps (fig S1e) are strikingly similar. Would the spin test come up statistically significant? What would be the meaning of that, if the cortical map of genes not expressed in the cortex appeared to be statistically significantly similar to that of genes expressed in the cortex?

      Response 10

      Please see response to comment 3, which also addresses this observation.

      Reviewer #2 (Public Review):

      The authors convert the AHBA dataset into a dense cortical map and conduct an impressively large number of analyses demonstrating the value of having such data.

      I only have comments on the methodology.

      Comment 1

      First, the authors create dense maps by simply using nearest neighbour interpolation followed by smoothing. Since one of the main points of the paper is the use of a dense map, I find it quite light in assessing the validity of this dense map. The reproducibility values they calculate by taking subsets of subjects are hugely under-powered, given that there are only 6 brains, and they don't inform on local, vertex-wise uncertainties). I wonder if the authors would consider using Gaussian process interpolation. It is really tailored to this kind of problem and can give local estimates of uncertainty in the interpolated values. For hyperparameter tuning, they could use leave-one-brain-out for that.

      I know it is a lot to ask to change the base method, as that means re-doing all the analyses. But I think it would strengthen the paper if the authors put as much effort in the dense mapping as they did in their downstream analyses of the data.

      Response 1

      We thank the reviewer for the suggestion to explore Gaussian process interpolation. We have implemented this for our dataset and attempted to compare this with our original method with the 3 following tests: i) intertriplet reproducibility of individual gene maps, ii) microscale validations: area markers, iii) macroscale validations: bio patterns.

      Overall, compared to our original nearest-neighbor interpolation method, GP regression (i) did not substantially improve gene-level reproducibility of expression maps (median correlation increase of R=0.07 which was greater for genes without documented protein expression in cortex): ii) substantially worsened performance in predicting areal marker genes and iii) showed similar but slightly worse performance at predicting macroscale patterns from Figure 1.

      Given the significantly poorer performance on one of our key tests (ii) we have opted not to replace our original database, but we do now include code for the alternative GP regression methodology in the github repository so others can reproduce/further develop these methods.

      Author response image 6.

      ii) Genes ranked by mean expression gradient from current DEMs (left) and Gaussian process-derived interpolation maps (right). Established Human and macaque markers are consistently higher-ranked in DEM maps. iii) Figure 1 Interpolated vs GP regression

      Author response table 1.

      Comment 2

      It is nice that the authors share some code and a notebook, but I think it is rather light. It would be good if the code was better documented, and if the user could have access to the non-smoothed data, in case they was to produce their own dense maps. I was only wondering why the authors didn't share the code that reproduces the many analyses/results in the paper.

      Response 2

      We thank the reviewer for this suggestion. In response we have updated the shared github repository (https://github.com/kwagstyl/magicc). This now includes code and notebooks to reproduce the main analyses and figures.

      Reviewer #1 (Recommendations For The Authors):

      Minor comments

      Comment 11

      p4 mentions Fig S1h, but the supp figures only goes from S1a to S1g

      Response 11

      We thank the reviewer for capturing this error. It was in fact referring to what is now Fig S1h and has been updated.

      Comment 12

      It would be important that the authors share all the code used to produce the results in the paper in addition to the maps. The core methodological contribution of the work is a series of continuous maps of gene expression, which could become an important tool for annotation in neuroimaging research. Many arbitrary (reasonable) decisions were made, it would be important to enable users to evaluate their influence on the results.

      Response 12

      We thank both reviewers for this suggestion. We have updated the github to be able to reproduce the dense maps and key figures with our methods.

      Comment 13

      p5: Could the sharp border reflect the effect of the geometry of the calcarine sulcus on map smoothing? More generally, could there be an effect of folds on TD?

      Response 13

      Please see our response to Reviewer 1, Comment 1 above, where we introduce the new null models now analyzed to test for effects of mesh geometry on our findings. These new null models - where original source data were spun prior to interpolation suggest that neither the sharp V1/2 border or the TD map are effects of mesh geometry. Specifically: (i) , the magnitudes of gradients along the V1/2 boundary from null models were notably smaller than those in our original analyses (see new figure S2d), and (ii) TD maps computed from the new null models showed no correlation with TD maps from ur original analyses (new Figure S3c, mean R = 0.01, p=0.2, nspins =10).

      Comment 14

      p5: Similar for the matching with the areas in Glasser's parcellation: the definition of these areas involves alignment through folds (based on freesurfer 'sulc' map, see Glasser et al 2016). If folds influence the geometry of TDs, could that influence the match?

      Response 14

      We note that Fig S3c provided evidence that folding was not the primary driver of the TD patterning. However, it is true that Glasser et al. use both neuroanatomy (folding, thickness and myelin) and fMRI-derived maps to delineate their cortical areas. As such Figure 2 f & g aren’t fully independent assessments. Nevertheless the reason that these features are used is that many of the sulci in question have been shown to reliably delineate cytoarchitectonic boundaries (Fischl et al., 2008).

      In Results: "A similar alignment was seen when comparing gradients of transcriptional change with the spatial orientation of putative cortical areas defined by multimodal functional and structural in vivo neuroimaging(Glasser et al., 2016) (expression change running perpendicular to area long-axis, pspin<0.01, Fig 2g, Methods)."

      Comment 15

      p6: TD peaks are said to overlap with functionally-specialised regions. A comment on why audition is not there, nor language, but ba 9-46d is? Would that suggest a lesser genetic regulation of those functions?

      Response 15

      The reviewer raises a valid point and this was a result that we were also surprised by. The finding that the auditory cortex is not as microstructurally distinctive as, say V1, is consistent with other studies applying dimensionality-reduction techniques to multimodal microstructural receptor data (e.g. Zilles et al., 2017, Goulas et al., 2020). These studies found that the auditory microstructure is not as extreme as either visual and somatomotor areas. From a methodological view point, the primary auditory cortex is significantly smaller than both visual and somatomotor areas, and therefore is captured by fewer independent samples, which could reduce the detail in which its structure is being mapped in our dataset.

      For the frontal areas, we would note that i) the frontal peak is the smallest of all peaks found and was more strongly characterised by low z-score genes than high z-score. ii) the anatomical areas in the frontal cortex are much more highly variable with respect to folding morphology (e.g. Rajkowska 1995). The anatomical label of ba9-46d (and indeed all other labels) were automatically generated as localisers rather than strict area labels. We have clarified this in the text as follows:

      In Methods 3a: "Automated labels to localize TD peaks were generated based on their intersection with a reference multimodal neuroimaging parcellation of the human cortex(Glasser et al., 2016). Each TD was given the label of the multimodal parcel that showed greatest overlap (Fig 2b)."

      Comment 16.

      p7: The proposition that "there is a tendency for cortical sulci to run perpendicular to the direction of fastest transcriptional change", could also be "there is a tendency for the direction of fastest transcriptional change to run perpendicular to cortical sulci"? More pragmatically, this result from the geometry of transcriptional maps being influenced by sulcal geometry in their construction.

      Response 16

      Please see our response to Reviewer 1, Comment 1 above, where we introduce the new null models now analyzed to test for effects of mesh geometry on our findings. These models indicate that the topography of interpolated gene expression maps do not reflect influences of sulcal geometry on their construction.

      Comment 17

      p7: TD transitions are indicated to precede folding. This is based on a consideration of folding development based on the article by Chi et al 1977, which is quite an old reference. In that paper, the authors estimated the tempo of human folding development based on the inspection of photographs, which may not be sufficient for detecting the first changes in curvature leading to folds. The work of the Developing Human Connectome consortium may provide a more recent indication for timing. In their data, by PCW 21 there's already central sulcus, pre-central, post-central, intra-parietal, superior temporal, superior frontal which can be detected by computing the mean curvature of the pial surface (I can only provide a tweet for reference: https://twitter.com/R3RT0/status/1617119196617261056). Even by PCW 9-13 the callosal sulcus, sylvian fissure, parieto-occipital fissure, olfactory sulcus, cingulate sulcus and calcarine fissure have been reported to be present (Kostovic & Vasung 2009).

      Response 17

      Our field lacks the data necessary to provide a comprehensive empirical test for the temporal ordering of regional transcriptional profiles and emergence of folding. Our results show that transcriptional identities of V1 and TGd are - at least - present at the very earliest stages of sulcation in these regions. In response to the reviewers comment we have updated with a similar fetal mapping project which similarly shows evidence of the folds between weeks 17-21 and made the language around directionality more cautious.

      In Results: "The observed distribution of these angles across vertices was significantly skewed relative to a null based on random alignment between angles (pspin<0.01, Fig 2f, Methods) - indicating that there is indeed a tendency for cortical sulci and the direction of fastest transcriptional change to run perpendicular to each other (pspin<0.01, Fig 2f).

      As a preliminary probe for causality, we examined the developmental ordering of regional folding and regional transcriptional identity. Mapping the expression of high-ranking TD genes in fetal cortical laser dissection microarray data(Miller et al., 2014) from 21 PCW (Post Conception Weeks) (Methods) showed that the localized transcriptional identity of V1 and TGd regions in adulthood is apparent during the fetal periods when folding topology begins to emerge (Chi et al. 1977; Xu et al. 2022) (Fig " S2d).

      In Discussion: "By establishing that some of these cortical zones are evident at the time of cortical folding, we lend support to a “protomap”(Rakic 1988; O'Leary 1989; O'Leary et al. 2007; Rakic et al. 2009) like model where the placement of some cortical folds is set-up by rapid tangential changes in cyto-laminar composition of the developing cortex(Ronan et al., 2014; Toro and Burnod, 2005; Van Essen, 2020). The DEMs are derived from fully folded adult donors, and therefore some of the measured genetic-folding alignment might also be induced by mechanical distortion of the tissue during folding(Llinares-Benadero and Borrell 2019; Heuer and Toro 2019). However, no data currently exist to conclusively assess the directionality of this gene-folding relationship."

      Comment 18

      p7: In my supplemental figures (obtained from biorxiv, because I didn't find them among the files submitted to eLife) there's no S2j (only S2a-S2i).

      Response 18

      We apologize, this figure refers to S3k (formerly S3j), rather than S2j. We have updated the main text.

      Comment 19 p7: It is not clear from the methods (section 3b) how the adult and fetal brains were compared. Maybe using MSM (Robinson et al 2014)?

      Response 19

      We have now clarified this in Methods text as reproduced below.

      In Methods 3b: "We averaged scaled regional gene expression values between donors per gene, and filtered for genes in the fetal LDM dataset that were also represented in the adult DEM dataset - yielding a single final 20,476*235 gene-by-sample matrix of expression values for the human cortex at 21 PCW. Each TD peak region was then paired with the closest matching cortical label within the fetal regions. This matrix was then used to test if each TD expression signature discovered in the adult DEM dataset (Fig 2, Table 3) was already present in similar cortical regions at 21 PCW."

      Comment 20

      p7: WGCNA is used prominently, could you provide a brief introduction to its objectives? The gene coexpression networks are produced after adjusting the weight of the network edges to follow a scale-free topology, which is meant to reflect the nature of protein-protein interactions. Soft thresholding increases contrast, but doesn't this decrease a potential role of infinitesimal regulatory signals?

      Response 20

      We agree with the reviewer that the introduction to WGCNA needed additional details and have amended the Results (see below). One limitation of WGCNA-derived associations is that it will downweigh the role of smaller relationships including potentially important regulatory signals. WGCNA methods have been titrated to capture strong relationships. This is an inherent limitation of all co-expression driven methods which lead to an incomplete characterisation of the molecular biology. Nevertheless we feel these stronger relationships are still worth capturing and interrogating. We have updated the text to introduce WGCNA and acknowledge this potential weakness in the approach.

      In Results: "Briefly, WGCNA constructs a constructs a connectivity matrix by quantifying pairwise co-expression between genes, raising the correlations to a power (here 6) to emphasize strong correlations while penalizing weaker ones, and creating a Topological Overlap Matrix (TOM) to capture both pairwise similarities expression and connectivity. Modules of highly interconnected genes are identified through hierarchical clustering. The resultant WGCNA modules enable topographic and genetic integration because they each exist as both (i) a single expression map (eigenmap) for spatial comparison with neuroimaging data (Fig 3a,b, Methods) and, (ii) a unique gene set for enrichment analysis against marker genes systematically capturing multiple scales of cortical organization, namely: cortical layers, cell types, cell compartments, protein-protein interactions (PPI) and GO terms (Methods, Table S2 and S4)."

      Comment 21

      WGCNA modules look even more smooth than the gene expression maps. Are these maps comparable to low frequency eigenvectors? Autocorrelation in that case should be very strong?

      Response 21

      These modules are smooth as they are indeed eigenvectors which likely smooth out some of the more detailed but less common features seen in individual gene maps. These do exhibit high degrees of autocorrelation, nevertheless we are applying the spin test which is currently the appropriate null model for spatially autocorrelated cortical maps (Response 7).

      Comment 22

      If the WGCNA modules provide an orthogonal basis for surface data, is it completely unexpected that some of them will correlate with low-frequency patterns? What would happen if random low frequency patterns were generated? Would they also show correlations with some of the 16 WGCNA modules?

      Response 22

      We agree with the reviewer that if we used a generative model like BrainSMASH, we would likely see similar low frequency patterns. However, the inserted figure in Response 7 from Makello & Misic provide evidence that is not as conservative a null as the spin test when data exhibit high spatial autocorrelation. The spatial enrichment tests carried out on the WGCNA modules are all carried out using the spin test.

      Comment 23

      In part (a) I commented on the possibility that brain anatomy may introduce artifactual structure into the data that's being mapped. But what if the relationship between brain geometry and brain organisation were deeper than just the introduction of artefacts? The work of Lefebre et al (2014, https://doi.org/10.1109/ICPR.2014.107; 2018, https://doi.org/10.3389/fnins.2018.00354) shows that clustering based on the 3 lowest frequency eigenvectors of the Laplacian of a brain hemisphere mesh produce an almost perfect parcellation into lobes, with remarkable coincidences between parcel boundaries and primary folds and fissures. The work of Pang et al (https://doi.org/10.1101/2022.10.04.510897) suggests that the geometry of the brain plays a critical role in constraining its dynamics: they analyse >10k task-evoked brain maps and show that the eigenvectors of the brain laplacian parsimoniously explain the activity patterns. Could brain anatomy have a downward effect on brain organisation?

      Response 23

      The reviewer raises a fascinating extension of our work identifying spatial modes of gene expression. We agree that these are low frequency in nature, but would first like to note that the newly introduced null model indicates that the overlaps with salient neuroanatomical features are inherent in the expression data and not purely driven by anatomy in a methodological sense.

      Nevertheless we absolutely agree there is likely to be a complex multidirectional interplay between genetic expression patterns through development, developing morphology and the “final” adult topography of expression, neuroanatomical and functional patterns.

      We think that the current manuscript currently contains a lot of in depth analyses of these expression data, but agree that a more extensive modeling analysis of how expression might pattern or explain functional activation would be a fascinating follow on, especially in light of these studies from Pang and Lefebre. Nevertheless we think that this must be left for a future modeling paper integrating these modes of microscale, macroscale and functional anatomy.

      In Discussion: "Indeed, future work might find direct links between these module eigenvectors and similar low-frequency eigenvectors of cortical geometry have been used as basis functions to segment the cortex (Lefèvre et al. 2018) and explain complex functional activation patterns(Pang et al. 2023)."

      Comment 24

      On p11: ASD related to rare, deleterious mutations of strong effect is often associated with intellectual disability (where the social interaction component of ASD is more challenging to assess). Was there some indication of a relationship with that type of cognitive phenotype?

      Response 24

      Across the two ABIDE cohorts, the total number of those with ASD and IQ <70, which is the clinical threshold for intellectual disability was n=10, which unfortunately did not allow us to conduct a meaningful test of whether ID impacts the relationship between imaging changes in ASD and the expression maps of genes implicated in ASD by rare variants.

      Comment 25

      Could you clarify if the 6 donors were aligned using the folding-based method in freesurfer?

      Response 25

      The 6 donors were aligned using MSMsulc (Robinson et al., 2014), which is a folding based method from the HCP group. This is now clarified in the methods.

      In Methods 1: "Cortical surfaces were reconstructed for each AHBA donor MRI using FreeSurfer(Fischl, 2012), and coregistered between donors using surface matching of individuals’ folding morphology (MSMSulc) (Robinson et al., 2018)."

      Comment 26

      The authors make available a rich resource and a series of tools to facilitate their use. They have paid attention to encode their data in standard formats, and their code was made in Python using freely accessible packages instead of proprietary alternatives such as matlab. All this should greatly facilitate the adoption of the approach. I think it would be important to state more explicitly the conceptual assumptions that the methodology brings. In the same way that a GWAS approach relies on a Mendelian idea that individual alleles encode for phenotypes, what is the idea about the organisation of the brain implied by the orthogonal gene expression modules? Is it that phenotypes - micro and macro - are encoded by linear combinations of a reduced number of gene expression patterns? What would be the role of the environment? The role of non-genic regulatory regions? Some modalities of functional organisation do not seem to be encoded by the expression of any module. Is it just for lack of data or should this be seen as the sign for a different organisational principle? Likewise, what about the aspects of disorders that are not captured by expression modules? Would that hint, for example, to stronger environmental effects? What about linear combinations of modules? Nonlinear? Overall, the authors adopt implicitly, en passant, a gene-centric conceptual standpoint, which would benefit from being more clearly identified and articulated. There are citations to Rakic's protomap idea (I would also cite the original 1988 paper, and O'Leary's 1989 "protocortex" paper stressing the role of plasticity), which proposes that a basic version of brain cytoarchitecture is genetically determined and transposed from the proliferative ventricular zone regions to the cortical plate through radial migration. In p13 the authors indicate that their results support Rakic's protomap. Additionally, in p7 the authors suggest that their results support a causal arrow going from gene expression to sulcal anatomy. The reviews by O'leary et al (2007), Ronan & Fletcher (2014, already cited), Llinares-Benadero & Borrell (2019) could be considered, which also advocate for a similar perspective. For nuances on the idea that molecular signals provide positional information for brain development, the article by Sharpe (2019, DOI: 10.1242/dev.185967) is interesting. For nuances on the gene-centric approach of the paper the articles by Rockmann (2012, DOI: 10.1111/j.1558-5646.2011.01486.x) but also from the ENCODE consortium showing the importance of non-genic regions of the genome ("Perspectives on ENCODE" 2020 DOI: 10.1038/s41586-021-04213-8) could be considered. I wouldn't ask to cite ideas from the extended evolutionary synthesis about different inheritance systems (as reviewed by Jablonka & Lamb, DOI: 10.1017/9781108685412) or the idea of inherency (Newman 2017, DOI: 10.1007/978-3-319-33038-9_78-1), but the authors may find them interesting. Same goes for our own work on mechanical morphogenesis which expands on the idea of a downward causality (Heuer and Toro 2019, DOI: 10.1016/j.plrev.2019.01.012)

      Response 26

      We thank the reviewer for recommending these papers, which we enjoyed reading and have deepened our thinking on the topic. In addition to toning down some of the language with respect to causality that our data cannot directly address, we have included additional discussion and references as follows:

      In Discussion: "By establishing that some of these cortical zones are evident at the time of cortical folding, we lend support to a “protomap”(Rakic 1988; O'Leary 1989; O'Leary et al. 2007; Rakic et al. 2009) like model where the placement of some cortical folds is set-up by rapid tangential changes in cyto-laminar composition of the developing cortex(Ronan et al., 2014; Toro and Burnod, 2005; Van Essen, 2020). The DEMs are derived from fully folded adult donors, and therefore some of the measured genetic-folding alignment might also be induced by mechanical distortion of the tissue during folding(Llinares-Benadero and Borrell 2019; Heuer and Toro 2019). However, no data currently exist to conclusively assess the directionality of this gene-folding relationship.

      Overall, the manuscript is very interesting and a great contribution. The amount of work involved is impressive, and the presentation of the results very clear. My comments indicate some aspects that could be made more clear, for example, providing additional methodological information in the supplemental material. Also, making aware the readers and future users of MAGICC of the methodological and conceptual challenges that remain to be addressed in the future for this field of research.

      Reviewer #2 (Recommendations For The Authors):

      Comment 1

      The supplementary figures seem to be missing from the eLife submission (although I was able to find them on europepmc)

      Response 1

      We apologize that these were not included in the documents sent to reviewers. The up-to-date supplementary figures are included in this resubmission and again on biorxiv.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public Review):

      Summary:

      This work revealed an important finding that the blood-brain barrier (BBB) functionality changes with age and is more pronounced in males. The authors applied a non-invasive, contrast-agent-free approach of MRI called diffusion-prepared arterial spin labeling (DP-pCASL) to a large cohort of healthy human volunteers. DP-pCASL works by tracking the movement of magnetically labeled water (spins) in blood as it perfuses brain tissue. It probes the molecular diffusion of water, which is sensitive to microstructural barriers, and characterizes the signal coming from fast-moving spins as blood and slow-moving spins as tissue, using different diffusion gradients (b-values). This differentiation is then used to assess the water exchange rates (kw) across the BBB, which acts as a marker for BBB functionality. The main finding of the authors is that kw decreases with age, and in some brain regions, kw decreases faster in males. The neuroprotective role of the female sex hormone, estrogen, on BBB function is discussed as one of the explanations for this finding, supported by literature. The study also shows that BBB function remains stable until the early 60s and remarkably decreases thereafter.

      Strengths:

      The two main strengths of the study are the MRI method used and the amount of data. The authors employed a contrast-agent-free MRI method called ASL, which offers the opportunity to repeat such experiments multiple times without any health risk - a significant advantage of ASL. Since ASL is an emerging field that requires further exploration and testing, a study evaluating blood-brain barrier functionality is of great importance. The authors utilized a large dataset of healthy humans, where volunteer data from various studies were combined to create a substantial pool. This strategy is effective for statistically evaluating differences in age and gender.

      Weaknesses:

      R1.0: Gender-related differences are only present in some brain regions, not in the whole brain or gray matter - which is usually the assumption unless stated otherwise. From the title, this was not clear. Including simulations could increase readers' understanding related to model fitting and the interdependence of parameters, if present. The discussion follows a clear line of argument supported by literature; however, focusing solely on AQP4 channels and missing a critical consideration of other known/proven changes in transport mechanisms through the BBB and their effects substantially weakens the discussion. 

      Thanks for your insightful feedback and suggestions. We have made the following changes to the manuscript:

      (1) The title has been modified to highlight the sex differences in specific brain regions: “Age-Related Decline in Blood-Brain Barrier Function is More Pronounced in Males than Females in Parietal and Temporal Regions.”

      (2) To study the potential impact of prolonged ATT seen in males on estimated kw, we simulated kw distribution for females by adjusting ATT by +60 ms to match males' ATT. This led to marginally higher kw values (Supplemental Figure S2), suggesting that the kw difference between males and females is not a direct result of prolonged ATT. Additionally, we have added a section titled “Data and Code Availability Statements” in the revised manuscript to indicate that we are willing to share the reconstruction toolbox with interested groups. The toolbox is a standalone MATLAB-based program (no license required) to generate kw, CBF, and ATT maps, which can run on Windows or Mac computers.

      (3) We agree with the reviewer that BBB water exchange can be facilitated by other transport mechanisms, as we mentioned in the introduction: “Water exchange across the BBB occurs at a relatively high level and is mediated by passive diffusion, active co-transport through the endothelial membrane, and facilitated diffusion through the dedicated water channel, aquaporin-4 (AQP4), at the end-feet of astrocytes.” We emphasized our findings related to AQP4 based on the technical properties of DP-pCASL, which is more sensitive to the exchange occurring across astrocyte end-feet. We also acknowledge that different techniques can be helpful to study other components of BBB water exchange, and we have added the following discussion to the updated manuscript: “Mahroo et al., utilized a multi-echo ASL technique to measure BBB permeability to water and reported shorter intra-voxel transit time and lower BBB exchange time (Tex) in the older participants (≥50 years) compared to the younger group (≤20 years). In animal studies, reduced BBB Tex was also reported in the older mice compared to the younger group using multi-echo ASL and a multi-flip-angle, multi-echo dynamic contrast-enhanced (MFAME-DCE) MRI method. These findings contrast with the results presented in this study, likely due to the different components assessed by different techniques, and increased BBB permeability to water has been suggested to indicate a leakage of tight junctions in aging. In contrast, our recent study utilizing high resolution MCDW-pCASL scans with long averages reveals the potential existence of an intermediate stage of water exchange between vascular and tissue compartments (e.g., paravascular space or basal lamina). The DP module of the DP-pCASL is hypothesized to null the fast-flowing and pseudo-random oriented spins, which may include both vascular flow and less restricted water in paravascular space. The observed lower kw in older participants may be more related to the delayed exchange across the astrocyte end-feet into the tissue due to loss of AQP-4 water channel with older age. However, these hypotheses require further investigation to understand the exact mechanisms, especially under different physiological states. Future studies, particularly with animal models targeting specific BBB components under different physiological or diseased conditions, will be valuable for validating these measurements.”

      Reviewer #1 (Recommendations For The Authors): 

      R1.1 The manuscript is well-organized and presents arguments in a logical order. The visual representation of results in the form of figures is sufficient (see style suggestions below). 

      Thanks for your suggestions on improving the figures, we have updated figures for better visualization (Please see our response to R1.5, R1.6, R1.7 and R1.8).

      R1.2 It would be beneficial if the model/toolbox could be made publicly available so that fellow researchers from the community could apply and test it in their research. 

      We have added a section “Data and code availability statements” in the revised manuscript to indicate we’re willing to share the toolbox to the interested groups (L529 in the annotated manuscript). The toolbox is a standalone MATLAB-based program (no license required) to generate kw, CBF and ATT maps, which can run on windows or MAC computers. Indeed, we have been sharing our reconstruction toolbox with over 50 collaboration sites. The following screenshots are examples of three steps performed by the toolbox (shared by one collaborator):

      Author response image 1.

      Step 1: Loading raw data and calculate T1 map

      Author response image 2.

      Step 2: Motion correction and skull stripping

      Author response image 3.

      Step 3: kw, CBF and ATT quantification (nii files will be saved)

      R1.3 Line 46 states that the technique is novel, but it has been introduced and used before (Shao, et al. MRM 2019). It sure is innovative but the term novel is too strong and may confuse the readers that it is something new introduced in this manuscript.

      Thanks for the suggestion, we agree the term ‘novel’ may cause confusion about the technique, we have removed it in the revised manuscript (L48, L50).

      R1.4 Line 395, kw was generated using PLD = 1.8s with b = 0, 50 s/mm2. Is only one-time point enough for estimating kw? To me, it is not clear how robust is the kw estimation with only one PLD.

      According to the single-pass approximation (SPA) model (1), kw can be accurately estimated when the PLD is longer than the ATT. We recruited cognitively normal participants in this study and found the longest ATT to be 1526.7±117.4 and 1468.1±166.9 ms in aged (62-92 years) males and females, respectively. A PLD of 1.8 s was chosen to balance the SNR of the data and the accuracy of the model fitting, which should be sufficient for this study. However, for future studies involving diseased populations with prolonged ATT, a longer PLD should be used, or a multi-PLD protocol could be helpful to improve the robustness of quantification accuracy.

      We have added a limitation statement in the revised manuscript (L407): "A single PLD of 1800 ms was used in this study, which should be sufficient to allow all the labeled water to reach the tissue (i.e., the longest ATT was 1526.7±117.4 and 1468.1±166.9 ms in aged males and females, respectively) (1). However, a longer PLD should be used in participants with longer expected ATT, such as in stroke and cerebrovascular disorders. Additionally, a multi-PLD protocol can also be helpful to improve the robustness of quantification accuracy (2)."

      R1.5 Suggestion: Figure 3A, colormap for kw appears suboptimal. Regional differences are hard to see.

      Thanks for the suggestion, we have updated the range of color scale (from [0, 200], to [70, 160]) to highlight the regional differences in the updated Figure 3:

      We prefer to use the same blue colormap that we and our collaborators have been using this for publications to maintain consistence. We also acknowledged the limitation of the spatial resolution of kw maps in the updated manuscript (L412): “To compensate for the half signal loss of the non-CPMG DP module, relatively low spatial resolution and TGV-regularized SPA modeling were employed. Our recently development of a motion-compensated diffusion weighted (MCDW)-pCASL can be utilized to improve the spatial resolution in the future studies (e.g. 3.5 mm3 isotropic maps in 10 mins) (2)”

      R1.6 Suggestion: use same/similar colormaps for the same parameters (kw, ATT, CBF) to help the reader follow across Figures 3, 4, and 5.

      Thanks for your suggestion, we agree that using the same color would be easier for readers to follow the context. However, figures 4 and 5 were created to show the age and sex dependent changes, so that we used warm and cold colors to indicate effects of decrease and increase, respectively. We clarified the choice of colormap in the figure captions (L260, L284): “The effects of decrease or increase were represented by warm colors (yellow to red) and cold (gray to blue) colors, respectively.”

      R1.7 Suggestion: please be consistent with the ordering of parameters in Figures 3, 4, and 5.

      Thanks for the suggestion, we have updated Figure 3 to consistently show kw, CBF and ATT results in order from left to right:

      R1.8 Suggestion: use the same scaling (e.g.[|1.9|, |11 |] for Fig. 4, [|1.9|, |4|] for Figure 5) to enhance comparability across parameters in the subfigures.

      Thanks for the suggestion, we agree that the same scaling would enhance the comparability across parameters. We have updated the color scales for Figure 5 using maximal |T| = 4:

      However, range of maximal |T| was relatively large for Figure 4 (i.e. 5 for kw, 11 for CBF and 7 for ATT), and using the same color scale might oversaturate the regional responses or diminish the visibility of regional differences. Therefore, we prefer to keep the original color scale for Figure 4.

      R1.9 In Figure 5, the interaction of age with sex in kw parameter seems to be more on one side of the brain. What could be the reasons for possible lateralization? 

      We agree with the reviewer that the age and sex interaction effects emphasized on one side is an interesting finding. While we do not have a clear explanation now, we suspect it may relate to aging-related asymmetrical vascular burdens. Giannakopoulos et al. reported that vascular scores, indicating higher vascular burden, were significantly higher in the left hemisphere across all Clinical Dementia Rating scores. Moreover, the predominance of Alzheimer’s disease and vascular pathology in the right hemisphere correlated with significantly higher Clinical Dementia Rating scores  (3). We added the following to the updated manuscript to discuss this potential mechanism (L370): “… We also observed an asymmetric effect on left and right brain hemispheres, which might be associated with asymmetrically developed vascular burdens in aging (3)."

      R1.10 A comparison between the present study and DCE MRI as well as other ASL methods evaluating BBB function with age is missing. ASL techniques probing transverse relaxation and DCE MRI have reported increased kw with age in humans as well as in animal models. What could be the reasons? 

      We agree with the reviewer that BBB water exchange measured by other methods should be sufficiently discussed, especially regarding their age-related changes. We added the following discussion in the updated manuscript (L415): “Mahroo et al., utilized a multi-echo ASL technique to measure BBB permeability to water and reported shorter intra-voxel transit time and lower BBB exchange time (Tex) in the older participants (≥50 years) compared to the younger group (≤20 years) (4). In animal studies, reduced BBB Tex was also reported in the older mice compared to the younger group using multi-echo ASL (5) and a multi-flip-angle, multi-echo dynamic contrast-enhanced (MFAME-DCE) MRI method (6). These findings contrast with the results presented in this study, likely due to the different components assessed by different techniques, and increased BBB permeability to water has been suggested to indicate a leakage of tight junctions in aging (5, 6). In contrast, our recent study utilizing high resolution MCDW-pCASL scans with long averages reveals the potential existence of an intermediate stage of water exchange between vascular and tissue compartments (e.g., paravascular space or basal lamina) (2). The DP module of the DP-pCASL is hypothesized to null the fast-flowing and pseudo-random oriented spins, which may include both vascular flow and less restricted water in paravascular space. The observed lower kw in older participants may be more related to the delayed exchange across the astrocyte end-feet into the tissue due to loss of AQP-4 water channel with older age. However, these hypotheses require further investigation to understand the exact mechanisms, especially under different physiological states (7, 8). Future studies, particularly with animal models targeting specific BBB components under different physiological or diseased conditions, will be valuable for validating these measurements (9-13).”

      R1.11 Line 163/164, a rapid decrease of CBF in males in the region of the hippocampus is reported. It would be beneficial to discuss this in discussion further (has this been reported before, possible reasons, etc). 

      Thanks for the suggestion, we agree that the accelerated CBF decline in males in the hippocampus is an important finding, we have added discussion in the revised manuscript (L300): "Furthermore, we found a more pronounced age-related decline in CBF in the hippocampus of males compared to females (Fig. 2, Supplemental Table S2). To the best of our knowledge, no study has previously reported this accelerated hippocampal CBF decline in males. This finding may be linked to the accelerated hippocampal volume loss in males, as reported in a study analyzing 19,793 generally healthy UK Biobank participants (14). Lower hippocampal perfusion has been associated with poor memory performance (15, 16), suggesting that males might be more vulnerable to potential cognitive decline (17).

      R1.12 Lines 198-202 describe a simulation done to test the dependence of kw on ATT. This is important and could be explained more in detail. Adding simulation results (numeric or figure) to supplementary materials would increase reproducibility and understanding for others. 

      We apologize for not referencing to the simulation results in the main text. We simulated kw distribution for females by adjusting ATT by +60 ms to matching males’ ATT, leading to a marginally higher kw values. And these results were shown in the Supplemental Figure S2 C (yellow):

      We have now referenced the simulation results in the updated manuscript (L206).

      R1.13 No limitations of the presented work are mentioned. A critical perspective would increase the scientific impact on future research decisions and implementation of this method by others. 

      Thanks for the suggestion, we agree the limitations need to be acknowledged. We have added a limitation paragraph in the revised manuscript (L406): "Limitations of the study and future directions: There are a few limitations of this study. A single PLD of 1800 ms was used in this study, which should be sufficient to allow all the labeled water to reach the tissue (i.e., the longest ATT was 1526.7±117.4 and 1468.1±166.9 ms in aged males and females, respectively) (1). However, a longer PLD should be used in participants with longer expected ATT, such as in stroke and cerebrovascular disorders. Additionally, a multi-PLD protocol can also be helpful to improve the robustness of quantification accuracy (2). To compensate for the half signal loss of the non-CPMG DP module, relatively low spatial resolution and TGV-regularized SPA modeling were employed. Our recently development of a motion-compensated diffusion weighted (MCDW)-pCASL can be utilized to improve the spatial resolution in the future studies (e.g. 3.5 mm3 isotropic maps in 10 mins) (2). Mahroo et al., utilized a multi-echo ASL technique to measure BBB permeability to water and reported shorter intra-voxel transit time and lower BBB exchange time (Tex) in the older participants (≥50 years) compared to the younger group (≤20 years) (4). In animal studies, reduced BBB Tex was also reported in the older mice compared to the younger group using multi-echo ASL (5) and a multi-flip-angle, multi-echo dynamic contrast-enhanced (MFAME-DCE) MRI method (6). These findings contrast with the results presented in this study, likely due to the different components assessed by different techniques, and increased BBB permeability to water has been suggested to indicate a leakage of tight junctions in aging (5, 6). In contrast, our recent study utilizing high resolution MCDW-pCASL scans with long averages reveals the potential existence of an intermediate stage of water exchange between vascular and tissue compartments (e.g., paravascular space or basal lamina) (2). The DP module of the DP-pCASL is hypothesized to null the fast-flowing and pseudo-random oriented spins, which may include both vascular flow and less restricted water in paravascular space. The observed lower kw in older participants may be more related to the delayed exchange across the astrocyte end-feet into the tissue due to loss of AQP-4 water channel with older age. However, these hypotheses require further investigation to understand the exact mechanisms, especially under different physiological stages (7, 8). Future studies, particularly with animal models targeting specific BBB components under different physiological or diseased conditions, will be valuable for validating these measurements (9-13). Including race as a covariate in our study aims to account for potential variations in brain perfusion observed in previous research (18, 19). However, it is important to recognize that these differences may not be solely attributable to race. They can be influenced by a complex interplay of factors such as education, environmental exposures, lifestyle, healthcare access, and other social determinants of health (20). For example, education has been shown to be highly relevant to regional CBF changes in AD (21, 22). Additionally, the potential influence of ancestry and mixed-race on perfusion and BBB function requires further investigation in future studies. Other factors such as hematocrit (23), menopausal status (24, 25), and vascular risk factors (26) should also be considered. These variables were not included in this study due to the unavailability or limited availability in some cohorts. We attempted to minimize the impact of these factors on our observations by including a relatively large and diverse sample. However, future studies examining the specific mechanism of each of these factors on BBB function in aging would be valuable.

      Reviewer #2 (Public Review):

      Summary: 

      This study used a novel diffusion-weighted pseudo-continuous arterial spin labelling (pCASL) technique to simultaneously explore age- and sex-related differences in brain tissue perfusion (i.e., cerebral blood flow (CBF) & arterial transit time (ATT) - a measure of CBF delivery to brain tissue) and blood-brain barrier (BBB) function, measured as the water exchange (kw) across the BBB. While age- and sex-related effects on CBF are well known, this study provides new insights to support the growing evidence of these important factors in cerebrovascular health, particularly in BBB function. Across the brain, the decline in CBF and BBB function (kw) and elevation in ATT were reported in older adults, after the age of 60, and more so in males compared to females. This was also evident in key cognitive regions including the insular, prefrontal, and medial temporal regions, stressing the consideration of age and sex in these brain physiological assessments. 

      Strengths: 

      Simultaneous assessment of CBF with BBB along with transit time and at the voxel-level helped elucidate the brain's vulnerability to age and sex-effects. It is apparent that the investigators carefully designed this study to assess regional associations of age and sex with attention to exploring potential non-linear effects. 

      Weaknesses: 

      R2.0 It appears that no brain region showed concurrent CBF and BBB dysfunction (kw), based on the results reported in the main manuscript and supplemental information. Was an association analysis between CBF and kw performed? There is a potential effect of the level of formal education on CBF (PMID: 12633147; 15534055), which could have been considered and accounted for as well, especially for a cohort with stated diversity (age, race, sex). 

      Thank you for your positive feedback and comments on the potential associations between BBB kw and other physiological parameters (e.g., CBF) and socioeconomic factors (e.g., education). We have made the following changes to the updated manuscript:

      (1) We conducted additional linear regressions between regional kw and regional CBF or ATT, incorporating sex as a covariate, for participants aged 8-61 years and 62-92 years (when BBB kw starts declining). The results are summarized in Supplemental Table S6. We found that BBB kw was significantly negatively associated with CBF in the putamen, amygdala, hippocampus, parahippocampal gyrus, and medial temporal lobe in participants younger than 62 years, when kw was relatively consistent across ages. However, no significant correlations were found in any brain regions in the 62-92 years group. In contrast to CBF, kw was significantly negatively associated with ATT in the GM, temporal lobe, and precuneus in participants aged 8-61 years, and these correlations became significant in additional ROIs, including WM, frontal lobe, ACC, caudate, putamen, amygdala, hippocampus, PHG, and MTL in participants aged 62-92 years. These results suggest that BBB function may be influenced by different aspects of neurovascular function represented by CBF and ATT at different stages of aging.

      (2) One limitation of this study is the lack of information on participants’ geographical, cultural, physical characteristics, and socioeconomic factors. While we included race as a covariate to account for potential variations observed in previous research, race is an imprecise proxy for the complex interplay of genetic, environmental, socioeconomic, and cultural factors that influence physiological outcomes. We have acknowledged this limitation by adding the following discussion in the updated manuscript: “Including race as a covariate in our study aims to account for potential variations in brain perfusion observed in previous research. However, it is important to recognize that these differences may not be solely attributable to race. They can be influenced by a complex interplay of factors such as education, environmental exposures, lifestyle, healthcare access, and other social determinants of health. For example, education has been shown to be highly relevant to regional CBF changes in AD. Additionally, the potential influence of ancestry and mixed-race on perfusion and BBB function requires further investigation in future studies.”

      Reviewer #2 (Recommendations For The Authors): 

      General comments: 

      I commend the authors on a very well-written and laid-out study. General remarks have been provided in the short assessment and public review sections. 

      We would like to thank the reviewer for the insightful suggestions and overall positive feedback. We have substantial revised and improved our manuscript, and point-to-point responses can be found in the following sections and in the annotated manuscript.

      Specific comments: 

      Results: 

      R2.1 Line 127: "since race may influence the changes in perfusion and kw with aging, it was included as a covariate". It is not clear how race - a simplistic term for ethnicity or to be more specific ancestry has been shown to influence changes in perfusion? Is it known for a fact that for example, older Black people have lower/higher CBF or kw compared to Asians or Asians to Caucasian Americans? Can this be extrapolated to Japanese Brazilians having different patterns of regional CBF to Caucasian or Black Brazilians or similar patterns of CBF to Japanese people in Japan since they share similar race? Do Dutch people in the Netherlands share CBF characteristics to their descendants in the US or in South Africa? Would the geographical, cultural, and other physical characteristics of one's ethnicity or lineage impact CBF? Race is often used as a poor substitute for the complex interactions of physical, socioeconomic, and geopolitical factors that produce disparities that may have measurable biological effects including CBF. But it is not clear why being one race vs the other will impact CBF, without carefully parcelling out the many factors beyond biology, if any. Is any of the participants in the study mixed race? How about recently settled individuals who may identify for example as Black but have spent all their life up to adult years outside of the US and marked here in the study as simply African American? Not that I am saying this is the case. However this simplification may require more careful analysis. 

      In our study, no participant indicated to be mixed-race, and unfortunately we do not have additional information about their specific ancestry or information about their geographical, cultural, and other physical characteristics. We acknowledge that race is an imprecise proxy for the complex interplay of genetic, environmental, socioeconomic, and cultural factors that influence physiological outcomes, including perfusion and BBB function. The use of race as a covariate in our study is intended to account for potential variations observed in previous research, rather than to imply a direct causal relationship.

      Research has shown differences in blood flow among racial groups (18, 19). However, these differences are not solely attributable to race, and they are also shaped by environmental exposures, lifestyle factors, healthcare access, and other social determinants of health (20). We have added the following discussion in the updated manuscript (L436): “Including race as a covariate in our study aims to account for potential variations in brain perfusion observed in previous research (18, 19). However, it is important to recognize that these differences may not be solely attributable to race. They can be influenced by a complex interplay of factors such as education, environmental exposures, lifestyle, healthcare access, and other social determinants of health (20). For example, education has been shown to be highly relevant to regional CBF changes in AD (21, 22). Additionally, the potential influence of ancestry and mixed-race on perfusion and BBB function requires further investigation in future studies.”

      R2.2 Figure 3: Could the standard deviation of the reported values be also stated so the variance can be appreciated? 

      Thanks for the suggestion, we have added the standard deviation of the kw, CBF and ATT values on the updated Figure 3:

      R2.3 Discussions: Line 280: .."observed distinct trajectory of kw changes with aging as compared with CBF and ATT. I presume this as compared to the earlier statements (line 268) of pervasive increase in ATT and decrease in CBF across the brain. Were there any brain regions that showed increased ATT, decreased CBF and kw as a function of age or even sex?? Was there any association between CBF and kw in any brain regions, across the participants after controlling for sex differences? If there is a suspicion of early BBB dysfunction (line 286) preceding cognitive decline that has been also suspected with CBF, is this concomitant with CBF in most people? This could maybe make CBF an easier and more straightforward biomarker since its effects mirror that of BBB? I suspect it generally does not, even in healthy aging. It would have been great to shed more light on this with your results and in your discussion.

      Thank you for your comments. By 'distinct trajectory of kw changes with aging,' we refer to the ‘turning point’ in age at which kw starts declining. BBB kw remained relatively stable and began to decline in the early 60s, while CBF consistently decreased and ATT consistently increased with age, although the rates of change differed at 22 years and 36 years, respectively. Using linear regressions for voxel analysis, Figure 4 shows that age-dependent decreases in CBF and increases in ATT were observed in most of the brain. However, significant age-related decreases in kw were more localized to specific brain regions and were mostly accompanied by simultaneous decreases in CBF and increases in ATT. We highlighted this finding in the updated manuscript (L250): “In the brain regions showing significant age-related kw decreases (Fig. 4A), these decreases are mostly accompanied by CBF decreases (Fig. 4B) and ATT increases (Fig. 4C).”

      Thank you for your suggestion regarding the relationship between kw and CBF. We further conducted linear regressions between regional kw and regional CBF or ATT, incorporating sex as a covariate, for participants aged 8-61 years and 62-92 years (when BBB kw starts declining). The results are summarized Supplemental Table S6.

      This new supplemental tables shows many interesting results. BBB kw was significantly negatively associated with CBF in the putamen, amygdala, hippocampus, parahippocampal gyrus, and medial temporal lobe in participants younger than 62 years, when kw was relatively consistent across ages. However, no significant correlations were found in any brain regions in the 62-92 years group. In contrast to CBF, kw was significantly negatively associated with ATT in the GM, temporal lobe, and precuneus in participants aged 8-61 years, and these correlations became significant in additional ROIs, including WM, frontal lobe, ACC, caudate, putamen, amygdala, hippocampus, PHG, and MTL in participants aged 62-92 years.

      We have added the following discussion to the updated manuscript (L307): 'We observed a distinct trajectory of kw changes with aging compared to CBF and ATT. To study the potential regional associations between kw and CBF and ATT, we conducted linear regressions between regional kw and regional CBF or ATT, incorporating sex as a covariate, for participants aged 8-61 years and 62-92 years (when BBB kw starts declining), respectively. The results are shown in Supplemental Table S6. BBB kw was significantly negatively associated with CBF in the putamen, amygdala, hippocampus, PHG, and MTL in participants aged 8-61 years (when kw was relatively consistent across ages), but no significant correlations were found in any brain regions in the 62-92 years group. In contrast to CBF, kw was significantly negatively associated with ATT in the GM, temporal lobe, and precuneus in participants aged 8-61 years, and these correlations became significant in additional brain regions, including WM, frontal lobe, ACC, caudate, putamen, amygdala, hippocampus, PHG, and MTL in participants aged 62-92 years. These results suggest that BBB function may be affected by different aspects of neurovascular function represented by CBF and ATT at different stages of aging."

      Other notes: 

      R2.4 While reading the results section, two things that jump out at me when I saw the sex differences: 1) hematocrit and 2) menopausal status. I saw in the discussion that these were touched on. I may have missed this in the methods, was hematocrit collected and included in the parameters estimates?? Was the menopausal status including ERT (estrogen replacement therapies) recorded and factored in? If not these could be included as limitations that may confound the results, especially when the age groups were split to include a group comprising or potentially both pre-and post-menopausal females (36-61). 

      We do not have the information about hematocrit nor menopausal status and they were not included in data analysis. We agree this is a limitation of the current study and we discussed in the updated manuscript (L442): “Other factors such as hematocrit (23), menopausal status (24, 25), and vascular risk factors (26) should also be considered. These variables were not included in this study due to data unavailability or limited availability in some cohorts. We attempted to minimize the impact of these factors on our observations by including a relatively large and diverse sample. However, future studies examining the specific mechanism of each of these factors on BBB function in aging would be valuable.”

      R2.5 The general vascular health of the cohort is not well described especially if some of the participants were from sickle cell study. While they are cognitively normal and free from major medical illnesses, or neurological disorders, did the sample also include individuals with considerable vascular risk factors and metabolic syndrome (known to affect CBF), especially in the older cohort?? 

      We agree with the reviewer that vascular health can significantly impact perfusion and BBB function. Since the data presented in this study were collected from multiple cohorts, vascular risk factors were not available in all cohorts and thus were not included as covariates in the data analysis. To account for potential vascular variations across participants, we included CBF and ATT as covariates in our analysis on age related BBB kw changes. We have added discussion in the updated manuscript (L442, same as our response to the previous comment): “Other factors such as hematocrit (23), menopausal status (24, 25), and vascular risk factors (26) should also be considered. These variables were not included in this study due to data unavailability or limited availability in some cohorts. We attempted to minimize the impact of these factors on our observations by including a relatively large and diverse sample. However, future studies examining the specific mechanism of each of these factors on BBB function in aging would be valuable.”.

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    1. Author Response

      The following is the authors’ response to the original reviews.

      Reviewer #1

      Strengths:

      This study uses a carefully constructed experiment design and decision-making task that allows separation of multiple electroencephalographic (EEG) signals thought to track different stages of decision-making. For example, the steady-state visual evoked potential measures can be cleanly dissociated from more anterior beta-band activity over the motor cortex. They also allow evaluation of how cued expectancy effects may unfold over a number of testing sessions. This is important because the most consistent evidence of expectation-related modulations of electrophysiological measures (using EEG, local field potentials, or single neuron firing rates) is from studies of nonhuman primates that involved many days of cue-stimulus contingency learning, and there is a lack of similar work using several testing sessions in humans. Although there were several experimental conditions included in the study, careful trial-balancing was conducted to minimise biases due to incidental differences in the number of trials included for analyses across each condition. Performance for each individual was also carefully calibrated to maximise the possibility of identifying subtle changes in task performance by expectation and avoid floor or ceiling effects.

      We would like to thank Reviewer 1 for these very positive comments.

      Weaknesses:

      Although the experiment and analysis methods are cohesive and well-designed, there are some shortcomings that limit the inferences that can be drawn from the presented findings.

      Comment #1

      The first relates to the measures of SSVEPs and their relevance for decision-making in the task. In order to eliminate the influence of sporadic pulses of contrast changes that occurred during stimulus presentation, a time window of 680-975 ms post-stimulus onset was used to measure the SSVEPs. The mean response times for the valid and neutral cues were around 850-900 ms for correct responses, and within the same time window for errors in the invalid cue condition. In addition, a large portion of response times in perceptual decision-making tasks are substantially faster than the mean due to right-skewed response time distributions that are typically observed. As it has also been estimated to require 70-100 ms to execute a motor action (e.g., a keypress response) following the commitment to a decision. This raises some concerns about the proportion of trials in which the contrast-dependent visual responses (indexed by the SSVEPs) indexed visual input that was actually used to make the decision in a given trial. Additional analyses of SSVEPs that take the trial-varying pulses into account could be run to determine whether expectations influenced visual responses earlier in the trial.

      The reviewer raises a very valid point and, indeed, it is an issue that we grappled with in our analyses. Actually, in this study, the RT distributions were not right-skewed, but appear to be relatively normal (RT distributions shown below). This is something that we have previously observed when using tasks that involve an initial zero-evidence lead in at the start of each trial which means that participants cannot start accumulating at stimulus onset and must rely on their knowledge of the lead-in duration to determine when the physical evidence has become available (e.g. Kelly et al 2021, Nat Hum Beh). We agree that it is important to establish whether the reported SSVEP modulations occur before or after choice commitment. In our original submission we had sought to address this question through our analysis of the response-locked ‘difference SSVEP’. Figure 4D clearly indicates that the cue modulations are evident before as well as after response.

      However, we have decided to include an additional Bayesian analysis of the response-locked signal to offer more evidence that the cue effect is not a post-response phenomenon.

      Manuscript Changes

      To quantify the evidence that the cue effect was not driven by changes in the signal after the response, we ran Bayesian one-way ANOVAs on the SSVEP comparing the difference across cue conditions before and after the response. If the cue effect only emerged after the response, we would expect the difference between invalid and neutral or invalid and valid cues to increase in the post-response window. There was no compelling evidence of an increase in the effect when comparing invalid to neutral (BF10 = 1.58) or valid cues (BF10 = 0.32).

      Comment #2

      Presenting response time quantile plots may also help to determine the proportions of motor responses (used to report a decision) that occurred during or after the SSVEP measurement window.

      We agree that it may be helpful for the reader to be able to determine the proportion of responses occurring at different phases of the trial, so we have included the requested response time quantile plot (shown below) as a supplementary figure.

      Author response image 1.

      Reaction time quantiles across cue conditions. The plot illustrates the proportion of trials where responses occurred at different stages of the trial. The SSVEP analysis window is highlighted in purple.

      Comment #3

      In addition, an argument is made for changes in the evidence accumulation rate (called the drift rate) by stimulus expectancy, corresponding to the observed changes in SSVEP measures and differences in the sensory encoding of the stimulus. This inference is limited by the fact that evidence accumulation models (such as the Diffusion Decision Model) were not used to test for drift rate changes as could be determined from the behavioural data (by modelling response time distributions). There appear to be ample numbers of trials per participant to test for drift rate changes in addition to the starting point bias captured in earlier models. Due to the very high number of trials, models could potentially be evaluated for each single participant. This would provide more direct evidence for drift rate changes than the findings based on the SSVEPs, particularly due to the issues with the measurement window relating to the response times as mentioned above.

      The focus of the present study was on testing for sensory-level modulations by predictive cues, rather than testing any particular models. Given that the SSVEP bears all the characteristics of a sensory evidence encoding signal, we believe it is reasonable to point out that its modulation by the cues would very likely translate to a drift rate effect. But we do agree with the reviewer that any connection between our results and previously reported drift rate effects can only be confirmed with modelling and we have tried to make this clear in the revised text. We plan to comprehensively model the data from this study in a future project. While we do indeed have the benefit of plenty of trials, the modelling process will not be straightforward as it will require taking account of the pulse effects which could have potentially complicated, non-linear effects. In the meantime, we have made changes to the text to qualify the suggestion and stress that modelling would be necessary to determine if our hypothesis about a drift rate effect is correct.

      Manuscript Changes

      (Discussion): [...] We suggest that participants may have been able to stabilise their performance across task exposure, despite reductions in the available sensory evidence, by incorporating the small sensory modulation we detected in the SSVEP. This would suggest that the decision process may not operate precisely as the models used in theoretical work describe. Instead, our study tentatively supports a small number of modelling investigations that have challenged the solitary role of starting point bias, implicating a drift bias (i.e. a modulation of the evidence before or upon entry to the decision variable) as an additional source of prior probability effects in perceptual decisions (Dunovan et al., 2014; Hanks et al., 2011; Kelly et al., 2021; van Ravenzwaaij et al., 2012 Wyart et al., 2012) and indicates that these drift biases could, at least partly, originate at the sensory level. However, this link could only be firmly established with modelling in a future study.

      Recommendations For The Authors:

      Comment #4

      The text for the axis labels and legends in the figures is quite small relative to the sizes of the accompanying plots. I would recommend to substantially increase the sizes of the text to aid readability.

      Thank you for this suggestion. We have increased the size of the axis labels and made the text in the figure legends just 1pt smaller than the text in the main body of the manuscript.

      Comment #5

      It is unclear if the scalp maps for Figure 5 (showing the mu/beta distributions) are on the same scale or different scales. I assume they are on different scales (adjusted to the minimum/maximum within each colour map range), as a lack of consistent signals (in the neutral condition) would be expected to lead to a patchy pattern on the scalp as displayed in that figure (due to the colour range shrinking to the degree of noise across electrodes). I would recommend to include some sort of colour scale to show that, for example, in the neutral condition there are no large-amplitude mu/ beta fluctuations distributed somewhat randomly across the scalp.

      Thank you to the reviewer for pointing this out. They were correct, the original topographies were plotted according to their own scale. The topographies in Figure 5 have now been updated to put them on a common scale and we have included a colour bar (as shown below). The caption for Figure 5 has also been updated to confirm that the topos are on a common scale.

      Author response image 2.

      Manuscript Changes

      (Figure 5 Caption): [...] The topography of MB activity in the window - 200:0 ms before evidence onset is plotted on a common scale for neutral and cued conditions separately.

      Comment #6

      In Figure 2, the legend is split across the two panels, despite the valid/invalid/neutral legend also applying to the first panel. This gives an initial impression that the legend is incomplete for the first panel, which may confuse readers. I would suggest putting all of the legend entries in the first panel, so that all of this information is available to readers at once.

      We are grateful to the reviewer for spotting this. Figure 2 has been updated so that the full legend is presented in the first panel, as shown below.

      Author response image 3.

      Comment #7

      Although linear mixed-effects models (using Gaussian families) for response times are standard in the literature, they incorrectly specify the distributions of response times to be Gaussian instead of substantially right-skewed. Generalised linear mixed-effects models using gamma families and identity functions have been shown to more accurately model distributions of response times (see Lo and Andrews, 2015. Frontiers in Psychology). The authors may consider using these models in line with good practice, although it might not make a substantial difference relating to the patterns of response time differences.

      We appreciate this thoughtful comment from Reviewer 1. Although RT distributions are often right skewed, we have previously observed that RT distributions can be closer to normal when the trial incorporates a lead-in phase with no evidence (e.g. Kelly et al 2021, Nat Hum Beh). Indeed, the distributions we observed in this study were markedly Gaussian (as shown in the plot below). Given the shape of these distributions and the reviewer’s suggestion that adopting alternative models may not lead to substantial differences to our results, we have decided to leave the mixed effects models as they are in the manuscript, but we will take note of this advice in future work.

      Author response image 4.

      Reviewer #2

      Strengths:

      The work is executed expertly and focuses cleverly on two features of the EEG signals that can be closely connected to specific loci of the perceptual decision-making process - the SSVEP which connects closely to sensory (visual) encoding, and Mu-Beta lateralisation which connects closely to movement preparation. This is a very appropriate design choice given the authors' research question.

      Another advantage of the design is the use of an unusually long training regime (i.e., for humans) - which makes it possible to probe the emergence of different expectation biases in the brain over different timecourses, and in a way that may be more comparable to work with nonhuman animals (who are routinely trained for much longer than humans).

      We are very grateful for these positive comments from Reviewer 2.

      Weaknesses:

      In my view, the principal shortcoming of this study is that the experimental task confounds expectations about stimulus identity with expectations about to-be-performed responses. That is, cues in the task don't just tell participants what they will (probably) see, but what they (probably) should do.

      In many respects, this feature of the paradigm might seem inevitable, as if specific stimuli are not connected to specific responses, it is not possible to observe motor preparation of this kind (e.g., de Lange, Rahnev, Donner & Lau, 2013 - JoN).

      However, the theoretical models that the authors focus on (e.g., drift-diffusion models) are models of decision (i.e., commitment to a proposition about the world) as much as they are models of choice (i.e., commitment to action). Expectation researchers interested in these models are often interested in asking whether predictions influence perceptual processing, perceptual decision, and/ or response selection stages (e.g., Feuerriegel, Blom & Hoogendorn, 2021 - Cortex), and other researchers have shown that parameters like drift bias and start point bias can be shifted in paradigms where observers cannot possibly prepare a response (e.g., Thomas, Yon, de Lange & Press, 2020 - Psych Sci).

      The present paradigm used by Walsh et al makes it possible to disentangle sensory processing from later decisional processes, but it blurs together the processes of deciding about the stimulus and choosing/initiating the response. This ultimately limits the insights we can draw from this study - as it remains unclear whether rapid changes in motor preparation we see reflect rapid acquisition of new decision criterion or simple cue-action learning. I think this would be important for comprehensively testing the models the authors target - and a good avenue for future work.

      Thank you to Reviewer 2 for these observations. We adopted this paradigm because it is typical of the perceptual decision making literature and our central focus in this study was to test for a sensory-level modulation as a source of a decision bias. We are pleased that the Reviewer agrees that the paradigm successfully disentangles sensory encoding from later decisional processes since this was our priority. However, we agree with Reviewer 2 that because the response mapping was known to the participants, the cues predicted both the outcome of the perceptual decision (“Is this a left- or right-tilted grating?”) and the motor response that the participant should anticipate making (“It’s probably going to be a left click on this trial”). They are correct that this makes it difficult to know whether the changes in motor preparation elicited by the predictive cues reflect action-specific preparation or a more general shift in the boundaries associated with the alternate perceptual interpretations. We fully agree that it remains an interesting and important question and in our future work we hope to conduct investigations that better dissect the distinct components of the decision process during prior-informed decisions. In the interim, we have made some changes to the manuscript to reflect the Reviewer’s concerns and better address this limitation of the study design (these are detailed in the response to the comment below).

      Recommendations For The Authors:

      Comment #8

      As in my public review, my main recommendation to the authors is to think a bit more in the presentation of the Introduction and Discussion about the difference between 'perceiving', 'deciding', and 'responding'.

      The paper is presently framed in terms of the debates around whether expectations bias decision or bias perception - and these debates are in turn mapped onto different aspects of the driftdiffusion model. Biases in sensory gain, for instance, are connected to biases in the drift rate parameter, while decisional shifts are connected to parameters like start points.

      In line with this kind of typology, the authors map their particular EEG signals (SSVEP and MB lateralisation) onto perception and decision. I see the logic, but I think the reality of these models is more nuanced.

      In particular, strictly speaking, the process of evidence accumulation to bound is the formation of a 'decision' (i.e., a commitment to having seen a particular stimulus). Indeed, the dynamics of this process have been beautifully described by other authors on this paper in the past. Since observers in this task simultaneously form decisions and prepare actions (because stimuli and responses are confounded) it is unclear whether changes in motor preparation are reflecting changes in what perceivers 'decide' (i.e., changes in what crosses the decision threshold) or what they 'do' (i.e., changes in the motor response threshold). This is particularly important for the debate around whether expectations change 'perception' or 'decision' because - in some accounts - is the accumulation of evidence to the bound that is hypothesised to cause the perceptual experience observers actually have (Pereira, Perrin & Faivre, 2022 - TiCS). The relevant 'bound' here though is not the bound to push the button, but the bound for the brain to decide what one is actually 'seeing'.

      I completely understand the logic behind the authors' choices, but I would have liked more discussion of this issue. In particular, it seems strange to me to talk about the confounding of stimuli and responses as a particular 'strength' of this design in the manuscript - when really it is a 'necessary evil' for getting the motor preparation components to work. Here is one example from the Introduction:

      "While some have reported expectation effects in humans using EEG/MEG, these studies either measured sensory signals whose relevance to the decision process is uncertain (e.g. Blom et al., 2020; Solomon et al., 2021; Tang et al., 2018) and/or used cues that were implicit or predicted a forthcoming stimulus but not the correct choice alternative (e.g. Aitken et al., 2020; Feuerriegel et al., 2021b; Kok et al., 2017). To assess whether prior probabilities modulate sensory-level signals directly related to participants' perceptual decisions, we implemented a contrast discrimination task in which the cues explicitly predicted the correct choice and where sensory signals that selectively trace the evidence feeding the decision process could be measured during the process of deliberation."

      I would contend that this design allows you to pinpoint signals related to participant's 'choices' or 'actions' but not necessarily their 'decisions' in the sense outlined above.

      As I say though, I don't think this is fatal and I think the paper is extremely interesting in any case. But I think it would be strengthened if some of these nuances were discussed a bit more explicitly, as a 'perceptual decision' is more than pushing a button. Indeed, the authors might want to consider discussing work that shows the neural overlap between deciding and acting breaks down when Ps cannot anticipate which actions to use to report their choices ahead of time (Filimon, Philiastides, Nelson, Kloosterman & Heekeren, 2013 - JoN) and/or work which has combined expectations with drift diffusion modelling to show how expectations change drift bias (Yon, Zainzinger, de Lange, Eimer & Press, 2020 - JEP:General) and/or start bias (Thomas, Yon, de Lange & Press, 2020 - Psych Sci) even when Ps cannot prepare a motor response ahead of time.

      While our focus was on testing for sensory-level modulations, we think the question of whether the motor-level effects we observed are attributable to the task design or represents a more general perceptual bound adjustment is an important question for future research. In our previous work, we have examined this distinction between abstract, movement-independent evidence accumulation (indexed by the centro-parietal positivity, CPP) and response preparation in detail. The CPP has been shown to trace evidence accumulation irrespective of whether the sensory alternatives are associated with a specific response or not (Twomey et al 2016, J Neurosci). When speed pressure is manipulated in tasks with fixed stimulus-response mappings we have found that the CPP undergoes systematic adjustments in its pre-response amplitude that closely accord with the starting-level modulations observed in mu/beta, suggesting that motor-level adjustments do still translate to differences at the perceptual level under these task conditions (e.g. Kelly et al 2021, Nat Hum Beh; Steinemann et al., 2018, Nat Comms). We have also observed that the CPP and mu-beta exhibit corresponding adjustments in response to predictive cues (Kelly et al., 2021) that are consistent with both a starting-point shift and drift rate bias. However, the Kelly et al. study did not include a signature of sensory encoding and therefore could not test for sensory-level modulations.

      We have added some remarks to the discussion to acknowledge this issue with the interpretation of the preparatory shifts in mu-beta activity we observed when the predictive cues were presented, and we have included references to the papers that the reviewer helpfully provided. We have also offered some additional consideration of the features of the task design that may have influenced the SSVEP results.

      Manuscript Changes

      An implication of using cues that predict not just the upcoming stimulus, but the most likely response, is that it becomes difficult to determine if preparatory shifts in mu-beta (MB) activity that we observed reflect adjustments directly influencing the perceptual interpretation of the stimulus or simply preparation of the more probable action. When perceptual decisions are explicitly tied to particular modes of response, the decision state can be read from activity in motor regions associated with the preparation of that kind of action (e.g. de Lafuente et al., 2015; Ding & Gold, 2012; Shadlen & Newsome, 2001; Romo et al., 2004), but these modules appear to be part of a constellation of decision-related areas that are flexibly recruited based on the response modality (e.g. Filimon et al., 2013). When the response mapping is withheld or no response is required, MB no longer traces decision formation (Twomey et al., 2015), but an abstract decision process is still readily detectable (e.g. O’Connell et al., 2012), and modelling work suggests that drift biases and starting point biases (Thomas et al., 2020; Yon et al., 2021) continue to influence prior-informed decision making. While the design of the present study does not allow us to offer further insight about whether the MB effects we observed were inherited from strategic adjustments at this abstract level of the decision process, we hope to conduct investigations in the future that better dissect the distinct components of prior-informed decisions to address this question.

      Several other issues remain unaddressed by the present study. One, is that it is not clear to what extent the sensory effects may be influenced by features of the task design (e.g. speeded responses under a strict deadline) and if these sensory effects would generalise to many kinds of perceptual decision-making tasks or whether they are particular to contrast discrimination.

      Comment #9

      On a smaller, unrelated point - I thought the discussion in the Discussion section about expectation suppression was interesting, but I did not think it was completely logically sound. The authors suggest that they may see relative suppression (rather than enhancement) of their marginal SSVEP under a 'sharpening' account because these accounts suggest that there is a relative suppression of off-channel sensory units, and there are more off-channel sensory units than onchannel sensory units (i.e., there are usually more possibilities we don't expect than possibilities that we do, and suppressing the things we don't expect should therefore yield overall suppression).

      However, this strikes me as a non-sequitur given that the marginal SSVEP only reflects featurespecific visual activity (i.e., activity tuned to one of the two grating stimuli used). The idea that there are more off-channel than on-channel units makes sense for explaining why we would see overall signal drops on expected trials e.g., in an entire visual ROI in an fMRI experiment. But surely this explanation cannot hold in this case, as there is presumably an equal number of units tuned to each particular grating?

      My sense is that this possibility should probably be removed from the manuscript - and I suspect it is more likely that the absence of a difference in marginal SSVEP for Valid vs Neutral trials has more to do with the fact that participants appear to be especially attentive on Neutral trials (and so any relative enhancement of feature-specific activity for expected events is hard to detect against a baseline of generally high-precision sensory evidence on these highly attentive, neutral trials).

      We thank the reviewer for flagging that we did not clearly articulate our thoughts in this section of the manuscript. Our primary purpose in mentioning this sharpening account was simply to point out that, where at first blush our results seem to conflict with expectation suppression effects in the fMRI literature, the sharpening account provides an explanation that can reconcile them. In the case of BOLD data, the sharpening account proposes that on-channel sensory units are boosted and off-channel units are suppressed and, due to the latter being more prevalent, this leads to an overall suppression of the global signal. In the case of the SSVEP, the signal isolates just the onunits and so the sharpening account would predict that when there is a valid cue, the SSVEP signal associated with the high-contrast, expected stimulus should be boosted and the SSVEP signal associated with the low-contrast, unexpected stimulus should be weakened; this would result in a larger difference between these signals and therefore, a larger ‘marginal SSVEP’. Conversely, when there is an invalid cue, the SSVEP signal associated with the, now unexpected, high-contrast stimulus should be relatively weakened and the SSVEP signal associated with the expected, but low-contrast stimulus should be relatively boosted; this would result in a smaller difference between these signals and therefore, a lower amplitude marginal SSVEP. We do not think that this account needs to make reference to any channels beyond those feature-specific channels driving the two SSVEP signals. Again our central point is simply that the sharpening account offers a means of reconciling our SSVEP findings with expectation suppression effects previously reported in the fMRI literature.

      We suspect that this was not adequately explained in the discussion. We have adjusted the way this section is phrased to make it clear that we are not invoking off-channel activity to explain the SSVEP effect we observed and we thank the Reviewer for pointing out that this was unclear in the original text.

      Manuscript Changes

      An alternative account for expectation suppression effects, which is consistent with our SSVEP results, is that they arise, not from a suppression of expected activity, but from a ‘sharpening’ effect whereby the response of neurons that are tuned to the expected feature are enhanced while the responses of neurons tuned to unexpected features are suppressed (de Lange et al., 2018). On this account, the expectation suppression commonly reported in fMRI studies arises because voxels contain intermingled populations with diverse stimulus preferences and the populations tuned to the unexpected features outnumber those tuned to the expected feature. In contrast to these fMRI data, the SSVEP represents the activity of sensory units driven at the same frequency as the stimulus, and thus better isolates the feature-specific populations encoding the task-relevant sensory evidence. Therefore, according to the sharpening account, an invalid cue would have enhanced the SSVEP signal associated with the low contrast grating and weakened the SSVEP signal associated with the high contrast grating. As this would result in a smaller difference between these signals, and therefore, a lower amplitude marginal SSVEP compared to the neutral cue condition, this could explain the effect we observed. 

      Reviewer #3

      Observers make judgements about expected stimuli faster and more accurately. How expectations facilitate such perceptual decisions remains an ongoing area of investigation, however, as expectations may exert their effects in multiple ways. Expectations may directly influence the encoding of sensory signals. Alternatively (or additionally), expectations may influence later stages of decision-making, such as motor preparation, when they bear on the appropriate behavioral response.

      In the present study, Walsh and colleagues directly measured the effect of expectations on sensory and motor signals by making clever use of the encephalogram (EEG) recorded from human observers performing a contrast discrimination task. On each trial, a predictive cue indicated which of two superimposed stimuli would likely be higher contrast and, therefore, whether a left or right button press was likely to yield a correct response. Deft design choices allowed the authors to extract both contrast-dependent sensory signals and motor preparation signals from the EEG. The authors provide compelling evidence that, when predictive cues provide information about both a forthcoming stimulus and the appropriate behavioral response, expectation effects are immediately manifest in motor preparation signals and only emerge in sensory signals after extensive training.

      Future work should attempt to reconcile these results with related investigations in the field. As the authors note, several groups have reported expectation-induced modulation of sensory signals (using both fMRI and EEG/MEG) on shorter timescales (e.g. just one or two sessions of a few hundred trials, versus the intensive multi-session study reported here). One interesting possibility is that perceptual expectations are not automatic but demand the deployment of feature-based attention, while motor preparation is comparatively less effortful and so dominates when both sources of information are available, as in the present study. This hypothesis is consistent with the authors' thoughtful analysis showing decreased neural signatures of attention over posterior electrodes following predictive cues. Therefore, observing the timescale of sensory effects using the same design and methods (facilitating direct comparison with the present work), but altering task demands slightly such that cues are no longer predictive of the appropriate behavioral response, could be illuminating.

      We would like to thank Reviewer 3 for their positive comments and thoughtful suggestions for future work.

      Recommendations For The Authors:

      Comment #10

      In the methods, the term 'session' is used early on but only fleshed out at the end of the 'Procedure' subsection and never entirely explained (e.g., did sessions take place over multiple days?). A brief sentence laying this out early on, perhaps in 'Participants' after the (impressive) trial counts are reported, might be helpful.

      Thank you to Reviewer 3 for pointing out that this was not clear in the original draft. We have amended the text in the Methods section to better explain the relationship between sessions, days, and trial bins.

      Manuscript Changes

      (Methods - Participants): [...] All procedures were approved by the Trinity College Dublin School of Psychology Ethics Committee and were in accordance with the Declaration of Helsinki. Participants completed between 4 and 6 testing sessions, each on a different day. While the sample size was small, on average, participants completed 5750 (SD = 1066) trials each.

      (Methods - Data Analysis): [...] As there were two lengths of testing session and participants completed different numbers of sessions, we analysed the effect of task exposure by pooling trials within-subjects and dividing them into five ‘trial bins’. The first bin represents the participants’ earliest exposure to the task and the final bin represents trials at the end of their participation, when they had had substantial task exposure. All trials with valid responses and reaction times greater than 100 ms were included in the analyses of behavioural data and the SSVEP.

      Comment #11

      On a related note: participants completed a variable number of trials/sessions. To facilitate comparison across subjects, training effects are reported by dividing each subject's data into 5 exposure bins. This is entirely reasonable but does leave the reader wondering about whether you found any effects of rest or sleep between sessions.

      We agree with the reviewer that this is an interesting question that absolutely merits further investigation. As different participants completed different numbers of sessions, different session lengths, and had variable gaps between their sessions, we do not think a per-session analysis would be informative. We think it may be better addressed in a future study, perhaps one with a larger sample where we could collect data specifically about sleep and more systematically control the intervals between testing sessions.

      Comment #12

      Fig 2B: the 'correct' and 'neutral' labels in the legend are switched

      Thank you to the reviewer for spotting that error, the labels in Figure 2 have been corrected.

      Comment #13

      Fig 4B: it's a bit difficult to distinguish which lines are 'thick' and 'thin'

      We have updated Figure 4.B to increase the difference in line thickness between the thick and thin lines (as shown below).

      Author response image 5.

      Comment #14

      Fig 4C: missing (I believe?) the vertical lines indicating median reaction time

      We have updated Figure 4.C to include the median reaction times.

      Author response image 6.

    1. Author response:

      The following is the authors’ response to the original reviews.

      eLife Assessment

      This important work presents a new methodology for the statistical analysis of fiber photometry data, improving statistical power while avoiding the bias inherent in the choices that are necessarily made when summarizing photometry data. The reanalysis of two recent photometry data sets, the simulations, and the mathematical detail provide convincing evidence for the utility of the method and the main conclusions, however, the discussion of the re-analyzed data is incomplete and would be improved by a deeper consideration of the limitations of the original data. In addition, consideration of other data sets and photometry methodologies including non-linear analysis tools, as well as a discussion of the importance of the data normalization are needed.

      Thank you for reviewing our manuscript and giving us the opportunity to respond and improve our paper. In our revision, we have strived to address the points raised in the comments, and implement suggested changes where feasible. We have also improved our package and created an analysis guide (available on our Github - https://github.com/gloewing/fastFMM and https://github.com/gloewing/photometry_fGLMM), showing users how to apply our methods and interpret their results. Below, we provide a detailed point-by-point response to the reviewers.

      Reviewer #1:

      Summary:

      Fiber photometry has become a very popular tool in recording neuronal activity in freely behaving animals. Despite the number of papers published with the method, as the authors rightly note, there are currently no standardized ways to analyze the data produced. Moreover, most of the data analyses confine to simple measurements of averaged activity and by doing so, erase valuable information encoded in the data. The authors offer an approach based on functional linear mixed modeling, where beyond changes in overall activity various functions of the data can also be analyzed. More in-depth analysis, more variables taken into account, and better statistical power all lead to higher quality science.

      Strengths:

      The framework the authors present is solid and well-explained. By reanalyzing formerly published data, the authors also further increase the significance of the proposed tool opening new avenues for reinterpreting already collected data.

      Thank you for your favorable and detailed description of our work!

      Weaknesses:

      However, this also leads to several questions. The normalization method employed for raw fiber photometry data is different from lab to lab. This imposes a significant challenge to applying a single tool of analysis.

      Thank you for these important suggestions. We agree that many data pre-processing steps will influence the statistical inference from our method. Note, though, that this would also be the case with standard analysis approaches (e.g., t-tests, correlations) applied to summary measures like AUCs. For that reason, we do not believe that variability in pre-processing is an impediment to widespread adoption of a standard analysis procedure. Rather, we would argue that the sensitivity of analysis results to pre-processing choices should motivate the development of statistical techniques that reduce the need for pre-processing, and properly account for structure in the data arising from experimental designs. For example, even without many standard pre-processing steps, FLMM provides smooth estimation results across trial timepoints (i.e., the “functional domain”), has the ability to adjust for betweentrial and -animal heterogeneity, and provides a valid statistical inference framework that quantifies the resulting uncertainty. We appreciate the reviewer’s suggestion to emphasize and further elaborate on our method from this perspective. We have now included the following in the Discussion section:

      “FLMM can help model signal components unrelated to the scientific question of interest, and provides a systematic framework to quantify the additional uncertainty from those modeling choices. For example, analysts sometimes normalize data with trial-specific baselines because longitudinal experiments can induce correlation patterns across trials that standard techniques (e.g., repeated measures ANOVA) may not adequately account for. Even without many standard data pre-processing steps, FLMM provides smooth estimation results across trial time-points (the “functional domain”), has the ability to adjust for between-trial and -animal heterogeneity, and provides a valid statistical inference approach that quantifies the resulting uncertainty. For instance, session-to-session variability in signal magnitudes or dynamics (e.g., a decreasing baseline within-session from bleaching or satiation) could be accounted for, at least in part, through the inclusion of trial-level fixed or random effects. Similarly, signal heterogeneity due to subject characteristics (e.g., sex, CS+ cue identity) could be incorporated into a model through inclusion of animal-specific random effects. Inclusion of these effects would then influence the width of the confidence intervals. By expressing one’s “beliefs” in an FLMM model specification, one can compare models (e.g., with AIC). Even the level of smoothing in FLMM is largely selected as a function of the data, and is accounted for directly in the equations used to construct confidence intervals. This stands in contrast to “trying to clean up the data” with a pre-processing step that may have an unknown impact on the final statistical inferences.”

      Does the method that the authors propose work similarly efficiently whether the data are normalized in a running average dF/F as it is described in the cited papers? For example, trace smoothing using running averages (Jeong et al. 2022) in itself may lead to pattern dilution.

      By modeling trial signals as “functions”, the method accounts for and exploits correlation across trial timepoints and, as such, any pre-smoothing of the signals should not negatively affect the validity of the 95% CI coverage. It will, however, change inferential results and the interpretation of the data, but this is not unique to FLMM, or many other statistical procedures.

      The same question applies if the z-score is calculated based on various responses or even baselines. How reliable the method is if the data are non-stationery and the baselines undergo major changes between separate trials?

      Adjustment for trial-to-trial variability in signal magnitudes or dynamics could be accounted for, at least in part, through the inclusion of trial-level random effects. This heterogeneity would then influence the width of the confidence intervals, directly conveying the effect of the variability on the conclusions being drawn from the data. This stands in contrast to “trying to clean up the data” with a pre-processing step that may have an unknown impact on the final statistical inferences. Indeed, non-stationarity (e.g., a decreasing baseline within-session) due to, for example, measurement artifacts (e.g., bleaching) or behavioral causes (e.g., satiation, learning) should, if possible, be accounted for in the model. As mentioned above, one can often achieve the same goals that motivate pre-processing steps by instead applying specific FLMM models (e.g., that include trial-specific intercepts to reflect changes in baseline) to the unprocessed data. One can then compare model criteria in an objective fashion (e.g., with AIC) and quantify the uncertainty associated with those modeling choices. Even the level of smoothing in FLMM is largely selected as a function of the data, and is accounted for directly in the equations used to construct confidence intervals. In sum, our method provides both a tool to account for challenges in the data, and a systematic framework to quantify the additional uncertainty that accompanies accounting for those data characteristics.

      Finally, what is the rationale for not using non-linear analysis methods? Following the paper’s logic, non-linear analysis can capture more information that is diluted by linear methods.

      This is a good question that we imagine many readers will be curious about as well. We have added in notes to the Discussion and Methods Section 4.3 to address this (copied below). We thank the reviewer for raising this point, as your feedback also motivated us to discuss this point in Part 5 of our Analysis Guide.

      Methods

      “FLMM models each trial’s signal as a function that varies smoothly across trial time-points (i.e., along the “functional domain”). It is thus a type of non-linear modeling technique over the functional domain, since we do not assume a linear model (straight line). FLMM and other functional data analysis methods model data as functions, when there is a natural ordering (e.g., time-series data are ordered by time, imaging data are ordered by x-y coordinates), and are assumed to vary smoothly along the functional domain (e.g., one assumes values of a photometry signal at close time-points in a trial have similar values). Functional data analysis approaches exploit this smoothness and natural ordering to capture more information during estimation and inference.”

      Discussion

      “In this paper, we specified FLMM models with linear covariate–signal relationships at a fixed trial time-point across trials/sessions, to compare the FLMM analogue of the analyses conducted in (Jeong et al., 2022). However, our package allows modeling of covariate–signal relationships with non-linear functions of covariates, using splines or other basis functions. One must consider, however, the tradeoff between flexibility and interpretability when specifying potentially complex models, especially since FLMM is designed for statistical inference.”

      Reviewer #2:

      Summary:

      This work describes a statistical framework that combines functional linear mixed modeling with joint 95% confidence intervals, which improves statistical power and provides less conservative statistical inferences than in previous studies. As recently reviewed by Simpson et al. (2023), linear regression analysis has been used extensively to analyze time series signals from a wide range of neuroscience recording techniques, with recent studies applying them to photometry data. The novelty of this study lies in 1) the introduction of joint 95% confidence intervals for statistical testing of functional mixed models with nested random-effects, and 2) providing an open-source R package implementing this framework. This study also highlights how summary statistics as opposed to trial-by-trial analysis can obscure or even change the direction of statistical results by reanalyzing two other studies.

      Strengths:

      The open-source package in R using a similar syntax as the lme4 package for the implementation of this framework on photometry data enhances the accessibility, and usage by other researchers. Moreover, the decreased fitting time of the model in comparison with a similar package on simulated data, has the potential to be more easily adopted.

      The reanalysis of two studies using summary statistics on photometry data (Jeong et al., 2022; Coddington et al., 2023) highlights how trial-by-trial analysis at each time-point on the trial can reveal information obscured by averaging across trials. Furthermore, this work also exemplifies how session and subject variability can lead to opposite conclusions when not considered.

      We appreciate the in-depth description of our work and, in particular, the R package. This is an area where we put a lot of effort, since our group is very concerned with the practical experience of users.

      Weaknesses:

      Although this work has reanalyzed previous work that used summary statistics, it does not compare with other studies that use trial-by-trial photometry data across time-points in a trial. As described by the authors, fitting pointwise linear mixed models and performing t-test and BenjaminiHochberg correction as performed in Lee et al. (2019) has some caveats. Using joint confidence intervals has the potential to improve statistical robustness, however, this is not directly shown with temporal data in this work. Furthermore, it is unclear how FLMM differs from the pointwise linear mixed modeling used in this work.

      Thank you for making this important point. We agree that this offers an opportunity to showcase the advantages of FLMM over non-functional data analysis methods, such as the approach applied in Lee et al. (2019). As mentioned in the text, fitting entirely separate models at each trial timepoint (without smoothing regression coefficient point and variance estimates across timepoints), and applying multiple comparisons corrections as a function of the number of time points has substantial conceptual drawbacks. To see why, consider that applying this strategy with two different sub-sampling rates requires adjustment for different numbers of comparisons, and could thus lead to very different proportions of timepoints achieving statistical significance. In light of your comments, we decided that it would be useful to provide a demonstration of this. To that effect, we have added Appendix Section 2 comparing FLMM with the method in Lee et al. (2019) on a real dataset, and show that FLMM yields far less conservative and more stable inference across different sub-sampling rates. We conducted this comparison on the delay-length experiment (shown in Figure 6) data, sub-sampled at evenly spaced intervals at a range of sampling rates. We fit either a collection of separate linear mixed models (LMM) followed by a Benjamini–Hochberg (BH) correction, or FLMM with statistical significance determined with both Pointwise and Joint 95% CIs. As shown in Appendix Tables 1-2, the proportion of timepoints at which effects are statistically significant with FLMM Joint CIs is fairly stable across sampling rates. In contrast, the percentage is highly inconsistent with the BH approach and is often highly conservative. This illustrates a core advantage of functional data analysis methods: borrowing strength across trial timepoints (i.e., the functional domain), can improve estimation efficiency and lower sensitivity to how the data is sub-sampled. A multiple comparisons correction may, however, yield stable results if one first smooths both regression coefficient point and variance estimates. Because this includes smoothing the coefficient point and variance estimates, this approach would essentially constitute a functional mixed model estimation strategy that uses multiple comparisons correction instead of a joint CI. We have now added in a description of this experiment in Section 2.4 (copied below).

      “We further analyze this dataset in Appendix Section 2, to compare FLMM with the approach applied in Lee et al. (2019) of fitting pointwise LMMs (without any smoothing) and applying a Benjamini–Hochberg (BH) correction. Our hypothesis was that the Lee et al. (2019) approach would yield substantially different analysis results, depending on the sampling rate of the signal data (since the number of tests being corrected for is determined by the sampling rate). The proportion of timepoints at which effects are deemed statistically significant by FLMM joint 95% CIs is fairly stable across sampling rates. In contrast, that proportion is both inconsistent and often low (i.e., highly conservative) across sampling rates with the Lee et al. (2019) approach. These results illustrate the advantages of modeling a trial signal as a function, and conducting estimation and inference in a manner that uses information across the entire trial.”

      In this work, FLMM usages included only one or two covariates. However, in complex behavioral experiments, where variables are correlated, more than two may be needed (see Simpson et al. (2023), Engelhard et al. (2019); Blanco-Pozo et al. (2024)). It is not clear from this work, how feasible computationally would be to fit such complex models, which would also include more complex random effects.

      Thank you for bringing this up, as we endeavored to create code that is able to scale to complex models and large datasets. We agree that highlighting this capability in the paper will strengthen the work. We now state in the Discussion section that “[T]he package is fast and maintains a low memory footprint even for complex models (see Section 4.6 for an example) and relatively large datasets.” Methods Section 4.6 now includes the following:

      Our fastFMM package scales to the dataset sizes and model specifications common in photometry. The majority of the analyses presented in the Results Section (Section 2) included fairly simple functional fixed and random effect model specifications because we were implementing the FLMM versions of the summary measure analyses presented in Jeong et al. (2022). However, we fit the following FLMM to demonstrate the scalability of our method with more complex model specifications:

      We use the same notation as the Reward Number model in Section 4.5.2, with the additional variable TL_i,j,l_ denoting the Total Licks on trial j of session l for animal i. In a dataset with over 3,200 total trials (pooled across animals), this model took ∼1.2 min to fit on a MacBook Pro with an Apple M1 Max chip with 64GB of RAM. Model fitting had a low memory footprint. This can be fit with the code:

      model_fit = fui(photometry ~ session + trial + iri + lick_time + licks + (session + trial + iri + lick_time + licks | id), parallel = TRUE, data = photometry_data)

      This provides a simple illustration of the scalability of our method. The code (including timing) for this demonstration is now included on our Github repository.

      Reviewer #3:

      Summary:

      Loewinger et al., extend a previously described framework (Cui et al., 2021) to provide new methods for statistical analysis of fiber photometry data. The methodology combines functional regression with linear mixed models, allowing inference on complex study designs that are common in photometry studies. To demonstrate its utility, they reanalyze datasets from two recent fiber photometry studies into mesolimbic dopamine. Then, through simulation, they demonstrate the superiority of their approach compared to other common methods.

      Strengths:

      The statistical framework described provides a powerful way to analyze photometry data and potentially other similar signals. The provided package makes this methodology easy to implement and the extensively worked examples of reanalysis provide a useful guide to others on how to correctly specify models.

      Modeling the entire trial (function regression) removes the need to choose appropriate summary statistics, removing the opportunity to introduce bias, for example in searching for optimal windows in which to calculate the AUC. This is demonstrated in the re-analysis of Jeong et al., 2022, in which the AUC measures presented masked important details about how the photometry signal was changing.

      Meanwhile, using linear mixed methods allows for the estimation of random effects, which are an important consideration given the repeated-measures design of most photometry studies.

      We would like to thank the reviewer for the deep reading and understanding of our paper and method, and the thoughtful feedback provided. We agree with this summary, and will respond in detail to all the concerns raised.

      Weaknesses:

      While the availability of the software package (fastFMM), the provided code, and worked examples used in the paper are undoubtedly helpful to those wanting to use these methods, some concepts could be explained more thoroughly for a general neuroscience audience.

      Thank you for this point. While we went to great effort to explain things clearly, our efforts to be concise likely resulted in some lack of clarity. To address this, we have created a series of analysis guides for a more general neuroscience audience, reflecting our experience working with researchers at the NIH and the broader community. These guides walk users through the code, its deployment in typical scenarios, and the interpretation of results.

      While the methodology is sound and the discussion of its benefits is good, the interpretation and discussion of the re-analyzed results are poor:

      In section 2.3, the authors use FLMM to identify an instance of Simpson’s Paradox in the analysis of Jeong et al. (2022). While this phenomenon is evident in the original authors’ metrics (replotted in Figure 5A), FLMM provides a convenient method to identify these effects while illustrating the deficiencies of the original authors’ approach of concatenating a different number of sessions for each animal and ignoring potential within-session effects.

      Our goal was to demonstrate that FLMM provides insight into why the opposing within- and between-session effects occur: the between-session and within-session changes appear to occur at different trial timepoints. Thus, while the AUC metrics applied in Jeong et al. (2022) are enough to show the presence of Simpson’s paradox, it is difficult to hypothesize why the opposing within-/between-session effects occur. An AUC analysis cannot determine at what trial timepoints (relative to licking) those opposing trends occur.

      The discussion of this result is muddled. Having identified the paradox, there is some appropriate speculation as to what is causing these opposing effects, particularly the decrease in sessions. In the discussion and appendices, the authors identify (1) changes in satiation/habitation/motivation, (2) the predictability of the rewards (presumably by the click of a solenoid valve) and (3) photobleaching as potential explanations of the decrease within days. Having identified these effects, but without strong evidence to rule all three out, the discussion of whether RPE or ANCCR matches these results is probably moot. In particular, the hypotheses developed by Jeong et al., were for a random (unpredictable) rewards experiment, whereas the evidence points to the rewards being sometimes predictable. The learning of that predictability (e.g. over sessions) and variation in predictability (e.g. by attention level to sounds of each mouse) significantly complicate the analysis. The FLMM analysis reveals the complexity of analyzing what is apparently a straightforward task design.

      While we are disappointed to hear the reviewer felt our initial interpretations and discussion were poor, the reviewer brings up an excellent point re: potential reward predictability that we had not considered. They have convinced us that acknowledging this alternative perspective will strengthen the paper, and we have added it into the Discussion. We agree that the ANCCR/RPE model predictions were made for unpredictable rewards and, as the reviewer rightly points out, there is evidence that the animals may sense the reward delivery. After discussing extensively with the authors of Jeong et al. (2022), it is clear that they went to enormous trouble to prevent the inadvertent generation of a CS+, and it is likely changes in pressure from the solenoid (rather than a sound) that may have served as a cue. Regardless of the learning theory one adopts (RPE, ANCCR or others), we agree that this potential learned predictability could, at least partially, account for the increase in signal magnitude across sessions. As this paper is focused on analysis methods, we feel that we can contribute most thoughtfully to the dopamine–learning theory conversation by presenting this explanation in detail, for consideration in future experiments. We have substantially edited this discussion and, as per the reviewer’s suggestion, have qualified our interpretations to reflect the uncertainty in explaining the observed trends.

      If this paper is not trying to arbitrate between RPE and ANCCR, as stated in the text, the post hoc reasoning of the authors of Jeong et al 2022 provided in the discussion is not germane. Arbitrating between the models likely requires new experimental designs (removing the sound of the solenoid, satiety controls) or more complex models (e.g. with session effects, measures of predictability) that address the identified issues.

      Thank you for this point. We agree with you that, given the scope of the paper, we should avoid any extensive comparison between the models. To address your comment, we have now removed portions of the Discussion that compared RPE and ANCCR. Overall, we agree with the reviewer, and think that future experiments will be needed for conclusively testing the accuracy of the models’ predictions for random (unpredicted) rewards. While we understand that our description of several conversations with the Jeong et al., 2022 authors could have gone deeper, we hope the reviewer can appreciate that inclusion of these conversations was done with the best of intentions. We wish to emphasize that we also consulted with several other researchers in the field when crafting our discussion. We do commend the authors of Jeong et al., 2022 for their willingness to discuss all these details. They could easily have avoided acknowledging any potential incompleteness of their theory by claiming that our results do not invalidate their predictions for a random reward, because the reward could potentially have been predicted (due to an inadvertent CS+ generated from the solenoid pressure). Instead, they emphasized that they thought their experiment did test a random reward, to the extent they could determine, and that our results suggest components of their theory that should be updated. We think that engagement with re-analyses of one’s data, even when findings are at odds with an initial theoretical framing, is a good demonstration of open science practice. For that reason as well, we feel providing readers with a perspective on the entire discussion will contribute to the scientific discourse in this area.

      Finally, we would like to reiterate that this conversation is happening at least in part because of our method: by analyzing the signal at every trial timepoint, it provides a formal way to test for the presence of a neural signal indicative of reward delivery perception. Ultimately, this was what we set out to do: help researchers ask questions of their data that may have been harder to ask before. We believe that having a demonstration that we can indeed do this for a “live” scientific issue is the most appropriate way of demonstrating the usefulness of the method.

      Of the three potential causes of within-session decreases, the photobleaching arguments advanced in the discussion and expanded greatly in the appendices are not convincing. The data being modeled is a processed signal (∆F/F) with smoothing and baseline correction and this does not seem to have been considered in the argument. Furthermore, the photometry readout is also a convolution of the actual concentration changes over time, influenced by the on-off kinetics of the sensor, which makes the interpretation of timing effects of photobleaching less obvious than presented here and more complex than the dyes considered in the cited reference used as a foundation for this line of reasoning.

      We appreciate the nuance of this point, and we have made considerable efforts in the Results and Discussion sections to caution that alternative hypotheses (e.g., photobleaching) cannot be definitively ruled out. In response to your criticism, we have consulted with more experts in the field regarding the potential for bleaching in this data, and it is not clear to us why photobleaching would be visible in one time-window of a trial, but not at another (less than a second away), despite high ∆F/F magnitudes in both time-windows. We do wish to point out that the Jeong et al. (2022) authors were also concerned about photobleaching as a possible explanation. At their request, we analyzed data from additional experiments, collected from the same animals. In most cases, we did not observe signal patterns that seemed to indicate photobleaching. Given the additional scrutiny, we do not think that photobleaching is more likely to invalidate results in this particular set of experiments than it would be in any other photometry experiment. While the role of photobleaching may be more complicated with this sensor than others in the references, that citation was included primarily as a way of acknowledging that it is possible that non-linearities in photobleaching could occur. Regardless, your point is well taken and we have qualified our description of these analyses to express that photobleaching cannot be ruled out.

      Within this discussion of photobleaching, the characterization of the background reward experiments used in part to consider photobleaching (appendix 7.3.2) is incorrect. In this experiment (Jeong et al., 2022), background rewards were only delivered in the inter-trial-interval (i.e. not between the CS+ and predicted reward as stated in the text). Both in the authors’ description and in the data, there is a 6s before cue onset where rewards are not delivered and while not described in the text, the data suggests there is a period after a predicted reward when background rewards are not delivered. This complicates the comparison of this data to the random reward experiment.

      Thank you for pointing this out! We removed the parenthetical on page 18 of the appendix that incorrectly stated that rewards can occur between the CS+ and the predicted reward.

      The discussion of the lack of evidence for backpropagation, taken as evidence for ANCCR over RPE, is also weak.

      Our point was initially included to acknowledge that, although our method yields results that conflict with the conclusions described by Jeong et al., 2022 on data from some experiments, on other experiments our method supports their results. Again, we believe that a critical part of re-analyzing shared datasets is acknowledging both areas where new analyses support the original results, as well as those where they conflict with them. We agree with the reviewer that qualifying our results so as not to emphasize support for/against RPE/ANCCR will strengthen our paper, and we have made those changes. We have qualified the conclusions of our analysis to emphasize they are a demonstration of how FLMM can be used to answer a certain style of question with hypothesis testing (how signal dynamics change across sessions), as opposed to providing evidence for/against the backpropagation hypothesis.

      A more useful exercise than comparing FLMM to the methods and data of Jeong et al., 2022, would be to compare against the approach of Amo et al., 2022, which identifies backpropagation (data publicly available: DOI: 10.5061/dryad.hhmgqnkjw). The replication of a positive result would be more convincing of the sensitivity of the methodology than the replication of a negative result, which could be a result of many factors in the experimental design. Given that the Amo et al. analysis relies on identifying systematic changes in the timing of a signal over time, this would be particularly useful in understanding if the smoothing steps in FLMM obscure such changes.

      Thank you for this suggestion. Your thoughtful review has convinced us that focusing on our statistical contribution will strengthen the paper, and we made changes to further emphasize that we are not seeking to adjudicate between RPE/ANCCR. Given the length of the manuscript as it stands, we could only include a subset of the analyses conducted on Jeong et al., 2022, and had to relegate the results from the Coddington et al., data to an appendix. Realistically, it would be hard for us to justify including analyses from a third dataset, only to have to relegate them to an appendix. We did include numerous examples in our manuscript where we already replicated positive results, in a way that we believe demonstrates the sensitivity of the methodology. We have also been working with many groups at NIH and elsewhere using our approach, in experiments targeting different scientific questions. In fact, one paper that extensively applies our method, and compares the results with those yielded by standard analysis of AUCs, is already published (Beas et al., 2024). Finally, in our analysis guide we describe additional analyses, not included in the manuscript, that replicate positive results. Hence there are numerous demonstrations of FLMM’s performance in less controversial settings. We take your point that our description of the data supporting one theory or the other should be qualified, and we have corrected that. Specifically for your suggestion of Amo et al. 2022, we have not had the opportunity to personally reanalyze their data, but we are already in contact with other groups who have conducted preliminary analyses of their data with FLMM. We are delighted to see this, in light of your comments and our decision to restrict the scope of our paper. We will help them and other groups working on this question to the extent we can.

      Recommendations for the Authors:

      Reviewer #2:

      First, I would like to commend the authors for the clarity of the paper, and for creating an open-source package that will help researchers more easily adopt this type of analysis.

      Thank you for the positive feedback!

      I would suggest the authors consider adding to the manuscript, either some evidence or some intuition on how feasible would be to use FLMM for very complex model specifications, in terms of computational cost and model convergence.

      Thank you for this suggestion. As we described above in response to Reviewer #2’s Public Reviews, we have added in a demonstration of the scalability of the method. Since our initial manuscript submission, we have further increased the package’s speed (e.g., through further parallelization). We are releasing the updated version of our package on CRAN.

      From my understanding, this package might potentially be useful not just for photometry data but also for two-photon recordings for example. If so, I would also suggest the authors add to the discussion this potential use.

      This is a great point. Our updated manuscript Discussion includes the following:

      “The FLMM framework may also be applicable to techniques like electrophysiology and calcium imaging. For example, our package can fit functional generalized LMMs with a count distribution (e.g., Poisson). Additionally, our method can be extended to model time-varying covariates. This would enable one to estimate how the level of association between signals, simultaneously recorded from different brain regions, fluctuates across trial time-points. This would also enable modeling of trials that differ in length due to, for example, variable behavioral response times (e.g., latency-topress).”

      Reviewer #3:

      The authors should define ’function’ in context, as well as provide greater detail of the alternate tests that FLMM is compared to in Figure 7.

      We include a description of the alternate tests in Appendix Section 5.2. We have updated the Methods Section (Section 4) to introduce the reader to how ‘functions’ are conceptualized and modeled in the functional data analysis literature. Specifically, we added the following text:

      “FLMM models each trial’s signal as a function that varies smoothly across trial time-points (i.e., along the “functional domain”). It is thus a type of non-linear modeling technique over the functional domain, since we do not assume a linear model (straight line). FLMM and other functional data analysis methods model data as functions, when there is a natural ordering (e.g., time-series data are ordered by time, imaging data are ordered by x-y coordinates), and are assumed to vary smoothly along the functional domain (e.g., one assumes values of a photometry signal at close time-points in a trial have similar values). Functional data analysis approaches exploit this smoothness and natural ordering to capture more information during estimation and inference.”

      Given the novelty of estimating joint CIs, the authors should be clearer about how this should be reported and how this differs from pointwise CIs (and how this has been done in the past).

      We appreciate your pointing this out, as the distinction is nuanced. Our manuscript includes a description of how joint CIs enable one to interpret effects as statistically significant for time-intervals as opposed to individual timepoints. Unlike joint CIs, assessing significance with pointwise CIs suffers from multiple-comparisons problems. As a result of your suggestion, we have included a short discussion of this to our analysis guide (Part 1), entitled “Pointwise or Joint 95% Confidence Intervals.” The Methods section of our manuscript also includes the following:

      “The construction of joint CIs in the context of functional data analysis is an important research question; see Cui et al. (2021) and references therein. Each point at which the pointwise 95% CI does not contain 0 indicates that the coefficient is statistically significantly different from 0 at that point. Compared with pointwise CIs, joint CIs takes into account the autocorrelation of signal values across trial time-points (the functional domain). Therefore, instead of interpreting results at a specific timepoint, joint CIs enable joint interpretations at multiple locations along the functional domain. This aligns with interpreting covariate effects on the photometry signals across time-intervals (e.g., a cue period) as opposed to at a single trial time-point. Previous methodological work has provided functional mixed model implementations for either joint 95% CIs for simple random-effects models (Cui et al., 2021), or pointwise 95% CIs for nested models (Scheipl et al., 2016), but to our knowledge, do not provide explicit formulas or software for computing joint 95% CIs in the presence of general random-effects specifications.”

      The authors identify that many photometry studies are complex nested longitudinal designs, using the cohort of 8 animals used in five task designs of Jeong et al. 2022 as an example. The authors miss the opportunity to illustrate how FLMM might be useful in identifying the effects of subject characteristics (e.g. sex, CS+ cue identity).

      This is a fantastic point and we have added the following into the Discussion:

      “...[S]ignal heterogeneity due to subject characteristics (e.g., sex, CS+ cue identity) could be incorporated into a model through inclusion of animal-specific random effects.”

      In discussing the delay-length change experiment, it would be more accurate to say that proposed versions of RPE and ANCCR do not predict the specific change.

      Good point. We have made this change.

      Minor corrections:

      Panels are mislabeled in Figure 5.

      Thank you. We have corrected this.

      The Crowder (2009) reference is incorrect, being a review of the book with the book presumably being the correct citation.

      Good catch, thank you! Corrected.

      In Section 5 (first appendix), the authors could include the alternate spelling ’fibre photometry’ to capture any citations that use British English spelling.

      This is a great suggestion, but we did not have time to recreate these figures before re-submission.

      Section 7.4 is almost all quotation, though unevenly using the block quotation formatting. It is unclear why such a large quotation is included.

      Thank you for pointing this out. We have removed this Appendix section (formerly Section 7.4) as the relevant text was already included in the Methods section.

      References

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      Erjia Cui, Andrew Leroux, Ekaterina Smirnova, and Ciprian Crainiceanu. Fast univariate inference for longitudinal functional models. Journal of Computational and Graphical Statistics, 31:1–27, 07 2021. doi: 10.1080/10618600.2021.1950006.

      Huijeong Jeong, Annie Taylor, Joseph R Floeder, Martin Lohmann, Stefan Mihalas, Brenda Wu, Mingkang Zhou, Dennis A Burke, and Vijay Mohan K Namboodiri. Mesolimbic dopamine release conveys causal associations. Science, 378(6626):eabq6740, 2022. doi: 10.1126/science.abq6740. URL https://www. science.org/doi/abs/10.1126/science.abq6740.

      Rachel S Lee, Marcelo G Mattar, Nathan F Parker, Ilana B Witten, and Nathaniel D Daw. Reward prediction error does not explain movement selectivity in dms-projecting dopamine neurons. eLife, 8:e42992, apr 2019. ISSN 2050-084X. doi: 10.7554/eLife.42992. URL https://doi.org/10.7554/eLife.42992.

      Fabian Scheipl, Jan Gertheiss, and Sonja Greven. Generalized functional additive mixed models. Electronic Journal of Statistics, 10(1):1455 – 1492, 2016. doi: 10.1214/16-EJS1145. URL https://doi.org/10.1214/16-EJS1145.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This important study elucidates the molecular divergence of caspase 3 and 7 in the vertebrate lineage. Convincing biochemical and mutational data provide evidence that in humans, caspase 7 has lost the ability to cleave gasdermin E due to changes in a key residue, S234. However, the physiological relevance of the findings is incomplete and requires further experimental work.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary

      In this study, Xu et al. provide insights into the substrate divergence of CASP3 and CASP7 for GSDME cleavage and activation during vertebrate evolution vertebrates. Using biochemical assays, domain swapping, site-directed mutagenesis, and bioinformatics tools, the authors demonstrate that the human GSDME C-terminal region and the S234 residue of human CASP7 are the key determinants that impede the cleavage of human GSDME by human CASP7.

      Strengths

      The authors made an important contribution to the field by demonstrating how human CASP7 has functionally diverged to lose the ability to cleave GSDME and showing that reverse-mutations in CASP7 can restore GSDME cleavage. The use of multiple methods to support their conclusions strengthens the authors' findings. The unbiased mutagenesis screen performed to identify S234 in huCASP7 as the determinant of its GSDME cleavability is also a strength.

      Weaknesses

      While the authors utilized an in-depth experimental setup to understand the CASP7-mediated GSDME cleavage across evolution, the physiological relevance of their findings are not assessed in detail. Additional methodology information should also be provided.

      Specific recommendations for the authors

      (1) The authors should expand their evaluation of the physiological relevance by assessing GSDME cleavage by the human CASP7 S234N mutant in response to triggers such as etoposide or VSV, which are known to induce CASP3 to cleave GSDME (PMID: 28045099). The authors could also test whether the human CASP7 S234N mutation affects substrate preference beyond human GSDME by testing cleavage of mouse GSDME and other CASP3 and CASP7 substrates in this mutant.

      (1) The physiological relevance was discussed in the revised manuscript (lines 328-340). Our study revealed the molecular mechanism underlying the divergence of CASP3- and CASP7-mediated GSDME activation in vertebrate. One of the physiological consequences is that in humans, CASP7 no longer directly participates in GSDME-mediated cell death, which enables CASP7 to be engaged in other cellular processes. Another physiological consequence is that GSDME activation is limited to CASP3 cleavage, thus restricting GSDME activity to situations more specific, such as that inducing CASP3 activation. The divergence and specialization of the physiological functions of different CASPs are consistent with and possibly conducive to the development of refined regulations of the sophisticated human GSDM pathways, which are executed by multiple GSDM members (A , B, C, D, and E), rather than by GSDME solely in teleost, such as Takifugu. More physiological consequences of CASP3/7 divergence in GSDME activation need to be explored in future studies.

      With respect to the reviewer’s suggestion of assessing GSDME cleavage by the human CASP7 S234N mutant in response to triggers such as etoposide or VSV: (i) CASP7 S234N is a creation of our study, not a natural human product, hence its response to CASP7 triggers cannot happen under normal physiological conditions except in the case of application, such as medical application, which is not the aim of our study. (ii) CASP3/7 activators (such as raptinal) induced robust activation of the endogenous CASP3 (Heimer et al., Cell Death Dis. 2019;10:556) and CASP7 (Author response image 1, below) in human cells. Since CASP3 is the natural activator of GSDME, the presence of the triggers inevitably activates GSDME via CASP3. Hence, under this condition, it will be difficult to examine the effect of CASP7 S234N.

      Author response image 1.

      HsCASP7 activation by raptinal. HEK293T cells were transfected with the empty vector (-), or the vector expressing HsCASP7 or HsCASP7-S234N for 24 h. The cells were then treated with or without (control) 5 μM raptinal for 4 h. The cells were lysed, and the lysates were blotted with anti-CASP7 antibody.

      (2) As suggested by the reviewer, the cleavage of other CASP7 substrates, i.e., poly (ADP-ribose) polymerase 1 (PARP1) and gelsolin, by HsCASP7 and S234N mutant was determined. The results showed that HsCASP7 and HsCASP7-S234N exhibited similar cleavage capacities. Figure 5-figure supplement 1 and lines 212-214.

      (2) It would also be interesting to examine the GSDME structure in different species to gain insight into the nature of mouse GSDME, which cannot be cleaved by either mouse or human CASP7.

      Because the three-dimensional structure of GSDME is not solved, we are unable to explore the structural mechanism underlying the GSDME cleavage by caspase. Since our results showed that the C-terminal domain was essential for caspase-mediated cleavage of GSDME, it is likely that the C-terminal domain of mouse GSDME may possess some specific features that render it to resist mouse and human CASP7.

      (3) The evolutionary analysis does not explain why mammalian CASP7 evolved independently to acquire an amino acid change (N234 to S234) in the substrate-binding motif. Since it is difficult to experimentally identify why a functional divergence occurs, it would be beneficial for the authors to speculate on how CASP7 may have acquired functional divergence in mammals; potentially this occurred because of functional redundancies in cell death pathways, for example.

      According to the reviewer’s suggestion, a speculation was added. Lines 328-340.

      (4) For the recombinant proteins produced for these analyses, it would be helpful to know whether size-exclusion chromatography was used to purify these proteins and whether these purified proteins are soluble. Additionally, the SDS-PAGE in Figure S1B and C show multiple bands for recombinant mutants of TrCASP7 and HsCASP7. Performing protein ID to confirm that the detected bands belong to the respective proteins would be beneficial.

      The recombinant proteins in this study are soluble and purified by Ni-NTA affinity chromatography. Size-exclusion chromatography was not used in protein purification.

      For the SDS-PAGE in Figure 4-figure supplement 1B and C (Figure S1B and C in the previous submission), the multiple bands are most likely due to the activation cleavage of the TrCASP7 and HsCASP7 variants, which can result in multiple bands, including p10 and p20. According to the reviewer’s suggestion, the cleaved p10 was verified by immunoblotting. Figure 4-figure supplement 1B and C.

      (5) For Figures 3C and 4A, it would be helpful to mention what parameters or PDB files were used to attribute these secondary structural features to the proteins. In particular, in Figure 3C, residues 261-266 are displayed as a β-strand; however, the well-known α-model represents this region as a loop. Providing the parameters used for these callouts could explain this difference.

      For Figure 3C, in the revised manuscript, we used the structure of mouse GSDMA3 (PDB: 5b5r) for the structural analysis of HsGSDME. As indicated by the reviewer, the region of 261-266 is a loop. The description was revised in lines 172 and 174, Figure 3C and Figure 3C legend.

      For Figure 4A, the alignment of CASP7 was constructed by using Esprit (https://espript.ibcp.fr/ESPript/cgi-bin/ESPript.cgi) with human CASP7 (PDB:1k86) as the template. The description was revised in the Figure legend.

      (6) Were divergent sequences selected for the sequence alignment analyses (particularly in Figure 6A)? The selection of sequences can directly influence the outcome of the amino acid residues in each position, and using diverse sequences can reduce the impact of the number of sequences on the LOGO in each phylogenetic group.

      In Figure 6A, the sequences were selected without bias. For Mammalia, 45 CASP3 and 43 CASP7 were selected; for Aves, 41 CASP3 and 52 CASP7 were selected; for Reptilia, 31CASP3 and 39 CASP7 were selected; for Amphibia, 11 CASP3 and 12 CASP7 were selected; for Osteichthyes, 40 CASP3 and 43 CASP7 were selected. The sequence information was shown in Table 1 and Table 2.

      (7) For clarity, it would help if the authors provided additional rationale for the selection of residues for mutagenesis, such as selecting Q276, D278, and H283 as exosite residues, when the CASP7 PDB structures (4jr2, 3ibf, and 1k86) suggest that these residues are enriched with loop elements rather than the β sheets expected to facilitate substrate recognition in exosites for caspases (PMID: 32109412). It is possible that the inability to form β-sheets around these positions might indicate the absence of an exosite in CASP7, which further supports the functional effect of the exosite mutations performed.

      According to the suggestion, the rationale for the selection of residues for mutagenesis was added (lines 216-222). Unlike the exosite in HsCASP1/4, which is located in a β sheet, the Q276, D278, and H283 of HsCASP7 are located in a loop region (Figure 5-figure supplement 2), which may explain the mutation results and the absence of an exosite in HsCASP7 as suggested by the reviewer.

      Reviewer #2 (Public Review):

      The authors wanted to address the differential processing of GSDME by caspase 3 and 7, finding that while in humans GSDME is only processed by CASP3, Takifugu GSDME, and other mammalian can be processed by CASP3 and 7. This is due to a change in a residue in the human CAPS7 active site that abrogates GSDME cleavage. This phenomenon is present in humans and other primates, but not in other mammals such as cats or rodents. This study sheds light on the evolutionary changes inside CASP7, using sequences from different species. Although the study is somehow interesting and elegantly provides strong evidence of this observation, it lacks the physiological relevance of this finding, i.e. on human side, mouse side, and fish what are the consequences of CASP3/7 vs CASP3 cleavage of GSDME.

      Our study revealed the molecular mechanism underlying the divergence of CASP3- and CASP7-mediated GSDME activation in vertebrate. One of the physiological consequences is that in humans, CASP7 no longer directly participates in GSDME-mediated cell death, which enables CASP7 to be engaged in other cellular processes. Another physiological consequence is that GSDME activation is limited to CASP3 cleavage, thus restricting GSDME activity to situations more specific, such as that inducing CASP3 activation. The divergence and specialization of the physiological functions of different CASPs are consistent with and possibly conducive to the development of refined regulations of the sophisticated human GSDM pathways, which are executed by multiple GSDM members (A , B, C, D, and E), rather than by GSDME solely in teleost, such as Takifugu. More physiological consequences of CASP3/7 divergence in GSDME activation need to be explored in future studies. Lines 328-340.

      Fish also present a duplication of GSDME gene and Takifugu present GSDMEa and GSDMEb. It is not clear in the whole study if when referring to TrGSDME is the a or b. This should be stated in the text and discussed in the differential function of both GSDME in fish physiology (i.e. PMIDs: 34252476, 32111733 or 36685536).

      The TrGSDME used in this study belongs to the GSDMEa lineage of teleost GSDME. The relevant information was added. Figure 1-figure supplement 1 and lines 119, 271, 274-276, 287 and 288.

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) For the chimeric and truncated constructs, such as HsNT-TrCT, TrNT-HsCT, Hsp20-Trp10, Trp20-Hsp10, etc., the authors should provide a table denoting which amino acids were taken from each protein to create the fusion or truncation.

      According to the reviewer’s suggestion, the information of the truncate/chimeric proteins was provided in Table 4.

      (2) Both reviewers agree that functional physiological experiments are needed to increase the significance of the work. Specifically, the physiological relevance of these findings can be assessed by using western blotting to monitor GSDME cleavage by the human CASP7 S234N mutant compared with wild type CASP7 in response to triggers such as etoposide or VSV, which are known to induce CASP3 to cleave GSDME (PMID: 28045099).

      Additionally, the authors can assess cell death in HEK293 cells, HEK293 cells transfected with TrGSDME, HEK293 cells expressing TrCASP3/7 plus TrGSDME, and TrCASP3/7 plus the D255R/D258A mutant. These cells can be stimulated, and pyroptosis can be assessed by using ELISA to measure the release of the cytoplasmic enzyme LDH as well as IL-1β and IL-18, and the percentage of cell death (PI+ positive cells) may also be assessed.

      (1) With respect to the physiological relevance, please see the above reply to Reviewer 1’s comment of “Specific recommendations for the authors, 1”.

      (2) As shown in our results (Fig. 2), co-expression of TrCASP3/7 and TrGSDME in HEK293T cells induced robust cell death without the need of any stimulation, as evidenced by LDH release and TrGSDME cleavage. In the revised manuscript, similar experiments were performed as suggested, and cell death was assessed by Sytox Green staining (Figure 2-figure supplement 3A and B) and immunoblot to detect the cleavage of both wild type and mutant TrGSDME (Figure 2-figure supplement 3C). The results confirmed the results of Figure 2.

      Reviewer #2 (Recommendations For The Authors):

      Abstract:

      Although the authors try to summarize the principal results of this study, please rewrite the abstract section to make it easier to follow and to empathise the implications of their results.

      We have modified the Abstract as suggested by the reviewer.

      Introduction:

      The authors do not mention anything about the implication of the inflammasome activation to get pyroptosis by GSDM cleave by inflammatory caspases. Please consider including this in the introduction section as they do in the discussion section.

      The introduction was modified according to the reviewer’s suggestion. Lines 58-61.

      From the results section the authors name the human GSDM as HsGSDM and the human CASP as HsCASP, maybe the author could use the same nomenclature in the introduction section. The same for the fish GSDM (Tr) and CASP.

      According to the reviewer’s suggestion, the same nomenclature was used in the introduction.

      Line 39. Remove the word necrotic.

      “necrotic” was removed .

      Line 42. Change channels by pores. In the manuscript, change channels by pores overall.

      “channels” was replaced by “pores”.

      Line 42: Include that: by these pores can be released the proinflammatory cytokines and if these pores are not solved then pyroptosis occurs. Please rephrase this statement.

      According to the reviewer's suggestion, the sentence was rephrased. Lines 46-48.

      Line 45. GSDMF is not an approved gene name, its official nomenclature is PJVK (Uniprot Q0ZLH3). Please use PJVK instead GSDMF.

      GSDMF was changed to PJVK.

      Line 103: Can the authors explain better the molecular determinant?

      The sentence was revised, line 109.

      Results:

      Line 110: Reference for this statement. The reference for this statement was added in line 116.

      Figure 1A, B: Concentration or units used of HsCASP?

      The unit (1 U) of HsCASPs was added to the figure legend (line 661).

      Line 113: Add Hs or Tr after CASP would be helpful to follow the story.

      “CASP” was changed to “HsCASP”.

      Fig 1D: Why the authors do not use the DMPD tetrapeptide (HsGSDME CASP3 cut site) in this assay? Comparing with the data obtained in Fig 3B the TrCASP3 activity is going to be very closer to that obtained for VEID o VDQQD in the CASP3 panel.

      The purpose of Figure 1D was to determine the cleavage preference of TrCASPs. For this purpose, a series of commercially available CASP substrates were used, including DEVD, which is commonly used as a testing substrate for CASP3. Figure 3B was to compare the cleavage of HsCASP3/7 and TrCASP3/7 specifically against the motifs from TrGSDME (DAVD) and HsGSDME (DMPD).

      Figure 1D and Figure 3B are different experiments and were performed under different conditions. In Figure 1D, CASP3 was incubated with the commercial substrates at 37 ℃ for 2 h, while in Figure 3B, CASP3/7 were incubated with non-commercial DAVD (motif from TrGSDME) and DMPD (motif from HsGSDME) at 37 ℃ for 30 min. More experimental details were added to Materials and Methods, lines 443 and 447.

      Fig 1H: What is the concentration used of the inhibitors?

      The concentration (20 μM) was added to the figure legend (line 669).

      Does the Hs CASP3/7 fail to cleave the TrGSDME mutants (D255R and D258A)? the authors do not show this result so they cannot assume that HsCASP3/7 cleave that sequence (although this is to be expected).

      The result of HsCASP3/7 cleavage of the TrGSDME mutants was added as Figure 1-figure supplement 2 and described in Results, line 133.

      Line 132-133: Can the author specify where is placed the mCherry tag? In the N terminal or C terminal portion of the different engineered proteins?

      The mCherry tag is attached to the C-terminus. Figure 2 legend (line 676).

      Fig 2A: Although is quite clear, a column histogram showing the quantification is going to be helpful.

      The expression of TrGSDME-FL, -NT and -CT was determined by Western blot, and the result was added as Figure 2-figure supplement 1.

      Fig 2A, B, C: After how many hours of expression are the pictures taken? Can the authors show a Western blot showing that the expression of the different constructions is similar?

      The time was added to Figure 2 legend and Materials and Methods (line 466). The expression of TrGSDME-FL, -NT and -CT was determined by Western blot, and the result was added as Figure 2-figure supplement 1.

      Fig 2C: Another helpful assay can be to measure the YO-PRO or another small dye internalization, to complete the LDH data.

      According the reviewer’s suggestion, in addition to LDH release, Sytox Green was also used to detect cell death. The result was added as Figure 2-figure supplement 2 and described in Results, line 146.

      Fig 2C: In the figure y axe change LHD by LDH.

      The word was corrected.

      Fig 2D: Change HKE293T by HEK293T in the caption.

      The word was corrected.

      Fig 2G: Please add the concentration used with the two plasmids co-transfection. A Western blot showing CASP3/7 expression vs TrGSDME is missing. Is that assay after 24h? please specify better the methodology.

      The concentration of plasmid used in co-transfection and the time post transfection were added to the Materials and Methods (lines 422 and 424). In addition, the expression of CASP3/7 was added to Figure 2I.

      Fig 2 J, K: Change HKE293T by HEK293T in the figure caption. The concentration of the caspase inhibitors is missing. Depending on the concentration used, these inhibitors used could provoke toxicity on the cells by themselves.

      The word was corrected in the figure caption. The inhibitor concentration (10 μM) was added to the figure legend (line 690).

      Line 151: TrCASP3/7 instead of CASP3/7

      CASP3/7 was changed to TrCASP3/7.

      Fig 3A, 3B: Please add the units used of the HsCASP

      The unit was added to the figure legends (lines 697).

      Fig 3A: Can the authors add the SDS-PAGE to see the Nt terminal portion as has been done in Fig 1A? Maybe in a supplementary figure.

      The SDS-PAGE was added as Figure 3-figure supplement 1.

      Fig 3B: If the authors could add some data about the caspase activity using any other CASP such as CASP2, CASP1 to compare the activity data with CASP3 and CASP7 would be helpful.

      The proteolytic activity of TrCASP1 was provided as Figure 3-figure supplement 2.

      Fig 3C: To state this (Line 160), the authors should use another prediction software to reach a consensus with the sequences of the first analysis. In fact, what happens when GSDME is modelled 3-dimensionally by comparing it to crystalized structures such as mouse GSDMA? If the authors add an arrow indicating where the Nt terminal portion ends and where Ct portion begins would make the figure clearer.

      According to the suggestions of both reviewers, in the revised manuscript, we used mouse GSDMA3 (PDB: 5b5r) for the structural analysis of HsGSDME, which showed that the 261-266 region of HsGSDME was a loop. As a result, Figure 3C was revised. Relevant change in Results: lines 172 and 174.

      As suggested by the reviewer, we modelled the three-dimensional structure of HsGSDME by using SWISS-MODEL with mouse GSDMA3 as the template (Author response image 2, below).

      Author response image 2.

      The three-dimensional structure model of HsGSDME. (A) The structure of HsGSDME was modeled by using mouse GSDMA3 (MmGSDMA3) as the template. The N-terminal domain (1-246 aa) and the C-terminal domain (279-468 aa) of HsGSDME are shown in red and blue, respectively. (B) The superposed structure of HsGSDME (cyan) and MmGSDMA3 (purple).

      Fig 3F: if this is an immunoblotting why NT can be seen? In other Western blots only the CT is detected, why? The use of the TrGSDME mouse polyclonal needs more details (is a purify Ab, was produced for this study, what are the dilution used...)

      Since the anti-TrGSDME antibody was generated using the full-length TrGSDME, it reacted with both the N-terminal and the C-terminal fragments of TrGSDME in Figure 3F. In Figure 3G, the GSDME chimera contained only TrGSDME-CT, so only the CT fragment was detected by anti-TrGSDME antibody. More information on antibody preparation and immunoblot was added to “Materials and Methods” (lines 390 and 391).

      Fig 4B: Can the authors show in which amino acid the p20 finish for each CASP? (Similarly, as they have done in panel 3E)

      Fig 4B was revised as suggested.

      Fig 5F: With 4 units of WT CASP7 the authors show a HsGSDME Ct in the same proportion than when the S234N mutant is used (at lower concentrations). How do the authors explain this?

      The result showed that the cleavage by 4U of HsCASP7 was comparable to the cleavage by 0.25U of HsCASP7-S234N, indicating that S234 mutation increased the cleavage ability of HsCASP7 by 16 folds.

      Line 203: Can the authors show an alignment between this region of casp1/4 and 7? Maybe in supplementary figures.

      As reported by Wang et. al (PMID: 32109412), the βIII/βIII’ sheet of CASP1/4 forms the exosite critical for GSDMD recognition. The structural comparison among HsCASP1/4/7 and the sequence alignment of HsCASP1/4 βIII/βIII’ region with its corresponding region in HsCASP7 were added as Figure 5-figure supplement 2.

      Line 205: A mutation including S234N with the exosite mutations (S234+Q276W+D278E+H283S) is required to support this statement.

      The sentence of “suggesting that, unlike human GSDMD, HsGSDME cleavage by CASPs probably did not involve exosite interaction” was deleted in the revised manuscript.

      Fig 5I, 5J: which is the amount of HsGSDME and TrGSDME? I would place these figures in supplementary material.

      The protein expression of TrGSDME/HsGSDME was shown in the figure. Fig 5I and 5J were moved to Figure 5-figure supplement 3.

      Line 218: I would specify that this importance is in HUMAN CASP7 to cleavage Human GSDME.

      “CASP7” and “GSDME” were changed to “HsCASP7” and “HsGSDME”, respectively.

      Fig 6C: 4 units is the amount of S234N mutant needed to see an optimal HsGSDME cleavage in Fig 5F.

      In Figure 6C, the cleavage efficacy of HsCASP3-N208S was apparently decreased compared to that of HsCASP3, and 4U of HsCASP3-N208S was roughly equivalent to 1U of HsCASP3 in cleavage efficacy. In Figure 5F, cleavage by 4U of HsCASP7 was comparable to the cleavage by 0.25U of HsCASP7-S234N. Together, these results confirmed the critical role of S234/N208 in HsCASP3/7 cleavage of HsGSDM.

      Fig 6I: Could be the fact that the mouse GSDME has a longer Ct than human GSDME affect the interaction with CASP7? Less accessible to the cut site? Needs a positive control of mouse GSDME with mouse Caspase 3.

      Although mouse GSDME (MmGSDME) (512 aa) is larger than HsGSDME (496 aa), the length of the C-terminal domain of MmGSDME (186 aa) is comparable to that of HsGSDME (190 aa).

      Author response image 3.

      Conserved domain analysis of mouse (upper) and human (lower) GSDME.

      As suggested by the reviewer, the cleavage of MmGSDME by mouse caspase-3 (MmCASP3) was added as Figure 6-figure supplement 2 and described in Results, lines 258.

      Material and Methods:

      -Overall, concentrations or amounts used in this study regarding the active enzyme or plasmids used are missing and need to be added.

      The missing concentrations of the enzymes and plasmids were added in Material and Methods (lines 421, 453, 457, and 470) or figure legends (Figure 1 and 3).

      -It would be helpful if the authors label in the immunoblotting panels what is the GSDME that they are using. (Hs GSDME FL...).

      As suggested, the labels were added to Figures 1A ,1B, and 3.

      -Add the units of enzyme used.

      The units of enzyme were added to figure legends (Figure 1A, 3A, 3D, and 3F) or Material and Methods (lines 453 and 457).

      The GSDME sequence obtained for Takifugu after amplification of the RNA extracted should be shown and specified (GSDMEa or GSDMEb). From which tissue was the RNA extracted?

      The details were added to Materials and Methods (lines 398 and 402).

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      This work made a lot of efforts to explore the multifaceted roles of the inferior colliculus (IC) in auditory processing, extending beyond traditional sensory encoding. The authors recorded neuronal activitity from the IC at single unit level when monkeys were passively exposed or actively engaged in behavioral task. They concluded that 1)IC neurons showed sustained firing patterns related to sound duration, indicating their roles in temporal perception, 2) IC neuronal firing rates increased as sound sequences progress, reflecting modulation by behavioral context rather than reward anticipation, 3) IC neurons encode reward prediction error and their capability of adjusting responses based on reward predictability, 4) IC neural activity correlates with decision-making. In summary, this study tried to provide a new perspective on IC functions by exploring its roles in sensory prediction and reward processing, which are not traditionally associated with this structure.

      Strengths:

      The major strength of this work is that the authors performed electrophysiological recordings from the IC of behaving monkeys. Compared with the auditory cortex and thalamus, the IC in monkeys has not been adequately explored.

      We appreciate the reviewer’s acknowledgment of the efforts and strengths of our study. Indeed, our goal was to provide a comprehensive exploration of the multifaceted roles of the inferior colliculus (IC) in auditory processing and beyond, particularly in sensory prediction and reward processing. The use of electrophysiological recordings in behaving monkeys was central to our approach, as we sought to uncover the underexplored aspects of IC function in these complex cognitive domains. We are pleased that the reviewer recognizes the value of investigating the IC, a structure that has not been adequately explored in primates compared to other auditory regions like the cortex and thalamus. This feedback reinforces our belief that our work contributes significantly to advancing the understanding of the IC's roles in cognitive processing.

      We look forward to addressing any further points the reviewers may have and refining our manuscript accordingly. Thank you for your constructive feedback and for recognizing the strengths of our research approach.

      Weaknesses:

      (1) The authors cited several papers focusing on dopaminergic inputs in the IC to suggest the involvement of this brain region in cognitive functions. However, all those cited work were done in rodents. Whether monkey's IC shares similar inputs is not clear.

      We appreciate the reviewer's insightful comment on the limitations of extrapolating findings from rodent models to monkeys, particularly concerning dopaminergic inputs to the Inferior Colliculus (IC). While it is true that most studies on dopaminergic inputs to the IC have been conducted in rodents, to our knowledge, no studies have been conducted specifically in primates. To address the reviewer's concern, we have added a statement in both the introduction and discussion sections of our manuscript:

      • Introduction: "However, these studies were conducted in rodents, and the existence and role of dopaminergic inputs in the primate IC remain underexplored." (P.5, Line. 16-17)

      • Discussion: "However, the exact mechanisms and functions of dopamine modulation in the inferior colliculus are still not fully understood, particularly in primates. " (P.21, Line. 7-9)

      (2) The authors confused the two terms, novelty and deviation. According to their behavioral paradigm, deviation rather than novelty should be used in the paper because all the stimuli have been presented to the monkeys during training. Therefore, there is actually no novel stimuli but only deviant stimuli. This reflects that the author has misunderstood the basic concept.

      We appreciate the reviewer's clarification regarding the distinction between "novelty" and "deviation" in the context of our behavioral paradigm. We agree that, given the nature of our experimental design where all stimuli were familiar to the monkeys during training, the term "deviation" more accurately describes the stimuli used in our study rather than "novelty."

      To address this, we have revised the manuscript to replace the term "novelty" with "deviation" wherever applicable. This change has been made to ensure accurate terminology is used throughout the paper, thereby eliminating any potential misunderstanding of the concepts involved in our study.

      We thank the reviewer for pointing out this important distinction, which has improved the clarity and precision of our manuscript.

      (3) Most of the conclusions were made based on correlational analysis or speculation without providing causal evidences.

      We appreciate the reviewer’s concern regarding the reliance on correlational analyses in our study. Indeed, we acknowledge that the conclusions drawn primarily reflect correlations between neuronal activity and behavioral outcomes, rather than direct causal evidence. This limitation is common in many electrophysiological studies, particularly those conducted in behaving primates, where directly manipulating specific neural circuits to establish causality presents significant challenges, especially in comparison to research in mice.

      This complexity is further compounded when considering the IC’s role as a key lower-level relay station in the auditory pathway. Manipulating IC activity could have a widespread impact on auditory responses in downstream pathways, potentially influencing sensory prediction and decision-making processes.

      Despite this limitation, our study provides novel evidence suggesting that the IC may exhibit multiple facets of cognitive signaling, which could inspire future research aimed at exploring the underlying mechanisms and broader functional implications of these signals.

      To address the reviewer's concerns, we have made the following adjustments to the manuscript:

      (1) Clarified the Scope of Conclusions: We have revised the language in the Results and Discussion sections to explicitly state that our findings represent correlational relationships rather than causal mechanisms. For example, we have referred to the associations observed between IC activity and behavioral outcomes as "correlational" and have refrained from making definitive causal claims without supporting experimental evidence.

      “Finally, to determine whether the IC plays a role in decision-making processes related to auditory perception, we analyzed the correlation between neuronal activity and behavioral choices in the duration deviation detection task.” (P.14, Line. 4-6)

      (2) Proposed Future Directions: In the Discussion section, we have included suggestions for future studies to directly test the causality of the observed relationships.

      “Further research is required to explore the underlying neuronal mechanisms and functional significance of this dynamic change comprehensively.” (P.18, Line. 11-12)

      We believe these revisions provide a more balanced interpretation of our findings while emphasizing the importance of future research to build on our results and establish causal relationships. Thank you for raising this critical point, which has led to a more rigorous and transparent presentation of our study.

      (4) Results are presented in a very "straightforward" manner with too many detailed descriptions of phenomena but lack of summary and information synthesis. For example, the first section of Results is very long but did not convey clear information.

      We appreciate the reviewer’s feedback regarding the presentation of our results. We understand that the detailed descriptions of phenomena may have made it difficult to discern the key findings and overarching themes in the study. We recognize the importance of balancing detailed reporting with clear summaries and synthesis to effectively communicate our findings.

      To address this concern, we have made the following revisions to the manuscript:

      (1) Condensed and Synthesized Key Findings: We have streamlined the presentation of the Results section by condensing overly detailed descriptions and focusing on the most critical aspects of the data. Key findings are now summarized at the end of each subsection to ensure that the main points are clearly conveyed.

      “The accumulation of the climbing effect alongside repetitive sound presentations suggests a potential linkage to reward prediction or sensory prediction, reflecting an increased probability of receiving a reward and the strengthening of sound prediction as the sound sequence progresses.” (P.10, Line. 17-20)

      “The distinct response in the control condition, where the reward was unpredictable, contrasted sharply with the predictable reward scenario in the deviant condition, underscoring the ability of auditory IC neurons to encode reward prediction errors.” (P.13, Line. 21-22; P.14, Line. 1-2)

      (2) Improved Flow and Clarity: We have revised the structure and organization of the Results section to improve the flow of information. By rearranging certain paragraphs and refining the language, we aim to present the results in a more cohesive and coherent manner.

      “Deviant Response dynamics in duration deviation detection” (P.6, Line. 12)

      “Standard Response dynamics in duration deviation detection” (P.9, Line. 4)

      We believe these changes will make the Results section more accessible and informative, allowing readers to more easily grasp the significance of our findings. Thank you for your valuable suggestion, which has significantly improved the clarity and impact of our manuscript.

      (5) The logic between different sections of Results is not clear.

      We appreciate the reviewer’s observation regarding the lack of clear logical connections between different sections of the Results. We acknowledge that a coherent flow is essential for effectively communicating the progression of findings and their implications.

      To address this concern, we have made the following revisions:

      (1) Enhanced Transitions Between Sections: We have introduced clearer transitional statements between sections of the Results. These transitions explicitly state how each new section builds upon or relates to the previous findings, creating a more cohesive narrative.

      “Building upon the findings from the deviant responses, we next explored whether the climbing effect also manifested in responses to preceding standard stimuli, thereby examining the influence of sensory prediction and repetition on IC neuronal activity.” (P.9, Line. 5-7)

      “To determine whether the observed climbing effect was driven by reward anticipation, we designed an experiment controlling for reward effects, thereby clarifying the underlying factors influencing IC neuronal activity.” (P.10, Line. 22; P.11, Line. 1-2)

      “Recognizing that some IC neurons responded to reward delivery, we investigated whether these responses reflected reward prediction errors, thereby further elucidating the IC's role in reward processing.” (P.12, Line. 9-11)

      “Finally, to determine whether the IC plays a role in decision-making processes related to auditory perception, we analyzed the correlation between neuronal activity and behavioral choices in the duration deviation detection task.” (P.14, Line. 4-6)

      (2) Integration of Findings: In several places within the Results, we have added brief synthesis paragraphs that integrate findings across sections. These integrative summaries help to tie together the different aspects of our study, demonstrating how they collectively contribute to our understanding of the Inferior Colliculus’s (IC) role in sensory prediction, decision-making, and reward processing.

      “These results demonstrate that reward anticipation does not drive the climbing effect, thereby reinforcing the idea that sensory prediction is the primary factor influencing the accumulation of the climbing effect in the IC.” (P.12, Line. 4-7)

      “The distinct response in the control condition, where the reward was unpredictable, contrasted sharply with the predictable reward scenario in the deviant condition, underscoring the ability of auditory IC neurons to encode reward prediction errors.” (P.13, Line. 21-22; P.14, Line. 1-2)

      (3) Clarified Rationale: At the beginning of each major section, we have clarified the rationale behind why certain experiments were conducted, connecting them more clearly to the overarching goals of the study. This should help the reader understand the purpose of each set of results in the context of the broader research objectives.

      “Building upon the findings from the deviant responses, we next explored whether the climbing effect also manifested in responses to preceding standard stimuli, thereby examining the influence of sensory prediction and repetition on IC neuronal activity.” (P.9, Line. 5-7)

      “To determine whether the observed climbing effect was driven by reward anticipation, we designed an experiment controlling for reward effects, thereby clarifying the underlying factors influencing IC neuronal activity.” (P.10, Line. 22; P.11, Line. 1-2)

      “Recognizing that some IC neurons responded to reward delivery, we investigated whether these responses reflected reward prediction errors, thereby further elucidating the IC's role in reward processing.” (P.12, Line. 9-11)

      “Finally, to determine whether the IC plays a role in decision-making processes related to auditory perception, we analyzed the correlation between neuronal activity and behavioral choices in the duration deviation detection task.” (P.14, Line. 4-6)

      We believe these changes improve the overall coherence and readability of the Results section, allowing readers to better follow the logical progression of our study. We are grateful for this constructive feedback and believe it has significantly enhanced the manuscript.

      (6) In the Discussion, there is excessive repetition of results, and further comparison with and discussion of potentially related work are very insufficient. For example, Metzger, R.R., et al. (J Neurosc, 2006) have shown similar firing patterns of IC neurons and correlated their findings with reward.

      We appreciate the reviewer's insightful critique regarding the excessive repetition in the Discussion and the lack of sufficient comparison with related work. We acknowledge that a well-balanced Discussion should not only interpret findings but also place them in the context of existing literature to highlight the novelty and significance of the study.

      To address these concerns, we have made the following revisions:

      (1) Reduction of Repetition: We have carefully revised the Discussion to minimize redundant repetition of the Results. Instead of restating the findings, we now focus more on their implications, limitations, and how they advance the current understanding of the Inferior Colliculus (IC) and its broader cognitive roles.

      “We demonstrated that the climbing effect is dynamically modulated (Figure 2D-G), and this modulation is driven primarily by sensory prediction rather than reward anticipation, as controlling for reward effects showed minimal impact on the response profile (Figure 3D, E). This modulation by preceding sensory experiences indicates that the IC is more than merely a relay station, suggesting a more intricate role in auditory processing influenced by both ascending and descending neural pathways.” (P.17, Line. 1-5)

      (2) Incorporation of Related Work: We have expanded the Discussion to include a more comprehensive comparison with existing literature, specifically highlighting studies that have reported similar findings. For example, we now discuss the work by Metzger et al. (2006), which demonstrated similar firing patterns of IC neurons and correlated these with reward-related processes. This comparison helps contextualize our results and emphasizes the novel contributions our study makes to the field.

      “Metzger and colleagues reported a gradual increase in neural activity—termed late-trial ramping—in the IC during an auditory saccade task. Similar to our results, they observed no climbing effect in the absence of a behavioral task. Both studies support the idea that the climbing effect depends on both behavioral engagement and reward. While both pieces of research emphasize the IC's complex role in integrating auditory processing with cognitive functions related to reward and behavior, our findings provide further insight by distinguishing between the effects of sensory prediction and reward anticipation on IC neuronal activity.” (P.16, Line. 16-24)

      We believe these revisions have significantly improved the quality of the Discussion by reducing unnecessary repetition and providing a more thorough engagement with the relevant literature. We are grateful for the reviewer's valuable feedback, which has helped us refine and strengthen the manuscript.

      Reviewer #2 (Public review):

      Summary:

      The inferior colliculus (IC) has been explored for its possible functions in behavioral tasks and has been suggested to play more important roles rather than simple sensory transmission. The authors revealed the climbing effect of neurons in IC during decision-making tasks, and tried to explore the reward effect in this condition.

      Strengths:

      Complex cognitive behaviors can be regarded as simple ideals of generating output based on information input, which depends on all kinds of input from sensory systems. The auditory system has hierarchic structures no less complex than those areas in charge of complex functions. Meanwhile, IC receives projections from higher areas, such as auditory cortex, which implies IC is involved in complex behaviors. Experiments in behavioral monkeys are always time-consuming works with hardship, and this will offer more approximate knowledge of how the human brain works.

      We greatly appreciate the reviewer's positive summary of our work and recognition of the effort involved in conducting experiments on behaving monkeys. We agree with the reviewer that the inferior colliculus (IC) plays a significant role beyond mere sensory transmission, particularly in integrating sensory inputs with higher cognitive functions. Our study aims to shed light on these complex functions by revealing the climbing effect of IC neurons during decision-making tasks and exploring how reward influences this dynamic.

      We are encouraged that the reviewer acknowledges the importance of investigating the IC's role within the broader framework of complex cognitive behaviors and appreciates the hierarchical nature of the auditory system. The reviewer's comments reinforce the value of our research in contributing to a more nuanced understanding of how the IC might contribute to sensory-cognitive integration.

      We thank the reviewer for highlighting the significance of using behavioral monkey models to approximate human brain function. We are hopeful that our findings will serve as a stepping stone for further research exploring the multifaceted roles of the IC in cognition and behavior.

      We will now proceed to address the specific concerns and suggestions provided by the reviewer in the following sections.

      Weaknesses:

      These findings are more about correlation but not causality of IC function in behaviors. And I have a few major concerns.

      We appreciate the reviewer’s concern regarding the reliance on correlational analyses in our study. We fully acknowledge the importance of distinguishing between correlation and causality. As outlined in our response to Question 3 from Reviewer #1, we recognize the limitations of relying on correlational data and the inherent challenges in establishing direct causal links, particularly in electrophysiological studies involving behaving primates, and given the lower-level role of the IC in the auditory pathway.

      We have taken steps to clarify this distinction throughout our manuscript. Specifically, we have revised the Results and Discussion sections to ensure that the findings are presented as correlational, not causal, and we have proposed future studies utilizing more direct manipulation techniques to assess causality. We hope these revisions adequately address your concerns.

      “Finally, to determine whether the IC plays a role in decision-making processes related to auditory perception, we analyzed the correlation between neuronal activity and behavioral choices in the duration deviation detection task.” (P.14, Line. 4-6)

      “Further research is required to explore the underlying neuronal mechanisms and functional significance of this dynamic change comprehensively.” (P.18, Line. 11-12)

      Comparing neurons' spike activities in different tests, a 'climbing effect' was found in the oddball paradigm. The effect is clearly related to training and learning process, but it still requires more exploration to rule out a few explanations. First, repeated white noise bursts with fixed inter-stimulus-interval of 0.6 seconds was presented, so that monkeys might remember the sounds by rhymes, which is some sort of learned auditory response. It is interesting to know monkeys' responses and neurons' activities if the inter-stimuli-interval is variable. Second, the task only asked monkeys to press one button and the reward ratio (the ratio of correct response trials) was around 78% (based on the number from Line 302). so that, in the sessions with reward, monkeys had highly expected reward chances, does this expectation cause the climbing effect?

      We thank the reviewer for raising these insightful points regarding the 'climbing effect' observed in the oddball paradigm and its potential relationship with training, learning processes, and reward expectation. Below, we address each of the reviewer's specific concerns:

      (1) Inter-Stimulus Interval (ISI) and Rhythmic Auditory Response:

      The reviewer suggests that the fixed inter-stimulus interval (ISI) of 0.6 seconds might lead to a rhythmic auditory response, where monkeys could anticipate the sounds. We appreciate this perspective and recognize its relevance. However, we believe that rhythm is unlikely to be a significant contributor to the 'climbing effect' for two key reasons:

      a) The 'climbing effect' begins as early as the second sound in the block (as shown in Fig. 2D and Fig. 3B), before any rhythm or pattern could be fully established, since rhythm generally requires at least three repetitions to form.

      b) In our reward experiment (Figs. 4-5), the sounds were also presented at regular ISIs, which could have facilitated rhythmic learning, yet the observed climbing effect was comparatively small in those conditions.

      Unfortunately, we did not explore variable ISIs in this current study, so we cannot directly address this concern with the available data.

      (2) Reward Expectation and Climbing Effect:

      The reviewer raises a valid concern regarding whether the 'climbing effect' might be influenced by the monkeys' high reward expectation, especially given the high reward ratio (~78%) in the sessions. While it is plausible that reward expectation could contribute to the observed increase in neuronal firing rates, we believe the results from our reward experiment (Fig. 4) suggest otherwise.

      In this experiment, even though reward expectation was likely formed due to the consistent pairing of sounds with rewards (100% reward delivery), we did not observe a significant climbing effect in the auditory response. Additionally, the presence of reward prediction error (Fig. 4D) further supports the idea that while the monkeys may indeed form reward expectations, these expectations do not directly drive the climbing effect in the IC.

      To make this distinction clearer, we have added sentences in the revised manuscript explicitly discussing the relationship between reward expectation and the climbing effect.

      “Within the oddball paradigm, both sensory and reward predictions intensify alongside the recurrence of standard sounds, suggesting that the strength of these predictions could significantly influence neuronal responses. Our experimentation with rewards has effectively dismissed the role of reward prediction (Figures 3 and 4), highlighting the potential significance of sensory prediction in molding the climbing effect.” (P.17, Line. 14-19)

      We believe these revisions provide a clearer understanding of the factors contributing to the climbing effect and effectively address the reviewer's concerns. We sincerely thank the reviewer for these valuable suggestions, which have allowed us to improve the clarity and depth of our manuscript.

      "Reward effect" on IC neurons' responses were shown in Fig. 4. Is this auditory response caused by physical reward action or not? In reward sessions, IC neurons have obvious response related to the onset of water reward. The electromagnetic valve is often used in water-rewarding system and will give out a loud click sound every time when the reward is triggered. IC neurons' responses may be simply caused by the click sound if the electromagnetic valve is used. It is important to find a way to rule out this simple possibility.

      We appreciate the reviewer’s concern regarding the potential confounding factor introduced by the electromagnetic valve’s click sound during water reward delivery, which could be misinterpreted as an auditory response rather than a response to the reward itself. Anticipating this possibility, we took measures to eliminate it by placing the electromagnetic valve outside the soundproof room where the neuronal recordings were performed.

      To address your concern more explicitly, we have added sentences in the Methods section of the revised manuscript detailing this setup, ensuring that readers are aware of the steps we took to eliminate this potential confound. By doing so, we believe that the observed reward-related neural activity in the IC is attributable to the reward processing itself rather than an auditory response to the valve click. We appreciate you bringing this important aspect to our attention, and we hope our clarification strengthens the interpretation of our findings.

      “The reward was controlled electronically by a valve located outside the sound-proof room to prevent any noise interference from the valve.” (P.24, Line. 6-7)

      Reviewer #3 (Public review):

      Summary:

      The authors aimed to investigate the multifaceted roles of the Inferior Colliculus (IC) in auditory and cognitive processes in monkeys. Through extracellular recordings during a sound duration-based novelty detection task, the authors observed a "climbing effect" in neuronal firing rates, suggesting an enhanced response during sensory prediction. Observations of reward prediction errors within the IC further highlight its complex integration in both auditory and reward processing. Additionally, the study indicated IC neuronal activities could be involved in decision-making processes.

      Strengths:

      This study has the potential to significantly impact the field by challenging the traditional view of the IC as merely an auditory relay station and proposing a more integrative role in cognitive processing. The results provide valuable insights into the complex roles of the IC, particularly in sensory and cognitive integration, and could inspire further research into the cognitive functions of the IC.

      We appreciate the reviewer’s positive summary of our work and recognition of its potential impact on the field. We are pleased that the reviewer acknowledges the significance of our findings in challenging the traditional view of the Inferior Colliculus (IC) as merely an auditory relay station and in proposing its integrative role in cognitive processing.

      Our study indeed aims to provide new insights into the multifaceted roles of the IC, particularly in the context of sensory and cognitive integration. We believe that this research could pave the way for future studies that further explore the cognitive functions of the IC and its involvement in complex behavioral processes.

      We are encouraged by the reviewer’s positive assessment and are committed to continuing to refine our work in response to the constructive feedback provided. We hope that our findings will contribute to advancing the understanding of the IC’s role in the broader context of neuroscience.

      We will now proceed to address the specific concerns and suggestions provided by the reviewer in the following sections.

      Weaknesses:

      Major Comments:

      (1) Structural Clarity and Logic Flow:

      The manuscript investigates three intriguing functions of IC neurons: sensory prediction, reward prediction, and cognitive decision-making, each of which is a compelling topic. However, the logical flow of the manuscript is not clearly presented and needs to be well recognized. For instance, Figure 3 should be merged into Figure 2 to present population responses to the order of sounds, thereby focusing on sensory prediction. Given the current arrangement of results and figures, the title could be more aptly phrased as "Beyond Auditory Relay: Dissecting the Inferior Colliculus's Role in Sensory Prediction, Reward Prediction, and Cognitive Decision-Making."

      We appreciate the reviewer’s detailed feedback on the structural clarity and logical flow of the manuscript. We understand the importance of presenting our findings in a clear and cohesive manner, especially when addressing multiple complex topics such as sensory prediction, reward prediction, and cognitive decision-making.

      To address the reviewer's concerns, we have made the following revisions:

      (1) Reorganization of Figures and Results:

      We agree with the suggestion to merge Figure 3 into Figure 2. By doing so, we can present the population responses to the order of sounds more effectively, thereby streamlining the focus on sensory prediction. This will allow readers to more easily follow the progression of the results related to this key function of the IC.

      We have reorganized the Results section to ensure a smoother transition between the different aspects of IC function that we are investigating. The new structure will better guide the reader through the narrative, aligning with the themes of sensory prediction, reward prediction, and cognitive decision-making.

      “Deviant Response dynamics in duration deviation detection” (P.6, Line. 12)

      “Standard Response dynamics in duration deviation detection” (P.9, Line. 4)

      (2) Revised Title:

      In line with the reviewer's suggestion, we have revised the title to "Beyond Auditory Relay: Dissecting the Inferior Colliculus's Role in Sensory Prediction, Reward Prediction, and Cognitive Decision-Making." We believe this title more accurately reflects the scope and focus of our study, as it highlights the three core functions of the IC that we are investigating.

      (3) Improved Logic Flow:

      We have added introductory statements at the beginning of each section within the Results to clarify the rationale behind the experiments and the logical connections between them. This should help to improve the overall flow of the manuscript and make the progression of our findings more intuitive for readers.

      “Building upon the findings from the deviant responses, we next explored whether the climbing effect also manifested in responses to preceding standard stimuli, thereby examining the influence of sensory prediction and repetition on IC neuronal activity.” (P.9, Line. 5-7)

      “To determine whether the observed climbing effect was driven by reward anticipation, we designed an experiment controlling for reward effects, thereby clarifying the underlying factors influencing IC neuronal activity.” (P.10, Line 22; P.11, Line. 1-2)

      “Recognizing that some IC neurons responded to reward delivery, we investigated whether these responses reflected reward prediction errors, thereby further elucidating the IC's role in reward processing.” (P.12, Line. 9-11)

      “Finally, to determine whether the IC plays a role in decision-making processes related to auditory perception, we analyzed the correlation between neuronal activity and behavioral choices in the duration deviation detection task.” (P.14, Line. 4-6)

      We believe these changes significantly enhance the clarity and logical structure of the manuscript, making it easier for readers to understand the sequence and importance of our findings. Thank you for your valuable suggestion, which has led to a more coherent and focused presentation of our work.

      (2) Clarification of Data Analysis:

      Key information regarding data analysis is dispersed throughout the results section, which can lead to confusion. Providing a more detailed and cohesive explanation of the experimental design would significantly enhance the interpretation of the findings. For instance, including a detailed timeline and reward information for the behavioral paradigms shown in Figures 1C and D would offer crucial context for the study. More importantly, clearly presenting the analysis temporal windows and providing comprehensive statistical analysis details would greatly improve reader comprehension.

      We appreciate the reviewer’s insightful comment regarding the need for clearer and more cohesive explanations of the data analysis and experimental design. We recognize that a well-structured presentation of this information is essential for the reader to fully understand and interpret our findings. To address this, we have made the following revisions:

      (1) Detailed Explanation of Experimental Design:

      We have included a more detailed explanation of the experimental design, particularly for the behavioral paradigms shown in Figures 1C and 1D. This includes a comprehensive timeline of the experiments, along with explicit information about the reward structure and timing. By providing this context upfront, we aim to give readers a clearer understanding of the conditions under which the neuronal recordings were obtained.

      (2) Cohesive Presentation of Data Analysis:

      Key information regarding data analysis, which was previously dispersed throughout the Results section, has been consolidated and moved to a dedicated subsection within the Methods. This subsection now provides a step-by-step description of the analysis process, including the temporal windows used for examining neuronal activity, as well as the specific statistical methods employed.

      We have also ensured that the temporal windows used for different analyses (e.g., onset window, late window, etc.) are clearly defined and consistently referenced throughout the manuscript. This will help readers track the use of these windows across different figures and analyses.

      (3) Enhanced Statistical Analysis Details:

      We have expanded the description of the statistical analyses performed in the study, including the rationale behind the choice of tests, the criteria for significance, and any corrections for multiple comparisons. This relevant information is highlighted in the Results section or figure legends to facilitate understanding.

      We believe these changes will significantly improve the clarity and comprehensibility of the manuscript, allowing readers to better follow the experimental design, data analysis, and the conclusions drawn from our findings. Thank you for this valuable feedback, which has helped us to enhance the rigor and transparency of our presentation.

      (3) Reward Prediction Analysis:

      The conclusion regarding the IC's role in reward prediction is underdeveloped. While the manuscript presents evidence that IC neurons can encode reward prediction, this is only demonstrated with two example neurons in Figure 6. A more comprehensive analysis of the relationship between IC neuronal activity and reward prediction is necessary. Providing population-level data would significantly strengthen the findings concerning the IC's complex functionalities. Additionally, the discussion of reward prediction in lines 437-445, which describes IC neuron responses in control experiments, does not sufficiently demonstrate that IC neurons can encode reward expectations. It would be valuable to include the responses of IC neurons during trials with incorrect key presses or no key presses to better illustrate this point.

      We deeply appreciate the detailed feedback provided regarding the conclusions on the inferior colliculus (IC)'s role in reward prediction within our manuscript. We acknowledge the importance of a robust and comprehensive presentation of our findings, particularly when discussing complex neural functionalities.

      In response to the reviewers' concerns, we have made the following revisions to strengthen our manuscript:

      (1) Inclusion of Population-Level Data for IC Neurons:

      In the revised manuscript, we have included population-level results for IC neurons in a supplementary figure. Initially, we focused on two example neurons that did not exhibit motor-related responses to key presses to isolate reward-related signals. However, most IC neurons exhibit motor responses during key presses (as indicated in Fig.6), which can complicate distinguishing between reward-related activity and motor responses. This complexity is why we initially presented neurons without motor responses. To clarify this point, we have added sentences in the Results section to explain the rationale behind our selection of neurons and to address the potential overlap between motor and reward responses in the IC.

      “This phenomenon was further supported by examining the responses in the duration deviation detection task. Since most IC neurons exhibit motor responses during key presses (Supplementary Figure 6), which can complicate distinguishing between reward-related activity and motor responses, we specifically selected two neurons without motor responses during key presses (Figure 5).” (P.13, Line. 10-15)

      (2) Addition of Data on Key Press Errors and No-Response Trials:

      In response to the reviewer’s suggestion, we have demonstrated Peri-Stimulus Time Histograms (PSTHs) for two example neurons during error trials as below, including incorrect key presses and no-response trials. Given that the monkeys performed the task with high accuracy, the number of error trials is relatively small, especially for the control condition (as shown in the top row of the figure below). While we remain cautious in drawing definitive conclusions from this limited trials, we observed that no clear reward signals were detected during the corresponding window (typically centered around 150 ms after the end of the sound). It is important to note that the experiment was initially designed to explore decision-making signals in the IC, rather than focusing specifically on reward processing. However, the data in Fig. 6 demonstrated intriguing signals of reward prediction error, which is why we believe it is important to present them.

      When combined with the results from our reward experiment (Fig. 5), we believe these findings provide compelling evidence of reward prediction errors being processed by IC neurons.

      Author response image 1.

      (A)  PSTH of the neuron from Figure 5A during a key press trial under control condition. The number in the parentheses in the legend represents the number of trials for control condition. (B) PSTHs of the neuron from Figure 5A during non-key press trials under experimental conditions. The numbers in the parentheses in the legend represent the number of trials for experimental conditions. (C-D) Equivalent PSTHs as in A-B but from the neuron in Figure 5B.

      We are grateful for the reviewer's insightful suggestions, which have allowed us to improve the depth and rigor of our analysis. We believe these revisions significantly enhance our manuscript's conclusions regarding the complex functionalities of IC.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      One of the major issues of this work is that its writing fails to convey the focus and significance of the work. Sentences are too long and multiple pieces of information are often integrated in one sentence, causing great confusion.

      We appreciate the reviewer's feedback regarding the clarity and structure of the manuscript. We agree that scientific writing should be clear and concise to effectively communicate the significance of the work. In response to this comment, we have undertaken the following revisions to improve the readability and focus of the manuscript:

      (1) Simplified Sentence Structure:<br /> We have revisited the manuscript and revised sentences that were overly complex or contained multiple pieces of information. Long sentences have been broken into shorter, more digestible statements to improve clarity and readability. Each sentence now conveys a single, focused idea.

      (2) Improved Flow and Focus:<br /> We have restructured certain paragraphs to ensure that the narrative flows logically and highlights the key findings. This restructuring includes placing the most significant results in prominent positions within paragraphs and ensuring that each section begins with a clear statement of purpose.

      “Building upon the findings from the deviant responses, we next explored whether the climbing effect also manifested in responses to preceding standard stimuli, thereby examining the influence of sensory prediction and repetition on IC neuronal activity.” (P.9, Line. 5-7)

      “To determine whether the observed climbing effect was driven by reward anticipation, we designed an experiment controlling for reward effects, thereby clarifying the underlying factors influencing IC neuronal activity.” (P.10, Line. 22; P.11, Line. 1-2)

      “Recognizing that some IC neurons responded to reward delivery, we investigated whether these responses reflected reward prediction errors, thereby further elucidating the IC's role in reward processing.” (P.12, Line. 9-11)

      “Finally, to determine whether the IC plays a role in decision-making processes related to auditory perception, we analyzed the correlation between neuronal activity and behavioral choices in the duration deviation detection task.” (P.14, Line. 4-6)

      (3) Refined Significance of the Work:<br /> In response to the reviewer's concern that the manuscript fails to clearly convey the significance of the work, we have revised the Introduction and Discussion sections to better emphasize the focus and impact of our findings. We now explicitly highlight the novel contributions of this research to the understanding of the multifaceted role of the IC in sensory prediction, decision-making, and reward processing.

      “In this research, we embarked on a deviation detection task centered around sound duration with trained monkeys, performing extracellular recordings in the IC. Our observations unveiled a 'climbing effect'—a progressive increase in firing rate after sound onset, not attributable to reward but seemingly linked to sensory experience such as sensory prediction. Moreover, we identified signals of reward prediction error and decision-making. These findings propose that the IC's role in auditory processing extends into the realm of complex perceptual and cognitive tasks, challenging previous assumptions about its functionality.” (P.6, Line. 1-8)

      “Overall, our results strongly suggest that the inferior colliculus is actively engaged in sensory experience, reward prediction and decision making, shedding light on its intricate functions in these processes.” (P.16, Line. 10-12)

      We believe these revisions address the reviewer's concern and will make the manuscript more accessible to readers. Thank you for the valuable suggestion, which has led to a more precise and effective presentation of our work.

      Reviewer #2 (Recommendations for the authors):

      (1) In oddball paradigm, inter-stimuli-interval of 0.6 seconds was used. Vary the inter-stimulus-interval should prove whether this effect is rhyme learning. It is better to choose random inter-stimuli-interval and inter-trial-interval for each experiment across whole experiment in case monkeys try to remember the rhythm.

      The reviewer suggests that the fixed inter-stimulus interval (ISI) of 0.6 seconds may lead to a rhythmic auditory response, allowing monkeys to anticipate sounds. This is a valuable suggestion, and we appreciate this perspective. However, we believe that rhythm is unlikely to play a significant role in driving the 'climbing effect.' The 'climbing effect' starts as early as the second sound in the block (as shown in Fig. 2D and Fig. 3B), which is before any rhythm or pattern could be fully established. Typically, rhythm learning requires at least three repetitions to form a predictable sequence.

      Unfortunately, we did not vary the inter-stimuli-interval in the current study, so we cannot directly test this hypothesis with the current dataset. However, we agree with the reviewer that using random ISIs would be an effective way to rule out any potential contribution of rhythm learning to the climbing effect directly.

      (2) Regarding "reward effect" on IC neurons' responses, we should rule out the possibility of simple auditory response to the switching of electromagnetic valve.

      We appreciate the reviewer’s concern about the potential confounding factor of the electromagnetic valve's click sound during water reward delivery, which could be interpreted as an auditory response rather than a true reward-related response. Anticipating this issue, we took measures to eliminate this possibility by placing the electromagnetic valve outside the soundproof room where neuronal recordings were conducted. This setup ensured that any potential auditory noise from the valve was minimized and unlikely to influence the IC neuronal activity.

      To address this concern more explicitly, we have added a description in the Methods section detailing this setup. This revision clarifies the steps we took to rule out this potential confound, strengthening the validity of our claim that the observed IC activity is genuinely related to reward processing and not a simple auditory response to the valve's operation.

      We thank the reviewer for bringing attention to this critical aspect of our experimental design, and we hope this clarification enhances the interpretation of our findings.

      “The reward was controlled electronically by a valve located outside the sound-proof room to prevent any noise interference from the valve.” (P.24, Line. 6-7)

      (3) Since monkeys are smart, simple Go/NoGo design is not a good strategy. The task with more buttons to press, such as 2-AFC or 4-AFC task, may prevent artificial effect of unwanted behaviors and offer us more reliable and useful data.

      We appreciate the reviewer’s suggestion to implement a more complex behavioral task, such as a 2-Alternative Forced Choice (2-AFC) or 4-AFC design, to reduce the possibility of unwanted behaviors and to gather more reliable data. We agree that such paradigms could offer additional insights and help control the monkeys’ decision-making processes by reducing potential confounding factors related to the simplicity of Go/NoGo responses.

      In our current study, we chose the Go/NoGo task because it aligns with our primary experimental goal: investigating the relationship between IC activity and sensory prediction, decision-making, and reward processing in a simplified manner. This task allowed us to focus on reward prediction and sensory responses without introducing additional complexity that could increase the cognitive load on the monkeys and affect their performance. It is worth noting that training monkeys to perform auditory tasks is generally more challenging compared to visual tasks, though they are indeed capable of complex learning.

      Moreover, this novelty detection task was initially designed as an oddball paradigm to explore predictive coding along the auditory pathway. Our lab has concentrated on this topic for several years, with the majority of current research focusing on non-behavioral subjects such as rodents. Implementing a more advanced paradigm like 2-AFC would have increased training time and required a different approach than our core objective.

      That said, we agree that future studies would benefit from using more sophisticated tasks, such as 2-AFC or 4-AFC paradigms, as they could offer a more refined understanding of decision-making processes while enhancing the quality of data by minimizing unwanted behaviors. We believe that incorporating more advanced behavioral paradigms in future work will further enhance the rigor and reliability of our findings.

      (4) Line 52, "challenges...", sounds a little bit too much. The authors tried to sell the ideal that IC is more than simple sensory relay point. I agree with that and I know the experiments on monkeys are not easy to gain too much comprehensive data. But to support authors' further bold opinions, more analysis is need to be done.

      We appreciate the reviewer’s feedback on the tone of the statement in Line 52, where we describe the findings as “challenging” conventional views of the IC as a simple sensory relay point. We agree that while our data provides intriguing insights into the multifunctionality of the IC, especially in sensory prediction, decision-making, and reward processing.

      To address this, we have toned down the language in the revised manuscript to better reflect the current state of our findings. Rather than presenting the results as a direct challenge to existing knowledge, we now describe them as contributing to a growing body of evidence that suggests the IC plays a more integrative role in auditory processing and cognitive functions.

      “This research highlights a more complex role for the IC than traditionally understood, showcasing its integral role in cognitive and sensory processing and emphasizing its importance in integrated brain functions.” (Abstract, P.3, Line.12-15)

      “This modulation by preceding sensory experiences indicates that the IC is more than merely a relay station, suggesting a more intricate role in auditory processing influenced by both ascending and descending neural pathways.” (P.17, Line. 3-5)

      (5) Line 143, "peak response", it is better not to refer this transient response as "peak response". How about "transient response" or "transient peak response"?

      Thank you for your suggestion regarding the terminology used in Line 143. We agree with the reviewer that referring to this as simply a "peak response" could be misleading. To improve clarity and precision, we have revised the term to "transient peak response" as recommended.

      We believe this adjustment better captures the nature of the neuronal activity observed and avoids confusion. The manuscript has been updated accordingly, and we appreciate the reviewer’s valuable input.

      (6) Is it possible to manipulate IC area and check the affection in behavior task?

      We appreciate the reviewer’s suggestion to manipulate the IC area and observe its effect on behavior during the task. Indeed, this would provide valuable causal evidence regarding the role of the IC in sensory prediction, decision-making, and reward processing, which would complement the correlational findings we have presented.

      However, in this particular study, we focused on electrophysiological recordings to observe naturally occurring neuronal activity in behaving monkeys. While it is certainly feasible to manipulate IC activity, such as through pharmacological inactivation, optogenetics, or electrical stimulation, these techniques pose technical challenges in primates. Moreover, manipulating the IC, given its role as a lower-level relay station in the auditory pathway, could potentially disrupt auditory processing more broadly, complicating the interpretation of behavioral outcomes.

      That said, we agree that introducing such manipulations in future studies would significantly enhance our understanding of the causal role of the IC in cognitive and sensory functions. We have now emphasized this as a key future research direction in the revised manuscript’s discussion section. Thank you for this insightful suggestion.

      “Further research is required to explore the underlying neuronal mechanisms and functional significance of this dynamic change comprehensively.” (P.18, Line. 11-12)

      Reviewer #3 (Recommendations for the authors):

      Minor Comments:

      (1) Figure Labeling:

      The figures require more precise labeling, particularly concerning the analysis time windows, to facilitate reader understanding of the results.

      We thank the reviewer for highlighting the importance of precise figure labeling, particularly regarding the analysis time windows. We understand that clear labeling is critical for conveying our findings effectively.

      In response to your suggestion, we have revised the figures to include more precise and detailed labels, especially for the analysis time windows. These changes will help guide readers through the experimental design and clarify the interpretation of the results. We hope these improvements enhance the overall clarity and accessibility of the figures.

      (2) Discrepancies in Figures and Text:

      There are discrepancies in the manuscript that could confuse readers. For example, on line 154, what was referred to as Supplementary Figure 1 seemed to actually be Supplementary Figure 2. Similar issues were noted on lines 480 and 606.

      We appreciate the reviewer bringing this issue to our attention. We apologize for the discrepancies between the figures referenced in the text and their actual labels in the manuscript, as this could indeed confuse readers.

      We have carefully reviewed the entire manuscript and corrected all discrepancies between the figures and their corresponding references in the text, including the issues noted on lines 154, 480, and 606. We have ensured that the figure and supplementary figure references are now consistent and accurate throughout the manuscript.

      (3) Inconsistent Formatting in Figure legends:

      Ensuring a more professional and uniform presentation throughout the manuscript would be appreciated. There was inconsistent use of uppercase and lowercase letters in legends.

      We appreciate the reviewer’s attention to detail regarding the formatting of figure legends. Ensuring a professional and consistent presentation is crucial for enhancing the readability and overall quality of the manuscript.

      We have carefully reviewed all figure legends and made the necessary corrections to ensure consistent use of uppercase and lowercase letters, as well as uniform formatting throughout the manuscript. This includes ensuring that all abbreviations and terminology are used consistently across the text and legends.

    1. Author response:

      The following is the authors’ response to the original reviews

      Reviewer #1 (Public Review):

      (1) This study uses structural and functional approaches to investigate the regulation of the Na/Ca exchanger NCX1 by an activator, PIP2, and an inhibitor, SEA0400.  State-of-the-art methods are employed, and the data are of high quality and presented very clearly. The manuscript combines two rather different studies (one on PIP2; and one on SEA0400) neither of which is explored in the depth one might have hoped to form robust conclusions and significantly extend knowledge in the field.

      We combined the study of PIP2 and SEA0400 in this manuscript because both ligands inhibit or activate NCX1 by affecting the Na<sup>+</sup>-dependent inactivation of the exchanger - SEA0400 promotes inactivation by stabilizing the cytosolic inactivation assembly whereas PIP2 mitigates inactivation by destabilizing the assembly. The current study aims to provide structural insights into these ligand binding. We didn’t perform extensive electrophysiological analysis as the functional effects of both ligands have been extensively characterized over the last thirty years.

      (2) The novel aspect of this work is the study of PIP2. Unfortunately, technical limitations precluded structural data on binding of the native PIP2, so an unnatural short-chained analog, diC8 PIP2, was used instead. This raises the question of whether these two molecules, which have similar but very distinctly different profiles of activation, actually share the same binding pocket and mode of action. In an effort to address this, the authors mutate key residues predicted to be important in forming the binding site for the phosphorylated head group of PIP2. However, none of these mutations prevent PIP2 activation. The only ones that have a significant effect also influence the Na-dependent inactivation process independently of PIP2, thus casting doubt on their role in PIP2 binding, and thus identification of the PIP2 binding site. A more extensive mutagenic study, based on the diC8 PIP2 binding site, would have given more depth to this work and might have been more revealing mechanistically.

      The reviewer raises the important question of whether the short-chain PIP2 diC8 and long-chain native PIP2 share the same binding site. We have performed a pilot experiment to address this question. The data indicate that PIP2 diC8 competes with native brain PIP2 for its binding site (Author response image 1).  We believe that the mild effects of diC8 on the biophysical properties of NCX1 are due to its decreased affinity as compared to the long-chain PIP2. We have included this competition assay in the revised manuscript.

      The acyl-chain length-dependent PIP2 activation is consistent with some previous studies. Before PIP2 was demonstrated to regulate NCX1, some earlier studies showed that negatively charged long-chain lipids such as phosphatidylserine (PS) or phosphatidic acid (PA) could have the same potentiation effects on NCX1 as PIP2 (PMID: 1474504; PMID: 3276350). A later study showed that long-chain acyl-CoAs could also have the same potentiation effects on NCX1 as PIP2 (PMID: 16977318).  All these studies demonstrated that activation of NCX by the anionic lipids depends on their chain length with the short chain being ineffective or less effective. These findings have two implications. First, it is the negative surface charge rather than the specific IP3 head group of the lipid that is important for stimulating NCX1 activity. This would imply non-specific electrostatic interactions between the negatively charged lipids and those positively charged residues at the binding site. Second, a longer acyl chain is required for the high-affinity binding of PIP2 or negatively charged lipids. As further discussed in the revised manuscript (Discussion section), we suspect the tail of the long acyl chain from the native anionic lipids can enter the same binding pocket for SEA0400 thereby rendering higher affinity lipid binding than shorter chain lipids.

      As the interactions between PIP2 and NCX1 are both electrostatic involving multiple charged residues as well as hydrophobic involving the long lipid acyl chain, single amino acid substitutions likely only decrease the affinity of PIP2 rather than completely disrupt its binding. Our data demonstrated that mutants R220A, K225A, and R220A/K225A do show a significantly decreased potentiation effect of PIP2 (Figure 3 in the manuscript). We also conducted an experiment with a mutant exchanger in which all four amino were mutated. This K164A/R167A/R220A/K225A mutant is insensitive to PIP2 and shows no Na<sup>+</sup>-dependent inactivation (Figure 3A). The unresponsiveness to PIP2 and lack of Na<sup>+</sup>-dependent inactivation in this mutant is consistent with previous studies demonstrating that PIP2 activates NCX by tuning the amount of Na<sup>+</sup>-dependent inactivation and any mutation that decreases NCX sensitivity to PIP2 will affect the extent of Na<sup>+</sup>-dependent inactivation (PMID: 10751315). Such studies show that the two processes cannot be dissected from each other, making more extensive mutagenesis investigation unlikely to provide new mechanistic insights. A brief discussion related to this quadruple mutant has been added in the revised manuscript.

      Author response image 1.

      Giant patch recording of the human WT exchanger. Currents were first activated by intracellular application of 10 µM brain PIP2. Afterwards, a solution containing 100 mM Na<sup>+</sup> and 12 µM Ca<sup>2+</sup> was perfused for about 5 min (washout). The PIP2 effects was not reversible during this time. The same patch was then perfused internally with the same solution in presence of 10 µM di-C8. Application of the shorted-chained di-C8, partially decreased the current suggesting that that PIP2 and diC8 compete for the binding site.

      (3) The SEA0400 aspect of the work does not integrate particularly well with the rest of the manuscript. This study confirms the previously reported structure and binding site for SEA0400 but provides no further information. While interesting speculation is presented regarding the connection between SEA0400 inhibition and Na-dependent inactivation, further experiments to test this idea are not included here.

      Our SEA0400-bound NCX structure was determined and deposited in 2023, along with our previous study on the apo NCX published in 2023 (PMID: 37794011). We decided to combine the SEA0400-bound structure with the later study of PIP2 binding because both represent ligand modulation of NCX by affecting the Na<sup>+</sup>-dependent inactivation of the exchanger. The SEA0400 inhibition of NCX1 has been extensively investigated previously, which demonstrated a strong connection between SEA0400 and the Na<sup>+</sup>-dependent inactivation. As discussed in the manuscript, SEA0400 is ineffective in an exchanger lacking Na<sup>+</sup>-dependent inactivation. Conversely, enhancing the extent of Na<sup>+</sup>-dependent inactivation increases the affinity for SEA0400. Our structural analysis provides explanations for these pharmacological features of SEA0400 inhibition.

      Reviewer #2 (Public review):

      (1) The study by Xue et al. reports the structural basis for the regulation of the human cardiac sodium-calcium exchanger, NCX1, by the endogenous activator PIP2 and the small molecule inhibitor SEA400. This well-written study contextualizes the new data within the existing literature on NCX1 and the broader NCX family. This work builds upon the authors' previous study (Xue et al., 2023), which presented the cryo-EM structures of human cardiac NCX1 in both inactivated and activated states. The 2023 study highlighted key structural differences between the active and inactive states and proposed a mechanism where the activity of NCX1 is regulated by the interactions between the ion-transporting transmembrane domain and the cytosolic regulatory domain. Specifically, in the inward-facing state and at low cytosolic calcium levels, the transmembrane (TM) and cytosolic domains form a stable interaction that results in the inactivation of the exchanger. In contrast, calcium binding to the cytosolic domain at high cytosolic calcium levels disrupts the interaction with the TM domain, leading to active ion exchange.

      In the current study, the authors present two mechanisms explaining how both PIP2 stimulates NCX1 activity by destabilizing the protein's inactive state (i.e., by disrupting the interaction between the TM domain and the cytosolic domain) and how SEA400 stabilizes this interaction, thereby acting as a specific inhibitor of the system.

      The first part of the results section addresses the effect of PIP2 and PIP2 diC8 on NCX1 activity. This is pertinent as the authors use the diC8 version of this lipid (which has a shorter acyl chain) in their subsequent cryo-EM structure due to the instability of native PIP2. I am not an electrophysiology expert; however, my main comment would be to ask whether there is sufficient data here to characterise fully the differences between PIP2 and PIP2 diC8 on NCX1 function. It appears from the text that this study is the first to report these differences, so perhaps this data needs to be more robust. The spread of the data points in Figure 1B is possibly a little unconvincing given that only six measurements were taken. Why is there one outlier in Figure 1A? Were these results taken using the same batch of oocytes? Are these technical or biological replicates? Is the convention to use statistical significance for these types of experiments?

      Oocytes were isolated from at least 3 different frogs and each data point shown in Fig. 1 A or 1B of the manuscript represents a recording obtained from a single oocyte. For clarity, we have added this information to the Methods section. We understand that 6 observations (Fig. 1B) are a small sample size but electrophysiological recordings of NCX currents are extremely challenging and technically difficult due to the low transport activity of the exchanger. Because of these circumstances, this type of study relies on a small sample of observations. Nevertheless, our data clearly show that native PIP2 and the short-chain PIP2 diC8 can activate NCX activity although with different affinity. The spread of the steady state current data points is due to the variability in the extent of Na<sup>+</sup>-dependent inactivation within each patch, likely due to slightly different levels of endogenous PIP2 or other regulatory mechanisms that control this allosteric process. As PIP2 acts on the Na<sup>+</sup>-dependent inactivation this will lead to varying levels of potentiation. Because of that, we did occasionally observe some outliers in our recordings. Rather than cherry-picking in data analysis, we presented all the data points from patches with measurable NCX1 currents. Despite this variability, a T-test indicates that the effects of PIP2 are more pronounced on the steady-state current than peak current.  The differences between native PIP2 and PIP2 diC8 on NCX1 function are consistent with previous investigations showing that both PIP2 and anionic lipids enhance NCX current by antagonizing the Na<sup>+</sup>-dependent inactivation and long-chain lipids are more effective in potentiating NCX1 activity (PMID: 1474504; PMID: 3276350; PMID: 16977318). A discussion related to the chain length-dependent lipid activation of NCX1 is added in the Discussion of the revised manuscript. 

      (2) I am also somewhat skeptical about the modelling of the PIP2 diC8 molecule. The authors state, "The density of the IP3 head group from the bound PIP2 diC8 is well-defined in the EM map. The acyl chains, however, are flexible and could not be resolved in the structure (Fig. S2)."

      However, the density appears rather ambiguous to me, and the ligand does not fit well within the density. Specifically, there is a large extension in the volume near the phosphate at the 5' position, with no corresponding volume near the 4' phosphate. Additionally, there is no bifurcation of the volume near the lipid tails. I attempted to model cholesterol hemisuccinate (PDB: Y01) into this density, and it fits reasonably well - at least as well as PIP2 diC8. I am also concerned that if this site is specific for PIP2, then why are there no specific interactions with the lipid phosphates? How can the authors explain the difference between PIP2 and PIP2 diC8 if the acyl chains don't make any direct interactions with the TM domain? In short, the structures do not explain the functional differences presented in Figure 1.

      The side chain densities for Arg167 and Arg220 are also quite weak. While there is some density for the side chain of Lys164, it is also very weak. I would expect that if this site were truly specific for PIP2, it should exhibit greater structural rigidity - otherwise, how is this specific?

      Given this observation, have the authors considered using other PIP2 variants to determine if the specificity lies with PI4,5P<sub>2</sub> as opposed to PI3,5P<sub>2</sub> or PI3,4P<sub>2</sub>? A lack of specificity may explain the observed poor density.

      The map we provided to the editor in the initial submission is the overall map for PIP2-bound NCX1. Due to the relative flexibility between the cytosolic CBD and TM regions, we also performed local refinement on each region in data processing to improve the map quality as illustrated in Fig. S2.  The local-refined map focused on the TM domain provides a much better density for PIP2 diC8 and its surrounding residues than the overall map. The map quality allowed us to unambiguously identify the lipid as PIP2 with the IP3 head group having phosphate groups at the 4,5 positions. Furthermore, no lipid density is observed at the equivalent location in the local-refined map from the apo NCX1 TM region as shown in Fig. S3 in the revision. In the revised manuscript, the density for the bound PIP2 is shown in Fig. 2A. Those local-refined maps for PIP2-bound NCX1 were also deposited as additional maps along with the overall map in the Electron Microscopy Data Bank under accession numbers EMD-60921. The local-refined maps for the apo-NCX1 were deposited in the Electron Microscopy Data Bank under accession numbers EMD-40457 in our previous study (https://www.ebi.ac.uk/emdb/EMD-40457?tab=interpretation).

      As discussed in our response to reviewer #1, the acyl-chain length-dependent PIP2 activation is consistent with some previous studies. Before PIP2 was identified as a physiological regulator of NCX1, some earlier studies showed that negatively charged long-chain lipids such as phosphatidylserine (PS) or phosphatidic acid (PA) could have the same potentiation effects on NCX as PIP2 (PMID: 1474504; PMID: 3276350). A later study also showed that acyl-CoA could also have the same potentiation effects on NCX as PIP2 (PMID: 16977318). All these studies demonstrated that activation of NCX1 by the anionic lipids depends on their chain length with the short chain being ineffective.  These findings have two implications. First, it is the negative surface charge rather than the specific IP3 head group of the lipid that is important for stimulating NCX activity. This would imply non-specific electrostatic interactions between the negatively charged lipids and those positively charged residues at the binding site.  Second, a longer acyl chain is required for the high-affinity binding of PIP2 or negatively charged lipids. As further discussed in the revised manuscript (Discussion section), we suspect the tail of the long acyl chain can enter the same binding pocket for SEA0400 thereby rendering higher affinity lipid binding than shorter chain lipids. In light of the equivalent potentiating effect of various anionic lipids on NCX1, PI(4,5)P2 activation of NCX1 is likely non-specific and PI(3,5)P2 or PI(3,4)P2 may also activate the exchanger. However, as a key player in membrane signaling, PI(4,5)P2 has been demonstrated to be a physiological regulator of NCX1 in many studies.

      (3) I also noticed many lipid-like densities in the maps for this complex. Is it possible that the authors overlooked something? For instance, there is a cholesterol-like density near Val51, as well as something intriguing near Trp763, where I could model PIP2 diC8 (though this leads to a clash with Trp763). I wonder if the authors are working with mixed populations in their dataset. The accompanying description of the structural changes is well-written (assuming it is accurate).

      Densities from endogenous lipids and cholesterols are commonly observed in membrane protein structures. Other than the bound PIP2, those lipid and cholesterol densities are present in both the apo and PIP2-bound structures, including the density around Trp763 and Val53. Whether those bound lipids/cholesterols play any functional roles or just stabilize the protein is beyond the scope of this study.  We have added a supporting figure (Fig. S3) showing a side-by-side comparison of the density at the PIP2 binding site between the PIP2-bound and apo structures.

      I would recommend that the authors update the figures associated with this section, as they are currently somewhat difficult to interpret without prior knowledge of NCX architecture. My suggestions include:

      - Including the density for the PIP2 diC8 in Figure 2A.

      As suggested, we have included the density of PIP2 diC8 in Figure 2A.

      - Adding membrane boundaries (cytosolic vs. extracellular) in Figure 2B.

      - Labeling the cytosolic domains in Figure 2B.

      - Adding hydrogen bond distances in Figure 2A.

      We have added and labeled the boundaries for the TM and cytosolic domains in Figure 2B as suggested. Although we can identify those positively charged residues in the vicinity of the PIP2 head group and observe local structural changes, the poorly defined side-chain densities of these residues won’t allow us to properly determine the hydrogen bond distances.

      - Detailing the domain movements in Figure 2B (what is the significance of the grey vs. blue structures?).

      There is a rigid-body downward swing movement at CBDs between the apo (grey) and PIP2-bound (cyan) structures. The movement at the TM region is subtle. We have added the description in the legend for Figure 2B and also marked the movement at the tip of CBD1 in the figure.

      The section on the mechanism of SEA400-induced inactivation is strong. The maps are of better quality than those for the PIP2 diC8 complex, and the ligand fits well. However, I noticed a density peak below F02 on SEA400 that lies within the hydrogen bonding distance of Asp825. Is this a water molecule? If so, is this significant?

      The structure of SEA0400-bound NCX1 was determined at a higher resolution likely because the drug stabilize the exchanger in the inactivated state.  The mentioned density could be an ordered water molecule. We don’t know if it is functionally significant.

      Furthermore, there are many unmodeled regions that are likely cholesterol hemisuccinate or detergent molecules, which may warrant further investigation.

      We constantly observed partial densities from bound lipids, cholesterols, or detergents in our structures. Most of them are difficult to be unambiguously identified and modeled. Whether they play any functional roles is beyond the scope of this study.  

      The authors introduce SEA400 as a selective inhibitor of NCX1; however, there is little to no comparison between the binding sites of the different NCX proteins. This section could be expanded. Perhaps Fig. 4C could include sequence conservation data.

      SEA0400 is more specific for NCX1 than NCX2 and NCX3 as demonstrated in an early study (PMID: 14660663). The lack of structure information for NCX2 or NCX3 makes it difficult to make a direct comparison to reveal the structural basis of SEA0400 specificity.

      Additionally, is the fenestration in the membrane physiological, or is it merely a hole forced open by the binding of SEA400? I was unclear as to whether the authors were suggesting a physiological role for this feature, similar to those observed in sodium channels.

      The fenestration likely serves as the portal for SEA0400 binding as discussed in the manuscript. As further discussed in the revised manuscript, we suspect this fenestration also allows the tail of a long-chain lipid to enter the same binding pocket for SEA0400 and results in higher affinity binding of a long-chain lipid than a short-chain lipid.

      Reviewer #3 (Public review):

      NCXs are key Ca<sup>2+</sup> transporters located on the plasma membrane, essential for maintaining cellular Ca<sup>2+</sup> homeostasis and signaling. The activities of NCX are tightly regulated in response to cellular conditions, ensuring precise control of intracellular Ca<sup>2+</sup> levels, with profound physiological implications. Building upon their recent breakthrough in determining the structure of human NCX1, the authors obtained cryo-EM structures of NCX1 in complex with its modulators, including the cellular activator PIP2 and the small molecule inhibitor SEA0400. Structural analyses revealed mechanistically informative conformational changes induced by PIP2 and elucidated the molecular basis of inhibition by SEA0400. These findings underscore the critical role of the interface between the transmembrane and cytosolic domains in NCX regulation and small molecule modulation. Overall, the results provide key insights into NCX regulation, with important implications for cellular Ca<sup>2+</sup> homeostasis.

      We appreciate this reviewer’s positive comments.

      Recommendations for the authors:

      Reviewer #1 (Recommendations for the authors):

      The manuscript would be strengthened enormously by a much deeper focus on the novel and very interesting PIP2 work, as noted above, and perhaps the removal of the SEA0400 data.

      If that is beyond the scope of the authors' options, then a more robust discussion of limitations of the current work, perhaps speculation regarding other future experiments, a clearer presentation of how these data on SEA0400 are different from/extend from the previously published work, and a better effort to link the two disparate aspects of the work into a more cohesive manuscript should be attempted.

      As discussed in our response to this reviewer’s public review, we combined the study of PIP2 and SEA0400 in this manuscript because both ligands activate or inhibit NCX1 by affecting the Na<sup>+</sup>-dependent inactivation of the exchanger. The functional effects of both ligands on NCX1 have been extensively characterized over the last thirty years. Thus the current study is focused on providing structural explanations for some unique pharmacological features of these ligands. In the revised manuscript, we have added an extra paragraph of discussion that provides a plausible explanation for chain length-dependent PIP2 activation.

      Reviewer #3 (Recommendations for the authors):

      A few comments to consider:

      (1) The short-chain PIP2 appears to have lower potency, but the mechanism remains unclear. Based on structural analyses, are there potential binding sites for the acyl chains of PIP2 that could contribute to this difference?

      As discussed in our response to other reviewers, long-chain anionic lipids can have the same potentiation effect on NCX1 activity as PIP2, but the short-chain ones are ineffective just like short-chain PIP2 diC8. We suspect the tail of a long acyl chain from the native PIP2 can enter the same binding pocket for SEA0400 thereby rendering higher affinity binding for a long-chain lipid than a short-chain lipid. A discussion related to this point has been added to the revised manuscript.

      (2) It is unclear why mutating residues that interact with the IP3 head group retain PIP2 activation. Would it be possible to assess PIP2 and C8 PIP2 binding to these NCX1 variants? Identifying a mutant that abolishes C8 PIP2 binding would be valuable in interpreting those results.

      As the interactions between PIP2 and NCX1 are both electrostatic involving multiple charged residues and hydrophobic involving the long lipid acyl chain, single amino acid substitutions likely only decrease the affinity of PIP2 rather than completely disrupt its binding.  Individual mutants R220A and K225A show a 5-fold decrease in their response to PIP2 application indicating that their replacement alters the affinity of NCX for PIP2.  We have added a new experiment showing that an exchanger with all four residues mutated is insensitive to PIP2 in the revision.

      (3) What are the functional effects of mutating Y226 and R247, residues that seem to play an important role in PIP2-mediated activation?

      In a previous study, mutation at Y226 (Y226T), which is found within the XIP region of NCX, has been shown to have enhanced Na<sup>+</sup>-dependent inactivation (PMID: 9041455).  To our knowledge, the R247 mutation has not been investigated. Also positioned in the XIP region, we suspect its mutation could directly affect Na<sup>+</sup>-dependent inactivation. This would make it difficult to determine if the function effect of the mutation is caused by changing the stability of the XIP region or by changing the binding of PIP2.

      (4) Is there any overlap between the PIP2 and SEA0400 binding regions? Both appear to involve TM4, TM5, and TMD-beta hub interfaces. It might be interesting to discuss any shared mechanisms and why this region might serve as a hotspot for modulation.

      As mentioned in our previous response, we suspect the tail of a long acyl chain from the native PIP2 can enter the same binding pocket for SEA0400 thereby rendering higher affinity binding for a long-chain lipid than a short-chain lipid. A more detailed discussion related to this point has been included in the revision.

      (5) It would be helpful to show the density at the PIP2-binding site in the apo and PIP2-bound structures side by side

      This figure has been added in the revision as Fig. S3.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This important study combines psychophysics, fMRI, and TMS to reveal a causal role of FEF in generating an attention-induced ocular dominance shift, with potential relevance for clinical applications. The evidence supporting the claims of the authors is solid, but the theoretical and mechanistic interpretation of results and experimental approaches need to be strengthened. The work will be of broad interest to perceptual and cognitive neuroscience.

      Public Reviews:

      Reviewer #1 (Public Review):

      Summary:

      Based on a "dichoptic-background-movie" paradigm that modulates ocular dominance, the present study combines fMRI and TMS to examine the role of the frontoparietal attentional network in ocular dominance shifts. The authors claimed a causal role of FEF in generating the attention-induced ocular dominance shift.

      Strengths:

      A combination of fMRI, TMS, and "dichoptic-background-movie" paradigm techniques is used to reveal the causal role of the frontoparietal attentional network in ocular dominance shifts. The conclusions of this paper are mostly well supported by data.

      Weaknesses:

      (1) The relationship between eye dominance, eye-based attention shift, and cortical functions remains unclear and merits further delineation. The rationale of the experimental design related to the hemispheric asymmetry in the FEF and other regions should be clarified.

      Thanks for the reviewer’s comments! We have further clarified the relationship between eye dominance shift, eye-based attention, and cortical functions in the Introduction and Discussion. In the Introduction, we introduce the modulating effects of eye-based attention on eye dominance. On one hand, eye-based attention can enhance eye dominance of the attended eye in real time (see page 3 first paragraph or below):

      ”For instance, presenting top-down attentional cues to one eye can intensify the competition strength of input signals in the attended eye during binocular rivalry (Choe & Kim, 2022; Zhang et al., 2012) and shift the eye balance towards the attended eye (Wong et al., 2021).”

      On the other hand, prolonged eye-based attention can induce a shift of eye dominance to the unattended eye (see page 3 second paragraph or below):

      “In Song et al. (2023)’s “dichoptic-backward-movie” adaptation paradigm (see Figure 1B), participants are presented with regular movie images in one eye (i.e., attended eye) while the other eye (i.e., unattended eye) received the backward movie images of the same episode. They were also instructed to try their best to follow the logic of the regular movie and ignore the superimposed backward movie. Therefore, the goal-directed eye-based attention was predominantly focused on the attended eye. Song et al. (2023) found that the predominance of the unattended eye in binocular rivalry increased after one hour of adaptation to the “dichoptic-backward-movie”, indicating a shift of perceptual ocular dominance towards the unattended eye. Since the overall energy of visual input from the two eyes was balanced throughout the adaptation period, the change of ocular dominance after adaptation is thought to result from unbalanced eye-based attention rather than unbalanced input energy as in typical short-term monocular deprivation (Bai et al., 2017; Lunghi et al., 2011; Zhou et al., 2014).”

      Moreover, we discussed how FEF regulates attention-induced ocular dominance shift (see page 21 second paragraph to page 23 first paragraph or below, which also respond to this reviewer’s comment of Weakness #2):

      “Then how does FEF regulate the attention-induced ocular dominance shift? Our previous work has found that the aftereffect (for simplicity, hereafter we use aftereffect to denote the attention-induced ocular dominance shift) can be produced only when the adapting stimuli involve adequate interocular competition, and is measurable only when the testing stimuli are not binocularly fused (Song et al., 2023). Given the indispensability of interocular competition, we explained those findings in the framework of the ocular-opponency-neuron model of binocular rivalry (Said & Heeger, 2013). The model suggests that there are some opponency neurons which receive excitatory inputs from monocular neurons for one eye and inhibitory inputs from monocular neurons for the other eye (e.g. AE-UAE opponency neurons receive excitatory inputs from the attended eye (AE) and inhibitory inputs from the unattended eye (UAE)). Then a difference signal is computed so that the opponency neurons fire if the excitatory inputs surpass the inhibitory inputs. Upon activation, the opponency neurons will in turn suppress the monocular neurons which send inhibitory signals to them.

      Based on this model, we proposed an ocular-opponency-neuron adaptation account to explain the aftereffect, and pointed out that the attentional system likely modulated the AE-UAE ocular opponency neurons (Song et al., 2023). So why would FEF modulate the AE-UAE opponency neurons? The reason may be two fold. Firstly, understanding the logic during the dichoptic-backward-movie viewing may require filtering out the distracting information (from the unattended eye) and sustaining attention (to the attended eye), which is exactly the role of FEF (Esterman et al., 2015; Lega et al., 2019).

      Secondly, due to the special characteristics of binocular vision system, filtering the distracting input from the unattended eye may have to rely on the interocular suppression mechanism. According to the ocular-opponency-neuron model, this is achieved by the firing of the AE-UAE opponency neurons that send inhibitory signals to the UAE monocular neurons.

      As mentioned previously, the firing of the AE-UAE opponency neurons requires stronger activity for the AE monocular neurons than for the UAE monocular neurons. This is confirmed by the results shown in Figure 8 of Song et al. (2023) that monocular response for the attended eye during the entire adaptation phase was slightly stronger than that for the unattended eye. Accordingly, during adaptation the AE-UAE opponency neurons were able to activate for a longer period thus adapted to a larger extent than the UAE-AE opponency neurons. This would cause the monocular neurons for the unattended eye to receive less inhibition from the AE-UAE opponency neurons in the post-test as compared with the pre-test, leading to a shift of ocular dominance towards the unattended eye. In this vein, the magnitude of this aftereffect should be proportional to the extent of adaptation of the AE-UAE relative to UAE-AE opponency neurons. Attentional enhancement on the AE-UAE opponency neurons is believed to strengthen this aftereffect, as it has been found that attention can enhance adaptation (Dong et al., 2016; Rezec et al., 2004). Inhibition of FEF likely led such attentional modulation to be much less effective. Consequently, the AE-UAE opponency neurons might not have the chance to adapt to a sufficiently larger extent than the UAE-AE opponency neurons, leading to a statistically non-detectable aftereffect in Experiment 2. Therefore, the results of Experiments 2-4 in the present study suggest that within the context of the ocular-opponency-neuron adaptation account, FEF might be the core area to fulfill the attentional modulations on the AE-UAE opponency neurons.”

      We used the experimental design with hemispheric asymmetry in the FEF and other regions for two reasons. First, many studies have shown that the dorsal attentional network has a functional right-hemisphere dominance (Duecker et al., 2013; Mayrhofer et al., 2019; Sack, 2010). This was also indicated by the results of Experiment 1 (Figure 3). Second, we found that a recent research applying TMS to FEF and IPS stimulated only the right hemisphere (Gallotto et al., 2022). Therefore, we selected the right FEF and right IPS as the target regions for cTBS. In the Methods section of Experiment 2, we have elucidated the reasons for the selection of cTBS target regions (see page 35, first paragraph or below):

      “Given that the dorsal attentional network primarily consists of the FEF and the IPS (Corbetta & Shulman, 2002; Mayrhofer et al., 2019), with a functional right-hemisphere dominance (Duecker et al., 2013; Mayrhofer et al., 2019; Sack, 2010), we selected the right FEF and right IPS from the four clusters identified in Experiment 1 as the target regions for cTBS (Gallotto et al., 2022).”

      (2) Theoretically, how the eye-related functions in this area could be achieved, and how it interacts with the ocular representation in V1 warrant further clarification.

      Thanks for the reviewer’s comment! In the revised manuscript, we have discussed how FEF regulates attention-induced ocular dominance shift (see page 21 second paragraph to page 23 first paragraph or the quoted paragraphs under this reviewer’s first Public comment).

      Reviewer #2 (Public Review):

      Summary

      Song et al investigate the role of the frontal eye field (FEF) and the intraparietal sulcus (IPS) in mediating the shift in ocular dominance (OD) observed after a period of dichoptic stimulation during which attention is selectively directed to one eye. This manipulation has been previously found to transiently shift OD in favor of the unattended eye, similar to the effect of short-term monocular deprivation. To this aim, the authors combine psychophysics, fMRI, and transcranial magnetic stimulation (TMS). In the first experiment, the authors determine the regions of interest (ROIs) based on the responses recorded by fMRI during either dichoptic or binocular stimulation, showing selective recruitment of the right FEF and IPS during the dichoptic condition, in line with the involvement of eye-based attention. In a second experiment, the authors investigate the causal role of these two ROIs in mediating the OD shift observed after a period of dichoptic stimulation by selectively inhibiting with TMS (using continuous theta burst stimulation, cTBS), before the adaptation period (50 min exposure to dichoptic stimulation). They show that, when cTBS is delivered on the FEF, but not the IPS or the vertex, the shift in OD induced by dichoptic stimulation is reduced, indicating a causal involvement of the FEF in mediating this form of short-term plasticity. A third control experiment rules out the possibility that TMS interferes with the OD task (binocular rivalry), rather than with the plasticity mechanisms. From this evidence, the authors conclude that the FEF is one of the areas mediating the OD shift induced by eye-selective attention.

      Strengths

      (1) The experimental paradigm is sound and the authors have thoroughly investigated the neural correlates of an interesting form of short-term visual plasticity combining different techniques in an intelligent way.

      (2) The results are solid and the appropriate controls have been performed to exclude potential confounds.

      (3) The results are very interesting, providing new evidence both about the neural correlates of eye-based attention and the involvement of extra-striate areas in mediating short-term OD plasticity in humans, with potential relevance for clinical applications (especially in the field of amblyopia).

      Weaknesses

      (1) Ethics: more details about the ethics need to be included in the manuscript. It is only mentioned for experiment 1 that participants "provided informed consent in accordance with the Declaration of Helsinki. This study was approved by the Institutional Review Board of the Institute of Psychology, Chinese Academy of Sciences". (Which version of the Declaration of Helsinki? The latest version requires the pre-registration of the study. The code of the approved protocol together with the code and date of the approval should be provided.) There is no mention of informed consent procedures or ethics approval for the TMS experiments. This is a huge concern, especially for brain stimulation experiments!

      Response: Thanks for the reviewer’s comment! In the revised manuscript, we have provided the code of the approved protocol and date of the approval (see page 25 second paragraph or below):

      “This study was approved (H21058, 11/01/2021) by the Institutional Review Board of the Institute of Psychology, Chinese Academy of Sciences.”

      Indeed, ethics approval and informed consent were obtained for each experiment. To avoid duplication in the text, we only presented the ethics instructions in the Methods section of Experiment 1. We have now clarified in that section that all the experiments in this study were approved by the IRB in our Institute.

      (2) Statistics: the methods section should include a sub-section describing in detail all the statistical analyses performed for the study. Moreover, in the results section, statistical details should be added to support the fMRI results. In the current version of the manuscript, the claims are not supported by statistical evidence.

      Response: Thanks for the reviewer’s suggestion! In the Methods section of revised manuscript, we have added a section to describe the detailed statistical analyses for each experiment (see page 37 last paragraph for Experiment 2 and page 38 last paragraph for Experiment 3 or below):

      “Statistical analyses were performed using MATLAB. A 3 (stimulation site: Vertex, FEF, IPS) × 2 (test phase: pre-test and post-test) repeated measures ANOVA was used to investigate the effect of cTBS delivery on ocular dominance shift. Moreover, for the blob detection test, the target detection rate of each experimental condition was calculated by dividing the summed number of detected blob targets by the total number of blob targets. Then, a 2 (eye: attended eye, unattended eye) × 3 (stimulation site: Vertex, FEF, IPS) repeated measures ANOVA on the detection performance was performed. Post-hoc tests were conducted using paired t-tests (2-tailed significance level at α = 0.05), and the resulting p-values were corrected for multiple comparisons using the false discovery rate (FDR) method (Benjamini & Hochberg, 1995).”

      “In addition to the data analysis in Experiment 2, we complemented the standard inferential approach with the Bayes factor (van den Bergh et al., 2023; van Doorn et al., 2021; Wagenmakers et al., 2018), which allows quantifying the relative evidence that the data provide for the alternative (H1) or null hypothesis (H0). We conducted the Bayesian repeated measures ANOVA using JASP with default priors and computed inclusion Bayes factors (BFincl) which suggest the evidence for the inclusion of a particular effect calculated across matched models. A BF greater than 1 provides support for the alternative hypothesis. Specifically, a BF between 1 and 3 indicates weak evidence, a BF between 3 and 10 indicates moderate evidence, and a BF greater than 10 indicates strong evidence (van Doorn et al., 2021). In contrast, a BF below 1 provides evidence in favor of the null hypothesis.”

      Furthermore, in the Results section of revised manuscript, we have added the statistical details to support the fMRI results (see page 9 last paragraph or below):

      “To seek these brain regions, we used the AFNI program “3dttest++” to access the difference of ‘dichoptic-binocular’ contrast between the experimental and control runs. The AFNI program “ClustSim” was then applied for multiple comparison correction, yielding a minimum significant cluster size of 21 voxels (voxel wise p = .001; cluster threshold α = 0.05). We found 4 clusters showing stronger responses to the dichoptic movies than to the binocular movies especially in the experimental runs.”

      (3) Interpretation of the results: the TMS results are very interesting and convincing regarding the involvement of the FEF in the build-up of the OD shift induced by dichoptic stimulation, however, I am not sure that the authors can claim that this effect is related to eye-based attention, as cTBS has no effect on the blob detection task during dichoptic stimulation. If the FEF were causally involved in eye-based attention, one would expect a change in performance in this task during dichoptic stimulation, perhaps a similar performance for the unattended and attended eye. The authors speculate that the sound could have an additional role in driving eye-based attention, which might explain the lack of effect for the blob discrimination task, however, this hypothesis has not been tested.

      Response: Thanks for the reviewer’s comment! Following this reviewer’s insightful suggestion, we have conducted a new experiment to examine the effect of sound on blob detection task (see Experiment 4 in the revised manuscript). The procedure was similar to that of Experiment 2 except that the sound was no longer presented during the dichoptic-backward-movie adaptation. The results showed that the interocular difference of blob detection rate after sound elimination remained unaffected by the cTBS, which disagreed with our explanation in the previous version of manuscript. Based on the new data, we now question the validity to use the blob detection rate to precisely quantify eye-based attention, and have tried to explain why the blob detection results do not contradict with our account for the function role of FEF in modulating the aftereffect in the Discussion of the revised manuscript (see page 23 second paragraph to page 24 first paragraph or below):

      “An unresolved issue is why inhibiting the cortical function of FEF did not impair the performance of blob detection task. One potential explanation is that the synchronized audio in Experiment 2 might help increase the length of time that the regular movie dominated awareness. However, the results of Experiment 4 did not support this explanation, in which the performance of blob detection survived from the inhibition of FEF even when silent movies were presented. Although this issue remains to be explored in future work, it does not contradict with our notion of FEF modulating AE-UAE opponency neurons. It should be noted that our notion merely states that FEF is the core area for attentional modulations on activities of AE-UAE opponency neurons. No other role of FEF during the adaptation is assumed here (e.g. boosting monocular responses or increasing conscious level of stimuli in the attended eye). In contrast, according to the most original definition, the blob detection performance serves as an estimation of visibility (or consciousness level) of the stimuli input from each eye, despite the initial goal of adopting this task is to precisely quantify eye-based attention (which might be impractical). Thus, according to our notion, inhibition of FEF does not necessarily lead to deteriorate performance of blob detection. Furthermore, our findings consistently indicated that the visibility of stimuli in the attended eye was markedly superior to that of stimuli in the unattended eye, yet the discrepancy in the SSVEP monocular responses between the two eyes was minimal though it had reached statistical significance (Song et al., 2023). Therefore, blob detection performance in our work may only faithfully reflect the conscious level in each monocular pathway, but it is probably not an appropriate index tightly associated with the attentional modulations on monocular responses in early visual areas. Indeed, previous work has argued that attention but not awareness modulates neural activities in V1 during interocular competition (Watanabe et al., 2011), but see (Yuval-Greenberg & Heeger, 2013). We have noticed and discussed the counterintuitive results of blob detection performance in our previous work (Song et al., 2023). Here, with the new counterintuitive finding that inhibition of FEF did not impair the performance of blob detection, we suspect that blob detection performance in the “dichoptic-backward-movie” adaptation paradigm may not be an ideal index that can be used to accurately quantify eye-based attention.

      (4) Writing: in general, the manuscript is well written, but clarity should be improved in certain sections.

      (a) fMRI results: the first sentence is difficult to understand at first read, but it is crucial to understand the results, please reformulate and clarify.

      Response: Thanks for the reviewer’s suggestion! In the revised manuscript, we have reformulated this sentence (see page 9 last paragraph or below):

      “It was only in the dichoptic condition of experimental runs that participants had to selectively pay more attention to one eye (i.e., eye-based attention). Therefore, we speculate that if certain brain regions exhibit greater activities in the dichoptic condition as compared to the binocular condition in the experimental runs but not in the control runs, the activation of these brain regions could be attributable to eye-based attention.”

      (b) Experiment 3: the rationale for experiment one should be straightforward, without a long premise explaining why it would not be necessary.

      Response: Thanks for the reviewer’s suggestion! In the revised manuscript, we have streamlined the lengthy premise explaining to make the rationale of Experiment 3 more straightforward (see page 15 last two paragraphs or below):

      “The results of Experiment 2 support the notion that eye-based attention was the cause for attention-induced ocular dominance plasticity. However, an alternative account is that the significant two-way interaction between test phase and stimulation site did not stem from any persistent malfunction of FEF in modulating ocular dominance, but rather it was due to some abnormality of binocular rivalry measures in the post-test that occurred after stimulation at the FEF only (and not at the other two brain sites). For instance, stimulation at the FEF might simply reduce the ODI measured in the binocular rivalry post-test.

      Therefore, we conducted Experiment 3 to examine how suppression of the three target sites would impact binocular rivalry performance, in case that any unknown confounding factors, which were unrelated to adaptation but related to binocular rivalry measures, contributed to the results.”

      (c) Discussion: the language is a bit familiar here and there, a more straightforward style should be preferred (one example: p.19 second paragraph).

      Response: Thanks for the reviewer’s suggestion! We have carefully revised the language in the discussion. The discussion following the example paragraph has been largely rewritten.

      (5) Minor: the authors might consider using the term "participant" or "observer" instead of "subject" when referring to the volunteers who participated in the study.

      Response: Thanks for the reviewer’s suggestion! In the revised manuscript, we have replaced the term “subject” with “participant”.

      Reviewer #3 (Public Review):

      Summary:

      This study studied the neural mechanisms underlying the shift of ocular dominance induced by "dichoptic-backward-movie" adaptation. The study is self-consistent.

      Strengths:

      The experimental design is solid and progressive (relationship among three studies), and all of the raised research questions were well answered.

      The logic behind the neural mechanisms is solid.

      The findings regarding the cTMS (especially the position/site can be useful for future medical implications).

      Weaknesses:

      Why does the "dichoptic-backward-movie" adaptation matter? This part is severely missing. This kind of adaptation is neither intuitive like the classical (Gbison) visual adaptation, nor practical as adaptation as a research paradigm as well as the fundamental neural mechanism. If this part is not clearly stated and discussed, this study is just self-consistent in terms of its own research question. There are tons of "cool" phenomena in which the neural mechanisms are apparent as "FEF controls vision-attention" but never tested using TMS & fMRI, but we all know that this kind of research is just of incremental implications.

      Response: Thanks for the reviewer’s comment! We designed the "dichoptic-backward-movie" adaptation to study the perceptual consequence and mechanisms of sustained attention to a monocular pathway. Since the overall visual input to both eyes during adaptation were identical, any effect (i.e. the change of ocular dominance in our study) after adaptation can be easily ascribed to unbalanced eye-based attention between the two eyes rather than unbalanced input energy across the eyes. In typical short-term monocular deprivation, input signal from one eye is blocked. Accordingly, attention is undoubtedly distributed to the non-deprived eye. The fact that in a short-term monocular deprivation paradigm the deprived eye is also the unattended eye prevents researchers from ascertaining whether unbalanced eye-based attentional allocation contributes to the shift of ocular dominance just like unbalanced visual input across the two eyes. That is why the “dichoptic-backward-movie” adaptation was adopted in the present study. This new paradigm balances the input energy across the eyes but leaves attention unbalanced across the eyes. In the revised manuscript, we have added the description of the “dichoptic-backward-movie” adaptation (see page 3 last paragraph and page 4 first paragraph or below). Hope this complementary information improves the clarity.

      “In Song et al. (2023)’s “dichoptic-backward-movie” adaptation paradigm (see Figure 1B), participants are presented with regular movie images in one eye (i.e., attended eye) while the other eye (i.e., unattended eye) received the backward movie images of the same episode. They were also instructed to try their best to follow the logic of the regular movie and ignore the superimposed backward movie. Therefore, the goal-directed eye-based attention was predominantly focused on the attended eye. Song et al. (2023) found that the predominance of the unattended eye in binocular rivalry increased after one hour of adaptation to the “dichoptic-backward-movie”, indicating a shift of perceptual ocular dominance towards the unattended eye. Since the overall energy of visual input from the two eyes was balanced throughout the adaptation period, the change of ocular dominance after adaptation is thought to result from unbalanced eye-based attention rather than unbalanced input energy as in typical short-term monocular deprivation (Bai et al., 2017; Lunghi et al., 2011; Zhou et al., 2014).” In short-term monocular deprivation, input signal from one eye is blocked. Accordingly, attention is biased towards the non-deprived eye. However, it is difficult to tease apart the potential contribution of unbalanced eye-based attention from the consequence of the unbalanced input energy, as the deprived eye is also the unattended eye. Therefore, the advantage of the “dichoptic-backward-movie” adaptation paradigm is to balance the input energy across the eyes but leave attention unbalanced across the eyes.

      Our previous work (Song et al., 2023) has shown that eye-based attention plays a role in the formation of ocular dominance shift following adaptation to dichoptic backward movie. However, because the “dichoptic-backward-movie” adaptation paradigm is new, to our knowledge, no literature has ever discovered the brain areas that are responsible for eye-based attention. Our fMRI experiment for the first time resolves this issue, which, we believe, is one of the novelties of the present study. Attention is a pretty general definition of our ability to select limited information for preferential or privileged processing, yet it includes numerous aspects (e.g. spatial attention for spatial locations, feature-based attention for visual features, object-based attention for objects, social attention for social cues, and eye-based attention for monocular pathways etc). Are we 100% sure that the same brain network always underlies every aspect of attention including eye-based attention? No test, no answer. Maybe the answer is Yes, but we are not aware of any evidence for that from literature. It is not unlikely that attention is like an elephant while researchers are like blind people touching the elephant from different angles. Even if all previous researchers have touched the side of the elephant and state that an elephant is no different from a wall, as long as one researcher grabs the elephant’s tail, the “wall” knowledge will be falsified. From this perspective of the essence of science (falsifiable), we have the confidence to say that our fMRI experiment on eye-based attention is novel, because to our knowledge our experiment is the first one to explore the issue. On the basis of the fMRI experiment (otherwise we would have no idea on which precise brain site to apply the cTBS), we could successfully complete the subsequent TMS experiments.

      Of course, if the reviewer can kindly point out any previous neuroimaging work we missed that has already disclosed the neural mechanisms underlying human’s eye-based attention, we would truly appreciate the reviewer very much. But even so, we would like to emphasize that the purpose of the current study was actually not to use TMS & fMRI to confirm that “FEF controls visual attention”. As we mentioned in the Abstract and expanded the introduction in the last two paragraphs of Introduction, the goal of the TMS experiments is to examine the causal role of eye-based attention in producing the aftereffect of “dichoptic-backward-movie” adaptation. This research question is also new, thus we do not think the TMS experiments are incremental, either. Our findings provided direct causal evidence for the effect of FEF on modulating ocular dominance through eye-based attention. Please see the last two sentences in the first paragraph on page 20 in the revised manuscript or below,

      “Interestingly, in our Experiment 2 this aftereffect was significantly attenuated after we temporarily inhibited the cortical function of FEF via cTBS. This finding indicates the crucial role of FEF in the formation of attention-induced ocular dominance shift.”

      as well as the last sentence of the Abstract,

      “…and in this network, FEF plays a crucial causal role in generating the attention-induced ocular dominance shift.”

      Recommendations for the authors:

      Reviewer #1 (Recommendations For The Authors):

      (1) The hemispheric asymmetry in the eye-based attention-related cortex should be further examined and discussed. For example, IPS in both hemispheres was identified in the fMRI experiment. It is not clear why only the right IPS was stimulated in the TMS experiment.

      Response: Thanks for the comment. We have elucidated the reasons for the experimental design with hemispheric asymmetry in FEF and IPS. Please see our response to the Weakness #1 raised by Reviewer #1 in the Public Review section.

      (2) It is known that the frontoparietal cortex plays a role in the contralateral shift of attentional allocation. Meanwhile, the latest stage of ocular-specific representation is V1. The authors should discuss how the eye-related function can be achieved in FEF.

      Response: Thanks for the comment. we have discussed how FEF regulates attention-induced ocular dominance shift (see page 21 second paragraph to page 23 first paragraph in the revised manuscript, and our response to the Weakness #2 raised by Reviewer #1 in the Public Review section).

      (3) To further validate the role of FEF in eye-related attention shifts, the authors may consider using the traditional monocular deprivation paradigm with fMRI and TMS. It would be valuable to compare the neural mechanisms related to the classical monocular deprivation paradigm with the current findings.

      Response: Thanks for the reviewer’s suggestion! That is indeed an interesting research topic that we are currently exploring. The current study investigated the attention-induced ocular dominance shift with the “dichoptic-backward-movie-adaptation” paradigm. This paradigm is substantially different from traditional short-term monocular deprivation. In our Neuroscience Bulletin paper (Song et al. 2023), we discuss the reason as follows.

      “An alternative account of our results is the homeostatic plasticity mechanism. The function of this mechanism is to stabilize neuronal activity and prevent the neuronal system from becoming hyperactive or hypoactive. For this goal, the mechanism moves the neuronal system back toward its baseline after a perturbation [51, 52]. In our case, the aftereffect can be explained such that the visual system boosts the signals from the unattended eye to maintain the balance of the network’s excitability. However, this account cannot easily explain why the change of neural ocular dominance led by prolonged eye-based attention was observed here using the binocular rivalry testing stimuli, but absent in the previous research using the binocularly fused stimuli [11]. In contrast, a recent SSVEP study also using the binocularly fused stimuli has successfully revealed a shift of neural ocular dominance after two hours of monocular deprivation [31], which is in line with the homeostatic plasticity account. Therefore, the mechanisms underlying the “dichoptic-backward-movie” adaptation and monocular deprivation are probably not fully overlapped with each other; and the binocular rivalry mechanism described in the ocular-opponency-neuron model seems to be more preferable than the homeostatic plasticity mechanism in accounting for the present findings.”

      Therefore, before asking whether FEF plays a role in the attention-induced ocular dominance shift in a traditional monocular deprivation paradigm, one should probably first examine whether attention also plays a role in traditional monocular deprivation, and whether the ocular-opponency-neuron adaptation account can also be used to explain the traditional monocular deprivation effect. Our newly accepted paper “Negligible contribution of adaptation of ocular opponency neurons to the effect of short-term monocular deprivation” (https://www.frontiersin.org/articles/10.3389/fpsyg.2023.1282113/full) gives a generally negative answer to the second question. And as to the first question, we have one manuscript under review and another ongoing study. In other words, to get a satisfactory answer to this particular comment of this reviewer, we need to first obtain clear answers to the two above questions. We think this is far beyond the scope of one single manuscript.

      (4) The authors only presented regular movies to the dominant eye to maximize the ocular dominance shift. This critical information of design should be clarified, not only in the method section.

      Response: Thanks for the reviewer’s suggestion! In the Results section of Experiment 2, we have added a description of this critical information of design (see page 11 last paragraph to page 12 first paragraph or below):

      “Then, participants adapted to the “dichoptic-backward-movie” in which regular movie images were presented to the dominant eye to maximize the effect of eye dominance shift (Song et al., 2023). Meanwhile they were asked to detect some infrequent blob targets presented on the movie images in one eye at the same time.”

      (5) The frame rate of the movie is 30 fps, which is much lower than a typical 60 fps visual presentation, does this have an effect on the adaptation outcome?

      Response: To our best of knowledge, there is no evidence that the frame rate of the movie influences the aftereffect of attention-induced ocular dominance shift. In our previous research, the frame rate of the movie during adaptation was 25 fps, which still produced a stable adaptation aftereffect (Song et al., 2023). And the frame rate of the movie was 30 fps in our monocular deprivation work (Lyu et al., 2020), which showed a similar monocular deprivation effect we previously observed in an altered reality study (Bai et al., 2017). The frame rate of the altered-reality video in Bai et al.’s (2017) work was 60 fps. All these clues suggest that the frame rate does not have an effect on the adaptation outcome.

      (6) Figure 5: The ODSE derived from ODI in Experiment 3 should also be illustrated, for a better comparison with results from Experiment 2.

      Response: Thanks for the reviewer’s suggestion! In the revised manuscript, we have added the results of ODSE in Experiment 3 to Figure 5 (see page 15 or below):

      Author response image 1.

      Figure 5. The results of (A) the ocular dominance index (ODI), (B) the ocular dominance shift effects (ODSE) in Experiment 2, (C) the ODI and (D) the ODSE in Experiment 3. The bars show the grand average data for each condition. The individual data are plotted with gray lines or dots. The dashed gray line represents the absolute balance point for the two eyes (ODI = 0.5). Error bars indicate standard errors of means. * p < .05; ** p < .01; n.s. p > .05.

      (7) Spelling issues: "i.e." → "i.e.,"

      Response: Thanks for the reviewer’s suggestion! In the revised manuscript, we have changed “i.e.” to “i.e.,”.

      Reviewer #2 (Recommendations For The Authors):

      Linked to weakness 3: Ideally, a control experiment with cTBS and dichoptic stimulation without sound but with the blob discrimination task should be performed to be able to make important claims about the neural mechanisms involved in eye-based attention.

      Response: Thanks for the comment. We have performed a new experiment as the reviewer suggested. Please see our response to the Weakness #3 raised by Reviewer #2 in the Public Review section.

      Reviewer #3 (Recommendations For The Authors):

      (1) The neural mechanisms are so apparent. We all know the FEF\IPS\SC matter in vision and attention and gaze. This is not groundbreaking.

      Response: As we addressed in our response to Reviewer #3’s public comment, the current study aimed at investigating the causal mechanism for eye-based attentional modulation of ocular dominance plasticity rather than simply the role of FEF\IPS\SC in visual attention. Moreover, eye-based attention is a less investigated aspect of visual attention. The neural mechanism underlying eye-based attention is still largely unknown, and seeking the brain areas for controlling eye-based attention is the necessary preparation work for applying the cTBS. We have responded in detail to Reviewer #3’s public comment why we think both the fMRI and TMS experiments are novel to the field, which we will not reiterate it here to avoid redundancy.

      (2) Why does the "dichoptic-backward-movie" adaptation matter? Is playing a backward movie to one eye realistic? Does that follow the efficient coding? Is that a mere consequence of information theory?

      Response: Thanks for the comments. We have added the description of the “dichoptic-backward-movie” adaptation paradigm in the revised manuscript (see page 3 last paragraph and page 4 first paragraph or our response to this reviewer’s Public comment).

      Is it realistic to play backward movie to one eye? We feel this question is somehow ambiguous to us. If the reviewer means the technical operability for such stimulus presentation, we can assure it since we have used this paradigm in both the current and previously published studies. To be more specific, we made the video stimuli in advance. The left half of the video was the regular movie and the right half was the backward version of the same movie (or vice versa). When viewing such video stimuli through stereoscopes, participants could only see the left half of the video with the left eye and the right half of the video with the right eye. In other words, the regular movie and backward movie were viewed dichoptically. Alternatively, if the reviewer means that such dichoptic presentation rarely happens in real world thus not realistic, we agree with the reviewer on one hand. On the other hand, we have explained on page 3 last paragraph and page 4 first paragraph why it is a particular useful paradigm for the main purpose of the present study. Let us make a similar example. The phenomenon of binocular rivalry rarely happens in everyday life. So people may say binocular rivalry is not realistic. However, our visual system does have the ability to deal with such conflicting visual inputs across the eyes, even binocular rivalry is unrealistic! Sometimes it is fun to investigate those seemingly unrealistic functions of our brains since those may also reveal the mystery of our neural system. As we know, despite binocular rivalry is uncommon in daily life, it is frequently used to investigate awareness. And in our work, we use binocular rivalry to measure perceptual ocular dominance.

      Finally, the reviewer queried about if the "dichoptic-backward-movie" adaptation paradigm follow efficient coding and information theory. The information theory and efficient coding assume that messages with low expectedness or of rare occurrence would attract more attention and induce larger neural responses than those with high expectedness. In the "dichoptic-backward-movie" adaptation paradigm, the backward movie should be less expected since the actions of the characters in the backward movie appeared illogical. Thus, according to the information theory and efficient coding, it would be expected that more attention was paid to the backward movie and thus the backward movie might dominate the awareness for a longer period during adaptation (Zhang et al., 2012). However, we instructed participants to follow the regular movie during adaptation. The results of blob detection task also showed a better task performance when the targets appeared in the eye presented with the regular movie, which contradicted with the prediction of the information theory and efficient coding. Thus, it seems not very likely that the "dichoptic-backward-movie" adaptation followed efficient coding and information theory.

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      Benjamini, Y., & Hochberg, Y. (1995). Controlling the false discovery rate: a practical and powerful approach to multiple testing. Journal of the Royal statistical society: series B (Methodological), 57(1), 289-300. https://doi.org/10.1111/j.2517-6161.1995.tb02031.x

      Choe, E., & Kim, M.-S. (2022). Eye-specific attentional bias driven by selection history. Psychonomic Bulletin & Review, 29(6), 2155-2166. https://doi.org/10.3758/s13423-022-02121-0

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    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public reviews):

      Summary:

      Ciliary rootlet is a structure associated with the ciliary basal body (centriole) with beautiful striation observed by electron microscopy. It has been known for more than a century, but its function and protein arrangement are still unknown. This work reconstructed the near-atomic resolution 3D structure of the rootlet using cryo-electron tomography, discovered a number of interesting filamentous structures inside, and built a molecular model of the rootlet.

      Strengths:

      The authors exploited the currently possible ability of cryo-ET and used it appropriately to describe the 3D structure of the rootlet. They carefully conducted subtomogram averaging and classification, which enabled an unprecedented detailed view of this structure. The dual use of (nearly) intact rootlets from cilia and extracted (demembraned) rootlets enabled them to describe with confidence how D1/D2/A bands form periodic structures and cross with longitudinal filaments, which are likely coiled-coil.

      Weaknesses:

      Some more clarifications are needed. This reviewer believes that the authors can address them.

      Reviewer #1 (Recommendations for the authors):

      Recommendation 1: According to Fig.1B, the rootlet was mechanically pulled out from the visual cell for a long distance by vortexing. Is there no artifact? Can the authors comment on it by referring to old literature, for example, with EM of resin-embedded and sectioned basal bodies?

      Response: A previous study (Gilliam et al., 2012) compared cryoET of purified rootlets with resinembedded ultrathin sections of mouse eyecups. They reported no changes in striation repeat or rootlet morphology suggesting there is no artifact of purification. Our rootlet data are consistent with that of Gilliam, suggesting the tomograms we report are representative of rootlets prior to purification. 

      We have clarified this in the text: pg 2: “As previously described (Gilliam et al., 2012), rootlet striation-repeat and morphology appear unaltered by the purification method. Moreover, …” 

      Recommendation 2: Fig.1F: It is not clear how to distinguish striation-membrane joints indicated by grey and white arrows. It seems relatively straight striation is indicated by a white arrow, while in the case of the bulky feature it is shown by a grey arrow (and the bulk is colored in blue). But there is no clear border between these features. How were they distinguished? Are they based on classification?

      Response: The membrane-associated densities (colored in blue) were assigned according to the TomoSeg neural network. It was trained on a small set of globular densities closely associated with a membrane. This training set included examples both close to and far away from the rootlet. We trained a separate network on recognizing rootlet striations. Both networks competed on assigning pixels in the tomogram as either striations or membrane-associated proteins. The different membrane connections were therefore defined by the probability within the TomoSeg network rather than classification.

      We clarified this in the main text: pg 3: “All the striations partially or fully spanned the width of the rootlet and extended beyond the outermost longitudinal filaments. These rootlet-protruding striation-densities frequently contacted the membrane (Fig 1E). Close examination suggested some make a direct contact, whereas others contact a subset of globular membrane-associated densities that are a striking feature of the tomograms. These densities are ~7 nm in diameter and cover almost every membrane surface. Where two membranes come into proximity, the intervening space is filled with two layers of these membrane-associated proteins, one layer associated with each membrane (Fig 1C, S1A, blue arrowheads). We trained a TomoSeg neural network to assign these densities and let this network compete with one that assigned striations. This resulted in a final segmentation with membrane-associated densities indicated in blue and striations in yellow (Fig 1E, F and S1D–F).”  

      We also clarified this in the methods:

      pg 12/13: “The tomograms were then preprocessed in EMAN2.2 for training of the TomoSeg CNN (Chen et al., 2017). Here, the features (filaments, D-bands, A-bands, gold fiducials, actin, membranes, membrane-associated densities and ice contaminations) were individually trained. Segmented maps were allowed to compete for the assignment of pixels in the tomograms, cleaned up in Amira (Thermo Fisher Scientific), and converted to object files. The object files and corresponding tomograms were displayed in ChimeraX (Pettersen et al., 2021). Assignment of direct and indirect striation-membrane connections was done manually by assessing whether TomoSeg-segmented striations and membranes were connected directly or via membrane-associated densities. The automated segmentation of amorphous striations picked up mostly dense amorphous features. The fainter densities that we observed to laterally connect the amorphous features were manually drawn by dotted lines.” 

      Recommendation 3: p.3 "All the striations partially or fully spanned the width of the rootlet before protruding from its surface." This reviewer would read the last part of this sentence as "before protruding from the surface of the rootlet membrane toward inside". Is this correct?

      Response: This was not what we had intended to imply. 

      We have changed this sentence in the text to avoid confusion:  pg 3: “All the striations partially or fully spanned the width of the rootlet and extended beyond the outermost longitudinal filaments. These rootlet-protruding striation-densities frequently contacted the membrane (Fig 1E).”

      Recommendation 4: Same for p.4 "The protrusions from the rootlets were flexible". This means the protrusions from the membrane if this reviewer understands correctly.

      We also clarified this sentence in the text:  pg 4: “The proteinaceous protrusions that extended from the rootlets were flexible and did not induce a regular spacing in the membrane-associated proteins they contacted (Fig 1F, S1D–F).”

      Recommendation 5: p.4 "Due to the thickness of the sample and the presence of membranes": How thick is the typical sample?

      Response: We typically collected data on samples thicker than 300nm. We initially tried making thinner samples, for better contrast, but observed this led to sample disruption. We changed “sample” to “ice” to clarify that we refer to the prepared sample and not the biological object.

      Changes in text:

      pg 4: “Due to the ice-thickness and the presence of membranes, the tomograms had limited contrast.”

      Recommendation 6: p.4 "We were also able to see these bands with cryo-ET." It would be nice if the comparison between tomograms of the native and purified rootlets was done. This reviewer could not get where the D1/D2/A bands are in Fig.1E.

      Response: Due to the noise in the native tomograms it is difficult to see the regular striation pattern in Fig 1E. However, we see it better when we project the native rootlet onto a single image. We added the projection image, the corresponding fourier transform, and repeat measurements to the supplement (Fig S1B, C). We updated all figure references in the text.

      We updated the text accordingly:

      pg 4: “We were also able to see these bands with cryo-ET. The striations in the purified rootlets appeared more ordered and clearer than in the cellular tomograms due to the improved contrast. In the cellular rootlets, we identified the bands in a tomogram projection (Fig S1B), with an average distance of 79.52 ± 0.26 nm between each repeat (Fig S1C). The repeat distance for the purified rootlets is 80.1 ± 0.03 nm based on a sine fit to A and D-bands of 10 fourier-filtered tomogram projections (Fig 2D, Fig S2E–I).”

      We updated the figure legend of Fig S1:

      pg 18: “(B) Projection image of a 53 nm thick slice through the tomogram and the corresponding Fast Fourier Transform (FFT). Measured frequencies are indicated with red lines. (C) Quantification of the distance measured between pairs of discrete striations. (D–F) …”

      Recommendation 7: Fig.2E-I: Could the authors explain how these bands were tracked? It is very difficult for this reviewer to trace, for example, the A-band in Fig.2g.

      Response: We trained the neural network of TomoSeg to pick up discrete and amorphous striations. The Tomoseg segmentation of the amorphous striations often only picked up dense features marked in green. However, we could see densities by eye in the tomograms that connect these dense features.

      These connecting densities were manually drawn with a dotted line.

      We clarified this in the methods:

      pg 13: “The automated segmentation of amorphous striations picked up mostly dense amorphous features. The fainter densities that we observed to laterally connect the amorphous features were manually drawn by dotted lines.”

      We also changed the figure legend of Fig2: 

      pg 5: “(F,G,I) fainter features not picked up by the automated segmentation were drawn with dotted lines.”

      Recommendation 8: Fig.2: The caption of Fig.2I is missing.

      We have edited the legend of Fig 2 to include this caption: pg 5: “(I) Segmentation that shows amorphous features occur as two bands and connect to the rootlet surface densities.”

      Recommendation 9: p.6 "Additionally, the surface densities show evidence of connecting to the A-bands (Fig 2I and S3I)." Does the author mean Fig.2J and S3I?

      Response: This is most clearly visible in figure 2I and S3I (S3J after revisions), but it is also visible in 2J. 

      We therefore edited this figure reference:

      pg 6: (Fig 2I, J and S3J)

      Recommendation 10:  p.8 "The metazoan rootlet is a cilium-associated fiber that is characterized by regular cross-striations." In this reviewer's memory, Tetrahymena also has a rootlet. Are they different in structure?

      Response: Tetrahymena and other protists have striated rootlets (known as kinetodesmal fibres or System-I fibres), that are classified as being different from mammalian rootlets (Andersen et al., 1991). Tetrahymena rootlets have a 32 nm repeat (Munn, 1970), which is less than half of the 80 nm repeat observed for mammalian rootlets. While the protein composition of Tetrahymena rootlets is unknown, a 250 kDa protein was proposed to be their main component (Williams et al., 1979). Tetrahymena rootlet proteins were proposed to span a minimum of 4-5 striation repeats, based on early thin-sectioning EM (Munn, 1970), while we show that rootletin predictions span at most ~3.3 repeats in mammalian rootlets. Since the early proposal of Tetrahymena rootlet protein organisation, more components have been identified: DisAp (Galati et al., 2014) with a predicted length of ~37 nm (0.15 nm/residue), and proteins of 170 kDa that cross react with the Naegleria Gruberi major rootlet component (Dingle & Larson, 1981). Thus, the available data suggest that Tetrahymena rootlets are different in structure from mammalian ones.

      Reviewer #2 (Public reviews):

      Summary:

      This work performs structural analysis on isolated or purified rootlets.

      Strengths:

      To date, most studies of this cellular assembly have been from fluorescence microscopy, conventional TEM methods, or through biochemical analysis of constituents. It is clearly a challenging target for structural analysis due to its complexity and heterogeneity. The authors combine observations from cryo-electron tomograms, automated segmentations, subtomogram averaging, and previous data from the literature to present an overall model of how the rootlet is organised.

      Their model will serve as a jumping-off point for future studies, and as such it is something of considerable value and interest.

      Weaknesses:

      It is speculative but is presented as such, and is well-reasoned, plausible, and thorough.

      Reviewer #2 (Recommendations for the authors):

      Recommendation 1: My suggestions to improve the manuscript lie in some of the technical details:

      The subtomogram averaging methods are overly brief - I am not convinced that someone could replicate the process from the text in the methods (and results sections).

      We have now extended our description of the subtomogram averaging methods: 

      pg 13: “For particle picking, the tomograms were deconvolved using the TOM package (Tegunov & Cramer, 2019). Dynamo was used for particle extraction using the Dynamo surface model (Castaño-Díez et al., 2012, 2017): Each D2 band was traced in multiple slices per rootlet to define dynamo surfaces. Surface triangulation was set to result in extraction coordinates approximately 4 times the number of expected filaments. The coordinates were extracted as a Dynamo table that was subsequently converted to the motl-format using subTOM scripts, available at https://github.com/DustinMorado/subTOM/ (Leneva et al., 2021). Particles were extracted from tomograms reconstructed using novaCTF (Turoňová et al., 2017).

      An initial reference was obtained by in-plane randomizing and averaging all particles prior to alignments. Initial alignments were performed to centre filaments, by using a 10 nm wide cylindrical mask, limited to 4 nm shifts in X and Y with respect to the reference orientation, A spherical mask with large diameter was used for alignments the D-bands, these alignments were restricted to the reference Z direction. Cluster- and careful per-tomogram cross-correlation cleaning were applied to remove particle duplicates, particles with no filaments, and particles with disordered D-bands. This resulted in a cleaned particle dataset.  

      Prior to classification in subTOM, alignments with limited X/Y/Z shifts and increasingly finer in-plane rotations were performed. 20 eigenvolumes were generated by K-means classification over 20 eigenvectors. The eigenvolumes and particles clustered per eigenvector were assessed to identify which vectors described the missing wedge or structural features (Leneva et al., 2021). The structural eigenvectors were used to cluster particles into the final class averages that described particle heterogeneity. 

      For the final subtomogram class-average that contained the twist, the cleaned particle dataset motl was converted to a STAR file compatible with RELION 4.0 alpha (Zivanov et al., 2022). Gold beads were removed from the preprocessed tomogram frames by converting the aligned tomogram gold coordinates initially obtained by Etomo bead-finder during preprocessing steps (Kremer et al., 1996). Particles were then extracted in RELION 4.0 alpha. The initial reference was an inplane randomized average of the cleaned particle dataset. Instead of refinement, which resulted in anisotropic structures due to a lack of features for the alignment, we used simultaneous alignment and classification. We restricted the alignments to full inplane rotations with respect to the reference Z-axis.”

      Recommendation 2: I find it difficult to assess the quality of the final subtomogram averages as presented in the manuscript. One potential worry is the fact that the authors state that nothing is visible outside the mask, which can be a sign of overfitting (though, as the authors state, can just be a sign of heterogeneity). I would suggest that the authors include FSC curves, as well as 2D slices through the unmasked subtomogram averages - it is easier to judge the impact of the mask when viewing it this way and not at the isosurface.

      Response: We understand the reviewer’s concern for overfitting and masking. To clarify our approach, the class averages we show in Fig3G and FigS5C are the result of simultaneous classification with alignment and not a gold-standard refined average. The classification does not produce an FSC since it does not work with half sets. We initially tried a refinement approach, but the filaments did not have enough features to align and resulted in anisotropic structures. The FSC of such a refinement is shown below. However, because of the anisotropy, we did not include these structures or FSCs in the manuscript and we make no claims about the resolution. 

      Author response image 1.

      Instead, we presented the data from simultaneous classification with alignment which revealed the twist in the filament. Like the reviewer, we were initially concerned that the filament twist could be an artefact of the narrow masks and reference we used. However, we only used rotationally symmetric references and masks that do not contain any features. We therefore, realized this asymmetric twistfeature could not have arisen from imposed alignment regiments, reference biases or overfitting. 

      To make our approach clearer, we have updated the main text:

      pg 8: “To ensure unbiased alignment of any coiled-coil features we generated a smooth reference by randomizing the inplane rotational orientation of the particles (Fig S5B). Initial refinement of the data resulted in an anisotropic structure since the filaments did not have enough features to align to. Therefore, we performed classification with alignment in RELION 4.0 alpha (Zivanov et al., 2022), and used a narrow 3.3 nm-wide mask with a smooth edge up to 7.7 nm (Fig S5B). This was the narrowest mask that still resulted in an isotropic structure and revealed features that were absent in the smooth reference. The resulting class averages contained a twist along the filament length in classes 2, 3 and 4 but most prominently in class 5 (Fig S5C). Class 5 contained a filament of 2 nm thick by 5 nm wide with a groove along its length (Fig 3G).” 

      We also clarified this in the methods:

      pg 13: “The initial reference was an inplane randomized average of the cleaned particle dataset. Instead of refinement, which resulted in anisotropic structures due to a lack of features for the alignment, we used simultaneous alignment and classification. We restricted the alignments to full inplane rotations with respect to the reference Z-axis.”

      Recommendation 3: The authors should include the version of Alphafold that they used to perform the structural predictions. Predictions, especially for multimers, have improved in the newest version, and it could be expected that further improvements will occur in the future. Including the version used here will act as a timestamp.

      We have now updated the methods to include the version:

      pg 14: “Alpha fold predictions of 300 AA long dimer fragments with 50 AA overlap were generated using colabfold 4 that uses a modified version of alphaFold2. To run the large number of sequences we used a customized script called alphascreen (version 1.15) available at https://github.com/samichaaban/alphascreen.”

      Recommendation 4: Figure 2G is not so clear in depicting two offset D bands. The authors could include a more zoomed-out image to make it clearer.

      Response: We have now included a more zoomed out image in the supplement (Fig S3A).

      We updated the figure legend of Fig 2G and Fig S3A: pg 5: “(G) Example where D1 aligns with D2 of a neighboring sub-fiber. Larger view in Fig S3A.”

      pg 20: “(A) Tomogram slice and segmentation where D1 aligns with D2 of a neighboring sub-fiber. The dotted square marks the location of Fig 2G. (B)”

      Recommendation 5: Did the authors attempt to predict the structure of rootletin oligomers? i.e. folding four rootletin fragments at once instead of two? This could be interesting.

      Response: We attempted to predict interactions between all combinations of rootletin fragments. We did this for two fragment (e.g. CC1+CC1 or CC1+CC2) and four fragment (e.g. CC1+CC1+CC1+CC1 or CC1+CC1+CC2+CC2) combinations.

      Homodimer combinations (e.g. CC1+CC1) were predicted with most confidence. We did not identify any higher oligomerization. AlphaFold did not identify interactions that were previously proposed in the literature–for example between two CC3 dimers (Ko et al., 2020) or weak interactions between CC2 and CC3 (Yang et al., 2002). These interactions were either not properly predicted or may require additional proteins other than the ones we tested (CCDC102B, CEP68, beta-catenin, ARL2, centlein). 

      We have updated our methods to include our AlphaFold attempts:

      Pg 14: “This setup was used to predict interactions for dimeric and oligomeric combinations of rootletin fragments (e.g. CC2+CC2, CC3+CC4, CC1+CC1+CC1+CC1, CC3+CC3+CC4+CC4 etc). Homodimeric and oligomeric combinations were tested with other proteins identified as putative rootletin-binding: CCDC102B, CEP68, beta-catenin, ARL2, centlein. In our hands, only homodimeric rootletin fragment combinations resulted in confident predictions.”

      Reviewer #3 (Public reviews):

      Summary:

      The study offers a compelling molecular model for the organization of rootlets, a critical organelle that links cilia to the basal body. Striations have been observed in rootlets, but their assembly, composition, and function remain unknown. While previous research has explored rootlet structure and organization, this study delivers an unprecedented level of resolution, valuable to the centrosome and cilia field. The authors isolated rootlets from mice's eyes. They apply EM to partially purified rootlets (first negative stain, then cryoET). From these micrographs, they observed striations along the membranes along the rootlet but no regular spacing was observed.

      The thickness of the sample and membranes prevented good contrast in the tomograms. Thus they further purified the rootlets using detergent, which allowed them to obtain cryoET micrographs of the rootlets with greater details. The tomograms were segmented and further processed to improve the features of the rootlet structures. From their analysis, they described 3 regular cross-striations and amorphous densities, which are connected perpendicularly to filaments along the length of the rootlets. They propose that various proteins provide the striations and rootletin (mouse homolog of human cnap1) forms parallel coiled coils that run along the rootlet. Overall their data provide a detailed model for the molecular organization of the rootlet.

      The major strength is that this high-quality study uses state-of-the-art cryo-electron tomography, subtomogram averaging, and image analysis to provide a model of the molecular organization of rootlets. The micrographs are exceptional, with excellent contrast and details, which also implies the sample preparation was well optimized to provide excellent samples for cryo-ET. The manuscript is also clear and accessible.

      To further validate their model, it would have been useful to identify some components in the EM maps through complementary approaches (mass spectrometry, mutants disrupting certain features, CLEM). Some potential candidates are mentioned in the discussion.

      This research marks a significant step forward in our understanding of rootlets' molecular organization.

      Response: We agree with the reviewer that it would be ideal to identify rootlet components in the EM densities using complementary approaches. Prior to submitting the manuscript, we attempted several approaches, the details of which are described below:

      We performed mass spectrometry on our purified rootlets. This identified the rootlet components rootletin and CCDC102B and various axonemal components, due to the association between the rootlet and axoneme. However, due to the limitations in quantifying components using mass spectrometry, we were unable to confidently identify novel rootlet constituents present in quantities comparable to rootletin.

      We further attempted cross-linking mass spectrometry on the rootlets to gain deeper insights to the interactions between rootletin molecules. Unfortunately, this effort resulted in a completely insoluble sample despite extended digestion times, leading to issues with mass spectrometry column clogging and rendering our results inconclusive.

      We attempted to express rootlet components recombinantly and were able to purify fibres, but they did not contain the characteristic repeat pattern seen in native rootlets. We also considered purifying native rootlets from cultured cells, but we were unable to obtain sufficient sample for cryoET imaging.

      We therefore regret that other approaches to validate our model are outside the scope of this current work.

      Reviewer #3 (Recommendations for the authors):

      Recommendation 1: There are some problems with spaces in references in the methods.

      Response: We have thoroughly checked the methods and manuscript for double spaces and corrected this.

      Recommendation 2: Figure 1A, the figure would benefit from more labelling, to show the reader the basal body and nucleus.

      Response: We have now added the labels "basal bodies" and "Nucleus" to the cartoon in Fig 1A.

    1. Author Response

      The following is the authors’ response to the original reviews.

      eLife assessment

      This study has uncovered some important initial findings about how certain extracellular vehicles (EVs) from the mother might impact the energy usage of an embryo. While the study's findings are in general solid, some experiments lack statistical power due to small sample sizes. The study's title might be a bit too assertive as the evidence linking maternal mtDNA transmission to changes in embryo energy use is still correlative.

      We would like to express our sincere gratitude to the editors and reviewers for their invaluable comments on this work. Their feedback has been instrumental in enhancing the quality of our manuscript; we have incorporated their suggestions to the best of our abilities.

      Reviewer #1 (Public Review):

      Q1. Bolumar et al. isolated and characterized EV subpopulations, apoptotic bodies (AB), Microvesicles (MV), and Exosomes (EXO), from endometrial fluid through the female menstrual cycle. By performing DNA sequencing, they found the MVs contain more specific DNA sequences than other EVs, and specifically, more mtDNA were encapsulated in MVs. They also found a reduction of mtDNA content in the human endometrium at the receptive and post-receptive period that is associated with an increase in mitophagy activity in the cells, and a higher mtDNA content in the secreted MVs was found at the same time. Last, they demonstrated that the endometrial Ishikawa cell-derived EVs could be taken by the mouse embryos and resulted in altered embryo metabolism.

      This is a very interesting study and is the first one demonstrating the direct transmission of maternal mtDNA to embryos through EVs.

      A1. Thank you for your kind comments.

      Reviewer #2 (Public Review):

      Q2. In Bolumar, Moncayo-Arlandi et al. the authors explore whether endometrium-derived extracellular vesicles contribute mtDNA to embryos and therefore influence embryo metabolism and respiration. The manuscript combines techniques for isolating different populations of extracellular vesicles, DNA sequencing, embryo culture, and respiration assays performed on human endometrial samples and mouse embryos.

      Vesicle isolation is technically difficult and therefore collection from human samples is commendable. Also, the influence of maternally derived mtDNA on the bioenergetics of embryos is unknown and therefore novel. However, several experiments presented in the manuscript fail to reach statistical significance, likely due to the small sample sizes. Additionally, the experiments do not demonstrate a direct effect of mtDNA transfer on embryo bioenergetics. This has the unfortunate consequence of making several of the authors' conclusions speculative.

      In my opinion the manuscript supports the following of the authors' claims:

      1) Different amounts of mtDNA are shed in human endometrial extracellular vesicles during different phases of the menstrual cycle

      2) Endometrial microvesicles are more enriched for mitochondrial DNA sequences compared to other types of microvesicles present in the human samples

      3) Fluorescently labelled DNA from extracellular vesicles derived from an endometrial adenocarcinoma cell line can be incorporated into hatched mouse embryos.

      4) Culture of mouse embryos with endometrial extracellular vesicles can influence embryo respiration and the effect is greater when cultured with isolated exosomes compared to other isolated microvesicles

      A2. Thank you for your detailed feedback. We have made every effort to enhance the manuscript in this revised version, ensuring that our conclusions are grounded in solid evidence and that they avoid any speculation.

      My main concerns with the manuscript:

      Q3. The authors demonstrate that microvesicles contain the most mtDNA, however, they also demonstrate that only isolated exosomes influence embryo respiration. These are two separate populations of extracellular vesicles.

      A3. This manuscript focuses on the DNA content secreted by the endometrium and captured by the embryo. We identified both mitochondrial DNA and genomic DNA. We have found that mitochondrial DNA is predominantly secreted and encapsulated within microvesicles, while all three types of vesicles encapsulate genomic DNA. Specifically, based on the results we presented in Response A8 to the reviewers and included in the latest version of the manuscript, we observed that exosomes contain the highest amount of genomic DNA. Furthermore, exosomes have the greatest impact on embryo bioenergetics, suggesting that this DNA content may primarily exert this effect. We have thoroughly revised the manuscript, focusing our message on DNA content.

      Q4. mtDNA is not specifically identified as being taken up by embryos only DNA.

      A4. We agree with the reviewer; as we mention in answer A9, EdU does not specifically label mitochondrial DNA. To solve this issue, we incubated a synthetic molecule of labeled mtDNA with embryos and analyzed mtDNA incorporation using confocal microscopy. We co-cultured hatched mouse embryos (3.5 days) with an ATP8 sequence conjugated with Biotin overnight at 37ºC and 5% CO2. We then permeabilized embryos, incubated them with Streptavidine-Cy3 for 45 min, and visualized the results using an SP8 confocal microscope (Leica). We observed mtDNA internalization by cells of the hatched embryos; please see new supplementary Figure 7 and lines 234-237 on page 9 and lines 583-592 M&M on page 21.

      Q5. The authors do not rule out that other components packaged in extracellular vesicles could be the factors influencing embryo metabolism.

      A5. The vesicular subtypes contain molecules beyond DNA, such as microRNAs, proteins, or lipids. Our laboratory has studied the transmission of vesicles and their relationship with their contents (particularly microRNAs) and their connection to maternal-fetal communication. In this study, we focused on genomic/mitochondrial DNA. We cannot exclude the possibility that other molecules may influence metabolism; this statement is already noted in the discussion section on lines 328-331 on page 12.

      Q6. Taken together, these concerns seem to contradict the implication of the title of the manuscript – the authors do not demonstrate that inheritance of maternal mtDNA has a direct causative effect on embryo metabolism.

      A6. We have modified the title to better align with the manuscript’s results. The proposed new title for the manuscript is “Vertical transmission of maternal DNA through extracellular vesicles modulates embryo bioenergetics during the periconceptional period.”

      Reviewer #1 (Recommendations for The Authors):

      Q7. Would it be possible to validate the mtDNA content and mitophagy activity in different periods using the Ishikawa cells?

      A7. Unfortunately, this validation cannot be achieved with in vitro cultures of cell lines, especially with a cell line such as the endometrial adenocarcinoma-derived Ishikawa cell line. While mimicking the menstrual cycle (as observed in Figure 3 of the manuscript) is entirely artificial, we believe that the statistically significant results obtained in human samples faithfully represent the biological processes involved. Using a cell line, in our opinion, would not provide us with novel information.

      Q8. Characterization of the EVs subpopulations from Ishikawa cells and direct evidence to show the EdU labeled DNA is contained in the EVs are necessary.

      A8. To address this concern, we designed a novel experiment. We cultured Ishikawa cells in the presence of Edu, isolated the three types of vesicles, and evaluated labeled DNA content by flow cytometry (as illustrated in Supplementary Figure 5). All three types of vesicles exhibited positive EdU-DNA labeling; notably, the exosomal fraction demonstrated substantially higher DNA content than the other vesicle populations. Please see new supplementary Figure 5 and lines 217-218 on page 9, and lines 576-582 of the M&M on pages 20-21.

      Q9. Would EdU incorporate into the genomic DNA or mitochondrial DNA?

      A9. EdU (5-ethynyl-2′-deoxyuridine) is a nucleoside analog of thymidine and becomes incorporated into DNA during active DNA synthesis. EdU labels all newly synthesized DNA, both genomic and mitochondrial; however, we cannot differentiate between them with this technique.

      Q10. It is difficult to assess whether the EV-derived DNA was taken by the TE or ICM without immunostaining of cell lineage markers in mouse embryos.

      A10. We did not aim to label the inner cell mass, as the vesicles primarily enter through trophectodermal cells. The images presented in Figure 4 and Supplementary Figure 5 depict trophectoderm cells.

      Q11. It is also valuable to perform co-staining of Mitotracker to show the co-localization of EdU labelled DNA and the mitochondrial.

      A11. Per the reviewer's suggestion, we conducted an experiment as described in the following text. We isolated MVs from the culture media of EdU-treated Ishikawa cells and co-incubated them with embryos overnight. The resulting images (See Author response image 1) show an embryo subjected to staining with EdU-tagged DNA labeled with Alexa Fluor 488 (green), Mitotracker Deep Red (red), and nuclei (blue). Detailed views of the embryo are presented in panels A and B. Notably, we observed co-localization of mitochondria and EdU-tagged DNA, as indicated by the white arrows. Despite this intriguing finding, we chose not to include these results in the initial version of the manuscript; however, if the editor deems it appropriate, we would be delighted to incorporate them into the final version. The experimental procedure for co-localization of EdU DNA-tagged with mitochondria involved the following steps: Mitotracker Deep Red FM (Thermo Fisher Scientific, M22426) was added to the embryo media at a final concentration of 200 nM, and the embryos were subsequently incubated for 45-60 minutes prior to fixation.

      Author response image 1.

      Co-localization of mitochondria and EdU-tagged DNA in mouse embryos. Representative micrograph of an embryo co-incubated with MVs isolated from the culture media of Ishikawa cells treated with EdU. EdU-tagged DNA was labeled with Alexa Fluro 488 (green). Mitotracker Deep Red (mitochondria; red) and nuclei (blue). A and B) magnified images of the embryo show detailed co-localization of mitochondria and EdU-tagged DNA (white arrows). Negative control) Embryos incubated with MVs isolated from control Ishikawa cells (without EdU incubation) and stained with the click-it reaction cocktail. A and B showed magnified images of the embryo. Notice the absence of EdU-Alexa Fluro 488 signals (green).

      Reviewer #2 (Recommendations for The Authors):

      Q12. It would be helpful if the authors could provide citations and rationale for why they chose specific molecular markers to validate the different population of extracellular vesicles.

      A12. Different extracellular populations are defined by molecular marker signatures that reflect their origin. VDAC1 forms ionic channels in the mitochondrial membrane, has a role in triggering apoptosis, and has been described as characteristic of ABs.[1]

      The ER protein Calreticulin has also been used as an AB marker [2]; however, other studies have noted the presence of Calreticulin in MVs. [1] This apparent non-specificity may derive from apoptotic processes, during which the ER membrane fragments and forms vesicles smaller than ABs, which would contain Calreticulin and sediment at higher centrifugal forces.[3,4] In fact, proteomic studies have linked the presence of Calreticulin with vesicular fractions of a size range relevant for MVs [5] and ABs [6].

      ARF6, a GTP-binding protein implicated in cargo sorting and promoting MV formation, has been proposed as an MV marker. [7,8]

      Classic markers of EXOs include molecules involved in biogenesis, such as tetraspanins (CD63, CD9, CD81), Alix, TSG101, and flotillin-1.[9,10] Nonetheless, studies have recently reported the widespread nature of such markers among various EV populations, although with different relative abundances (such as is the case for CD9, CD63, HSC70, and flotillin-1[11]). Notably, certain molecular markers (such as TSG101[1,11]) have been ratified as specific to EXOs.

      References

      1. D. K. Jeppesen, M. L. Hvam, B. Primdahl-Bengtson, A. T. Boysen, B. Whitehead, L. Dyrskjøt, T. F. Orntoft, K. A. Howard, M. S. Ostenfeld, J. Extracell. Vesicle. 2014, 3, 25011, doi: 10.3402/jev.v3.25011.

      2. J. van Deun, P. Mestdagh, R. Sormunen, V. Cocquyt, K. Vermaelen, J. Vandesompele, M. Bracke, O. De Wever, A. Hendrix, J. Extracell. Vesicles. 2014, 3:24858, doi: 10.3402/jev.v3.24858.

      3. L. Abas, C. Luschnig, Anal. Biochem. 2010, 401, 217-227, doi: 10.1016/j.ab.2010.02.030.

      4. C. Lavoie, J. Lanoix, F. W. Kan, J. Paiement, J. Cell Sci. 1996, 109(6), 1415-1425.

      5. M. Tong, T. Kleffmann, S. Pradhan, C. L. Johansson, J. DeSousa, P. R. Stone, J. L. James, Q. Chen, L. W. Chamley, Hum. Reprod. 2016, 31(4), 687-699, doi: 10.1093/humrep/dew004.

      6. P. Pantham, C. A. Viall, Q. Chen, T. Kleffmann, C. G. Print, L. W. Chamley, Placenta. 2015, 36, 1463e1473, doi: 10.1016/j.placenta.2015.10.006.

      7. V. Muralidharan-Chari, J. Clancy, C. Plou, M. Romao, P. Chavrier, G. Raposo, C. D'Souza-Schorey, Curr. Biol. 2009, 19, 1875-1885.

      8. C. Tricarico, J. Clancy, C. D'Souza-Schorey, Small GTPases. 2016, 0(0), 1-13.

      9. M. Colombo, G. Raposo, C. Théry, Annu. Rev. Cell. Dev. Biol. 2014, 30, 255-289, doi: 10.1146/annurev-cellbio-101512-122326.

      10. S. Mathivanan, H. Ji, R. J. Simpson, J. Proteomics. 2010, 73(10), 1907-1920.

      11. J. Kowal, G. Arras, M. Colombo, M. Jouve, J. P. Morath, B. Primdal-Bengtson, F. Dingli, D. Loew, M. Tkach, C. Théry, Proc. Natl. Acad. Sci. U. S. A. 2016, 113(8), E968-77.

      Q13. The PCA analysis in supplementary figure 4 A&B needs more explanation for why they think separation of the two conditions based on principal component 1 is sufficient. The small number of replicates makes me concerned because principal component 2 does not show similarity of replicates for the DNase treated samples. Also, 4C has no description in the figure legend.

      A13. The PCA results show a clear separation between the two conditions; we believe this separation is primarily driven by the differences observed in principal component 1 (PC1). We would like to address the concerns raised by the reviewer with the following points:

      1. Interpretation of PCs: In PCA, the principal components represent orthogonal axes capturing the highest variance in the data. PC1 accounts for 56% and 57% of the variance in the two conditions, respectively. The significant variance explained by PC1 suggests that it effectively captures the major sources of variation between the samples.

      2. Sample Replicates and Variability: The concern regarding the small number of replicates is acknowledged, and we understand its impact on the analysis. Despite the limited number of replicates, the consistent pattern of separation in PC1 between the two conditions provides confidence in the observed separation. We also agree that PC2 does not show an apparent similarity among the DNase-treated samples; however, this does not diminish the significance of PC1, which robustly separates the two conditions.

      We include the Figure legend for 4C: “C) Principal component analysis shows EV sample grouping due to specificity in coding-gene sequences.

      Q14. I am confused by the phrasing in the last two sentences of the top paragraph on page 7. Why would apoptotic bodies all have similar content if they encapsulate a greater amount of material making their contents less specific? Please clarify.

      A14. This sentence intended to convey the fact that apoptotic bodies (ABs) are formed from apoptotic cells, they are larger in size, and their content is more non-specific - this non-specific nature arises as they do not encapsulate molecules specifically, unlike the other two types of vesicles. For more detailed information on ABs in human reproduction, we published an extensive review in 2018 (see below).

      Simon C, Greening DW, Bolumar D, Balaguer N, Salamonsen LA, Vilella F. Extracellular Vesicles in Human Reproduction in Health and Disease. Endocr. Rev. 2018 Jun 1;39(3):292-332. doi: 10.1210/er.2017-00229. PMID: 29390102.

      Q15. The first and last sentences of the last paragraph of page 8 seem to contradict each other. Please clarify.

      A15. We observe an enrichment in the amount of mitochondrial DNA in samples during the receptive and post-receptive phases. While the data may not show statistical significance, we observed a trend towards greater enrichment in receptivity compared to pre-receptivity. The lack of significant differences could be attributed to inherent variability among patients. We have also altered the text on page 8 to avoid confusion.

      Q16. Quantification of the rates of DNA incorporation into embryos would strengthen Figure 4 and Supplementary Figure 5.

      A16. We acknowledge the reviewer's feedback, and in response, we conducted an assay to quantify the total DNA incorporated into the embryos. We isolated EVs from the control Ishikawa cell culture media and EdU-treated Ishikawa cell culture media to achieve this. Subsequently, we co-incubated both types of EVs with ten embryos overnight in G2 plus media at 37ºC and 5% CO2.

      After co-incubation, we collected embryos and the culture media containing co-incubated EVs. We then isolated total DNA using the QIAamp® DNA Mini kit (Qiagen; 51304). To label the EdU-DNA particles, we performed a click-it reaction using the Click-iT™ EdU Alexa Fluor™ 488 flow cytometry assay Kit (Thermo Fisher Scientific, ref: C10420) per the manufacturer's instructions. Subsequently, we cleaned and purified DNA using AMPure beads XP (Beckman Coulter, A63882) and eluted DNA in 150 L of 0.1 M Tris-EDTA. Finally, we measured the fluorescence of each sample using a Victor3 plate reader (PerkinElmer). To ensure accuracy, we subtracted the background signal from non-labeled DNA-derived EVs and embryos incubated without EVs for each sample. Despite conducting the experiment twice, we encountered challenges in obtaining clear results, possibly due to the limitation of the technique's resolution.

      Q17. If mtDNA is most enriched in MVs but only embryos cultured with Exos demonstrated differences in respiration the authors need to comment on this discrepancy.

      A17. We ask the reviewer to refer to Answer A3; we have thoroughly revised the manuscript, focusing our message on DNA content.

      Q18. The authors should change the definitive language in the title of the manuscript because all evidence presented is correlative.

      A18.We have modified the title to better align with the manuscript's results. The proposed new title for the manuscript is “Vertical transmission of maternal DNA through extracellular vesicles modulates embryo bioenergetics during the periconceptional period.”

      Q19. I realize this is beyond what the authors intend for the scope of this paper, however, on page 6 the authors describe membranous structures within the ABs but say they couldn't study their presence with organelle-specific markers. Why? Presence of organelles in these vesicles is very interesting!

      A19. As the reviewer rightly points out, we did not study ABs in this manuscript. Analysis of the electron microscopy images suggests the presence of fragments of organelles, most likely originating from apoptotic processes; however, we did not use any specific markers to confirm our assertion. We have modified the text to avoid any confusion. Please see Page 6, Lines 120-121, for further details.

    1. Author response:

      The following is the authors’ response to the original reviews.

      Reviewer #1 (Public review): 

      Summary: 

      The authors have examined gene expression between life cycle stages in a range of brown macroalgae to examine whether there are conserved aspects of biological features. 

      Strengths: 

      The manuscript incorporates large gene expression datasets from 10 different species and therefore enables a comprehensive assessment of the degree of conservation of different aspects of gene expression and underlying biology. 

      The findings represent an important step forward in our understanding of the core aspects of cell biology that differ between life cycle phases and provide a substantial resource for further detailed studies in this area. Convincing evidence is provided for the conservation of lifecycle-specific gene expression between species, particularly in core housekeeping gene modules. 

      Weaknesses: 

      I found a few weaknesses in the methodology and experimental design. I think the manuscript could have been clearer when linking the findings to the biology of the brown algae. 

      Reviewer #2 (Public review): 

      Summary: 

      The manuscript by Ratchinski et al presents a comprehensive analysis of developmental and life history gene expression patterns in brown algal species. The manuscript shows that the degree of generation bias or generation-specific gene expression correlates with the degree of dimorphism. It also reports conservation of life cycle features within generations and marked changes in gene expression patterns in Ectocarpus in the transition between gamete and early sporophyte. The manuscript also reports considerable conservation of gene expression modules between two representative species, particularly in genes associated with conserved functional characteristics. 

      Strengths: 

      The manuscript represents a considerable "tour de force" dataset and analytical effort. While the data presented is largely descriptive, it is likely to provide a very useful resource for studies of brown algal development and for comparative studies with other developmental and life cycle systems. 

      Weaknesses: 

      Notwithstanding the well-known issues associated with inferring function from transcriptomics-only studies, no major weaknesses were identified by this reviewer. 

      Reviewing Editor Comments:

      The overall assessment of the reviewers does not contain major aspects of concern. We nevertheless recommend that the authors carefully consider the constructive comments, as this will further improve their manuscript. 

      Reviewer #1 (Recommendations for the authors): 

      (1) Line 32: The abstract states 'considerable conservation of co-expressed gene modules', but the degree of conservation between Ectocarpus and D. dichotoma appeared limited to specific subsets of genes with highly conserved housekeeping functions, e.g., translation. I think the wording of the abstract should be rephrased to better reflect this. 

      We agree that genes with housekeeping functions figure strongly in the gene modules that showed strong conservation between Ectocarpus species 7 and D. dichotoma (and we actually highlight this point in the manuscript) but we do not believe that this invalidates the conservation. In the analysis shown in Figure 6A, for example, high scores were obtained for both connectivity and density for about a third of the gene modules and these modules cover broad range of cellular functions. This is a significant result given the large phylogenetic distance and we feel that "considerable conservation" is appropriate as a description of the level of correlation. 

      (2) Introduction - The Introduction needs a better explanation of the biology of the life cycle phases. Some of this information is present in the 1st paragraph of Materials and Methods, although it would be preferable to include this information within the main text, ideally within the Introduction before the Results are described. For example, when are flagella present? The presence of flagella could be indicated in Figure 3. The ecology of the life cycle is also not described. Are life cycles present in the same ecological niche? Do they co-exist or occupy distinct environments? It would be useful to understand how the observed genotypes could relate to this wider aspect of the brown algal biology. 

      We have added a sentence to explain that zoids (gametes and spores) are the only flagellated stages of the life cycle (line 678). In addition, in the legend for Figure 3, we have indicated which of the life cycle stages analysed in panel 3A consisted entirely or partially of flagellated cells. We have also added information about phenology to the Introduction. 

      (3) Line 127. 'The proportion of generation specific genes was positively correlated with the level of dimorphism'. The level of dimorphism between species was not clear to me. This needs to be clearly displayed in Figure 1B. 

      We had attempted to illustrate the level of dimorphism, using the size of each generation as a measurable proxy, in Figure S1 but we agree that the information was not very clearly presented. To improve clarity, we now provide independent size scales for each generation of the life cycle in this figure and state in the legend that "Size bars indicate the approximate sizes of each generation of each life cycle, providing an indication of the degree of dimorphism between the two generations.". In the text, Figure S1 is cited earlier in the paragraph but we now repeat the citation of the figure at the end of the sentence "The proportion of generation-specific genes (...) was positively correlated with the level of dimorphism" so that the reader can specifically consult the supplementary figure for this phenotypic parameter. 

      (4) Line 267. Are there known differences in cell wall composition between life cycle phases or within each generation as individual life cycle phases mature (e.g., differences between unicellular and multicellular stages)? 

      Detailed comparative analyses of cell wall composition at different stages of the life cycle have not been carried out for brown algae. However, Congo red stains Ectocarpus gametophytes but not sporophytes (Coelho et al., 2011), indicating a difference in cell wall composition between the two generations. Zoids (spores and gametes) do not have a cell wall and calcofluor white staining of meio-spores has indicated that a cell wall only starts to be deposited 24-48 hours post-release (Arun et al., 2013).

      (5) Line 388. The authors should comment on the accuracy of OrthoFinder for different gene types across this degree of divergence (250 MYA). The best conservation was found in genes with housekeeping characteristics (line 401). It may be that these gene modules show the highest degree of conservation in expression patterns, but I also wonder whether they pattern may also emerge because finding true orthologues is easier for highly conserved gene families. 

      We do not believe that this is the case because, as mentioned above, the "housekeeping" modules cover quite a broad range of cellular functions. Note also that the modules were given functional labels based on their being clearly enriched in genes corresponding to a particular class of function but not all the genes in a module have a predicted function that corresponds to the functional classification. 

      However, we have carried out an analysis to look for evidence of the bias proposed by the reviewer. For this, we used BLASTp identity scores as an approximate proxy for pairwise identity between Ectocarpus species 7 and D. dichotoma one-to-one orthologues in each module and plotted the mean identity score for each module against the Fischer test p-value of the contingency table in Figure 6C (Author response image 1).

      Author response image 1.

      Plot of estimations of the mean percent shared identity between the orthologues within each module (based on mean BLASTp identity scores) against log10(pvalue) values obtained with the Fisher's exact test applied in Figure 6C to determine whether pairs of modules shared a greater number of one-to-one orthologues than expected from a random distribution. Error bars indicate the standard deviation. 

      This analysis did not detect any correlation between the degree of sequence conservation of orthologues in a module and the degree of conservation of the module between Ectocarpus species 7 and D. dichotoma.

      Minor comments 

      (1) Line 650 loose should be lose.

      The error has been corrected.

      (2) Line 695 filtered through a 1 μm filter to remove multicellular gametophyte fractions. Is this correct? It seems too small to allow gametes to pass through. 

      Yes, the text is correct, a 1 μm filter was used. The gametes do pass through this filter, presumably because they do not have a rigid cell wall, allowing them to squeeze through the filter when a light pressure is applied. 

      (3) Line 709 - DDT should be DTT 

      The error has been corrected.

      Reviewer #2 (Recommendations for the authors): 

      (1) It is not clear why the chosen species for analysis do not include fucoid algae, which display a high degree of dimorphism between generations and which are relatively well studied with respect to gene expression patterns during early development. Indeed, it was recently shown that gene expression patterns in developing embryos of Fucus spp. obey the "hourglass" pattern whereby gene expression shows a minima of transcription age index (i.e., higher expression of evolutionarily older genes) associated with differentiation at the phylotypic stage. I am somewhat surprised that the manuscript does not consider this feature in the analysis or discussion. 

      Brown algae of the order Fucales have diploid life cycles and therefore do not alternate between a sporophyte and gametophyte generation. It is for this reason that we thought that it was more interesting to compare Ectocarpus species 7 with D. dichotoma, which has a haploid-diploid life cycle.

      (2) In Discussion, the comparison of maternal to zygote transition in animals and land plants, which show a high degree of dimorphism, with Ectocarpus would be strengthened by data/discussion from other brown algae that show a high degree of dimorphism. 

      Animals have diploid life cycles and dimorphism in that lineage generally refers to sexual rather than generational dimorphism. Land plants do have highly dimorphic haploiddiploid life cycles but it is unclear how this characteristic relates to events that occur during the maternal to zygote transition. In Ectocarpus, the transition from gamete to the first stages of sporophyte development involved more marked changes in gene expression than we observed when comparing the mature sporophyte and gametophyte generations (Figure 3C). At present, there is no evidence that events during these two transitions are correlated. The relationship between changes in gene expression during very early sporophyte development and during alternation of life cycle generations could be investigated further using a highly dimorphic kelp model system such as Saccharina latissima but we are not aware of any studies that have specifically addressed this point. 

      (3) Since marked changes were observed during the transition from gamete to early sporophyte in Ectocarpus, it would be interesting to know how gene expression patterns change during the transition from gamete to partheno-sporophyte. Would the same patterns of downregulation and upregulation be expected? 

      The sporophyte individuals derived from gamete parthenogenesis (parthenosporophytes) are indistinguishable morphologically and functionally from diploid sporophytes derived from gamete fusions (see line 76). They also express generation marker genes in a comparable manner (Peters et al., 2008). Based on these observations, we have treated partheno-sporophytes and diploid sporophytes as equivalent in our experiments. For clarity, we have now distinguished partheno-sporophyte from diploid sporophyte samples in Table S1. 

      (4) The authors show a correlation between the degree of dimorphism and generation-biased or generation-specific expression. How was the degree of dimorphism quantified? 

      The degree of dimorphism is illustrated in Figure S1 using the relative size of the two generations as a proxy. Size estimations are approximate because the size of an individual of a particular species is quite variable but the ten species nonetheless represent a very clear gradient of dimorphism due to the extreme differences in size between generations of species at each end of the scale, with the sporophyte generation being several orders of magnitude larger than the gametophyte generation or visa versa. 

      References

      Arun A, Peters NT, Scornet D, Peters AF, Cock JM, Coelho SM. 2013. Non-cell autonomous regulation of life cycle transitions in the model brown alga Ectocarpus. New Phytol 197:503– 510. doi:10.1111/nph.12007

      Coelho SM, Godfroy O, Arun A, Le Corguillé G, Peters AF, Cock JM. 2011. OUROBOROS is a master regulator of the gametophyte to sporophyte life cycle transition in the brown alga Ectocarpus. Proc Natl Acad Sci USA 108:11518–11523. doi:10.1073/pnas.1102274108

      Peters AF, Scornet D, Ratin M, Charrier B, Monnier A, Merrien Y, Corre E, Coelho SM, Cock JM. 2008. Life-cycle-generation-specific developmental processes are modified in the immediate upright mutant of the brown alga Ectocarpus siliculosus. Development 135:1503–1512.doi:10.1242/dev.016303

    1. Author response:

      The following is the authors’ response to the original reviews.

      Public Reviews:

      Reviewer #1 (Public review):

      Summary:

      Structural colors (SC) are based on nanostructures reflecting and scattering light and producing optical wave interference. All kinds of living organisms exhibit SC. However, understanding the molecular mechanisms and genes involved may be complicated due to the complexity of these organisms. Hence, bacteria that exhibit SC in colonies, such as Flavobacterium IR1, can be good models.

      Based on previous genomic mining and co-occurrence with SC in flavobacterial strains, this article focuses on the role of a specific gene, moeA, in SC of Flavobacterium IR1 strain colonies on an agar plate. moeA is involved in the synthesis of the molybdenum cofactor, which is necessary for the activity of key metabolic enzymes in diverse pathways.

      The authors clearly showed that the absence of moeA shifts SC properties in a way that depends on the nutritional conditions. They further bring evidence that this effect was related to several properties of the colony, all impacted by the moeA mutant: cell-cell organization, cell motility and colony spreading, and metabolism of complex carbohydrates. Hence, by linking SC to a single gene in appearance, this work points to cellular organization (as a result of cell-cell arrangement and motility) and metabolism of polysaccharides as key factors for SC in a gliding bacterium. This may prove useful for designing molecular strategies to control SC in bacterial-based biomaterials.

      Strengths:

      The topic is very interesting from a fundamental viewpoint and has great potential in the field of biomaterials.

      Thank you for this.

      The article is easy to read. It builds on previous studies with already established tools to characterize SC at the level of the flavobacterial colony. Experiments are well described and well executed. In addition, the SIBR-Cas method for chromosome engineering in Flavobacteria is the most recent and is a leap forward for future studies in this model, even beyond SC.

      We appreciate these comments.

      Weaknesses:

      The paper appears a bit too descriptive and could be better organized. Some of the results, in particular the proteomic comparison, are not well exploited (not explored experimentally). In my opinion, the problem originates from the difficulty in explaining the link between the absence of moeA and the alterations observed at the level of colony spreading and polysaccharide utilization, and the variation in proteomic content.

      We have looked at the organisation of the manuscript carefully in this revision, as suggested. In terms of the proteomics, there are a large number of proteins affected by the moeA deletion and not all could be followed up. We chose spreading, structural colour formation and starch degradation to follow up phenotypically, as the most likely to be relevant. For example, (L615-617) we discuss the downregulation of GldL (which is known to be involved Flavobacterial gliding motility [Shrivastava et al., 2013]) in the moeA KO as a possible explanation for the reduced colony spreading of this mutant. Changes in polysaccharide (starch) utilization were seen on solid medium, as well as in the proteomic profile where we observed the upregulation of carbohydrate metabolism proteins linked to PUL (polysaccharide utilisation locus) operons (Terrapon et al., 2015), such as PAM95095-90 (Figure 8), and other carbohydrate metabolism-related proteins, including a pectate lyase (Table S7) which is involved in starch degradation (Aspeborg et al., 2012). And as noted in L555-566 and Figure 9, alterations in starch metabolism were investigated experimentally.

      First, the effect of moeA deletion on molybdenum cofactor synthesis should be addressed.

      MoeA is the last enzyme in the MoCo synthesis pathway, thus if only MoeA is absent the cell would accumulate MPT-AMP (molybdopterin-adenosine monophosphatase) (Iobbi-Nivol & Leimkühler, 2013), and the expressed molybdoenzymes would not be functional. In L582-585, we commented how the lack of molybdenum cofactor may affect the synthesis of molybdoenzymes. However, if you meant to analyse the presence of the small molecules, i.e. the cofactors involved in these pathways, that was an assay we were not able to perform. However, in L585-587, we addressed how the deletion of moeA affected the proteins encoded by the rest of genes in the operon which is relevant to the question.

      Second, as I was reading the entire manuscript, I kept asking myself if moeA (and by extension molybdenum cofactor) was really involved in SC or it was an indirect effect. For example, what if the absence of moeA alters the cell envelope because the synthesis of its building blocks is perturbed, then subsequently perturbates all related processes, including gliding motility and protein secretion? It would help to know if the effects on colony spreading and polysaccharide metabolism can be uncoupled. I don't think the authors discussed that clearly.

      The message of the paper is that the moeA gene, as predicted from a previous genomics analysis, is important in SC. This is based on the representation of the moeA gene in genomes of bacteria that display SC. This analysis does not predict the mechanism. When knocked out, a significant change in structural colour occurred, supporting this hypothesis. Whether this effect is direct or indirect is difficult to assess, as this referee rightly suggests. In order to follow up this central result, we performed proteomics (both intra- and extracellular). As we observed, the deletion of a single gene generated many changes in the proteomic profile, thus in the biological processes. Based on the known functions of molybdenum cofactor, we could only hypothesize that pterin metabolism is important for SC, not exactly how.

      We have discussed the links between gliding/spreading and polysaccharide metabolism more clearly, with reference to the literature, as quite a bit is known here including possible links to SC.

      “Polysaccharide metabolism in IR1 has been linked to changes in colony color and motility through the study of fucoidan metabolism (van de Kerkhof et al., 2022). Polysaccharide degradation and gliding motility are coupled to the same mechanism: the phylum-specific type IX secretion system, used for the secretion of enzymes and proteins involved in both functions (McKee et al., 2021).” [L622-626]

      Reviewer #2 (Public review):

      Summary:

      The authors constructed an in-frame deletion of moeA gene, which is involved in molybdopterin cofactor (MoCo) biosynthesis, and investigated its role in structural colors in Flavobacterium IR1. The deletion of moeA shifted colony color from green to blue, reduced colony spreading, and increased starch degradation, which was attributed to the upregulation of various proteins in polysaccharide utilization loci. This study lays the ground for developing new colorants by modifying genes involved in structural colors.

      Major strengths and weaknesses:

      The authors conducted well-designed experiments with appropriate controls and the results in the paper are presented in a logical manner, which supports their conclusions.

      We appreciate these comments.

      Using statistical tests to compare the differences between the wild type and moeA mutant, and adding a significance bar in Figure 4B, would strengthen their claims on differences in cell motility regarding differences in cell motility.

      Thank you. Figure 4B contains the significance bars that represent the standard deviation of the mean value of the three replicates, but we have modified it to make them more clear.

      Additionally, in the result section (Figure 6), the authors suggest that the shift in blue color is "caused by cells which are still highly ordered but narrower", which to my knowledge is not backed up by any experimental evidence.

      Thanks. We mentioned that the mutant cells are narrower than the wild type based on the estimated periodicity resulting from the goniometry analysis (L427-430). We will now say “likely to be narrower based on the estimated periodicity from the optical analysis” rather than just “narrower”.

      “This optical analysis aligns with visual observations, confirming the blue shift in ΔmoeA, and suggests that this change in SC is caused by cells which are likely to be narrower based on the estimated periodicity from the optical analysis.” [L409-411]

      Overall, this is a well-written paper in which the authors effectively address their research questions through proper experimentation. This work will help us understand the genetic basis of structural colors in Flavobacterium and open new avenues to study the roles of additional genes and proteins in structural colors.

      Much appreciated.

      Recommendations for the authors:

      Reviewing Editor Comments:

      As you will see, the reviewers were rather positive about the paper but suggested a number of points to improve it, including a discussion of the direct role of moeA as well as specific editorial comments.

      Reviewer #1 (Recommendations for the authors):

      More specific comments to the authors:

      (1( Line 300, Paragraph on bioinformatic analysis of molybdopterin operon : As written, it is not clear whether this operon is crucial for pterin cofactor synthesis or only some genes are involved. And what is the contribution of moeA?

      Based on the bioinformatic analysis done in Zomer et al., 2024, we know the score of which genes of the molybdopterin cofactor synthesis operon may be more relevant to the display of SC, in addition to moeA. We chose moeA to KO as it had the highest score, being careful to delete the coding sequence and not any upstream promoter. The other genes in the predicted operon are moaE, moaC2, and moaA. Then in the proteomic analysis (L435-442), we analysed how the encoded proteins from this operon were upregulated (MoaA, MoaC2, and MobA), indicating also the unaltered proteins (MoeZ and MoaE) and the undetected proteins (MoaD and SumT). Nevertheless, the operon is crucial for pterin cofactor synthesis because it contains all the genes involved in the pathway, and moeA encoded the enzyme for the last reaction of the pathway, being the the molecule produced in the mutated pathway the adenylated molybdopterin (MPT-AMP) instead of molybdenum cofactor (MoCo).

      (2) Paragraph line 342 on moeA mutant phenotyping :

      Is the reduction in colony spreading caused by a defect in single-cell gliding motility or is the cause more complex? This can be quantified.

      We believe the cause is more complex. As mentioned above, for example, in (L615-617) we discuss the downregulation of GldL (which is known to be involved Flavobacterial gliding motility [Shrivastava et al., 2013]) in the moeA KO as a possible explanation for the reduced colony spreading of this mutant. This cannot be explained simply by spreading, but must (from the optical analysis) indicate changes in cell organisation/dimensions.

      (3) During the description of the moeA mutant phenotype (associated with Figures 2 and 4) and throughout the article, the optical properties are « functions » of colony spreading and moeA-dependent metabolism. However it is not quite clear if these two effects are independent or if one may be a consequence of the other.

      As noted above, colony spreading alone does not explain the blue-shift in SC observed. Given the function of MoeA (molybdate insertion into MPT-AMP [adenylated molybdopterin], MoMPT [molybdenum-molybdopterin] formation) for the synthesis of MoCo (molybdenum cofactor), the primary effect seems to be on metabolism but as we are dealing with an influential enzymatic cofactor a number of secondary effects are likely, and indeed the proteomics supports this. It is likely that the effect on spreading is secondary as seen with the downregulation of GldL (see above), but we cannot be sure.

      (4) Paragraph starting line 381 and Figure 5 on gliding motility:

      Gliding motility has to be tested at the level of single cells, allowing a more thorough characterization of the spreading defects. In addition, since gliding is entangled with Type IX-dependent secretion in Flavobacteria, the authors should test if Type IXdependent was perturbed in the absence of moeA.

      Based on the intracellular and extracellular proteomic analyses, the regulated T9SS proteins in the absence of moeA are the downregulation of GldL and SprT, and the upregulation of PorU. It shows the log2 FC (moeA/WT) of each these extracellular proteins:

      Author response table 1.

      <-1: downregulated in moeA KO, -1<X<1: no significant regulation, >1: upregulated in moeA KO, -: not detected

      (5) L401: In my opinion, the section "Quantification of the optical responses of IR1 WT and ΔmoeA colonies" should be moved up, before the characterization of motility.

      We have done this, as suggested. The section was moved from L401-423 to L388-411.

      (6) L475: Proteome comparison: « Of the total known proteins in IR1, 27.5% (1,504 proteins) extracellular proteins were identified » Are some of these proteins also found in the cell fraction? Wouldn't it be more accurate to write that « 1504 proteins were found in the extracellular fraction"?

      We have done this, as suggested.

      “Of the total known proteins in IR1, 27.5% (1,504 proteins) proteins were detected in the extracellular fraction, 60.4% (909) were statistically significant (p<0.01), with 20.5% (186) considered downregulated, and 20% (182) upregulated in ΔmoeA (Figure 7B).” [L484-486]

      How can the authors exclude contamination of the extracellular fraction? This could easily explain the number of proteins lacking secretion signals: "29.6% (55) were likely secreted through a non-classical way, lacking typical secretion sequence motifs in their N-terminus."

      Based on the results from SecretomeP and SignalP, we excluded contamination, reducing the significant downregulated proteins from 186 (L476) to 69 (L486), and the upregulated ones from 182 (L477) to 111 (L500).

      (7) L490: if the protein misannotated flagellin is highly downregulated, why not push the analysis a bit further and ask what true function may be perturbed? In addition, it should not be classified as a motility protein in Table S6 and considered as a motility protein in the article.

      We reconsidered the information given by this and decided to remove it because after checking the homology of the polypeptide by Blast searching, we feel it is probably due to a missannotation.

      As is, the whole proteomic section is not that useful. Too many functions are evoked and the reader is not directed toward any particular conclusion. The most convincing hits from the proteomic analysis should be confirmed using another method. Transcriptional regulation could be easily probed by RT-qPCR. Or, since genetics is possible, proteins could be tagged and levels compared by western blot maybe? Do knock-out of the encoding genes generate any phenotype on SC? This would bring weight to the proteomic analysis.

      We have revised the proteomics section and removed functions that are not directly relevant to our conclusion.

      We feel the most important observation suggested by proteomics was the possible link between moeA and starch metabolism, because the metabolism of complex polysaccharides is important in the Flavobacteriia and known to be linked to SC (van de Kerkhof et al., 2022). It was not possible to follow up every pathway suggested by the proteomics, but the study is appropriately performed with the correct statistics.

      (8) Figure 9 : Does the absence of moeA affect the spreading of ASWS? Were colony sizes similar during the starch degradation assay? How can the authors rule out the idea that starch degradation is impacted by the difference in spreading rather than an independent function of moeA in starch metabolism? Slower spreading could lead to the accumulation of amylases, hence stronger activity. Why does starch degradation only accumulate at the center of the colony in the WT case?

      The colonies of the WT and moeA had similar size during the starch degradation assay (2 days). However, after day 3, only WT colonies kept expanding on diameter.

      Starch degradation is logically in the centre of the colony as it is where the greatest concentration of cells exists, secreting degradative enzymes, for the longest time. Presumably starch degradation at the colony edge is not yet seen as the action of extracellular enzymes is low and has not had time to degrade the starch to the point that there is no iodine staining.

      “In contrast to other media where ΔmoeA colony expansion was less than WT, the ΔmoeA showed similar colony spreading and stronger starch degradation, supporting a role of moeA in complex polysaccharides metabolism.” [L562-565]

      (9) Finally, I am not quite sure what the authors mean by « a role of moeA in complex polysaccharides metabolism ». Are they referring to enzymes secreted in the medium to degrade starch? or to the incorporation and use of starch degradation products?

      We meant that the deletion of moeA showed an increase of extracellular starch degradation as seen in the iodine assay (Figure 9), as well as the upregulation of three different PUL operons (Figure 8).

      Reviewer #2 (Recommendations for the authors):

      The paper in general is well written with proper experimentation. However, here are a few recommendations for improving the writing and presentation, including minor corrections to the text and figures.

      Thank you.

      (1) It would be helpful for the readers if you could expand on "some metabolic pathways" in line 71. Please provide examples of metabolic pathways that are linked to SC.

      We have done this.

      “A recent bioinformatic study has shown the possible link of some metabolic pathways, such as carbohydrate, pterin, and acetolactate metabolism, to bacterial SC (Zomer et al., 2024).”[L70-72]

      (2) "Line 79 : a bioinformatics analysis", please mention what kind of bioinformatics analysis was done and by whom to provide clarity for the readers: Either mention bio info analysis or give more details on what kind of bio info analysis and study done by whom"

      We have clarified this, as suggested.

      “A large-scale, genomic-based analysis of 117 bacteria strains (87 with SC and 30 without) identified genes potentially involved in SC by comparing gene presence/absence, providing a SC-score (Zomer et al., 2024). By this method, pterin pathway genes were strongly predicted to be involved in SC.” [L80-83]

      (3) Please correct "Bacteria strains used in this study" to "bacterial" strains in Line 122.

      We have done so.

      (4) Please indicate in "Lines 394-396" that there were no vortex patterns observed in the moeA mutant.

      We have done so.

      “In contrast, ΔmoeA exhibited limited motility, with a more tightly packed cell organization and a fine, slow-moving layer at the edge (Figure 6, blue arrows), and did not show a ‘vortex’ pattern. This suggests that moeA deletion significantly impairs cell motility and colony expansion.” [428-L431]

      (5) In Figure 4 it looks like with a different carbon source (ASWB with agar and Fucoidan (ASWBF)) the moeA mutant and wild type exchanges its phenotype compared to ASWBKC. Could you explain why this happens in the discussion by highlighting the differences between fucose and Kappa-Carrageenan or confirm if there are any differences in the carbohydrate utilization between the wild type and moeA mutant using biolog assays?

      We have explained the differences. Biolog would not be appropriate as we are looking for metabolic processes of bacteria on surfaces (agar) and this is not necessarily appropriate to biolog, which we understand uses liquid cultivation in microplates.

      “On different polysaccharide media, the ΔmoeA strain showed varied SC and colony expansion patterns: green/blue SC and low colony expansion on agar, intense blue SC and low colony expansion on kappa-carrageenan, dull green SC and low colony expansion on fucoidan, and blue/green SC with higher colony expansion on starch. Interestingly, the color phenotype of the WT and ΔmoeA exchanged their phenotype on kappa-carrageenan (a simple linear sulfated polysaccharide of D-galactopyranose) and fucoidan (a complex sulfated polysaccharide of fucose and other sugars as galactose, xylose, arabinose and rhamnose), showing the importance of the polysaccharide metabolism in SC. While reduced motility has been associated with dull or absent SC, and reduced polysaccharide metabolism (Kientz et al., 2012a; Johansen et al., 2018), ΔmoeA showed reduced motility, but an intense blue SC, and high polysaccharide metabolism. Based on these results, we established a link among polysaccharide metabolism, MoCo biosynthesis, and SC, showing that intense SC is not strictly dependent on motility.” [L636-648]

      (6) In the discussion "Line 632" it is unclear what loss is being limited, and it would help strengthen your discussion if you could add references for lines: 633-636. There are a lot of hypotheses in lines 637-642, it would help the readers if you could clearly mention that these are hypotheses and will need experimental evidence or provide appropriate evidence to support these claims.

      We have done this.

      “Ecologically, we hypothesize that dense, highly structured bacterial colonies, such as necessary for the SC phenotype, can enhance the uptake of metabolic degradation products from complex polysaccharides. These large macromolecules are often partially hydrolyzed extracellularly because they are too large to pass through bacterial cell membranes. For example, marine Vibrionaceae strains that produce lower levels of extracellular alginate lyases tend to aggregate more strongly, potentially facilitating localized degradation and uptake of polysaccharides (D’Souza et al., 2023). Additionally, certain marine bacteria employ a "selfish" mechanism to internalize large polysaccharide fragments into their periplasmic space, minimizing loss to the environment and enhancing substrate utilization (Reintjes et al., 2017). Bacteria secrete enzymes into the surrounding environment to break these polysaccharides down into more easily absorbable monosaccharides or oligosaccharides. This mechanism suggests that the colony structure could create a physical barrier that keeps these products concentrated and near the cells, allowing the colony to efficiently access and utilize these products, preventing the leakage into the surrounding environment. While SC may also yield other ecological benefits associated with growth in biofilms, the highly structured colonies that characterize SC may be more resistant against invasion by competitor species scavenging for degradation products, than an unstructured biofilm. This model is consistent with the observation that SC is associated with polysaccharide metabolism genes, and with the recent observation that SC is mainly localized on surface and interface environments such as airwater interfaces, tidal flats, and marine particles (Zomer et al., 2024).” [L650-670]

      (7) It would help the readers if you could expand on how polysaccharide metabolism is linked to motility in Line 610.

      As indicated previously, this is known and we will clarify.

      “Polysaccharide metabolism in IR1 has been linked to changes in colony color and motility through the study of fucoidan metabolism (van de Kerkhof et al., 2022).” [L622-623]